Thirty Years’ War

Grotius publishes Industrial

Treaty of Spanish Armada first book on Treaty of Hobbes publishes Louis XIV begins Revolution
Augsburg defeated international law Westphalia Leviathan to govern under way

1555 1588 1618 1625 1648 1651 1661 1750

Tokugawa Era of Manchu dynasty
premodern founded in China
Japan begins

Multipolar Balance of Power

Charles
U.S. naval squadron Darwin’s
in Tokyo Bay demands The Origin Dominion of Spanish-American First manned World War I Russian
U.S.–Japan trade of Species Canada established War flight begins Revolution

1853 1859 1867 1868 1898 1903 1911 1914 1917

Meiji restoration U.S. imperialist Chinese Manchu
begins modern era period emperor deposed
in Japan

Bipolar Era

U.S.–USSR Peaceful Coexistence

India and Pakistan NATO
independent established

Cold war Chinese Vietnam European World

Israel Communists independent Ghana Common Market population Cuban missile
Containment independent take power Stalin dies and divided independent formed 3 billion crisis

1947 1948 1949 1953 1954 1957 1958 1960 1962

Beginning of African
independence

Bipolar Era Ends U.S. Dominance in an Era of Change

Cairo 4th World

Clinton NAFTA Population Conference
in power ratified Conference on Women
World Kyoto Global
population Berlin Wall Germany War in Yeltsin European Genocide in UN’s 50th Warming
5 billion opened reunites Persian Gulf in power Union begins Rwanda anniversary Conference

1987 1989 1990 1991 1992 1993 1994 1995 1997

Tiananmen Soviet Union Earth Summit START II Summit of World Trade Kofi Annan
Square collapses the Americas Organization becomes UN
massacre Chaos in begins secretary-general
Bosnia

Ban Ki-moon
becomes UN
secretary-general

2007
Online Learning Center

Visit the Online Learning Center for

International Politics on the World Stage, Twelfth Edition
at
www.mhhe.com/rourke12
to access

INTERACTIVE EXERCISES QUIZZES

■ Simulations ■ Chapter Quiz

■ Analyze the Issue ■ True or False

■ Join the Debate ■ Essay Quiz

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MORE RESOURCES
NEWS ARTICLES AND LINKS ■ Chapter Outline

■ Web Links ■ Maps

■ Course-Related Headlines ■ Glossary

from the New York Times

 International Politics
on the World Stage

Clockwise from top left:

1. The image of a Chinese soldier in front of the Olympic rings that herald the 2008 summer games
in Beijing captures the tension between China as an authoritarian state and as an increasingly
modern, economically liberalizing country.
2. The isolated polar bear on an ice flow is a reminder of global warming’s many dangers, such as the
melting of the polar ice caps.
3. The tragedy of Darfur in Sudan is etched on the face of this refugee.
4. The image of U.S. Speaker of the House, Nancy Pelosi, and Senate Majority Leader, Harry Reid,
highlights both the problems of and protests against the U.S. presence of Iraq and the growing
number of women in positions of power around the world.
5. Some see Venezuela’s President Hugo Chávez as a dictatorial demagogue; others praise him for
challenging U.S. dominance of the Western Hemisphere.
6. New UN Secretary-General Ban Ki-moon listens to a UN peacekeeper discuss the situation in the
Democratic Republic of the Congo, the site of one of many UN peacekeeping missions.
About the Author

J OHN T. ROURKE, Ph.D., professor emeritus, is former

head of the Department of Political Science at The Uni-
versity of Connecticut. He is coauthor with Mark A. Boyer
of International Politics on the World Stage, Brief, Seventh
Edition (McGraw-Hill, 2008); author of Presidential Wars
and American Democracy: Rally ’Round the Chief (Paragon
House, 1993); coauthor of Direct Democracy and Interna-
tional Politics: Deciding International Issues Through Refer-
endums (Lynne Rienner, 1992); editor of Taking Sides:
Clashing Views on Controversial Issues in World Politics,
Thirteenth Edition (McGraw-Hill, 2008) and You Decide
2008: Current Debates in American Politics, Fourth Edition (Longman, 2008); author
of Making Foreign Policy: United States, Soviet Union, China (Brooks/Cole, 1990),
Congress and the Presidency in U.S. Foreign Policymaking (Westview, 1985), and nu-
merous articles and papers. He continues to teach and especially enjoys introductory
classes. His regard for students has molded his approach to writing—he conveys
scholarship in a language and within a frame of reference that undergraduates can ap-
preciate. Rourke believes, as the theme of this book reflects, that politics affects us all
and we can affect politics. Rourke practices what he propounds. His career long in-
volved the university’s internship program and advising one of its political clubs. Ad-
ditionally, he has served as a staff member of Connecticut’s legislature and been in-
volved in political campaigns on the local, state, and national levels.
International Politics
on the World Stage
TWELFTH EDITION

John T. Rourke
University of Connecticut

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Library of Congress Cataloging-in-Publication Data
Rourke, John T., 1945–
International politics on the world stage / John T. Rourke. — 12th ed.
p. cm.
Includes bibliographical references and index.
ISBN-13: 978-0-07-340388-5
ISBN-10: 0-07-340388-1
1. International relations. 2. World politics—1989– I. Title.
JZ1305.R68 2008
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2007016456
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inclusion of a Web site does not indicate an endorsement by the authors or McGraw-Hill, and
McGraw-Hill does not guarantee the accuracy of the information presented at these sites.

www.mhhe.com
Preface

This Edition: Changes and Organization

Taking the view that our lives are inescapably affected by world politics, International
Politics on the World Stage, Twelfth Edition, stresses the impact that world events and
global interdependence have on your students’ lives. In addition to highlighting this
interconnection, the text points out how the events of current history relate to the
theories of international politics that have been formulated by political scientists.
Each time I revise this text I think to myself, “The world will settle down and the
next edition will be easier.” Wrong! This edition proved to be a major challenge and
effort. You will see that there is a continued emphasis on being current without being
journalistic in order to engage the students. The struggle of the United States in Iraq
and the conflict within the United States over whether or not to soon withdraw; the
ongoing threat of terrorism; the looming threat of avian influenza; the genocidal hor-
ror in the Darfur region of Sudan; a new UN secretary-general; tensions with both
Iran and North Korea over their alleged nuclear weapons programs; the increasing
presence of China as a political, economic, and even military power; the impact on
U.S. foreign policy of Condoleezza Rice, the first African American woman to serve
as U.S. secretary of state; new leaders in France, Germany, Great Britain, and Japan
and the impending ends of the presidencies of Vladimir Putin in Russia and George
Bush in the United States; and other recent events are all extensively detailed. It is
also important to be as current as possible with the massive amount of changing data
on economic performance and capacity, weapons levels and transfers, and other
statistical aspects of world politics. I have used original sources for my data when
possible so that students will have the most recent information available.
The more I study global politics, the more I am impressed with the idea that the
world is a primitive political society. It is a political system that is marked by little
organization, frequent violence, and a limited sense of global responsibility. It is a
world of conflict. But there is also a world of cooperation, a countertheme, based on
a desire among states and their people to work together globally. Although it is still
only a nascent desire, people have begun to realize that their fates are inextricably
entwined with one another and with the political, economic, social, and environ-
mental future of our planet. The organization of the text flows from this conception
of the world as a primitive, but developing, political system. Therefore, the chapters
not only analyze world division and conflict but also focus on cooperation both as a
goal and in practice.
Indeed, the text’s organizational scheme reflects this menu of choices. One group
of choices is associated with the traditional way of doing things. This involves sover-
eign states pursuing their self-interests in an often inequitable and conflict-filled
world. The alternative group of choices include cooperation in a system in which
states are less sovereign and international organizations play a wider and more au-
thoritative role. The options are not necessarily either-or picks. Your thinking needs
vii
viii Preface

to be more subtle than that. So think about whether the world should modify its tra-
ditional approach to world politics and, if so, how and to what degree to adopt alter-
native values and conduct.
To explore our menu of choices, the introduction to the text discusses the impor-
tance of world politics and the methods, theories, and purposes of political science
(chapter 1), the evolution of the world political system and its current instability
(chapter 2), and the three levels of analysis that need to be studied simultaneously—
the system, state, and individual levels (chapter 3).
Beginning with chapter 4, the menu of choices organizes the remaining chapters
of this edition, with usually alternating discussions of national conflict and interna-
tional cooperation in successive chapters. In this way, equal attention can be given to
the two roads without losing sight of the fact that they lead in divergent directions.
Chapters 4 and 5 deal with two divergent political orientations. The traditional
orientation is nationalism (chapter 4); the alternative orientation comprises trans-
national ideas, identifications, and processes (chapter 5). Alternative ways of orga-
nizing the world politically are the subject of the next two chapters, with chapter 6
focusing on the traditional political unit, the state, and chapter 7 taking up interna-
tional organizations, with particular emphases on the European Union and the
United Nations.
Then chapters 8 and 9 explore divergent approaches to the conduct of world
politics. Chapter 8 covers the traditional approach, national power and diplomacy;
chapter 9 examines the alternative road of international law and morality. This pair
of chapters is followed by another pair that introduce two approaches to physical se-
curity in the world political system: national security (chapter 10) and international
security and other alternative approaches (chapter 11).
The text then turns to international political economy. The commentary begins in
chapter 12 with an overview of IPE theory and of global economic conditions and
trends. The main thrust of chapter 12, however, is economic nationalism, the tradi-
tional approach to the international political economy. By contrast, chapter 13 focuses
on an alternative approach, economic liberalism, as part of the greater phenomenon
of globalization. Chapter 13 concludes by reviewing the arguments for and against
economic nationalism and economic liberalism and asking its readers to evaluate the
two approaches. The final two chapters look into the traditional and alternative
approaches to global human rights and dignity (chapter 14) and the environment
(chapter 15).
Instructors who have used this text before will undoubtedly notice that there
have been some changes in where material appears. Commentary that had been in
chapter 5 on constructivist, postmodernist, and feminist theory has been moved to
chapter 1. This brings those ways of thinking together with realism and liberalism
(idealism) to create an earlier and more concentrated look at international relations
theory. Another important bit of rearranging was to take the section on military
power in chapter 10 and economic power in chapter 12 and move them to chapter 8
to create a more unified examination of all aspects of power in that chapter.

Writing Style and General Approach

The single greatest factor that prompted me over two decades ago to begin to write
my own introductory text was the desire to use one that, in today’s jargon, was “user
friendly.” Over the years, I have tried to accomplish that in a number of ways. One is
to make my theoretical points in straightforward, “plain language,” and then to
illustrate them with an interesting and usually current example. Being up-to-date is
 Preface ix

a major goal of this book. Sometimes, heeding the advice of Mary Poppins that “a
spoonful of sugar makes the medicine go down,” I even occasionally take time to in-
clude a joke or tell a “story” that makes a point in a light way. This is meant to show
the student readers that international relations can be fascinating, even fun. A third
thing that makes this book user-friendly for students is the “road signs” to provide
reference points and guidance during the journey through the text and semester.
These road signs include an outline (a map, so to speak) to begin each chapter, lots
of headings, an array of boldface glossary words, and judicious use of italicized
phrases to highlight concepts and points. I am pleased to report that the feedback
from instructors and from the occasional student who writes or e-mails me is that
most students are delighted with the book’s accessibility and readability.

Data and Graphics

This text presents students with an extensive array of tables, figures, photographs,
maps, and other graphics to emphasize, expand, and give visual life to ideas. Each
photograph is picked personally by me, and I have designed almost all the figures
and tables, often making my own calculations to create them from the data. Another
part of my approach is to present a significant amount of data to students so that they
can see for themselves what the statistics indicate rather than accept my interpreta-
tions or those of any other scholar.

Research, Citations, Bibliography, and Suggested Readings

One of the aims of this text is to bring together a representative sampling of the latest re-
search in international relations. Scholarly articles, so often ignored in survey texts, are
particularly emphasized. This research is documented by extensive references using the
“in-text” style and by a significant reference list/bibliography. In addition to recognizing
my intellectual debt to a host of scholars, the references and bibliography also serve as a
reading list for students, as explained to them in the “To the Student” section following
this preface. As such, references are often meant to serve as suggestions for further read-
ing and do not necessarily mean that the cited author(s) propounded what is being said
at the point of reference. Using this approach instead of the end-of-chapter placement
gives intellectually stimulated students immediate thoughts for additional reading. For
those instructors whose organization differs from mine, I have taken care to provide a
detailed table of contents and index in order to facilitate the integration of this text with
your syllabus. You will find, for example, that:
Economics is discussed, among other places, in chapters 1 (how it affects stu-
dents), 2 (global economic divisions and trends), 5 (globalization), 8 (economic
power), 12 (theory, general global conditions, and economic nationalism), 13
(economic liberalism), and 15 (sustainable development).
Terrorism is addressed in chapters 1, 5, 9, and 10.
Moral and humanitarian issues are taken up extensively in chapters 9 and 15
and also form an important part of the discussions of national interest, coercion,
and economic challenges in, respectively, chapters 4, 10, and 13.

Online Learning Center

Students and instructors will find additional resources at www.mhhe.com/rourke12.
For students, the site offers free access to current course-specific articles by leading
authorities in the field, daily news feeds from a variety of media outlets including the
x Preface

New York Times, interactive exercises including simulations, debates, research links,
and chapter quizzes, chapter outlines, an interactive glossary, and interactive maps
to enhance the classroom and learning experience. The password-protected instruc-
tor’s edition of the site also contains chapter objectives, sample lectures, discussion
questions, analytical exercises, and the Test Bank that provides approximately 1,500
multiple-choice and essay questions organized by chapter and degree of difficulty.
A PowerPoint slide presentation is also included. All these items are available for
easy download. Contact your local McGraw-Hill representative or McGraw-Hill
Customer Service (1-800-338-3987) for a username and password.

John T. Rourke
To the Student
The world, familiar to us and unknown.
—William Shakespeare, Henry V

HE WORLD IS CHANGING at breathtaking speed! That reality is one of the most im-

T portant things for you to understand about international politics. Yet I have found
that most undergraduate students, having been born into this era of warp-speed
change, consider it normal. It is not. Recorded history dates back over 30 centuries. A
great deal of what we will discuss in this text has happened in the last century, even
within your lifetime. But truly understanding this rate of change—maybe feeling the
rate of change is a better way to put it—is hard without perspective.
There is an ever increasing number of centenarians, people who are age 100 or
more. If you can, try to talk to one of these amazing people about how the world has
changed in their lifetime. Many were born when Theodore Roosevelt was president of
the United States. In other countries, an emperor ruled in China and a sultan headed
the Ottoman Empire. Russia’s czar, Germany’s kaiser, and Austria-Hungary’s emperor
ruled much of Central Europe, and Edward VII reigned over the British Empire. Most
of Africa and Asia were still colonies of European powers. The communist revolution
would not occur until these centenarians were in their teens or later, and the Soviet
Union would disappear within their lifetime. For me, communism and the cold war
were the totality of my historical experience; for centenarians, they were mere inter-
ludes. For many who read this book they are not even memories, only matter learned
about in history books.
If you think about events, trends, and technology in this way—in terms of what
one person has seen and experienced—you can begin to grasp how fast they are mov-
ing. When centenarians were born people were basically earthbound or had just after
3,500 years of recorded history first taken wing when the first airplane flew in 1903.
That first flight lasted just 12 seconds and went 120 feet. Within these centenarians’
lifetimes, aviation rapidly advanced through transatlantic flights (1919), to jet planes
(1939), to Soviet cosmonaut Yuri Gagarin becoming the first human in space (1961),
to Neil Armstrong stepping onto the Moon’s surface (1969). There are many other
things to consider. Centenarians were in their forties before atomic weapons were in-
vented; the world’s population has about quadrupled during their lives. Centenarians
are older than three-quarters of the countries that exist today. Televisions, comput-
ers, and some of the other technological innovations that affect us so profoundly now
did not exist when centenarians were born.
One of the strong themes in this book is that challenges face the world and there
are alternative approaches to addressing those challenges. Use centenarians to help
you think about these issues. For example, it took all of human history—tens of
thousands of years—to reach a world population of about 1.6 billion in the first
decade of the 1900s when most centenarians were born. Since then and during their
lifetimes we have added another 4.7 billion people. How much longer can such pop-
ulation growth continue before it overwhelms Earth’s ability to provide food and
water and to recycle personal and industrial waste? In this sense of contemplating
the future by pondering the past, thinking about centenarians is really more about
xi
xii To the Student

tomorrow than about yesterday or even today. When I talk about them, my thoughts
are on our 21st century more than on their 19th and 20th centuries.

Using This Text

The text that follows is my attempt to introduce you to the complex and compelling
study of international politics. Prefaces are often given scant attention, but they can
be a valuable learning tool for you. They let you in on the author’s conceptions, the
mental pictures behind a text. What is the author’s approach? What are the author’s
orientations and biases? Does the text have one or more basic themes? How is the
text organized? In this preface I have addressed these issues. I hope you’ll read it.
In writing this text I have tried to use straightforward prose and have assumed
that students who take this course know little about international politics. To help
you further, I have included an outline at the beginning of each chapter. Before you
read the chapter, pay attention to its outline. It is axiomatic that if you know where
you are going, you will find it a lot easier to get there! Additionally, I have written a
numbered summary at the end of each chapter to help you quickly review the scope
of the chapter. This, of course, is no substitute for carefully studying the chapter.
There are many figures, tables, maps, and photographs in this book. Pay close
attention to them. You will find that they graphically represent many of the ideas pre-
sented in the text and will help you understand them. But if you really want to know
all about something, you will have to read a lot more than just this book and to
involve yourself in more than just the course for which it has been assigned. To make
it easier for you to do this, I have chosen an “in-text” reference system that gives you
citations as you read. Thus (Atkinson, 2006:509) refers to page 509 of the book or
article written by (in this case, Professor Carol) Atkinson in 2006, which is listed
alphabetically in the references at the end of the book. I have also noted studies that
helped me think about and organize various topics and those that might be informa-
tive for you. I encourage you to utilize the references to advance your knowledge
beyond the boundaries of this text. Explanations for terms set in boldface will be
found in the glossary at the end of the text.
Some note should be made of this book’s title, International Politics on the World
Stage, and the Shakespearean quotations that begin each chapter and are used from
time to time to highlight a point. The idea behind this motif is to convey some of the
sweep and complexity of the world drama. No one who has ever read William
Shakespeare can dismiss his masterpieces as easily understood or inconsequential.
The events on the world stage are similar—complex, full of drama, sometimes hope-
ful, often tragic, and always riveting. But you, the reader, would be mistaken to
assume that the play analogy means that, as a member of the audience, you can be
content to sit back and watch the plot unfold. Quite the contrary—part of what
makes the world drama so compelling is that the audience is seated onstage and is
part of, as well as witness to, the action that is unfolding. And that is one reason why
I have also quoted more recent world players. Shakespeare’s plays are of the past; the
world drama is ongoing. Furthermore, as in an improvisational play, you in the
audience can become involved, and, given the consequences of a potentially tragic
rather than a happy ending, you ought to become involved. If there is anything that
this text proposes, it is that each of us is intimately affected by international politics
and that we all have a responsibility and an ability to become shapers of the script.
As we shall see, our play has alternative scripts, and what the next scene brings
depends in part on us. There is wisdom, then, in Shakespeare’s advice in All’s Well
That Ends Well that “Our remedies oft in ourselves do lie.”
 To the Student xiii

I am sincerely interested in getting feedback from the faculty members and stu-
dents who use this text. My pretensions to perfection have long since been dashed,
and your recommendations for additions, deletions, and changes in future editions
will be appreciated and seriously considered. People do write me, and I write or call
them back! You are encouraged to join this correspondence by writing to me at the
Department of Political Science U1024, University of Connecticut, Storrs, CT 06269-
1024 or sending me an e-mail at [email protected]. This book, just like the
world, can be made better, but its improvement depends heavily on whether or not
you are concerned enough to think and act.

John T. Rourke
 Acknowledgments

T IS A DIFFICULT task to keep this acknowledgment of those who have contributed

I to the text down to a reasonable length. There are many who have played an im-
portant part, and my debt to each of them is great. I have tried to make adjust-
ments wherever possible. Some reviewers have pointed out specific concerns about
matters of fact or interpretation, and a number of corrections were made. On a larger
scale, this edition’s organizational changes; its greater coverage of constructivism,
postmodernism, and other critical approaches; and several other shifts in coverage
are responses in part to their suggestions. Adding to the long list of those who have
reviewed earlier editions and made this text better, I would like to also thank those
who contributed to this edition:

Karen Adams Thomas Doleys

Louisiana State University Kennesaw State University
Craig Arceneux Roxanne Doty
California Polytechnic State Arizona State University
University, San Luis Obispo Dennis Driggers
Desmond Arias California State University, Fresno
John Jay College of Criminal Justice, Douglas Durasoff
City University of New York Seattle Pacific University
Dlynn Armstrong-Williams Tahmineh Entessar
North Georgia College & State Webster University
University Kevin S. Fridy
Gawdat Bahgat University of Florida, Gainesville
Indiana University of Pennsylvania David Frolick
Mary Jane Burns North Central College
Idaho State University Vilma Elisa Fuentes
Richard Byrne Santa Fe Community College
Kirkwood Community College Clifford E. Griffin
Sophie Clavie North Carolina State University,
San Francisco State University Raleigh
John A. C. Conybeare Gregory Hall
University of Iowa St. Mary’s College of Maryland
Katy Crossley-Frolick Elizabeth Crump Hanson
DePaul University University of Connecticut
Claire Cutler Clinton Hewan
University of Victoria Northern Kentucky University
Robert Denemark George Kent
University of Delaware, Newark University of Hawaii
xiv
 Acknowledgments xv

Kent Kille G. Hossein Razi

The College of Wooster University of Houston
Jeffrey P. Krans J. Martin Rochester
Keuka College University of Missouri–St. Louis
Marwan Kreidie Karl Schonberg
Villanova University St. Lawrence University
Timothy C. Lim Wayne A. Selcher
California State University, Los Angeles Elizabethtown College
Paul McCartney Rosemary Shinko
Rutgers University University of Connecticut,
Daniel McIntosh Stamford
Slippery Rock University Christopher D. Skubby
Rajan Menon Lakeland Community College
Lehigh University Michael W. Sonnleitner
Allen Meyer Portland Community College
Mesa Community College Henry Steck
Layna Mosley SUNY–Cortland
University of North Carolina, Stacy VanDeveer
Chapel Hill University of New Hampshire
Mark J. Mullenbach Kimberly Weir
University of Central Arkansas University of Northern Kentucky
Todd Myers John Allen Williams
Grossmont College Loyola University
Steve Owen Robert E. Williams
Kirkwood Community College Pepperdine University
Shannon Peterson Francesco R. Wong
Utah State University, Logan City College of San Francisco
John Queen Michele Zebich-Knos
Glendale Community College Kennesaw State University

I also owe a debt to each author listed in the references of this and the previous
editions. The work that these scholars have done on specific subjects forms the in-
tellectual building blocks that are a significant part of the final structure of this, or
any, worthwhile introductory textbook. This text is also evolutionary, and I want to
continue to express my appreciation to all those who read and commented on the
previous editions. Additionally, I also want to thank the colleagues who have taken
the time at International Studies Association meetings or other conferences to give
me the benefit of their views. I have even, on occasion, taken off my name tag and
helped the staff at the publisher’s booth at professional meetings. The comments I
have received in this anonymity have been sometimes encouraging, sometimes hum-
bling, but always helpful.
Best of all, I have received many good suggestions from students. My own stu-
dents have had to both read the text and listen to me, and their often obviously can-
did comments have helped the generations of students who will follow. My favorite
was a sophomore who did not do well on his first exam and came to my office to lay
blame at the door of the blankety-blank textbook. As we talked, he made some inter-
esting, if pointed observations. It was also clear that he had not connected the author’s
xvi Acknowledgments

name on the front of the book with his professor. Boy, was he surprised when it finally
dawned on him that he was grumping about the book to its author!
I owe special thanks to those who provided material for the Online Learning
Center. Brian Urlacher of the University of Connecticut is responsible for revising the
online Instructor’s Manual and Test Bank to accompany International Politics on the
World Stage. Brian shouldered the task of preparing, revising, and updating this
instructor’s tool for the twelfth edition with the utmost care and good nature. An-
other exciting feature of this text is the supplementary material and exercises for stu-
dents that can be found in the Online Learning Center. I thank Jeff Golding for his
meticulous updates and polish.
Then there is the staff of McGraw-Hill. McGraw-Hill’s political science editors,
Monica Eckman and Mark Georgiev, encouraged and supported me. More of a day-
to-day mainstay is my general editor, Ava Suntoke. She has gently and expertly
guided me through several editions, and I am continually delighted with her unusual
combination of substantive expertise and editing expertise. Sheryl Rose, copyeditor,
with her amazing eye for technical detail and substantive consistency, added to the
process of ensuring accuracy. I also want to thank Brett Coker, Alison Meier, and the
rest of the McGraw-Hill production staff for their diligence and for not threatening
my life through innumerable changes.
One of the things I like best about this edition is “its look.” Pamela Carley has
assembled photographs and editorial cartoons that bring powerful visual life to the
concepts I express in words. Andrei Pasternak did the striking interior and cover de-
sign. ICC Macmillan, India, performed the difficult but crucial task of composition
and layout. Charles Vitelli drew the original cartoons in this book. He took my raw
mental images and turned them into wonderful representations of the issues being
discussed in the text. In the same area, Emma Ghiselli, John Waller, and Judy Waller
did an extraordinary job with the exacting art of creating the text’s many figures and
maps. Thanks are also due to Alice and Will Thiede of Carto-Graphics for their stan-
dard of excellence in producing the maps in the book. I owe a great debt to those who
have created such a visually attractive, educationally effective package for my words.
To all of you:

I can no other answer make but thanks, thanks, and ever thanks.
—William Shakespeare, Twelfth Night
Contents in Brief

Preface vii
To the Student xi
Acknowledgments xiv

PART I Studying World Politics

CHAPTER 1 Thinking and Caring about World Politics 1
CHAPTER 2 The Evolution of World Politics 35
CHAPTER 3 Levels of Analysis and Foreign Policy 64
PART II Political Orientations on the World Stage
CHAPTER 4 Nationalism: The Traditional Orientation 101
CHAPTER 5 Globalism: The Alternative Orientation 130
PART III Organizational Structures of the Actors
CHAPTER 6 National States: The Traditional Structure 166
CHAPTER 7 Intergovernmental Organizations: Alternative Governance 194
PART IV Approaches to Conduct on the World Stage
CHAPTER 8 National Power and Statecraft: The Traditional Approach 234
CHAPTER 9 International Law and Justice: An Alternative Approach 276
PART V Pursuing Peace
CHAPTER 10 National Security: The Traditional Road 305
CHAPTER 11 International Security: The Alternative Road 339
PART VI Pursuing Prosperity
CHAPTER 12 National Economic Competition: The Traditional Road 374
CHAPTER 13 International Economic Cooperation: The Alternative Road 408
PART VII Pursuing Human Rights and Environmental Viability
CHAPTER 14 Preserving and Enhancing Human Rights and Dignity 451
CHAPTER 15 Preserving and Enhancing the Biosphere 490
An Epilogue to the Text/A Prologue to the Future 529
Endnotes E-1
Glossary G-1
References R-1
Index I-1

xvii
Contents

Preface vii

PART I Studying World Politics

CHAPTER 1 Thinking and Caring about World Politics 1
Previewing the Global Drama 2
Global Actors: Meet the Cast 2
Alternative Approaches to World Politics 3
The Importance of World Politics to Each of Us 7
World Politics and Your Finances 8
International Trade and Your Finances 8
The Flow of International Capital and Your Finances 9
Defense Spending and Your Finances 10
World Politics and Your Living Space 10
World Politics and Your Life 12
Transnational Diseases 12
Transnational Political Violence 13
You Can Make a Difference 14
Taking Direct Action 14
Voting 16
Becoming a Policy Maker 17
Thinking Theoretically: Putting Events in Context 18
Realist Theory 20
Classic Realism and Neorealism 21
Realism: An Emphasis on Power 22
Realism and the Competitive Future 22
Liberal Theory 23
Classic Liberalism and Neoliberalism 24
Liberalism: An Emphasis on Cooperation 24
Liberalism and the Cooperative Future 25
Postmodernist, Feminist, and Economic Theories 27
Postmodernist Theory 27
Feminist Theory 28
Economic Theories 29
Constructivist Theory 30
Constructivism and the Nature of Politics 30
Constructivism and the Course of World Politics 31
Assessing Theories 32
Chapter Summary 33

xix
xx Contents

Key Terms 34
Boxes: Get Involved: Connect with a Student-Oriented Political/Civic
Organization 15
Debate the Policy Script: Applying Theory to Policy 26

CHAPTER 2 The Evolution of World Politics 35

The Evolving World System: Early Development 36
Ancient Greece and Rome 36
After the Fall of Rome, A.D. 476 to 1700 37
Universal Authority in the Middle Ages 37
Local Authority in the Middle Ages 38
The Decline of the Feudal System 38
The Decline of Universalistic Authority 39
The Emergence of the Sovereign State 40
The Eighteenth and Nineteenth Centuries 41
Popular Sovereignty 41
Westernization of the International System 42
The Growth of the Multipolar System 42
The Evolving World System: The Twentieth Century 44
The Eclipse of the Multipolar System 44
The Collapse of Europe as a Global Power Center 45
The Rise of Non-European Powers 45
The Cold War and the Bipolar System 45
The Rise and Decline of the Bipolar System 46
The End of the Bipolar System 48
The Twenty-First Century: The Genesis of a New System 48
The Polar Power Structure in the Twenty-First Century 48
A Unipolar Moment 49
The Multipolar Urge 50
Limited Unipolarity 50
Future Polarity 51
Other Power Changes in the Twenty-First Century 53
The Weakening Western Orientation of the International System 53
Challenges to the Authority of the State 54
Security in the Twenty-First Century 56
Global Economics in the Twenty-First Century 57
Economic Interdependence 57
Economic Disparity between North and South 58
Quality of Life in the Twenty-First Century 60
Human Rights 60
The Environment 61
Chapter Summary 62
Key Terms 63
Box: Debate the Policy Script: Is Preemptive War Good Policy? 51

CHAPTER 3 Levels of Analysis and Foreign Policy 64

Individual-Level Analysis 65
Humans as a Species 65
Cognitive Factors 66
Emotional Factors 67
 Contents xxi

Psychological Factors 68
Biological Factors 68
Perceptions 70
Organizational Behavior 72
Role Behavior 72
Decision-Making Behavior within Organizations 72
Leaders and Their Individual Traits 73
Personality 74
Physical and Mental Health 74
Ego and Ambition 75
Political History and Personal Experiences 75
Perceptions and Operational Reality 76
Policy as a Mix of Rational and Irrational Factors 77
State-Level Analysis 78
Making Foreign Policy: Type of Government, Situation, and Policy 78
Type of Government and the Foreign Policy Process 78
Type of Situation and the Foreign Policy Process 79
Type of Policy and the Foreign Policy Process 79
Making Foreign Policy: Political Culture 81
Foreign Policy–Making Actors 81
Heads of Government and Other Political Executives 82
Bureaucracies 84
Legislatures 86
Interest Groups 87
The People 88
System-Level Analysis 91
Structural Characteristics 91
The Organization of Authority 91
Scope, Level, and Intensity of Interactions 92
Power Relationships 93
The Number of Powerful Actors 93
The Context of Power 95
Economic Realities 96
Norms 98
Chapter Summary 98
Key Terms 100
Box: Debate the Policy Script: Who Should Decide on War? 83

PART II Political Orientations on the World Stage

CHAPTER 4 Nationalism: The Traditional Orientation 101
Understanding Nations, Nationalism, and Nation-States 102
Nations, Nationalism, and Nation-States Defined 102
Nations 103
Nationalism 104
Nation-States 105
The Rise and Ascendancy of Nationalism 105
Early Nationalism 105
Ascendant Modern Nationalism 106
Patterns of Nation-State Formation 107
xxii Contents

Nationalism in Practice: Issues and Evaluation 108

Nation-States: More Myth Than Reality 108
One State, One Nation 109
One State, Multiple Nations 109
One Nation, Multiple States 110
One Nation, No State 111
Multiple Nations, Multiple States 114
Positive and Negative Aspects of Nationalism 116
Positive Nationalism 116
Negative Nationalism 117
Self-Determination as a Goal 122
Positive Aspects of Self-Determination 122
Concerns about Self-Determination 123
Nationalism and the Future 126
The Recent Past and Present of Nationalism 126
The Predicted Demise of Nationalism 126
Persistent Nationalism 126
The Future of Nationalism 127
Chapter Summary 128
Key Terms 129
Box: Debate the Policy Script: Should There Be a Limit
to Self-Determination? 125

CHAPTER 5 Globalism: The Alternative Orientation 130

Globalism 132
Globalization 133
Factors Accelerating Globalization 133
Globalization of Transportation and Communications 135
Global Transportation 135
Global Communications 135
Economic Globalization 137
Trade 137
International Investment 138
Monetary Exchange 138
Cultural Globalization 139
Language 140
Consumer Products 141
Evaluating Globalization 142
Arguments for Economic Globalization 143
Concerns about Economic Globalization 143
Concerns about Cultural Globalization 144
Transnationalism 146
Transnational Organizations 147
The Growth of NGOs 147
The Activities of NGOs 147
The Impact of NGOs 148
Regional Transnationalism 150
Cultural Transnationalism 150
Transnational Religion 152
Religion and World Politics 152
The Strength of Religious Fundamentalism 153
 Contents xxiii

Islam and the World 155

The Political Heritage of Muslims 156
Islam and Nationalism 156
Islam and the Non-Islamic World 157
Islamic Sectarianism 158
Islamic Traditionalism and Secularism 159
Transnational Movements 160
Women in the World 160
Goals of the Transnational Women’s Movement 161
Organization of the Transnational Women’s Movement 162
Advances of Women in Politics 162
The Future of Transnationalism 163
Chapter Summary 164
Key Terms 165
Box: Get Involved: Join an NGO 149

PART III Organizational Structures of the Actors

CHAPTER 6 National States: The Traditional Structure 166
The Nature and Purpose of the State 168
The State Defined 168
Sovereignty 168
Territory 169
Population 169
Diplomatic Recognition 169
Internal Organization 171
Domestic Support 172
States and Semistates 172
Purposes of the State 173
How States Are Governed 174
Authoritarian Government 175
Democratic Government 177
Process versus Outcome 178
Degree of Participation 178
The Future of Democracy 180
The Possibilities of Spreading Democracy 180
Democracy and Economic Development 180
Attitudes about Democracy 181
Exporting Democracy 181
Policy Impacts of Democracy 182
Democracy and Foreign Policy Success 182
Democracy and International Security 183
Democracy and Domestic Security 184
States and the Future 184
The State: Changing Status 184
Limits to State Governance 185
The Weakening of State Sovereignty 185
The State: The Indictment 187
States Are Obsolete 187
States Are Destructive 189
xxiv Contents

The State: The Defense 190

The State: The Verdict 192
Chapter Summary 193
Key Terms 193
Box: Get Involved: The Future of Tibet 170

CHAPTER 7 Intergovernmental Organizations: Alternative

Governance 194
An Overview of Intergovernmental Organizations 195
A History of IGOs 195
Theories of IGO Formation 195
The Growth of IGOs 197
Reasons for Growth 198
Roles That IGOs Play 200
Interactive Arena 200
Center of Cooperation 201
Independent International Actor 202
Supranational Organization 202
Global IGOs: Focus on the United Nations 205
Membership and Voting 205
Membership Issues 206
Voting Issues 208
Leadership 209
The Selection of IGO Leaders 209
The Role of IGO Leaders 211
Administration and Finance 213
Administration 213
Finance 215
Activities of the UN and Other IGOs 217
Activities Promoting Peace and Security 217
Social, Economic, Environmental, and Other Activities 219
Evaluating Global IGOs 220
Regional IGOs: Focus on the European Union 223
The Origins and Evolution of the European Union 223
Economic Integration 223
Political Integration 225
Governance of the European Union 225
Political Leadership 226
Bureaucracy 226
Oversight Agencies 228
Legislature 228
Judiciary 228
The Future of the EU 229
Campaign for a Constitution 229
Reflecting on the EU’s Future 230
Chapter Summary 232
Key Terms 233
Box: Debate the Policy Script: Santa or Scrooge? The United States
and the UN Budget 217
 Contents xxv

PART IV Approaches to Conduct on the World Stage

CHAPTER 8 National Power and Statecraft: The Traditional
Approach 234
The Complex Nature of Power 235
Characteristics of Power 236
Power as an Asset and Goal 236
Hard and Soft Power 236
Absolute and Relative Power 237
Power as Capacity and Will 238
Objective and Subjective Power 239
Situational Power 240
Measuring Power 240
Quantification Difficulties 241
Power Dynamics 241
The Foundation of National Power 242
National Geography 242
People 243
Population 243
Age Distribution 243
Education 245
Health 246
Attitudes 247
Government 247
National Infrastructure 248
Military Power 249
Measuring Military Power 249
Military Spending 250
Weapons 250
Personnel 251
Military Power: Debating How Much 252
Economic Power 253
Financial Position 253
Natural Resources 254
Industrial Output 255
Agricultural Output 256
The Military Instrument 256
Applying Force from Intimidation
to Attack 257
The Effectiveness of Force 257
Measurement 257
Conditions for Success 258
The Economic Instrument 259
Economic Incentives 259
Economic Sanctions 260
The Effectiveness of Sanctions 260
The Drawbacks of Sanctions 261
xxvi Contents

The Diplomatic Instrument 262

The Context of Diplomacy 263
Multilateral Diplomacy 263
Leader-to-Leader Diplomacy 264
Democratized Diplomacy 265
Parliamentary Diplomacy 265
Open Diplomacy 265
Diplomacy as a Communications Process 266
Conducting Diplomacy 267
General Rules of Effective Diplomacy 267
Direct or Indirect Negotiations 268
High-Level or Low-Level Diplomacy 268
Using Coercion or Rewards 269
Being Precise or Intentionally Vague 270
Communicating by Word or Deed 270
Linking Issues or Treating Them Separately 271
Maximizing or Minimizing a Dispute 271
The Informational Instrument 272
Chapter Summary 274
Key Terms 275
Box: Debate the Policy Script: Is Immigration a Solution
to Demographic Graying? 245
CHAPTER 9 International Law and Justice: An Alternative Approach 276
Fundamentals of International Law and Justice 277
The Primitive Nature of International Law 277
The Growth of International Law 278
The Practice of International Law 278
The Fundamentals of International Justice 279
The International Legal System 279
The Philosophical Roots of Law 280
How International Law Is Made 280
Adherence to the Law 283
Compliance with the Law 283
Enforcement of the Law 284
Adjudication of the Law 284
International Courts 285
Jurisdiction of International Courts 286
Effectiveness of International Courts 286
Applying International Law and Justice 289
Law and Justice in a Multicultural World 289
Law and Cultural Perspectives 289
Standards of Law for States and Individuals 291
States, War, and International Law 291
Just Cause of War 292
Just Conduct of War 294
Applying International Law and Justice to Individuals 295
Post–World War II Tribunals 295
Current International Tribunals 295
The International Criminal Court 297
The Pragmatic Application of Law and Justice 299
 Contents xxvii

The Future of International Law and Justice 302

Chapter Summary 303
Key Terms 304
Box: Debate the Policy Script: Would You Kill This Baby? 301

PART V Pursuing Peace

CHAPTER 10 National Security: The Traditional Road 305
War and World Politics 306
War: The Human Record 306
The Causes of War: Three Levels of Analysis 307
System-Level Causes of War 310
State-Level Causes of War 310
Individual-Level Causes of War 311
The Changing Nature of War 311
Classifying Warfare 314
Terrorism 315
The Nature and Limits of Terrorism 315
Sources of Terrorism 317
State Terrorism 317
Transnational Terrorist Groups 317
The Record of Terrorism 318
Terrorist Weapons and Tactics 319
Conventional Weapons Terrorism 319
Radiological Terrorism 319
Chemical and Biological Terrorism 320
The Causes of Terrorism 321
Combating Terrorism 322
Unconventional Force 323
Arms Transfers 323
Arms Transfers: Where and Why 323
Arms Transfers: Drawbacks 324
Special Operations 325
Conventional Force 326
Goals and Conduct of War 326
Avoiding Unchecked Escalation 327
Weapons of Mass Destruction 328
Biological Weapons 328
Chemical Weapons 329
Nuclear Weapons 330
Nuclear Weapons States and Their Arsenals 330
The Role of Nuclear Weapons 331
Nuclear Deterrence and Strategy 333
Deterrence 333
Strategy: First Use 333
Strategy: National Missile Defense 334
Chapter Summary 337
Key Terms 338
Box: Debate the Policy Script: Should Women Serve in Combat? 313
xxviii Contents

CHAPTER 11 International Security: The Alternative Road 339

Thinking about Security 340
A Tale of Insecurity 340
A Drama about Insecurity 340
Critiquing the Drama 341
Seeking Security 341
Approaches to Security 341
Standards of Evaluation 342
Limited Self-Defense through Arms Control 344
Methods of Achieving Arms Control 344
The History of Arms Control 346
Arms Control through the 1980s 346
Arms Control since 1990: WMDs 348
Arms Control since 1990: Nuclear Non-Proliferation 351
Arms Control since 1990: Conventional Weapons 353
The Barriers to Arms Control 356
International Barriers 356
Domestic Barriers 358
International Security Forces 360
International Security Forces: Theory and Practice 360
Collective Security 362
Peacekeeping 363
Peacekeeping Issues 365
International Security and the Future 367
Abolition of War 369
Complete Disarmament 369
Pacifism 370
Chapter Summary 372
Key Terms 373
Boxes: Get Involved: Adopt a Minefield 355
Debate the Policy Script: Is “Zero Nukes” a Good Goal? 359

PART VI Pursuing Prosperity

CHAPTER 12 National Economic Competition: The Traditional Road 374
Theories of International Political Economy 376
Economic Nationalism 376
Economic Internationalism 377
Economic Structuralism 378
The World Economy: Globalization and Interdependence 380
Trade 380
Expanding Trade 381
Factors Promoting Expanded Trade 381
International Investment 382
Foreign Direct and Portfolio Investment 382
International Investment and Multinational Corporations 382
Monetary Relations 383
The World Economy: Diverse Circumstances 386
North-South Patterns 387
 Contents xxix

North-South Economic Patterns 387

North-South Societal Patterns 389
Evaluating the North-South Gap 389
Mixed Data on Development 389
Uneven Patterns of Development 390
National Economic Relations 392
North-North Economic Relations 392
Changes in the North’s Economic Climate 392
Changes in the North’s Political Climate 393
North-South Economic Relations 394
The South’s Reform Agenda 394
The North’s Response to the South’s Reform Agenda 396
New Developments in North-South Competition 396
South-South Economic Relations 397
Applied Economic Nationalism 400
Using Economic Means to Achieve Economic Ends 400
Trade and Investment Barriers 400
Trade and Investment Supports 402
Using Economic Means to Achieve Political Ends 403
The Future of Economic Nationalist Policy 404
Chapter Summary 405
Key Terms 407
Box: Debate the Policy Script: Sanctions on China? 398
CHAPTER 13 International Economic Cooperation:
The Alternative Road 408
Economic Cooperation and Development: Background
and Requirements 409
IPE Theory and Cooperation 409
The Origins of Economic Cooperation 410
Development of the South 411
Criteria for Economic Development 411
Achieving Economic Development 413
Loans 414
Private Investment 415
Trade 415
Foreign Aid 417
Remittances 419
Internal Reforms 419
Economic Cooperation and Development: The Institutions 420
The United Nations and Economic Cooperation 420
The UN and Global Economic Regulation 420
The UN and Development 420
Trade Cooperation and Development: The WTO 421
The Structure and Role of the WTO 422
Revising the GATT: The Doha Round 423
Monetary Cooperation in Support of Development: The IMF 424
The Role of the IMF 425
Criticisms of the IMF 426
Defense of the IMF 427
xxx Contents

Development Cooperation: The World Bank Group 429

World Bank Operations 429
Controversy about the World Bank Group 430
Economic Cooperation and Development: EDC Institutions 431
Organization for Economic Cooperation and Development 431
The Group of Eight (G-8) 431
Regional and Bilateral Economic Cooperation and Development 433
The Western Hemisphere 434
The North American Free Trade Agreement 434
The Free Trade Area of the Americas 436
Mercosur 437
Asia and the Pacific 438
Other Regions 439
Bilateral Trade Agreements 440
Cooperation and Development: Debating the Future 440
The Case for Economic Internationalism 441
Economic Advantages 441
Noneconomic Advantages 443
The Case for Economic Nationalism 444
Economic Advantages 444
Noneconomic Advantages 446
The Globalization Debate in Perspective 448
Chapter Summary 449
Key Terms 450
Box: Debate the Policy Script: Economic Nationalism
or Economic Internationalism? 449

PART VII Pursuing Human Rights and Environmental Viability

CHAPTER 14 Preserving and Enhancing Human Rights and Dignity 451
The Nature of Human Rights 453
Proscriptive and Prescriptive Human Rights 453
Universal and Culture-Based Rights 454
The Source of Rights 455
Applying Universalism and Relativism 456
Individual and Community Rights 457
Proscriptive Human Rights 458
Human Rights: Problems and Progress 459
Human Rights Problems 459
Human Rights Progress 459
Barriers to Progress on Human Rights 462
Women’s Rights 463
Women’s Rights Problems 464
Women’s Rights Progress 466
Children’s Rights 468
Children’s Rights Problems 468
Children’s Rights Progress 469
Ethnic, Racial, and Religious Group Rights 470
Group Rights Problems 470
Group Rights Progress 471
 Contents xxxi

The Rights of Indigenous Peoples 472

Indigenous Peoples’ Rights Problems 472
Indigenous Peoples’ Rights Progress 473
Refugee and Migrant Workers’ Rights 473
Refugee and Migrant Workers’ Rights Problems 473
Refugee and Migrant Workers’ Rights Progress 474
Prescriptive Human Rights 475
Adequate Nutrition 477
Causes of the Food Problem 478
The International Response to the Food Problem 479
Adequate Health Standards 481
Health Needs 481
International Response to Health Issues 484
Basic Education 485
Educational Needs 485
The International Response to Education Issues 485
Chapter Summary 488
Key Terms 489
Box: Debate the Policy Script: Support a Global Bill of Rights? 486

CHAPTER 15 Preserving and Enhancing the Biosphere 490

The Ecological State of the World 491
Sustainable Development 492
The Conundrum of Sustainable Development 493
Option 1: Restrict/Rollback Development 494
Option 2: Pay for Environmentally Sustainable Development 494
The Politics of Sustainable Development 497
Earth Summit I 497
Earth Summit II 498
Sustainable Development: Population Problems and Progress 499
Global Recognition of the Population Problem 500
Approaches to Reducing the Birthrate 501
The Impact of International Population Control Efforts 502
Sustainable Development: Resource Problems and Progress 503
Petroleum, Natural Gas, and Minerals 503
Forests and Land 504
Forest Depletion 504
Land Degradation 506
Forest and Land Protection 506
Wildlife 507
Global Pressure on Wildlife 507
Protecting Wildlife 507
Freshwater 508
The Seas and Fisheries 510
Pressures on the Seas and Fisheries 510
Protecting Fisheries 510
Sustainable Development: The Environment 512
Ground Quality 512
International Ground Quality Issues 512
International Efforts to Protect Ground Quality 513
xxxii Contents

Water Quality 514

International Water Quality Issues 514
International Efforts to Protect Water Quality 515
Air Quality 515
International Air Quality Issues 515
Protecting Air Quality 516
The Ozone Layer 517
Ozone Layer Depletion 517
Protecting the Ozone Layer 518
Global Warming 518
Global Warming: What We Know 518
Global Warming: What Is in Dispute 520
The International Response to Global Warming 524
Chapter Summary 526
Key Terms 527
Box: Debate the Policy Script: Pay More at the Pump? 495
An Epilogue to the Text/A Prologue to the Future 529
Endnotes E-1
Glossary G-1
References R-1
Index I-1 Acre
Sea of
Haifa Galilee
Nazareth

MAPS ISRAEL

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Jordan Riv
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Tel Aviv-Jaffa
States: The Principal Actors on the World Stage 4 Lod
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Ashkelon
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The Colonization and Decolonization of Africa, 1878, 1914, 2005 43 Gaza Hebron DEAD
SEA

U.S.–Soviet Bipolarity 47 Beersheba

The Common Colonial Experience of Non-Western Countries 53 Dimona

NEGEV

The Expansion of NATO 80 GAZA

STRIP
DESERT JORDAN

Flows of Oil 97
Global Distribution of Minority Groups 110
Kurdistan 112
Israel and Its Neighbors 113
500 Years of Russian Expansion 121
Countries with a Majority Muslim Population 155
The Gender Gap: Inequalities in Education and Employment 160
Sovereign States: Duration of Independence 167
The Breakup of Yugoslavia 172
Degree of State Stability 173
Political Systems 175
The European Union 224
The International Court of Justice (ICJ) 285
Countries That Are Party to the ICC Treaty 298
International Conflicts in the Post–World War II World 308
The Spread of Nuclear Weapons 352
Current UN Peacekeeping Missions 364
Exports of Primary Products 416
Index of Human Development 477
Per Capita Water Availability 509
Potential Global Temperature Change 522
A Brief Walkthrough of a Chapter in
International Politics on the World Stage

OHN ROURKE’S International Politics on the World Stage has an abundance of learn-

J ing aids that help to enrich student understanding while enlivening the study of
international relations. Engaging graphics and features prompt students to think
critically about world events and concepts in international relations.

E R
C H A P T

Chapter Opener Page

1
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Realist Theory and Neorealism
Classic Realism
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Realism: An Emp re
and the Competitive Futu
Realism
Liberal Theory m and Neoliberalism
Classic Liberalis Cooperation
Emphasis on
Liberalism: An Future
the Cooperative
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Fem inist, and
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xxxiii
xxxiv A Brief Walkthrough

GET INVOLVED Boxes

Connect with a Student-Oriented Political/Civic Organization
If you are not already involved in shaping your world, now is a
good time to start. College-based political organizations and
those that focus on young adults are an excellent place to
Raise Your Voice: Student Action for Change
(www.actionforchange.org) Dedicated to “connecting,
challenging, and supporting college . . . students in
Boxes provide students with opportunities to
begin making a difference. The following 20 such organiza- community work, activism, leadership, and civic growth.”
tions are but a few that are trying to have an impact. Most
do not focus exclusively on international relations, but all of
them either address world politics in part or help develop skills
The Roosevelt Institution (www.rooseveltinstitution.org)
“A national network of student think tanks” that helps
“get student ideas into the public discourse.”
engage with the concepts in the text in a lively
that will assist you to be effective no matter what cause you

and interactive way. There are two types of

Students for Academic Freedom
promote. Each organization is accompanied by a URL for find- (www.studentsforacademicfreedom.org) Seeks to end the
ing its Web site and a brief description, and quoted material alleged “political abuse of the university and to restore
comes from the Web site. Some groups are liberal, some are integrity to the academic mission as a disinterested

boxes.
conservative, and some, neutral. Which is which is for you to pursuit of knowledge.”
discover. Students for a Democratic Society
(www.studentsforademocraticsociety.org) “The first multi-
CampusActivism.org (www.campusactivism.org) An inter- generational, diverse radical movement with everyone an

a. Debate the Policy Script boxes present

active Web site with “tools for progressive campus equal participant.”
activists.” Lists almost 1,500 groups and causes.
Campus Compact (www.compact.org) A coalition of college
presidents “promoting community service, civic
engagement, and service-learning in higher education.”
The Century Institute (www.centuryinstitute.org)
“introducing undergraduate students to
tradition in American public policy.”
26 CHAPTER 1 Thinking and Caring about World Politics
students with the main points of a thought-
Clare Boothe Luce Policy Institute (www.cblpi.org) Aims
to “mentor and train young women for effective
leadership.”
DEBATE THE POLICY SCRIPT
Applying Theory to Policy
provoking issue and ask them to decide on
College Democrats of America (www.collegedems.com)
“The student outreach arm of the Democratic National
Committee.”
College Republican National Committee (www.crnc.org)
Although national leaders seldom talk in terms of international
relations theory, they do apply it. This was clear in late 2006
when a committee of former top U.S. officials headed by
eight scenarios. Assume that you are the U.S. president,
and that for each scenario your maximum cost will be 5,000
American troops killed and $500 billion. Then decide for each
a course of action and to support their
“To prepare future leaders of the party” is among its goals. James Baker and Lee Hamilton sent President Bush a report scenario whether you are willing to order U.S. forces into action
Foundation for Economic Education (www.fee.org)
Freedom University for “undergraduates, regardless
of their major
that began, “The situation in Iraq is grave and deteriorating”
and recommended a series of pragmatic steps designed to
“enable the United States to begin to move its combat forces out
and pay the price.
1. Retaking the U.S. territory of Guam after it has been
seized by another country
decision.
of . . . the free market.” of Iraq responsibly.”1

b. Get Involved boxes focus on student

2. Stopping a genocidal slaughter that has already
Intercollegiate Studies Institute (www.isi.org) Dedicated to The Washington Post termed the report “The Realist
killed 200,000 people in a distant country
conveying “to successive generations of college youth a Manifesto.”2 Similarly, Time greeted the report and the replace-
3. Preventing a clearly hostile country from acquiring
better understanding of the values and institutions that ment of Secretary of Defense Donald Rumsfeld by Robert
nuclear arms and long-range missiles
sustain a free and virtuous society.” Gates with a column entitled, “The Return of the Realists.”

activism. They invite students to take action

4. Ousting a dictator who has ended democracy in a
JustAct: Youth Action for Global Justice (www.justact.org) The columnist Walter Isaacson linked the neoconservatism of
distant country and is ruling by terror
“Promotes youth leadership, action for global justice, Rumsfeld and others in the administration to the idealism of
5. Toppling a government that is supplying a terrorist
and networking of youth and student groups.” Woodrow Wilson waging World War I “to make the world safe
group that is threatening you
The Leadership Institute (www.leadershipinstitute.org) for democracy,” and characterized the invasions of Iraq in
premier training ground for tomorrow’s conservative
leaders.”
The National Youth & Student Peace Coalition (www
2003 as a “neo-Wilsonian mission of spreading democracy.”3
Describing realism and idealism (liberalism) as “competing
strands of American foreign policy,” Isaacson characterized
6. Liberating a country of no strategic importance that
has been invaded by a neighbor
7. Defeating a country that dominates the Middle East
and has cut off U.S. oil supplies
and become engaged with world issues.
“A coalition of national student activist groups in the realism as a “hard-nosed focus on clearly defined national
8. Forcing a country harboring war criminals to surrender
U.S. working for peace, increased interests . . . pursued with a pragmatic calculation of commit-
them to the International Criminal Court
and in defense of civil liberties.” ments and resources,” and idealism as emphasizing “moral
values and ideals” in formulating U.S. foreign policy. As for the What Do You Think?
argument some make that U.S. pragmatic interests and moral
Which scenarios did you consider worth going to war? The
values are synonymous, Isaacson dismissed that conjecture as
view here is that scenarios 1, 3, 5, and 7 are realist goals.
“alas, not always true in a messy world.”
Scenarios 2, 4, 6, and 8 are idealist/liberal goals. Think
Which standard should Americans follow? Isaacson hedged,
about what your answers say about your theory orientation
writing that while “welcoming the return of some realism, let’s
and compare and discuss them with others in your class. Try
not forget that America’s strength comes from its values.” To
the exercise again with a maximum cost of 1,000 dead and
help determine whether you would write the future policy script
$100 billion. Did your answers change?
with a realist or idealist/liberal theme, or perhaps both (full in-
ternationalism) or neither (isolationism), consider the following

they joined it freely. This and other indications that sovereignty is weakening will be
discussed at length later in the text. Liberals are further buoyed by the spread of
democracy and economic interdependence. They believe that both tend to lessen the
chances of conflict among states, and research shows that there is substantial validity
to this notion (Kinsella & Russett, 2002). Liberals also condemn the practice of
realpolitik. They charge that power politics leads to an unending cycle of conflict and
misery in which safety is temporary at best.
Because realism and liberalism, or idealism as some still call it, are what might
be termed the two vintage theories and are the ones that are still used to characterize
and debate public policy, it might be enlightening for you to explore which more
closely characterizes your approach to world politics and which you believe your
country should follow. This can be accomplished in the Debate the Policy Script box,
“Applying Theory to Policy.”

States and the Future 189

what a country’s leaders and its common citizens

Figures
FIGURE 6.7 Opinion on U.S.
suppor as detailed in chapter 3’s discussion of the Troop Surge in Iraq
leader-citizen opinion gap. It is also the case that a
determined individual leader can decide that a course Americans’ views on President Unsure 2%
Bush’s plan to send more
of action is in the national interest even when an U.S. troops to Iraq in 2007

Exceptionally clear graphics with detailed

overwhelming majority of the country’s citizens dis- Strongly
agree. As evident in Figure 6.7, that is what occurred favor
19%
in 2007 when President Bush decided to send more Strongly
Moderately
troops to Iraq. favor oppose

captions allow students to grasp world events A second objection is that using national inter-
est as a basis of policy incorrectly assumes that there
is a common interest. The contention here is that
13%
Moderately
oppose
16%
50%

every society is a collection of diverse subgroups,

and trends at a glance. many of which have differing interests. Further-

more, the concept of national interest inherently President Bush announced in January 2007 that he was dispatching
includes the assumption that if a collective interest additional troops to Iraq. A poll the next day found that two-thirds of
can be determined, then that interest supersedes the Americans opposed the idea, with half of all respondents adamantly
against it. Most members of Congress also opposed the plan. Yet there
interests of subgroups and individuals. Writing from
was only one person whose view of the national interest counted in this
the feminist perspective, for example, one scholar case, and that was President Bush. Such instances raise questions
has noted that “the presumption of a similarity of about the suitability of countries as representatives of the interests of
interests between the sexes is an assumption” that their citizens.
cannot be taken for granted because “a growing Data source: CNN poll, January 11, 2007; data provided by The Roper Center for
body of scholarly work argues that . . . the political Public Opinion Research, University of Connecticut.
attitudes of men and women differ significantly”
(Brandes, 1994:21).
Critics of the state system argue it would be far better to explore other ways of
defining interests. Global interests are one alternative to national interest. Proponents of
this standard do not reject national interest as such. Instead, they say that in the long
run, a more enlightened view of interests is that all states will be more secure and more
298 CHAPTER 9 International Law and Justice: An Alternative Approach prosperous if the more fortunate ones help the others to also achieve peace and pros-
perity. That is essentially the point that Han Seung-soo, president of the UN General
Assembly, made when he commented that particularly “in the wake of September 11”
Countries That Are Party to the ICC Treaty it is imperative to recognize “that development, peace, and security are inseparable,”
because the poorest countries are “the breeding ground for violence and despair.”18
Agreed to Individual interests are another alternative to national interest. Virtually all indi-
Not agreed to viduals are rightly concerned with their own welfare. In his inaugural address, Pres-
J ICC Judges ident John F. Kennedy called on Americans to “ask not what your country can do for
as of 2007 you—ask what you can do for your country.” Maybe Kennedy had it backwards. Your
country is arguably there to serve you, not the other way around, and what is good
for your country or your nation may not be what is good for you. Considering your
individual interests might seem very narrow-minded, but it also can be liberating be-
cause it can free you from attaching your policy preference to what is good for a col-
J lective (your nation) or an organization (your state). It is appropriate to ask, then,
whether your individual interests, your nation’s interests, your country’s interests,
J
and your world’s interests are the same, mutually exclusive, or a mixed bag of con-
gruencies and divergences. Only you, of course, can determine where your interests
lie and what policies you support or oppose.
J J
States Are Destructive
J Pursuing the national interest is the essence of what a sovereign state does and what
J J J its citizens expect it to do. Critics castigate this emphasis on the national interest as

J J
J
J
J J

J J

More than half the world’s countries, including most of Europe and Latin America, have now ratified
the International Criminal Court treaty. The widely dispersed home countries of the court’s judges
(16, with two vacancies) in 2007 is also evident. However, the absence among treaty adherents of
such key countries as China, India, Russia, and the United States is a weak spot for the effectiveness
Maps
of the ICC.

guilty of overstatement when he proclaimed, “Starting now, all those who might be
Maps directly support the text discussions
inclined to engage in the madness of genocide or crimes against humanity will know
that nothing will be able to prevent justice.”14 One issue is that the ICC treaty has not
been ratified by 46% of the world states, including such notable countries as the
and provide students with the geographic
United States, China, Russia, India, and Japan.
U.S. opposition remains adamant. President Clinton signed the treaty for techni-
cal reasons, but declined to submit it to the Senate for ratification unless revisions
were made. Strengthening the U.S. stand, Congress passed the American Service-
context they need in order to gain a full
understanding of the concepts in the text.
members’ Protection Act (2002) barring U.S. cooperation with the ICC and autho-
rizing the president to use force to free any American held by the ICC. President Bush
agreed, and in 2002 the State Department informed the UN that the United States did
not intend to ratify the ICC Treaty and did not believe there were any U.S. legal oblig-
ations arising from the earlier U.S. signing of the treaty. Bush also threatened to veto
all UN peacekeeping operations unless the Security Council exempted U.S. troops
from possible prosecution by the ICC. This issue has been resolved for now by a series
 A Brief Walkthrough xxxv

84 CHAPTER 3 Levels of Analysis and Foreign Policy

Tables
A high IQ is one trait that
arguably makes a skilled
leader. This table shows
TABLE 3.1 Presidential Intelligence
Intelligence Foreign Policy IQ/FPS
Up-to-date tables provide students with data
the estimated IQs of recent

in a succinct format, offering an excellent

President Quotient (IQ) Success (FPS) Rank
presidents. It also lists the
ratings on a 1 to 100 basis Kennedy 150.7 69.0 1/3
that experts have given these Johnson 127.8 40.7 7/8
presidents for their foreign

summary of complex topics.

policy. George W. Bush was
Nixon 131.0 75.9 4/1
not rated because he is still in Ford 127.1 52.7 8/7
office. The right column shows Carter 145.1 55.8 3/5
how each president ranks in Reagan 130.0 68.6 6/4
IQ and policy success. How
Bush, G. H. W. 130.1 70.0 5/2
would you rank President
George W. Bush’s foreign Clinton 148.8 54.3 2/6
policy compared to his eight Bush, G. W. 124.6 — 9/-
immediate predecessors? How
would you characterize the Note: The reported IQ scores are the average of the four estimated scores on the Stanford-Binet scale. A score of
connection between IQ and 100 is the average IQ; 120 is considered superior, and genius begins at 145.
success shown here? Data sources: For international relations policy, C-SPAN Survey of Presidential Leadership at
www.americanpresidents.org/survey/. For IQ, Simonton (2006), Table 1, p. 516.

For all the broad power to shape policy that chief executives have, their power
is not unlimited even in authoritarian countries, and it is significantly restrained in
142 CHAPTER 5 Globalism: The Alternative Orientation
democratic ones. Indeed, the spread of democracy and the increasingly intermestic
nature of policy in an interdependent world mean that political leaders must often
engage in a two-level game in which “each national leader plays both the interna- “space flier.” Indeed, one poll of Chinese youth found that they considered Jordan a
Did You Know That:
tional and domestic games simultaneously” (Trumbore, 1998:546). The strategy of more important historical figure than Mao Zedong, leader of the Chinese Communist
About 20% of all the hits on
a two-level game is based on the reality that to be successful, diplomats have to Revolution (Larmer, 2005). Enthusiasm for basketball has grown even more now
the Web site of the National
negotiate at the international level with representatives of other countries and at Basketball Association, the that 7'6" Yao Ming of the Houston Rockets has become an NBA all-star noted for his
the domestic level with legislators, bureaucrats, interest groups, and the public in top U.S. professional league, awesome kou qui (slam dunk).
the diplomat’s own country. The object is to produce a “win-win” agreement that originate in China. To reemphasize the main point, there is a distinct and important intermingling and
satisfies both the international counterparts and the powerful domestic actors amalgamation of cultures under way. For good or ill, Western, particularly American,
so that both are willing to support the accord. Reflecting this reality, one former culture is at the forefront of this trend. The observation of the director-general of
U.S. official has recalled, “During my tenure as Special Trade Representative, UNESCO, that “America’s main role in the new world order is not as a military super-
I spent as much time negotiating with domestic constituents (both industry power, but as a multicultural superpower,” is an overstatement, but it captures some
and labor) and members of the U.S. Congress as I did negotiating with our foreign of what is occurring.6 What is most important is not the specific source of common
trading partners” (Lindsay, 1994:292). culture. Rather, it is the important potential consequences of cultural amalgamation.
As noted, some analysts welcome it as a positive force that will bring people and,
Bureaucracies eventually, political units together. Others see transnational culture as a danger to
Every state, whatever its strength or type of government, is heavily influenced by its desirable diversity.
www bureaucracy. The dividing line between decision makers and bureaucrats is often
hazy, but we can say that bureaucrats are career governmental personnel, as distin-
guished from those who are political appointees or elected officials.
Evaluating Globalization
SIMULATION
Utilizing Levels of Analysis Although political leaders legally command the bureaucracy, they find it diffi- One of the oddities about evaluating globalization is that it enjoys considerable pop-
cult to control the vast understructures of their governments. President Vladimir ular support around the world, as Figure 5.6 indicates, yet critics of the process are
Putin of Russia and President George W. Bush candidly conceded that gap be- legion and more vehement than its supporters. It is easiest to evaluate globalization fac-
tween legal and real authority during a joint press conference. The two presidents tually. There can be little doubt that the process has speeded up considerably. Evidence
were optimistically expounding on a new spirit of U.S.-Russian cooperation of the extraordinarily rapid globalization of communications and transportation is
when a reporter asked them if they could “say with certainty that your teams will
act in the same spirit?” Amid knowing laughter, Bush replied, “It’s a very good
question you ask, because sometimes the intended [policy] doesn’t necessarily get FIGURE 5.6 Evaluations of Globalization

Percentage who think that globalization is: Good Bad Unsure

68% 69% 69%

62% 62%
57%

DYK 47%

35%
40%

Did You Know clips provide a moment of 28% 29%

25%
22% 21% 23% 22% 22% 23% 23%

5%

diversion, giving students facts about the 10% 10% 9% 8%

world today that are surprising, amusing,

Latin America Western Eastern Africa Asia Middle/Near Canada United States
Europe Europe East

A majority (58%) of people globally and in every region but Eastern Europe and the Middle/Near East
support globalization. However, this general endorsement is not wildly enthusiastic, as also detailed in

and informative. Figure 2.3 on p. 56, with only 17% believing globalization is very good.
Note: Countries in the Middle/Near East stretch from Egypt to Pakistan. The question was: “Do you think that globalization is
a very good thing, somewhat good, somewhat bad, or a very bad thing?”
Data source: Pew Research Center (2003).

40 CHAPTER 2 The Evolution of World Politics

rebirth and reform called the Renaissance (about 1350–1650). Many of the concepts
Glossary
that emerged, including scientific inquiry and personal freedom, undermined the

Web Link
authority of the Church.
One significant outcome was the Protestant Reformation. Influenced by Renais-
sance thinking, Martin Luther rejected the Catholic Church as the necessary inter-
It is important for students to master the terminology of interna-
The text of the Treaty of
Westphalia is available at
www.yale.edu/lawweb/avalon/
westphal.htm.
mediary between people and God. In 1517 Luther proclaimed his belief that anyone
could have an individual relationship with God. Within a few decades, nearly a quar-
ter of the people of Western Europe became Protestants. The first great secular break
tional relations, and this text helps them do so. Key terms are
with the Catholic Church occurred in England, where King Henry VIII (r. 1509–1547)
rejected papal authority and established the Anglican Church. The Reformation also
touched off political-religious struggles elsewhere in Europe. The ostensible issue
was religious freedom, but there were also important political causes and conse-
boldfaced in the text, listed for review at the end of the chapter,
and defined in the glossary at the end of the book. The Online
quences. When the century-long struggle between the imperial and Catholic Holy
Roman Empire and the nationalist and Protestant ethnic groups ended with the
Treaty of Westphalia (1648), centralized political power in Europe was over. The
Holy Roman Empire had splintered into two rival Catholic monarchies (Austria and
Spain); a number of Protestant entities (such as Holland and many German states)
gained independence or autonomy. Yet other countries, such as Catholic France and
Protestant England, were more secure in their independence. Therefore, many schol-
Learning Center has an interactive list of key terms for each
ars regard 1648 as marking the births of the modern national state and of the world
political system based on sovereign states as the primary political actors.

The Emergence of the Sovereign State

chapter.
The breakdown of the feudal-universalistic system of governance did not, however,
immediately make the state the uncontested, dominant political actor. Instead, the 62 CHAPTER 2 The Evolution of World Politics
people of the Middle Ages experimented with several types of political organizations
to see how well they would meet the security and economic needs of the time. EDCs, this relationship is changing dramatically because of the efforts of the LDCs to
upgrade their economies and their standards of living. If the changes that occurred
The Early State and Its Competitors The revival of city-states, such as Venice, was between 1990 and 2000 continue, the LDCs will soon produce most of the CO2
one alternative scheme of political organization. Another was the formation of and world emissions will skyrocket to almost 73 billion metric tons in 2050. Even
loosely confederated city-leagues based on common economic interests. The most then, the LDCs will still be generating only 7.2 metric tons per capita, compared to
famous of these mercantile alliances, the Hanseatic League, was founded in 1358 to 12.7 metric tons per capita in the EDCs.
protect commerce against piracy. It eventually included 70 northern European cities
stretching from Bruges (in modern Belgium) to Novograd (in modern Russia) and
became a major economic force.
What is important is that states, not city-states or city-leagues, became the new
focus of political organization. The Hanseatic League ended in 1667. The fortunes of CHAPTER SUMMARY
Venice and other city-states ebbed more slowly, but they eventually faded also. The
failure of these experiments and the survival of the state occurred for identifiable, THE EVOLVING WORLD SYSTEM: EARLY DEVELOPMENT countries and transnational actors became more
pragmatic reasons. Those are beyond our telling here, but the essential point is that 1. This chapter has two primary goals. One is to estab- important, the expense of continuing confrontation
in time “sovereign states displaced city-leagues and city-states . . . because their lish a reference framework from which the histori- strained American and Soviet budget resources,
institutional logic gave them an advantage in mobilizing their societies’ resources” cal examples used in this book can be understood and the relative power of the two superpowers
(Spruyt, 1994:185). States were best equipped to conduct commerce, provide defense, in context. The second goal is to sketch the evolu- declined. The bipolar system ended in 1991 when
and meet other needs. tion of the current world political system. the Soviet Union collapsed.
2. The genesis of the modern world system can be 7. During the 20th century, nationalism also under-
Consequences of the Emergence of the State The emergence and eventual triumph traced to the classical civilizations of ancient Greece mined the foundations of multiethnic empires.
of the state as the dominant mode of governance had profound consequences for the and Rome. Four important political concepts— European contiguous empires, such as the Austro-
international system. One of these was that states became the primary actors in the the territorial state, sovereignty, nationalism, and Hungarian Empire, disintegrated. The colonial
post-Westphalia international system. They continue in that starring role today. democracy—have evolved from these ancient states. empires dominated by Great Britain, France, and
Therefore, much of the action on the world stage is about states and groups of states 3. Following the fall of the Roman Empire during the other Eurowhite countries also dissolved.
interacting with one another. Middle Ages until 1500, governance rested in a
universalistic authority on the one hand and a THE TWENTY-FIRST CENTURY:
local, microlevel authority on the other. THE GENESIS OF A NEW SYSTEM
4. The current world system began to develop around 8. There are numerous new trends, uncertainties,
the 15th century, when modern states started to and choices to make as we enter the 21st century.
form due to a process marked by both integration One significant question is what will follow the
and disintegration of earlier political authority. bipolar system. For now a limited unipolar system
The Treaty of Westphalia (1648), more than any exists, with the United States as the dominant
other event, demarcated the change between the old power, but numerous forces are working to under-
and the new systems. With the sovereign state at its mine U.S. power and move the system toward
center, the newly evolving system is anarchical. a more multipolar configuration. That could be
5. Several changes occurred during the 1700s and a classic state-centric system or a modified multi-
1800s that had an important impact on the inter- polar system, in which global and regional inter-

Chapter Summary national system. The emergence of the concept of

popular sovereignty involved a shift in the idea of
who legitimately controls the state. The divine
right of kings gave way to the notion that political
national organizations, as well as states, play key
roles.
9. Another shift in the international system is its
weakening Western orientation. The number and
power does, or ought to, come from the people. strength of non-Western countries have grown
An excellent tool for chapter review is the During these two centuries, the system also became
Westernized and the multipolar configuration
reached its apogee.
substantially, and the strength of these states will
almost certainly continue to grow in this century.
These countries often have values that differ from

numbered summary of main points at the end THE EVOLVING WORLD SYSTEM:
THE TWENTIETH CENTURY
those of the Western countries.
10. Challenges to the authority of the state represent a
third shift in the international system, which has
6. The 20th century witnessed the most rapid evolu- strong implications for the 21st century. There are

of the chapter. tion of the system. The multipolar system tottered,

then fell. The bipolar system declined as other
both disintegrative internal challenges to the state
and integrative external challenges.
xxxvi A Brief Walkthrough

Web Links 40 CHAPTER 2 The Evolution of World Politics

Web links to the Internet connect students to rebirth and reform called the Renaissance (about 1350–1650). Many of the concepts
that emerged, including scientific inquiry and personal freedom, undermined the
sites that are chosen to engage students in Web Link
authority of the Church.
One significant outcome was the Protestant Reformation. Influenced by Renais-

addition to containing more information on The text of the Treaty of

Westphalia is available at
sance thinking, Martin Luther rejected the Catholic Church as the necessary inter-
mediary between people and God. In 1517 Luther proclaimed his belief that anyone
www.yale.edu/lawweb/avalon/ could have an individual relationship with God. Within a few decades, nearly a quar-
the topic being presented in the text. westphal.htm. ter of the people of Western Europe became Protestants. The first great secular break
with the Catholic Church occurred in England, where King Henry VIII (r. 1509–1547)
rejected papal authority and established the Anglican Church. The Reformation also
touched off political-religious struggles elsewhere in Europe. The ostensible issue
was religious freedom, but there were also important political causes and conse-
quences. When the century-long struggle between the imperial and Catholic Holy
Roman Empire and the nationalist and Protestant ethnic groups ended with the
Treaty of Westphalia (1648), centralized political power in Europe was over. The
Holy Roman Empire had splintered into two rival Catholic monarchies (Austria and
Spain); a number of Protestant entities (such as Holland and many German states)
gained independence or autonomy. Yet other countries, such as Catholic France and
Protestant England, were more secure in their independence. Therefore, many schol-
ars regard 1648 as marking the births of the modern national state and of the world
political system based on sovereign states as the primary political actors.

The Emergence of the Sovereign State

The breakdown of the feudal-universalistic system of governance did not, however,
immediately make the state the uncontested, dominant political actor. Instead, the
people of the Middle Ages experimented with several types of political organizations
to see how well they would meet the security and economic needs of the time.

The Early State and Its Competitors The revival of city-states, such as Venice, was
one alternative scheme of political organization. Another was the formation of
loosely confederated city-leagues based on common economic interests. The most
famous of these mercantile alliances, the Hanseatic League, was founded in 1358 to
protect commerce against piracy. It eventually included 70 northern European cities
stretching from Bruges (in modern Belgium) to Novograd (in modern Russia) and
became a major economic force.
What is important is that states, not city-states or city-leagues, became the new
focus of political organization. The Hanseatic League ended in 1667. The fortunes of
Venice and other city-states ebbed more slowly, but they eventually faded also. The
failure of these experiments and the survival of the state occurred for identifiable,
pragmatic reasons. Those are beyond our telling here, but the essential point is that
in time “sovereign states displaced city-leagues and city-states . . . because their
institutional logic gave them an advantage in mobilizing their societies’ resources”
(Spruyt, 1994:185). States were best equipped to conduct commerce, provide defense,
and meet other needs.

Consequences of the Emergence of the State The emergence and eventual triumph
of the state as the dominant mode of governance had profound consequences for the
international system. One of these was that states became the primary actors in the
post-Westphalia international system. They continue in that starring role today.
Therefore, much of the action on the world stage is about states and groups of states
interacting with one another.

Key Terms 63

11. The pursuit of peace is also at something of a cross- integration or to halt that process and follow more
roads. The destructiveness of modern weaponry traditional national economic policies. If the deci-
has made the quest for peace even more impera- sion is to continue toward greater economic inte-
tive. There are two overriding issues. One is how to gration, then a second choice is how to regulate
respond to the challenge that asymmetrical war- the global economy to deal with the legitimate
fare presents to traditional national defense strate- concerns of those who are suspicious of or even
gies. The second is whether to seek overall security outright opposed to greater globalization.
through the traditional approach of self-reliance 13. The effort to resolve the wide, and in many ways
or to place greater emphasis on international growing, gulf between the economic circumstances
peacekeeping, arms control, and other alternative of the countries of the economically developed
international security approaches. North and the less economically developed South
12. The international economy is also changing in is also a mounting issue in the new century.
ways that have important implications for the 14. A final set of issues that must be addressed in the
21st century. Economic interdependence has pro- new century involves the quality of life: human
gressed rapidly. The transnational flow of trade, rights and the environment. Both issues have be-
investment capital, and currencies has economi- come the subject of much greater international
cally entwined all countries. There are, however, awareness, action, progress, and interaction. Yet
counterpressures, and countries have important ending the abuses of human rights and protecting
choices to make in the near future. One is whether the environment are still distant goals.
to continue down the newer path to economic

For simulations, debates, and other interactive activities, a chapter quiz, Web links,
and much more, visit www.mhhe.com/rourke12/ and go to chapter 2. Or, while
accessing the site, click on Course-Wide Content and view recent international rela-
tions articles in the New York Times.
OLC
KEY TERMS Each chapter of the book has an Online
anarchical political system
appeasement policy
Eurowhite
feudal system
multipolar system
Munich Conference
Renaissance
South
Learning Center (OLC) organized by chapter.
asymmetrical warfare globalization nationalism sovereignty
balance of power
bipolar system
gross national product
(GNP)
newly industrializing
countries (NICs)
state
superpower
The OLC contains an abundance of learning
cold war
containment doctrine
hegemonic power
Holy Roman Empire
North
North Atlantic Treaty
sustainable development
Third World tools, including quizzes and interactive
détente imperialism Organization (NATO) Treaty of Westphalia
East-West axis
economic
industrial revolution
international system
popular sovereignty
power poles
tribalism
weapons of mass exercises.
interdependence less developed countries Protestant Reformation destruction (WMDs)
economically developed (LDCs) purchasing power West
countries (EDCs) limited unipolar system parity (PPP) westernization of the
ethnonational groups McWorld realpolitik international system
 A Brief Walkthrough xxxvii

The Twenty-First Century: The Genesis of a New System 49

Web Site Icon
Although not all scholars would agree, the view here is that what exists in the first
decade of the 21st century is best described as a limited unipolar system that is strug-
gling to become a multipolar system.
The interactive exercises on the OLC are
A Unipolar Moment
Just before the Soviet Union’s final collapse, analyst Charles Krauthammer (1991:23)
wrote an article entitled “The Unipolar Moment.” It disagreed with the widespread
tightly integrated with the text. Icons in the
assumption that a multipolar system was forming to replace the anticipated end
of bipolarity. “The immediate post–cold war world is not multipolar,” he observed.
“It is unipolar. The center of world power is the unchallenged superpower, the United
margins show students where there is a
States.” This view sees the United States as the world’s hegemonic power, that
is, possessing influence far beyond any other power. Concurring, another scholar
writes, “We have entered the American unipolar age” (Ikenberry, 2004:609). And a
third observes, “Not since Rome has one nation loomed so large above the others”
relevant activity on the OLC.
(Nye, 2002:545). The implication of this status is that the “United States . . . [as]
a global hegemon . . . has formidable tools at its disposal, and it can wield its
power effectively to attain important policy objectives” (Layne, 2006:45). Certainly
U.S. military power is prominent among these tools. U.S. arms with some allied sup-
port twice defeated Iraq (1991, 2003) and overwhelmed Serbia (1999) in wars that
were wildly one-sided, mostly because of the vast and growing lead of U.S. military
technology. However, U.S. dominance is not just based on military might. Instead,
according to France’s foreign minister, “U.S. supremacy today extends to the econ-
omy, currency, military areas, lifestyle, language, and the products of mass culture
that inundate the world, forming thought and fascinating even the enemies of the
United States.”1
Reasonably, the question arises, “If the United States is the world’s hegemonic
power, then why does it not always get its way?” The reason is, “Hegemony is not
omnipotence” (Layne, 2006:43). There are numerous factors that restrain the United
States:
■ Military power is much better at deterring attacks than it is at compelling
others to act according to your wishes. www
■ Military power is better at dealing with other established military forces than
it is at dealing with insurgencies and terrorism. JOIN THE DEBATE
■ Being a hegemon does not mean that all other states are powerless or that The United States and
they are willing to accept your dominance. Indeed, the opposite is true, and Hegemonic Power
there is a multipolar urge.

Many analysts believe that

world politics is currently a
unipolar or perhaps limited
unipolar system, in which
the dominant, or hegemonic,
power is the United States.

Web Site Exercise

Interactive simulations on the OLC allow
students to step into a decision-making role
using the concepts they learn in the text.

Web Site Exercise

Debate exercises on the OLC invite students
to join the debate on controversial political,
economic, and social topics.

Web Site Exercise

Interactive maps test and reinforce the
geography students need to know in order to
understand world politics.
 C H A P T E R

1
Thinking and
PREVIEWING THE GLOBAL DRAMA
Global Actors: Meet the Cast
Alternative Approaches to World Politics Caring about
THE IMPORTANCE OF WORLD POLITICS
TO EACH OF US
World Politics and Your Finances
International Trade and Your Finances
World Politics
The Flow of International Capital and Your
Finances An honest tale speeds best being plainly told.
Defense Spending and Your Finances
—William Shakespeare, Richard III
World Politics and Your Living Space
World Politics and Your Life Be not too tame neither, but let your own discretion be
Transnational Diseases
Transnational Political Violence your tutor; suit the action to the word, the word to the
You Can Make a Difference action.
Taking Direct Action —William Shakespeare, Hamlet
Voting
Becoming a Policy Maker
THINKING THEORETICALLY: PUTTING EVENTS
IN CONTEXT
Realist Theory
Classic Realism and Neorealism
Realism: An Emphasis on Power
Realism and the Competitive Future
Liberal Theory
Classic Liberalism and Neoliberalism
Liberalism: An Emphasis on Cooperation
Liberalism and the Cooperative Future
Postmodernist, Feminist, and Economic Theories
Postmodernist Theory
Feminist Theory
Economic Theories
Constructivist Theory
Constructivism and the Nature of Politics
Constructivism and the Course of World
Politics
Assessing Theories
CHAPTER SUMMARY

This chapter stresses that world politics is important to you and that whatever
your opinions, you should be active in trying to shape world events, like those
in this photo demonstrating for and protesting against U.S. involvement
in Iraq.
2 CHAPTER 1 Thinking and Caring about World Politics

LL THE WORLD’S A STAGE, and all the men and women merely players,” William

A Shakespeare (1564–1616) tells us in As You Like It. The Bard of Avon’s words
highlight the remarkable parallels between international relations and his mas-
terful plays. Both have epic and complex plots. Their characters range from heroic to
evil. The action is always dramatic and sometimes tragic. Justice sometimes prevails,
but not always. Yet for all its complexity, the one constant in the action on the world
stage is that it is riveting and a tale worth telling. It is to this epic story that we should
now turn our attention.

PREVIEWING THE GLOBAL DRAMA

Whether you are watching a play, a movie, or a television program, getting into the
story is easier if you already have a sense of what you are seeing from a playbill,
movie review, or television guide. Similarly, it will help your journey through this
book if you have some idea of the cast of characters you will meet and the basic out-
line of the script. So, before the curtain rises, here is a preview of the global drama
that introduces the cast and the theme around which this text is organized.

Global Actors: Meet the Cast

Unlike cast members in a play, most of the actors in the world drama are organiza-
tions, not people. States (countries) are a type of organizational actor, and they
have the starring role (Wendt, 2004). There are nearly 200 countries on the world
stage. Like some theatrical stars, they can be self-absorbed and jealously guard
their claim to fame, which for states is their sovereignty, the legal claim that there
is no higher authority. It is this sovereign status that separates states from the other
actors. Of course, sovereignty also means that the world drama has no director who
can bring order to the interaction among the stars. This lack of central authority
Web Link
often leaves the actors in conflict with one another. Also, while all the states are
For up-to-date information about
legally equal, the reality is that some are bigger stars than others. The United States
countries and related data,
access the CIA’s World Factbook
would certainly head the “A list” of top stars, with China and a few other countries
at https://www.cia.gov/cia/ also major players. Andorra, Vanuatu, and many other countries are usually con-
publications/factbook/index.html. signed to bit parts.
Joining the states onstage is a host of international organizations. The most
prominent of these are the 300 or so intergovernmental organizations (IGOs) whose
membership is made up of states. Some are global (the United Nations); others are
regional (the European Union). Even more numerous are the transnational organiza-
tions. One type, nongovernmental organizations (NGOs), has individuals as mem-
bers. There are thousands of NGOs, and their concerns touch virtually every aspect
of international politics ranging from the AIDS crisis (the International AIDS Society)
to zero population growth (Population Connections). Multinational corporations
www (MNCs) are another type of transnational actor. The annual earnings of some of these
companies rival the economic output of midsize states and dwarf most of the smaller
MAP ones. In a largely unregulated drama where money is an important source of power,
World Countries MNCs can be important cast members.
Finally, some people are also important actors on the world stage. Usually indi-
viduals have an impact as decision makers, protesters, voters, or in some other role
in a state or IGO. Sometimes, however, individuals play roles that transcend national
and other institutional boundaries. Later in the book you will meet Jody Williams, a
 Previewing the Global Drama 3

native of Putney, Vermont, who decided that land mines are evil. Along with others
who felt the same way, she established an NGO to campaign against land mines, was
responsible for an international treaty to ban them, and won the 1997 Nobel Peace
Prize for her efforts.

Alternative Approaches to World Politics

This book is structured around the conviction that how the world is organized and
conducts its international relations is in considerable flux. Long-dominant struc-
tures, ideas, and practices have all changed substantially and at an increasing rate
during the last century or so. Traditionally, world politics has been a tumultuous
drama centered on independent countries using their power for their self-interest
and competing against other countries in a largely anarchical international system,
one in which there is no central authority to set and enforce rules and resolve dis-
putes. This remains the main thrust of world politics, but increasingly there is an
alternative approach in evidence. Some of the differences that distinguish these two
approaches are:

Dimension Traditional Approach Alternative Approach

Human organization National societies Global society
Interests National/self-interests Global/mutual interests
Interaction Competition Cooperation
Basis of safety Self-protection Collective security
Basis of prosperity Self-help Mutual assistance
Ultimate authority Sovereign states International organizations
Dispute resolution Power prevails Law prevails

The alternative approach may sound like academic “pie in the sky,” but it is not.
In the first place, it somewhat resembles how we as individuals interact with one an-
other within countries. Certainly, we pursue our own interests in domestic systems,
with considerable freedom to do so, and we partly rely on ourselves for our own
safety and welfare. But in domestic systems, we individuals also recognize rules, are
held accountable for obeying them, and have some sense of common identity, com-
mon good, and shared responsibility to achieve the common good and help strug-
gling members of society.
Second, while the traditional approach continues to prevail, it is not as domi-
nant as it once was. If a century ago a professor had written an international rela-
tions text predicting a world organization (the United Nations) with all countries
as members, a legal community of 25 European countries (the European Union),
the virtual disappearance of tariff restrictions under the World Trade Organization,
tens of billions of dollars a year in economic aid from rich to poor countries, an In-
ternational Criminal Court to try war crimes, or many of the other realities of today,
that text, if printed at all, would have been consigned to the fiction section of the
library.
What is even more important than what has changed is what the future holds.
Clearly, the world is facing a series of critical choices related to the traditional and
alternative approaches. Note carefully that it is not an either-or choice. The options
are much more nuanced. They involve when and to what degree we intermix the tra-
ditional way world politics has been pursued for centuries and the newer, alternative
approach that has been gaining some ground.
 States: The Principal Actors on the World Stage
The international system includes many types of actors. Of these, states (or countries) are the most
important. National boundaries are the most important source of political division in the world, and for
most people nationalism is the strongest source of political identification.

160° 140° 120° 100° 80° 60° 40° 20°

80°

GREENLAND
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CANADA UNITED KI

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ANDOR
NORTH
40° UNITED STATES
PACIFIC PORTUGAL

OCEAN NORTH
ATLANTIC
MOROCCO
OCEAN
WESTERN
MEXICO SAHARA
Tropic of Cancer
U.S.
20°
MAURITANIA

CAPE
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SURINAME
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TONGA BOLIVIA
20°
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90° U.S.80° 70°
0 300 Miles
THE
BAHAMAS URUGUAY
0 300 Kilometers

CUBA SOUTH
MEXICO DOMINICAN ATLANTIC
20°
REPUBLIC PUERTO RICO SOUTH OCEAN
HAITI
JAMAICA PACIFIC GAM
BELIZE ST. KITTS AND NEVIS OCEAN
ANTIGUA AND BARBUDA
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10° AT
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PANAMA
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Scale: 1 to 125,000,000 0 1
0 1000 2000 3000 Kilometers
 0° 20°
NORWAY 0 100 Miles

EA
ESTONIA

TIC S
NORTH SWEDEN
SEA 0 100 Kilometers

BAL
55° DENMARK LATVIA

RUSSIA LITHUANIA RUSSIA

NETHERLANDS

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GERMANY POLAND
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CZECH UKRAINE
LUXEMBOURG REPUBLIC
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SLOVENIA ROMANIA
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SPAIN TURKMENISTAN KOREA 40°
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6 CHAPTER 1 Thinking and Caring about World Politics

FIGURE 1.1 This Text’s Organization

1. Introduction
2. Evolution of world politics
3. Levels of analysis/foreign policy

Traditional approach range of choices Alternative approach

4. Nationalism 5. Globalism
6. States 7. International organizations
8. National power 9. International law
10. National security 11. International security
12. Economic competition 13. Economic cooperation

14. Human rights (traditional and alternative approaches)

15. Environment (traditional and alternative approaches)

The organization of this text reflects our theme of comparing the traditional and still dominant
competitive approach to world politics and an alternative cooperative approach that is increasingly
evident. It is probable that the future will feature some blending of the two approaches. What their
relative role will be is the question. For example, consider the range of choices along a continuum
(scale) between relying solely on your own country’s national security forces for protection or, at the
other extreme, depending entirely on UN security forces for protection. If zero is one extreme (only
national security) on the continuum of choices and 100 is the other extreme (only international
security), it is arguable that the world was at zero a century ago and is at perhaps 10 to 15 now.
Would you move the future marker back toward zero or further along the continuum toward 100?

Exploring the traditional and alternative approaches drives the structure of this
text, as visualized in Figure 1.1. To begin, the first three chapters set the stage, so to
speak, by discussing the importance of world politics and some basic theories of global
politics (chapter 1), the evolution of and current instability in the world political
system (chapter 2), and how foreign policy is made from the perspective of three levels
of analysis—the system, state, and human levels (chapter 3).
After chapter 3, the theme of two approaches runs through the remaining chap-
ters. Chapters 4 and 5 deal with divergent ways we define ourselves politically. The
traditional orientation is nationalism (chapter 4), which focuses on the individual
nation (such as Americans) and its self-governance in a state (such as the United
States). Transnationalism (chapter 5), seeing yourself politically connected to others
across borders, is the alternative approach. Chapters 6 and 7 deal with how we orga-
nize ourselves politically. Chapter 6 focuses on the traditional political unit, the state,
and chapter 7 takes up international organizations, with particular emphasis on the
European Union and the United Nations.
Chapters 8 and 9 explore different ways to conduct world politics. Chapter 8
covers the “might makes right” traditional approach of applying national power to
diplomacy; chapter 9 examines the “right makes right” alternative road of interna-
tional law and morality. The next pair of chapters take up physical security. One
approach is the traditional emphasis on national security discussed in chapter 10.
The other path, international security cooperation, is addressed in chapter 11.
Chapters 12 and 13 turn to international political economy. The commentary
begins with chapter 12’s examination of the traditional approach, national economic
competition. Then chapter 13 offers the alternative, international economic coopera-
tion. Departing from the alternative chapters scheme, chapters 14 on human rights
and 15 on the environment look into current conditions and ways to improve them.
Each chapter explores both the traditional policies and interactions of tension between
states acting singularly and the alternative drive for international cooperation.
 The Importance of World Politics to Each of Us 7

The text’s organizing theme of two approaches and the choices we have to make
brings us back to you, global politics, and that future. Tomorrow’s course is not
determined. It is for you to decide what should happen and, as best you can, to con-
vert that conviction into what will happen.

THE IMPORTANCE OF WORLD POLITICS

TO EACH OF US

Shakespeare’s sage counsel in As You Like It that we are all players on the world stage
extends to The Merchant of Venice, in which Antonio exclaims, “I hold the world
[to be] . . . a stage where every man must play a part.” Most Americans are not con-
vinced of that wisdom, though. Only a small minority of them regularly follows for-
eign news or has much knowledge about world politics or geography. The terrorist
attacks on September 11, 2001, increased Americans’ interest in the world around
Web Link
them, but only a little. Prior to 9/11, 33% of Americans said they followed interna-
tional news “most of the time.” That share had improved only slightly to 39% in The National Geographic Society
1 presents results of its 2006
2006. Young adults, ages 18–24, have particularly low interest and knowledge about
survey of the geography know-
global affairs. One indication was a 2006 National Geographic survey finding that ledge of young Americans at
63% of Americans in that age group could not find Iraq on a blank map, and 70% www.nationalgeographic.com/
were unable to locate Afghanistan, despite the fact that U.S. troops were fighting in roper2006/.
both countries.
It is important to note that this dearth of concern
FIGURE 1.2 National Difference
and information among Americans contrasts with the
in Knowledge of the World
attitudes and knowledge levels found in most other
economically advanced countries. As Figure 1.2 de- Average test score

tails, a study that presented 18–24-year-olds in nine Swedes 70%

countries with 56 questions about world geography
Italians 66%
and 8 questions about world affairs found that Amer-
icans finished last among the 8 developed countries Germans 64%
and did only marginally better than young adults in
Mexico, where educational opportunities are much Japanese 59%
more limited. One illustrative multiple-choice ques- French 59%
tion about the size of the U.S. population revealed
that only a scant 25% of Americans selected the cor- British 52%
rect answer, but, even worse, their score was lower
Canadians 51%
than that of the respondents in any of the other
8 countries.2 Americans 46%
Is this low level of information about or interest
Mexicans 39%
in world events justifiable? No, it is not! This text
seldom tries to tell you what to think or do. But one
message is stressed: The world drama is important How much people know about the world around them varies from
country to country. This figure shows the average score on a world affairs
and deserves our careful attention. Even more im- and geography test given to people aged 18 to 24 in nine countries.
portantly, we do not have to content ourselves with Note that Americans finished next to last, only somewhat ahead of
being passive observers. Especially if you agree with Mexicans, who live in a poor country in which only about half of all
Irish literary lion Oscar Wilde’s (1854–1900) wry youths graduate high school (compared to 90% in the United States).
remark, “The world is a stage, but the play is badly Note: There were 10 questions on world affairs and 56 questions on geography. Two
cast,” become an active player. You can make a dif- world affairs questions (one on the world’s largest religion, the other on the euro) were
factored out by the author for methodological reasons.
ference! The script is not set. It is an improvisational Data source: National Geographic–Roper 2002 Global Geographic Literacy Survey,
play with lots of room for changing the story line. November 2002. Calculations by author.
8 CHAPTER 1 Thinking and Caring about World Politics

To help you think about trying to do so, you will find a number of “Debate the
Policy Script” boxes in this text. Each asks you to evaluate an important policy issue
and to formulate a position on it. To further highlight the importance of the world
to you, let us turn to a number of ways, some dramatic, some mundane, in which
international politics affects your economic well-being, your living space, and your
very life.

World Politics and Your Finances

Web Link World politics affects each of our personal economic conditions in many ways.
The U.S. Energy Information Sometimes specific events are costly. In addition to the human toll of the 9/11 at-
Administration has good material tacks, they cost the United States at least $81 billion in destroyed property, lost
about supply, demand, and business earnings, lost wages, increased security expenditures, and other costs dur-
prices for gasoline and other ing just the four immediately following months. More routinely, the global econ-
fuels at www.eia.doe.gov/.
omy impacts individuals in ever expanding ways as national economies become
increasingly intertwined. Indeed, as we shall see, the ties between national and inter-
national affairs are so close that many social scientists now use the term intermestic
to symbolize the merger of international and domestic concerns. To illustrate
the increasingly ubiquitous connections between your own personal financial con-
dition and world politics, we will briefly explore just three of the many links: how
international trade, international investment, and defense spending affect your
finances.

International Trade and Your Finances

The global flow of goods (tangible items) and services (intangible items such as rev-
enues from tourism, insurance, and banking) is important to your financial circum-
stances. One example is U.S. dependence on foreign petroleum.
That reality was brought sharply into focus as crude oil prices rose
more than 274%, from about $19 a barrel in January 2002 to over
$71 a barrel in August 2006, driving up the prices of gasoline, heat-
ing oil, and other petroleum products to record highs in the United
States. Thus, every time you pumped gas, you paid more thanks to
the realities of the international system.
Trade also wins and loses jobs. There is a steadily increasing
likelihood that international trade and your job are related. Exports
create jobs. The United States is the world’s largest exporter, pro-
viding other countries with $1.3 trillion worth of U.S. goods and
services in 2005. Creating these exports employed some 18 million
Americans, about 13% of the total U.S. workforce.
While exports create jobs, other jobs are lost to imports. Amer-
icans imported $2 trillion in goods and services in 2005. Many
of the clothes, toys, electronics, and other items they bought
were once produced in U.S. plants by American workers. Now most
of these items are produced overseas by workers whose wages are

International trade affects jobs in every country. These workers leaving a Ford
Motors plant in Cuautitlan, Mexico, are indicative of a shift in a significant
percentage of U.S. manufacturing jobs to countries with lower wages. The plant
employs 900 workers and makes pickup trucks for Mexico and for export to the
United States.
 The Importance of World Politics to Each of Us 9

Dependence on Trade

Exports as a Percentage
of GNP/GDP
Less than 10%
10% – 19%
20% – 29%
30% – 39%
40% – 49%
50% and above
No data

0 1000 2000 Miles

Scale: 1 to 180,000,000
0 1000 2000 3000 Kilometers

All countries, even the most economically powerful ones, are becoming increasingly dependent on
trade for their economic health. Whether you are an American or a Zimbabwean, there is a good
chance that your job, the price you pay for goods you buy, and other factors in your economic well-
being are dependent on global trade.

substantially lower. Jobs are also lost to service imports through “outsourcing” or “off-
Did You Know That:
shoring.” Once, most of those who answered calls to the service help lines of U.S.
During 2006, the 591,050
computer companies were Americans. Now you will most likely get technical help
foreign students enrolled in
for computer problems from a technician in Bangalore, India. In a different realm, U.S. colleges contributed
Americans who have no or inadequate health insurance are increasingly outsourc- $14 billion to the U.S. econ-
ing some of their medical care to internationally accredited foreign hospitals and omy. Foreign student expen-
physicians. A few procedures and their comparative costs are heart valve replace- ditures are considered a U.S.
service export.
ment, U.S.: $185,000, Singapore: $13,000; hip replacement, U.S.: $55,000, India:
$9,000; and gastric bypass, U.S.: $55,000, Thailand: $15,000. There is no official
data about the shift of service jobs overseas, but one recent study concludes that
Americans are losing 90,000 business, professional, and technical jobs a year to out-
sourcing (Schultze, 2004).
Lost jobs are a serious matter, but before you cry “Buy American!” and demand
barriers to limit foreign goods, it is important to realize that inexpensive foreign www
products improve your standard of living. For example, the United States annually
imports more than $85 billion worth of clothes and footwear. What Americans pay MAP
for shirts, sneakers, and other things they wear would be much higher if the items Dependence on Trade
were all made by American workers earning American wages.

The Flow of International Capital and Your Finances

The global flow of international finance affects you in more ways than you probably
imagine. These are covered in greater detail in chapters 5 and 12, but to begin to see
the impact of international capital we can look at international investment capital,
10 CHAPTER 1 Thinking and Caring about World Politics

the flow of money in and out of a country to buy companies, stocks, bonds, real
www estate, and other assets. The amounts of money involved are immense. In 2006, for
instance, Americans alone owned $10 trillion in foreign assets and foreigners
owned $12.7 trillion in U.S. assets. One way that you may be affected is if you receive
ANALYZE THE ISSUE
Finance financial aid from your college. Schools generate part of their scholarship funds by
investing their endowments in stocks and bonds, including foreign holdings. So the
investment in these foreign assets and the dividends and capital gains that your
college earns from them may be helping to pay your tuition. Another possibility is
that you or someone in your family may be working for a company that is foreign
owned. Sometimes foreign investors buy faltering U.S. companies and rejuvenate
them, thus saving the jobs of their American workers. In other cases, foreign compa-
nies open new operations in the United States. For example, American workers
make Nissan automobiles in Tennessee, Hondas in Ohio, Toyotas in Kentucky, and
Mitsubishis in Illinois. Overall, foreign-owned firms in the United States employ
64 million Americans.

Defense Spending and Your Finances

Paying taxes to fund your country’s military forces is yet another way that world pol-
itics affects you economically. U.S. defense spending, for example, totaled $536 bil-
lion during fiscal year (FY) 2006. This amount was 20% of the U.S. budget and
equaled almost $1,800 per person in the United States.
There is a lively debate over whether defense spending is too high, too low, or
about right, and that topic and other aspects of military security are examined in
chapters 10 and 11. Whatever your position on the funding debate, though, it is clear
that military forces are expensive and that to a considerable degree the military com-
petes with domestic programs for funding. What the proper level of defense spend-
ing is and how it relates to other programs is just one area that you can influence as
a voter and politically active citizen of your country. As you can see in Figure 1.3,
countries set their spending priorities in very different ways.
Although there is no one-to-one relationship between reduced defense spending
and increased higher education spending, it is worth thinking about what would be
possible if U.S. budget priorities mirrored the average of the other three countries in
Figure 1.3. That would add $358 billion to spending on U.S. schools and students.
Just 25% of that extra money allocated to higher education would fund a $5,500
scholarship for each of the 16.5 million American students enrolled full-time in a
U.S. college.
Be aware, though, that such a reallocation of defense spending, while
great for college students, would harm the economic circumstances of
Did You Know That:
other people. Nearly 6 million Americans are in the armed forces, work
Even limited military operations are very for the military as civilians, or work for a defense contractor. Many,
costly. Recent U.S. interventions and their
costs are:
perhaps most, of these people would lose their jobs. The ripple effect
Grenada 1983 $76 million
would economically damage the towns and cities where these defense
Panama 1989 $164 million workers are located and the businesses that serve them. It is for this rea-
Persian Gulf 1990–1991 $61 billion son, a former Defense Department official explains, that to a degree,
Somalia 1992–1994 $675 million* “Both the administration and Congress . . . view defense as a federal jobs
Haiti 1994–1995 $427 million program.”3
Bosnia 1996– $1.3 billion*
Kosovo 1999–2000 $5.2 billion*
Afghanistan 2001– $10 billion* World Politics and Your Living Space
Iraq 2003– $85 billion*
*first year of multiyear operation World politics affects more than your pocketbook. It also impacts the
quality of the air you breathe, the water you drink, and other aspects of
 The Importance of World Politics to Each of Us 11

FIGURE 1.3 Comparative Spending on Defense,

Health, and Education
1.1%
Canada 6.9%
5.0%

1.5%
Germany 8.5%
9.7%

1.0%
Japan 6.5%
11.1%

Spending as percentage of GDP

4.3%
Defense
United States 6.9%
Health
5.7%
Education

To some extent, government defense spending involves a trade-off with domestic spending. This figure
compares how much four wealthy countries spend in public funds on defense, health, and education
as a percentage of their respective gross domestic products (GDPs). As evident, the United States
spends 3.1% more of its wealth on defense than the average of the other countries. By the same
standard, U.S. spending compared to the average of the other three is 0.4% lower for health and
2.9% lower for education. If U.S. budget priorities were the same as the average of Canada, Germany,
and Japan, then U.S. defense expenditures in FY2005 would have been $388 billion less, health
spending would have been $49 billion more, and spending on education would have increased
$358 billion.
Data sources: SIPRI (2006), CIA (2006), OECD (2006).

the globe you inhabit. For one, the growth of the world’s population and its pressure
on resources threaten to change the quality of life as we know it. It took 100,000 www
years of human existence for the world population to finally reach 1 billion. Now,
only a little more than 200 years later, there are 6.6 billion people because, as Figure 1.4 ANALYZE THE ISSUE
on p. 12 depicts, each additional billion people have been added in shorter and shorter The UN Population Fund
periods of time. The growth rate has declined a bit, so that it will probably be 2012
before the world population reaches 7 billion. Still, this represents a tidal wave of new
humans. In 2007, for example, the world added 77 million people, a number some-
what larger than the population of Egypt.
Among other concerns, Earth’s expanding population presents serious environ- Web Link
mental dangers. Burning oil and other fossil fuels to warm, transport, and otherwise The U.S. Census Bureau has
provide for this mass of people annually creates more than 6 billion tons of carbon national and global population
dioxide and other gas emissions. These, most scientists believe, are causing global clocks as well as other links to
warming. The year 2005 was the warmest since records were first kept in 1856, and valuable related information
at www.census.gov/main/
9 of the 10 warmest years occurred between 1996 and 2005.
www/popclock.html.
Warmer temperatures may be welcome to some, but the overall ramifications
are worrisome. Among other things, many scientists claim that global warming is
melting the polar ice caps, thereby raising sea levels and threatening to flood coastal
12 CHAPTER 1 Thinking and Caring about World Politics

FIGURE 1.4 World Population Growth areas of the world. Some Pacific island countries
could even disappear under the rising seas. Addi-
7
Population in billions tionally, many scientists believe that global warming
Years for each billion increase 6 is increasing the number and severity of damag-
ing weather events such as heat waves, droughts,
5 hurricanes, and other forms of destructive weather.
4
Highlighting the view that such cataclysmic climate
events are a political issue, a group called Scientists
3 and Engineers for Change and Environment spon-
sored billboards criticizing President George W.
2
Bush’s environmental policy in Florida during the
1 2004 presidential campaign. One such billboard
130 30 15 12 12 13
projected showed a photograph of a hurricane swirling toward
Florida accompanied by the words, “Global warm-
1800 1930 1960 1975 1987 1999 2012 ing equals worse hurricanes. George Bush just
From the time of the first humans, it took about 100,000 years for
doesn’t get it.”4 The horrific hurricane season the
the world population to reach 1 billion in 1800. Another 130 years following year, including the devastation of New
passed before there were 2 billion people. Now it takes only a little Orleans and the surrounding Gulf Coast area in
more than a decade for the population to expand yet another August 2005 underscored the danger of global
1 billion people. warming to those who believe it will bring environ-
Data source: U.S. Census Bureau, UN Population Fund. mental calamity.
Numerous other by-products of human activity
also threaten our living space. The United Nations
Environmental Programme (UNEP) reports that 10% of Earth’s land has been or is in
danger of “desertification” from overfarming and other harmful practices, nearly a
billion people living in cities breathe dangerous levels of sulfur dioxide, and more
than half the world’s population could be facing critical water shortages by 2050.
Certainly, world politics has not caused most environmental problems. However,
we are unlikely to be able to stem, much less reverse, the degradation of the bio-
sphere without global cooperation. As UNEP’s director has put it, “We suffer from
Web Link problems of planetary dimensions. They require global responses.” Much more on
this topic can be found in chapter 15, which details global warming and other threats
Current and historical informa-
tion on hurricanes is available
to the environment, but also discusses the views of those who believe that such con-
from the U.S. National Hurricane cerns are being overstated, and explores the politics of environmental regulation and
Center at www.nhc.noaa.gov/. remediation.

World Politics and Your Life

World politics affects not only how we live but in some cases whether we live at all.
Disease and political violence are just two perils to your life that are connected to
world politics.

Transnational Diseases
Politics may not directly cause diseases, but we are increasingly in need of global
responses to counter health threats that ignore national borders. Some diseases are
the result of environmental damage. By spewing chlorofluorocarbons (CFCs) and
other chemicals into the air, we have significantly depleted Earth’s ozone layer,
which helps shield us from the sun’s deadly ultraviolet rays. As a consequence, new
cases of melanoma, the deadliest form of skin cancer, have skyrocketed. Among
Americans, the chances of developing melanoma increased twenty-fold between
 The Importance of World Politics to Each of Us 13

1960 and 2000. Annually, about 62,000 Americans FIGURE 1.5 U.S. Cases
are now diagnosed with melanoma, and almost 8,000 of West Nile Virus
die from it. Certainly wearing sunscreen and taking
9,862
other precautions will reduce your chances of becom- U.S. reported cases
ing a skin cancer victim. But achieving that goal
can also be greatly helped by international agree-
ments, such as the UN-sponsored Montreal Protocol
(1989). It mandates phasing out the use of CFCs
and other ozone-attacking chemicals that were once 4,502
used in such common items as air conditioners and 4,256
deodorant sprays. Now, because of international
cooperation, CFC concentrations in the atmosphere 3,000
2,539
are declining, and the ozone layer is very gradually
beginning to recover. 62 21 66
We also increasingly rely on global cooperation
1999 2000 2001 2002 2003 2004 2005 2006
to prevent the spread of infectious diseases. Such
diseases have always moved across borders, but West Nile virus is one of several transnational diseases that have
modern transportation is now rapidly cutting the recently afflicted the United States. The disease is carried by birds and
global travel time of many diseases as their human transmitted by mosquitoes and was first detected in Africa in 1937.
After spreading slowly, West Nile virus first arrived in the United States
hosts jet from continent to continent. Since 1981 in 1999. The U.S. mortality rate is 4%.
when the first cases of AIDS were identified in
The data for 2006 is estimated based on reported cases through October 2006.
Africa, the disease has rapidly spread worldwide, Note:
Data source: U.S. Centers for Disease Control.
and more than 34 million people are now HIV posi-
tive. AIDS is just one of several diseases that has emerged in recent years and
rapidly claimed victims around the world. Figure 1.5 illustrates this point by trac-
ing the increased incidence of West Nile virus in the United States. According to
a top epidemiologist, the new number of infectious diseases and their ability to
spread rapidly has made the period since “the 1970s without precedent in the
history of the annals of medicine.”5 Of course each country acts to contain
transnational diseases and treat their victims. However, it is far more effective to
counter diseases where they first begin to appear than after they cross national
borders, and it falls to the World Health Organization (WHO) to coordinate the
global effort.

Transnational Political Violence

War, terrorism, and other forms of transnational political violence are in many
ways more threatening today than ever before (Horne, 2002). Until the 20th cen-
tury, the vast majority of war deaths were soldiers. Civilian casualties began to rise
drastically as military operations increasingly targeted noncombatants. Nearly as
many civilians as soldiers were killed during World War II. Now more civilians
than soldiers are killed. According to the UN, civilians accounted for more than
85% of everyone killed during wars in the 1980s and 1990s. In a nuclear war,
military casualties would be a mere footnote to the overall death toll. And terror-
ists almost exclusively target civilians. In addition to military forces, terrorists also
engage in international violence, as the attacks of September 11, 2001, underlined.
Americans found that they were vulnerable to terrorism anywhere and at any
moment in their daily lives. It must also be said that this unsettling reality has
long been felt more acutely in other parts of the world that have been subjected
to more frequent acts of international terrorism (Endgers & Sandler, 2006; Laquer,
2004).
14 CHAPTER 1 Thinking and Caring about World Politics

FIGURE 1.6 American Deaths War is a special concern for college-age adults be-
in Iraq by Age Group cause they are of prime military age. Of the American
troops killed during the Vietnam War, 84% were
53%
aged 18 to 22. The average age of U.S. soldiers killed
in the Iraq War beginning in 2003 is higher than
it was in Vietnam, in part because U.S. forces in
Iraq are part of an all-volunteer military, whereas
35% many U.S. soldiers in Vietnam were draftees. Still, as
Figure 1.6 shows, young adults bear the brunt of
American casualties in Iraq.
22% It is also the case that military combat is a mat-
ter that increasingly affects women directly as well
as men. In the United States and elsewhere, the
types of combat units in which women are allowed
to serve are expanding. As a result, many more
women may fight and die in future wars. More than
200,000 women are on active duty with U.S. forces,
18–24 25–30 Over 30
years years years and as late 2006, 61 American servicewomen had
lost their lives in Iraq.
In Iraq, as in other wars, young adults make up a majority of the U.S.
soldiers killed. More than half the young adults who have died in Iraq
were age 18 to 24. You Can Make a Difference
Note: The data is as of October 2006 when the death tally was 2,706.
Data source: U.S. Department of Defense.
The next logical question is, “Can I make a differ-
ence?” Yes, you can! It is true that we cannot all be
president or secretary of state, but we can take action
and we can make our views known.

Taking Direct Action

One way to influence global relations is through various forms of direct action. In
the United States, millions of individual student actions, ranging from burning draft
cards, to massive and sometimes violent demonstrations, helped end American
involvement in Vietnam. College students have also been at the forefront of demon-
strations both for and against the war with and occupation of Iraq beginning
in 2003 (Foyle, 2004). College students have also been active on numerous other
issues related to foreign affairs. During 2006, for example, thousands of students
at the University of Texas at Austin rallied on behalf of the rights of immigrants,
and students at the University of California–Santa Cruz forced military recruiters
off the campus. At the University of Washington, University of Vermont, Univer-
sity of California, and other colleges, campus chapters of the Students Taking
Action Now: Darfur and other student groups persuaded their schools to sell
all their stocks and bonds of companies that do business with the government of
Sudan. Students on U.S. college campuses have also helped bring consumer pres-
sure to bear on clothing and footwear companies that sell products manufactured
Web Link
in so-called sweatshops in Asia and elsewhere. These factories pay little, require
employees to work long hours, and have poor safety records. Following their
You can find out if your school
is a member of the Fair Labor
students’ lead, 175 universities and colleges along with numerous human rights
Association by going to the FLA groups and Nike and other manufacturers united to form the Fair Labor Associa-
Web site at www.fairlabor.org/. tion, an organization working to help protect the rights of factory workers world-
wide. The Get Involved box, “Connect with a Student-Oriented Political/Civic
Organization,” provides a starting place to increase your active presence on the
world stage.
 The Importance of World Politics to Each of Us 15

GET INVOLVED
Connect with a Student-Oriented Political/Civic Organization
If you are not already involved in shaping your world, now is a Raise Your Voice: Student Action for Change
good time to start. College-based political organizations and (www.actionforchange.org) Dedicated to “connecting,
those that focus on young adults are an excellent place to challenging, and supporting college . . . students in
begin making a difference. The following 20 such organiza- community work, activism, leadership, and civic growth.”
tions are but a few that are trying to have an impact. Most The Roosevelt Institution (www.rooseveltinstitution.org)
do not focus exclusively on international relations, but all of “A national network of student think tanks” that helps
them either address world politics in part or help develop skills “get student ideas into the public discourse.”
that will assist you to be effective no matter what cause you Students for Academic Freedom
promote. Each organization is accompanied by a URL for find- (www.studentsforacademicfreedom.org) Seeks to end the
ing its Web site and a brief description, and quoted material alleged “political abuse of the university and to restore
comes from the Web site. Some groups are liberal, some are integrity to the academic mission as a disinterested
conservative, and some, neutral. Which is which is for you to pursuit of knowledge.”
discover. Students for a Democratic Society
(www.studentsforademocraticsociety.org) “The first multi-
CampusActivism.org (www.campusactivism.org) An inter- generational, diverse radical movement with everyone an
active Web site with “tools for progressive campus equal participant.”
activists.” Lists almost 1,500 groups and causes. Student Peace Action Network (www.studentpeaceaction.org)
Campus Compact (www.compact.org) A coalition of college “We organize for an end to physical, social and economic
presidents “promoting community service, civic violence caused by U.S. militarism.”
engagement, and service-learning in higher education.” Student Public Interest Research Groups (www.studentpirgs.org)
The Century Institute (www.centuryinstitute.org) Dedicated to “Independent . . . student organizations that work
“introducing undergraduate students to the progressive to solve public interest problems related to the
tradition in American public policy.” environment, consumer protection, and government
Clare Boothe Luce Policy Institute (www.cblpi.org) Aims reform.”
to “mentor and train young women for effective United States Students Association (www.usstudents.org)
leadership.” “Works on building grassroots power among students to
College Democrats of America (www.collegedems.com) win concrete victories that expand access to education
“The student outreach arm of the Democratic National at the federal, state and campus level.”
Committee.” Young America’s Foundation (www.students.yaf.org)
College Republican National Committee (www.crnc.org) “Committed to ensuring that increasing numbers of
“To prepare future leaders of the party” is among its goals. young Americans understand and are inspired by the
Foundation for Economic Education (www.fee.org) Conducts ideas of individual freedom, a strong national defense,
Freedom University for “undergraduates, regardless free enterprise, and traditional values.”
of their major, interested in [expanding] their knowledge Young Politicians of America (www.ypa.org) “A service-
of . . . the free market.” learning movement composed of young Americans
Intercollegiate Studies Institute (www.isi.org) Dedicated to aged 14–22 working together to revive political
conveying “to successive generations of college youth a discourse and awareness by establishing nonpartisan
better understanding of the values and institutions that civic clubs in high schools and colleges.”
sustain a free and virtuous society.”
JustAct: Youth Action for Global Justice (www.justact.org) And all by itself:
“Promotes youth leadership, action for global justice, Students for an Orwellian Society (www.studentsfororwell.org)
and networking of youth and student groups.” An offbeat organization that promotes “the vision of a
The Leadership Institute (www.leadershipinstitute.org) “The society based upon the principles of Ingsoc, first
premier training ground for tomorrow’s conservative articulated by George Orwell in his prophetic novel,
leaders.” 1984.”
The National Youth & Student Peace Coalition (www.nyspc.org)
“A coalition of national student activist groups in the Be Active
U.S. working for peace, increased educational funding, The only way to surely fail to shape politics to your liking is
and in defense of civil liberties.” by being passive.
16 CHAPTER 1 Thinking and Caring about World Politics

College students in many countries are an important political group. These Filipino
students in Manila, for example, are protesting tuition hikes in 2007 and demanding
that some of the money going to the Philippines military budget be redirected to
educational funding.

Voting
Democracies provide opportunities to affect world politics through the ballot
box. Voting for candidates is one of these. Leaders do not always follow campaign
promises, but the person who gets elected usually does influence policy. During
the 2004 U.S. presidential election, George Bush and John Kerry disagreed sharply
over the degree to which the United States should act unilaterally in its foreign
policy, on whether the war against Iraq was justified, on whether the U.S. should
join global negotiations to reduce the emission of global warming gases, and on a
range of other issues. The voters determined that it would be George Bush and not
John Kerry who would guide U.S. foreign policy during 2005–2008 (Klinkner,
2006).
From a certain perspective, those who were disappointed with the results had
cause to blame young adults for Kerry’s defeat. As Figure 1.7 shows, young adults
(age 18–24) favored Kerry over Bush by a substantial margin, in contrast to older
American voters, who favored Bush. Yet, in the United States, as in most other coun-
tries, young adults are much less likely to vote than are older adults (Patterson,
2005; Phelps, 2004). This voting gap makes a difference, as the figure’s caption
discusses.
By 2006, however, the mood of the electorate had changed significantly, and
that shift had a substantial impact on the composition of Congress and on U.S. policy
in Iraq (Eichenberg, Stoll, & Lebo, 2006; Voeten & Brewer, 2006). The 2006 con-
gressional elections became something of a referendum on Bush’s leadership, especially
in Iraq, and voter discontent helped the Democrats gain control of both houses of
Congress for the first time in 12 years. As one analyst described it, “A lot of voters said,
‘I’m going to vote Democratic.’ They didn’t even know the name of the Democrat, but
 The Importance of World Politics to Each of Us 17

they said, ‘I’m going to vote Democratic because I FIGURE 1.7 Age-Group
don’t like Bush, I don’t like the war, I want to make a Preferences in the 2004
statement.’”6 U.S. Presidential Elections
Direct voting on international questions by ref-
erendum is also possible in some countries. In 2005, Percentage of voters
for example, voters in Luxembourg and Spain ap- by age group
Kerry
favoring: Kerry
proved a proposed constitution for the European 47%
56%
Union (EU), but French and Dutch voters rejected
it, effectively blocking adoption (Hobol, 2006).
Elsewhere in Europe during 2005 and 2006, Swiss
voters agreed to increased openness of their job Bush
Bush
43%
market to workers from EU countries but also tight- 43%
ened the rules for foreigners trying to claim political
or humanitarian asylum in Switzerland. Even more Age 18–24 Age 25+
significantly, the world’s newest country came into
being in 2006 when 55% of the electorate in Mon- American young adults (age 18–24) were more likely than older adults
tenegro voted to declare independence from Serbia. to favor John Kerry over George Bush for president in 2004. The same
Additionally in 2006, Panamanians approved a ref- partisan pattern existed during the 2000 presidential election. Also in
both elections, older adults were more likely to vote than were young
erendum measure allocating over $5 billion to ex-
adults. In 2004, for example, 62% of older adults, but only 42% of
pand and upgrade their interocean canal. The ability young adults, voted. These gaps in voting percentage and candidate
of citizens to make direct decisions about foreign preferences are important. Had young adults voted in 2000 and 2004
policy is still not common, but it is becoming more at the same rate as older adults, Al Gore would have won the 2000
so, and there is strong support in the United States, election, and the 2004 race would have narrowed to the point where
the countries of Europe, and other democracies for John Kerry might have won.
greater use of referendums and other such direct Note: The outcome in 2004 cannot be precisely calculated because of sampling error
democracy techniques (Qvortrup, 2002). in the exit polls on which the data is based and other factors. Percentages do not add
to 100 because of voter support of third-party candidates.
Data sources: Exit polls conducted for the Associated Press by Edison Media Research
Becoming a Policy Maker and Mitofsky International.

It is also possible to become a policy maker by run-

ning for elective office or securing an appointment in
an agency that deals with your country’s foreign
affairs. You can also work for the United Nations or
one of the other important international organiza-
tions. It may take some time to work your way up
through the ranks to a key position, but it is possible.
Studying political science can be a start on the
path to becoming a policy maker. Secretary of State
Condoleezza Rice holds both undergraduate and
graduate degrees in political science. Other recent
top U.S. policy makers with degrees in political
science include President Bill Clinton, Speaker of
the House Nancy Pelosi, Vice President Al Gore,
Secretary of State Madeleine Albright, and Secretary
of Defense Donald Rumsfeld. UN Secretary-General
Ban Ki-moon and EU President José Manuel Barroso
Some students of political science become top policy officials.
also have degrees in political science. Even if you
Secretary of State Condoleezza Rice, seen here during graduation
remain a political scientist and do not become a pol- ceremonies at Stanford University, was an undergraduate and
icy maker, your teaching and research may influence graduate student in political science, then taught the subject at
those who will or who already hold official positions Stanford and became its provost before joining the Bush
(Willinsky, 2006). administration.
18 CHAPTER 1 Thinking and Caring about World Politics

Web Link The point is that you count—by voting, protesting, joining issue-oriented
You can learn about becoming
groups, donating money to causes you support, or even by having your thoughts
a diplomat and other careers in recorded in a political poll. Few individual actions are dramatic, and by themselves
the U.S. State Department at its few significantly change world politics, but the sum of many smaller actions can and
Web site, www.careers.state.gov/. does make a difference. Do not consider politics a spectator sport. It is more impor-
tant than that. Treat politics as a participant—even a contact—sport.

THINKING THEORETICALLY:
PUTTING EVENTS IN CONTEXT

It is important to organize our thinking about world events given their impact on our
daily lives. The day this is being written, the front page of the New York Times is
carrying news items related to suicide bombings in Afghanistan, U.S. foreign policy
toward Israel, the impact of the Democrats’ capture of Congress on U.S. policy in
Web Link
Iraq, Iran’s alleged nuclear weapons program, and U.S.-Vietnam trade relations. Each
Four great sources for interna-
of these stories relates to a unique issue; yet each is also part of a larger context. If
tional news are the New York
Times at www.nytimes.com/,
you are not familiar with these issues or others that dominate the news as you read
the BBC at www.bbc.co.uk, this book, then it is important to “catch up” on them by regularly following global
CNN at www.cnn.com, events through the news media.
and Worldpress.org at To get a better perspective of these and other stories, they should be put in both a
www.worldpress.org.
historical and theoretical context. To help you with the historical context, chapter 2
provides a foundation for understanding world politics by laying out a brief history
of the world system and its current trends. Good reporting in the news media will
often include more immediate historical background.
Thinking theoretically is a second way to put things in their
larger context. A political theory is an idea or connected set of
ideas about why things happen and how events and trends relate to
one another. Theory helps us see that trees are not just single plants
but also part of a forest. Scholar James Rosenau (2004:327) advises
that thinking theoretically
is a technique that involves making a habit of asking a six-word
question about anything we observe. . . . The six-word question
seems quite simple at first glance. It is: “Of what is this an instance?”
The “this” in the question is anything you observe (be it in world
or personal affairs) and it is a powerful question because it forces
you to find a larger category into which to locate that which you
observe. That is, it compels you to move up the ladder and engage
in the theoretical enterprise.

There are many advantages to thinking theoretically. One is

that it helps us build knowledge. If we confine ourselves to treating
each event as unique, then our past and present are little more than
a complex jumble of seemingly random events. By thinking theo-
retically, we look for patterns that help us understand more clearly
what has occurred and, perhaps, to even predict what may occur.
Second, thinking theoretically gives us a better chance of evaluating
policy. One example is assessing the debate over whether the United
States and other democracies should work to promote the democ-
“Thinking theoretically” is a key to being able to ratization of the Middle East and elsewhere. Some insight can be
understand how world events fit together. found in chapter 6’s exploration of “democratic peace theory,”
 Thinking Theoretically: Putting Events in Context 19

which is the idea that democratic states seldom if ever go to war with one another
(Chernoff, 2004). If this theory is correct, then the path to world peace may be
through world democratization. This would make promoting democracy not simply
an altruistic ideal, but also a significant contribution to national security.
As you begin to think about events and to decide “of what is this an instance,”
do so expansively and do not worry for now whether your ideas seem controversial
or even contradictory. Rosenau once ended up with 23 answers when he thought
about one event and asked himself of what it was an instance. From such begin-
nings, you can test and refine your thinking to see what seems to hold up and what
does not.
You will encounter discussions of various levels of political theory throughout
this book, but a good place to begin is with a range of ideas that have been put forth
to address the general study of international relations. To that end, we will proceed
somewhat chronologically in the development of modern international relations the-
ory by first taking two veteran theories: realism and liberalism. Then we will turn to
postmodernist, feminist, and economic approaches to international politics. These
are considered to be theories by some, part of larger theories by others, and critiques
of realism and liberalism by others, but their classification is not as important as their
contribution to the international relations theory debate beginning mostly in the
1970s. Finally, we will turn to constructivism, an analytical approach that in the view
of many scholars emerged in the 1990s as a third macrotheory. Table 1.1 outlines the
main points of realism, liberalism, and constructivism.
Before taking up the various schools of thought, four cautions are in order. First,
none of these theories is truly comprehensive. Some scholars argue that even realism
and liberalism are “best described as paradigm[s],” rather than full-scale theories

TABLE 1.1 Realism, Liberalism, and Constructivism

Views/Emphasis Realists/Neorealists Liberals/Neoliberals Constructivists

Human nature Pessimistic: Humans Optimistic: Humans capable Neutral/No assumption

self-interested and of enlightened cooperation
competitive
Core concepts Power, conflict Cooperation, Ideas, communications,
interdependence language
Reality Largely objective Largely objective Largely subjective
Politics stakes Zero-sum Non-zero-sum Non-zero-sum
Conflict in system Central and inevitable Central but not inevitable Central but not inevitable
International system Anarchical Anarchical, but growing Anarchical because
order assumed to be
Main cause of conflict States pursuing conflicting Lack of central processes to Assumptions of conflict and
self-interests regulate competition hostility
Best path to peace Achieve balance of power Increase interdependence, Communicate to find
cooperation, and adherence common goals and ways to
to international law achieve them
Key organizations States IGOs, states NGOs, IGOs, states
Morality National interest is a state’s Define and follow common Morality is subjective
moral imperative moral standards
Policy prescriptions Pursue self-interest, Cooperate to achieve Shape ideas and language
expand/preserve power mutual interests to promote preferred reality
20 CHAPTER 1 Thinking and Caring about World Politics

(Geller & Vasquez. 2004:1). Such controversies are not our focus here, so treat
Did You Know That:
“theory,” “paradigm,” “approach,” and other such words as synonymous.
You can learn more about
Second, each theory has numerous variations because, “If you put four IR
the U.S. college faculty in
international relations in theorists in a room you will easily get ten different ways of organizing theory, and
Susan Peterson, Michael there will also be disagreement about which theories are relevant in the first place”
J. Tierney, and Daniel ( Jackson & Sørenson, 2003:34). There are, for instance, classical realists, neorealists,
Malinia, “Inside the Ivory offensive realists, defensive realists, and other kinds of realists (Schmidt, 2004). We
Tower,” Foreign Policy 51
will briefly note some of these subdivisions but will mostly concentrate on the major
(November/December 2005),
pp. 58–64. premises of the basic theories.
Third, do not be fooled by the connotations of realism and liberalism. Realists do
not necessarily see things as they “really” are. Also do not equate the use of “liberal”
here with how it applies in domestic politics to left-of-center political parties. For
example, President George W. Bush is a conservative in terms of American domestic
politics, yet he has liberal leanings, such as wanting to promote democracy and free
trade, in the international relations theory use of the term.
Fourth, focus on what each theory has to offer rather than whatever its short-
comings may be. Each of these approaches helps us to better understand world poli-
tics. Each also has its weaknesses. There are also considerable overlaps among
theories (Snyder, 2005; Lebow, 2004).

Realist Theory
Realism is the view that world politics is driven by competitive self-interest. Realists
therefore believe that the decisive dynamic among countries is a struggle for power
in an effort by each to preserve or, preferably, improve its military security and eco-
nomic welfare in competition with other countries. Furthermore, realists see this
struggle for power as a zero-sum game, one in which a gain for one country is in-
evitably a loss for others. Realists are also prone to seeing humanity as inherently
divided by national loyalty to countries or some other focus of political identity such
as religion or culture.
As an approach to international politics, realism can be traced to such ancient
Did You Know That:
practitioners and thinkers as Sun Tzu (544–496 B.C.), the Chinese general and
The term realpolitik, power
author of The Art of War; Thucydides (460–399 B.C.), a Greek historian and
politics, was coined by
Prussian/German Chancellor
author of The History of the Peloponnesian War; and Kautilya (4th century B.C.),
Otto von Bismarck in about minister to the Mauryan emperor of India, who wrote in Arthashastra, “A king
1870. shall always endeavor to augment his own power.” More recently, realism also
marked the diplomacy of such statesmen as Otto von Bismarck (1815–1898), the
Iron Chancellor, who engineered the unification of Germany under Prussia’s
control. For our purposes here, though, we will pick up the theory of realism
when it emerged in the years surrounding World War II (1939–1945) as the dom-
inant theory in the developing academic discipline of international relations
scholarship.
Realist theory emerged partly as a reaction to the failure to preserve the peace
after World War I (1914–1918). That horrific war shocked the conscience of many,
who blamed the conflict on the realpolitik policies pursued by the major European
powers. In response, an idealist movement developed. It advocated conducting
global relations according to such lofty principles as cooperation, morality, and
democracy. President Woodrow Wilson was a leading idealist. He argued, for exam-
ple, that peace could only be restored and kept by “a partnership of democratic
nations.”7 Wilson sought to bring that partnership into reality by helping found
the League of Nations. The idealist vision also led to such initiatives as the
 Thinking Theoretically: Putting Events in Context 21

Kellogg-Briand Pact (1928), whose signatories pledged to renounce war “as an in-
strument of national policy.”
The aggression of Germany and Japan, both signatories of the Kellogg-Briand
Pact, persuaded many that idealism was not only naïve, but dangerous because it had
led countries to abandon realpolitik, which might have steeled them to react more
forcefully to such trends as the early stages of Germany’s rearmament and, thus,
might have prevented World War II. Among scholars, this view was taken up in writ-
ings of such scholars as British political scientist Edward H. Carr in The Twenty Years
Crisis 1919–1939 (1939) and even more notably in the work of the American scholar
Hans Morgenthau, including his influential text, Politics Among Nations (1948). In it
he argued (p. 13), “International politics, like all politics, is a struggle for power.”

Classic Realism and Neorealism

As realist theory evolved, it split into two schools of thought based primarily on differ- Web Link
ent views of the root cause of conflict. Classic realism is associated with Morgenthau For many political science
and other realists who are pessimistic about human nature. They believe that politi- resources and also a few good
cal struggle among humans is probably inevitable because people have an inherent jokes, go to the Ultimate Political
dark side. Therefore, classic realists believe that it is foolhardy to trust other coun- Science Links maintained by
Professor P. S. Ruckman of
tries and their people (Brewer, Gross, Aday, & Willnat, 2004). As one realist puts it,
Rock Valley College at
“The sad fact is that international politics has always been a ruthless and dangerous www.rvc.cc.il.us/faclink/
business and it is likely to remain that way” (Mearsheimer, 2001:2). Many realists pruckman/PSLinks.htm.
trace their intellectual heritage to the English political philosopher Thomas Hobbes
(1588–1679), who argued in Leviathan (1651) that humans have an inherent urge
to dominate, which often causes them to “become enemies and . . . [to] endeavor to
destroy or subdue one another.” Similarly, Morgenthau (1945:17) described “the lust
for power” in humans as an “ubiquitous empirical fact.”
Neorealism also portrays politics as a struggle for power, but neorealists believe
that the cause of conflict in the international system is its anarchic (unregulated)
structure ( James, 2002). As one neorealist puts it, the international system based on
sovereign actors (states), which answer to no higher authority, is “anarchic, with no
overarching authority providing security and order.” The result of such a self-help
system is that “each state must rely on its own resources to survive and flourish.” But
because “there is no authoritative, impartial method of settling these disputes—i.e.
no world government—states are their own judges, juries, and hangmen, and often
resort to force to achieve their security interests” (Zakaria, 1993:22).
The two schools of realism also disagree on how countries determine their for-
eign policies (Cozette, 2004). Classic realists believe a country should and usually www
does follow the dictates of power, but they do not believe that they always do so
(Williams, 2005). Instead classic realists believe that national leaders can and do err JOIN THE DEBATE
by allowing morality, ideology, or anything else other than power realities to govern The Human Nature Divide
foreign policy. By contrast, neorealists pay little attention to the internal policy mak-
ing in countries. This is because neorealists believe that countries are “rational actors”
and therefore will react similarly and predictably to power realities in a given situa-
tion no matter who is in office. Because neorealists see states reacting predictably to
power, these theorists are interested in ascertaining rules about how states will react
in a given set of circumstances. Examples of how these rules work can be found in
the discussion of the international system in chapter 3.
What unites both realists and neorealists is that they doubt whether there is any
escape from conflict. Classical realists believe human nature is immutable, and neo-
realists are skeptical about the ability of interdependence or international organiza-
tions to promote cooperation (Sterling-Folker, 2002).
22 CHAPTER 1 Thinking and Caring about World Politics

Realism: An Emphasis on Power

Realists contend that struggles between states to secure their frequently conflicting
national interests are the main action on the world stage. Given this view, realists
maintain that countries should and usually do base their foreign policy on the exis-
tence of what they see as a Darwinian world in which power is the key to the national
survival of the fittest. In the words of one scholar, “In an environment as dangerous as
anarchy,” those who ignore realist principles will “ultimately not survive” (Sterling-
Folker, 1997:18). From this perspective, realists define national interest mainly in
terms of whatever enhances or preserves a state’s security, its influence, and its mili-
tary and economic power. For realists, then, might makes right—or at least it makes
success.
With respect to justice and morality, Morgenthau reasoned that it is uncon-
scionable for a state to follow policy based on such principles. He argued that “while
the individual has a moral right to sacrifice himself” in defense of an abstract princi-
ple, “the state has no right to let its moral [views] . . . get in the way of successful
political action, itself inspired by the moral principle of national survival” (Morgenthau,
1986:38). This does not mean that realists are amoral (Williams, 2004). Some argue
that the highest moral duty of the state is to do good for its citizens. More moderately,
other realists argue that surviving and prospering in a dangerous world requires
that morality be weighed prudently against national interest. One scholar has
summed up this realist rule of action with the maxim, “Do ‘good’ if the price is low”
(Gray, 1994:8).

Realism and the Competitive Future

There are many implications to the realists’ dark view of politics. One is that
there is little hope for substantially reforming the anarchic international system.
Morgenthau, for instance, argued that only a global government could perma-
nently secure international peace and justice, but he concluded gloomily, “A
world state cannot be established” (Speer, 1968:214). With meaningful change
out of reach, realists advocate a pragmatic, realpolitik approach to world politics.
One rule is to secure your own country’s interests first and worry about the welfare
of other countries second, if at all, on the assumption that other countries will not
help you unless it is in their own interest. This makes realists wary of what they
see as the self-sacrificing policies advocated by liberals (Goldsmith & Krasner,
2003). Such policies are not just foolish but dangerous, according to Morgenthau
(1986:38), because countries that shun realpolitik will “fall victim to the power of
others.”
Second, realpolitik holds that countries should practice balance-of-power poli-
tics. This means to strive to achieve an equilibrium of power in the world in order to
prevent any other country or coalition of countries from dominating the system.
Methods for achieving this goal include building up your own strength, allying your-
self with others, or dividing your opponents.
Third, realists argue that the best way to maintain the peace is to be powerful:
“Peace through strength,” as President Ronald Reagan was fond of saying. Showing
his realist side, President George W. Bush takes a similar line, arguing, “We will build
our defenses beyond challenge, lest weakness invite challenge.”8 Thus, realists be-
lieve that countries must be armed because the world is dangerous and reject the lib-
eral counterargument that the world is dangerous because countries are so heavily
armed. As Morgenthau put it about disarmament, “Take away their arms, and they
will either fight with their bare fists or get themselves new arms with which to fight”
(Speer, 1968:214).
 Thinking Theoretically: Putting Events in Context 23

It is incorrect to think that realists are militarists because they emphasize national
power. For example, many realists opposed the U.S. invasion of Iraq in 2003
because they believed that it was not worth the cost and the loss of American
lives, symbolized here by this funeral of a U.S. Marine, Lance Corporal Jose
Gutierrez, the first American to die in the war.

Fourth, realists advise that a country should neither waste its

power on peripheral goals nor pursue goals that it does not have the
power to achieve. This frequently makes realists reluctant warriors,
not warmongers, as they are sometimes portrayed. Morgenthau,
for instance, criticized U.S. involvement in the war in Vietnam as a
waste of resources in a tangential area. Many realist scholars also
opposed the invasion of Iraq in 2003, arguing accurately that Iraq
was not an immediate threat and, therefore, “Even if such a war
goes well and has positive long-range consequences, it will still
have been unnecessary. And if it goes badly—whether in the form
of high U.S. casualties, significant civilian deaths, a heightened
risk of terrorism, or increased hatred of the United States in the
Arab and Islamic world—then its architects will have even more to
answer for” (Mearsheimer & Walt, 2003:58). More generally, one
realist scholar claims, “America’s . . . realists [have] . . . warned of the
dangers that a hegemonic United States would over-reach itself and,
by asserting its power heavy-handedly, provoke opposition to it”
(Layne, 2006:46).

Liberal Theory
Liberalism contends that people and the countries that represent them are capable of
finding mutual interests and cooperating to achieve them, at least in part by working
through international organizations and according to international law. Liberals re-
ject the realists’ contention that politics is inherently and exclusively a struggle for
power. Liberals do not dismiss power as a factor, but they add morality, ideology,
emotions (such as friendship and mutual identity), habits of cooperation, and even
altruism as factors that influence the behavior of national leaders and the course of
world politics. Liberalism also holds that international politics can be a non-zero-
sum game, that it is possible to have win-win situations in which gains of one or
more countries do not have to come at the expense of others. Liberals are also prone
to think that all humans have a common bond that they can draw on to identify
themselves beyond the narrow boundaries of their country or group and to identify
and forge ties with people around the world.
Like realism, liberalism is not a new approach to world politics. Indeed, part of
modern liberalism is resurrected idealism, although that label fell into disuse. What-
ever its label, the approach includes such ideas as the notion that justice is a basic
human right, which dates at least to Mesopotamia around 2500 B.C. (Altman, 2005).
A sense of universalism has also long prompted efforts to organize internationally for
peace. For one, French official Pierre Dubois proposed in The Recovery of the Holy
Land (1306) that the Christian kingdoms create “a league of universal peace” to settle
their disputes. Such views have persisted, with the idealism of President Woodrow
Wilson and his drive to found the League of Nations a much more recent example.
Also like realism, the (re)emergence of liberalism was a reflection of the times.
Realism, as noted, had gained strength among scholars during the alarming period
24 CHAPTER 1 Thinking and Caring about World Politics

between the outbreak of World War II and the depths of the cold war in the 1950s
and 1960s. In the 1970s, however, the cold war began to thaw, the international
landscape looked very different, and liberalism resurged. Reflecting the times, lib-
erals made a number of claims. One was that, especially in a nuclear age, the
assumptions of realism trapped the world into a mind-set of conflict that could
literally destroy civilization. This concern prompted some scholars to pursue a “dis-
ciplined inquiry into the ways [that] values [such as peace and justice] can be
realized” in global politics (Falk, 1986:16). Liberalism stressed the spread of democ-
racy and the work being done on democratic peace theory. This idea, as detailed
in chapter 6, contradicts the core realist assumption that all countries, democratic
or not, would struggle with one another. Liberals also noted the expanding role of
the UN, the growth of the European Union, and many other examples of global
cooperation and charged that realism could not explain such changes (Nye &
Keohane, 1970).

Classic Liberalism and Neoliberalism

Liberalism, like realism earlier, soon divided into two schools of thought. Classic
liberalism is the older of the two and the direct descendent of idealism. Like classic
realism, classic liberalism is based on its adherents’ view of human nature. However,
in contrast to the pessimism of classic realists, classic liberals are optimistic about
human nature. In this sense, they trace their intellectual lineage to political philoso-
phers such as Jean-Jacques Rousseau (1712–1778). He argued in The Social Contract
(1762) that humans had joined together in civil societies because they found it eas-
ier to improve their existence through cooperation than competitive self-reliance.
Contemporary liberals apply this notion to global society, and argue that people and
their countries can better their existence by joining together to build a cooperative
and peaceful global society.
Neoliberalism developed in the 1970s and 1980s somewhat parallel to neoreal-
ism. Neoliberals agree with neorealists that competition among sovereign states
in an anarchical world system causes conflict. However, neoliberals contend that the
system is not nearly an anarchical as neorealists claim. According to neoliberals,
the system is marked by complex interdependence. This mean that countries are tied
together through trade and many other economic, social, and other exchanges that
both increase cooperation and limit conflict. Complex interdependence also promotes
the increased use of international law and the creation of more and stronger interna-
tional organizations to deal with the expanding ties among countries. In turn, the
spread of international law and importance of international organizations progres-
sively acts to reduce anarchy and, therefore, conflict in the system.

Liberalism: An Emphasis on Cooperation

Unlike realists, liberals do not believe that acquiring, preserving, and applying power
must be or even always is the essence of international relations. Instead, liberals argue
that foreign policy should be and sometimes is formulated according to the standards
of cooperation and even altruism. This does not mean that liberals are never willing
to use military force or other forms of coercion. Almost all liberals are willing to do
so in self-defense or in response to overt international aggression. Many liberals
would also use force, especially if authorized by the United Nations, to prevent or halt
genocide and other gross violations of human rights. Beyond such cases, though,
liberals differ. Some favor assertive liberalism, an approach that led Woodrow Wilson
to send American troops to Europe in an effort to make the world safe for democracy
and led George W. Bush to invade Iraq in part to foster democracy there. Proponents
 Thinking Theoretically: Putting Events in Context 25

of more passive liberalism argue that using force is often counterproductive and that
it also often leads to imperial domination even if the initial intentions were lofty
(Morefield, 2004).
Whatever the exact coloration, liberalism has been evident in some post–cold
war leaders. For example, President Bill Clinton asked Americans to support send-
ing U.S. troops to Bosnia because “it is the right thing to do” to prevent the contin-
ued agony of “skeletal prisoners caged behind barbed wire fences, women and girls
raped as a tool of war, [and] defenseless men and boys shot down in mass graves.”9
Even more recently and sounding much like Wilson’s resolve to make the world safe
for democracy, President Bush has pledged, “America will . . . support democratic
movements . . . with the ultimate goal of ending tyranny in our world.”10
Such views do not mean that Clinton, Bush, and others with liberal internation-
alist views do not also pursue realist policy. When, for example, Clinton sought the
presidency in 1992, he condemned China as a tyrannical abuser of human rights and
assailed President George H. W. Bush for his realpolitik approach to that country. As
president, though, Clinton learned that he could not afford to overly antagonize a
country as powerful as China, and he tempered his liberalism. Clinton had to admit
near the end of his first term, “it would be fair to say that my policies with regard to
China have been somewhat different from what I talked about in the [1992 presi-
dential] campaign.”11
Liberals also dismiss the realists’ warning that pursuing ethical policy often works
against the national interest. The wisest course, liberals contend, is for countries to www
recognize that their national interests and the common interests of the world are inex-
tricably tied. For liberals, this means that improving global economic conditions, SURVEY
human rights, and democracy are very much in the national interest of the United Identify Your Perspective on
States and other economically developed and democratic countries. This was the World Politics
argument President Bush was making in 2005 when he told Americans, “In the long
term, the peace we seek will only be achieved by eliminating the conditions that feed
radicalism and ideologies of murder. If whole regions of the world remain in despair
and grow in hatred, they will be the recruiting grounds for terror, and that terror will
stalk America and other free nations for decades.”12

Liberalism and the Cooperative Future

Liberals believe that humanity is struggling toward a more orderly and peaceful
international system and can and must succeed in that goal. All theories recognize
the importance of the state in world politics, but whereas realists focus almost
exclusively on the state, liberals put a great deal of emphasis on the UN and other
IGOs as both evidence and promoters of greater cooperation. Liberals are divided,
however, over how far cooperation can and should go. Classic liberals believe that just
as humans learned to form cooperative societies without giving up their individu-
ality, so too can states learn to cooperate without surrendering their independence.
These liberals believe that the growth of international economic interdependence
and the spread of global culture will create a much greater spirit of cooperation
among the world countries. Neoliberals are more dubious about a world in which
countries retain full sovereignty. These analysts believe that countries will have to
surrender some of their sovereignty to international organizations in order to pro-
mote greater cooperation and, if necessary, to enforce good behavior.
As for the future, liberals are encouraged by some recent trends. One of these is
the willingness of countries to surrender some of their sovereignty to improve them-
selves. The EU, for instance, now exercises considerable economic and even political
authority over its member-countries. Member-countries were not forced into the EU;
26 CHAPTER 1 Thinking and Caring about World Politics

DEBATE THE POLICY SCRIPT

Applying Theory to Policy
Although national leaders seldom talk in terms of international eight scenarios. Assume that you are the U.S. president,
relations theory, they do apply it. This was clear in late 2006 and that for each scenario your maximum cost will be 5,000
when a committee of former top U.S. officials headed by American troops killed and $500 billion. Then decide for each
James Baker and Lee Hamilton sent President Bush a report scenario whether you are willing to order U.S. forces into action
that began, “The situation in Iraq is grave and deteriorating” and pay the price.
and recommended a series of pragmatic steps designed to
1. Retaking the U.S. territory of Guam after it has been
“enable the United States to begin to move its combat forces out
seized by another country
of Iraq responsibly.”1
2. Stopping a genocidal slaughter that has already
The Washington Post termed the report “The Realist
killed 200,000 people in a distant country
Manifesto.”2 Similarly, Time greeted the report and the replace-
3. Preventing a clearly hostile country from acquiring
ment of Secretary of Defense Donald Rumsfeld by Robert
nuclear arms and long-range missiles
Gates with a column entitled, “The Return of the Realists.”
4. Ousting a dictator who has ended democracy in a
The columnist Walter Isaacson linked the neoconservatism of
distant country and is ruling by terror
Rumsfeld and others in the administration to the idealism of
5. Toppling a government that is supplying a terrorist
Woodrow Wilson waging World War I “to make the world safe
group that is threatening you
for democracy,” and characterized the invasions of Iraq in
6. Liberating a country of no strategic importance that
2003 as a “neo-Wilsonian mission of spreading democracy.”3
has been invaded by a neighbor
Describing realism and idealism (liberalism) as “competing
7. Defeating a country that dominates the Middle East
strands of American foreign policy,” Isaacson characterized
and has cut off U.S. oil supplies
realism as a “hard-nosed focus on clearly defined national
8. Forcing a country harboring war criminals to surrender
interests . . . pursued with a pragmatic calculation of commit-
them to the International Criminal Court
ments and resources,” and idealism as emphasizing “moral
values and ideals” in formulating U.S. foreign policy. As for the What Do You Think?
argument some make that U.S. pragmatic interests and moral
Which scenarios did you consider worth going to war? The
values are synonymous, Isaacson dismissed that conjecture as
view here is that scenarios 1, 3, 5, and 7 are realist goals.
“alas, not always true in a messy world.”
Scenarios 2, 4, 6, and 8 are idealist/liberal goals. Think
Which standard should Americans follow? Isaacson hedged,
about what your answers say about your theory orientation
writing that while “welcoming the return of some realism, let’s
and compare and discuss them with others in your class. Try
not forget that America’s strength comes from its values.” To
the exercise again with a maximum cost of 1,000 dead and
help determine whether you would write the future policy script
$100 billion. Did your answers change?
with a realist or idealist/liberal theme, or perhaps both (full in-
ternationalism) or neither (isolationism), consider the following

they joined it freely. This and other indications that sovereignty is weakening will be
discussed at length later in the text. Liberals are further buoyed by the spread of
democracy and economic interdependence. They believe that both tend to lessen the
chances of conflict among states, and research shows that there is substantial validity
to this notion (Kinsella & Russett, 2002). Liberals also condemn the practice of
realpolitik. They charge that power politics leads to an unending cycle of conflict and
misery in which safety is temporary at best.
Because realism and liberalism, or idealism as some still call it, are what might
be termed the two vintage theories and are the ones that are still used to characterize
and debate public policy, it might be enlightening for you to explore which more
closely characterizes your approach to world politics and which you believe your
country should follow. This can be accomplished in the Debate the Policy Script box,
“Applying Theory to Policy.”
 Thinking Theoretically: Putting Events in Context 27

Postmodernist, Feminist, and Economic Theories

Discontent with realist theory was not confined to those who fell into the liberal
school of thought. At about the same time that the liberal challenge to realism
was developing, some scholars were also beginning to apply postmodernist and
feminist perspectives to criticize the state of international relations theory, especially
realism. Additionally, there is a range of economic theories, some long existent, others
more contemporary, which help us think theoretically about world politics.

Postmodernist Theory
At its core, postmodernism contends that what we take to be political reality is cre-
ated by the ways that we think about it and by our discourse (writing, talking) about
it. As such, postmodernists believe that much of what we assume to be real is merely
mind-set that we have created by defining and communicating about things in a cer-
tain way. Similarly, our values, what we define as positive and negative, are mental
constructs. In this sense, Shakespeare made a postmodern point in Hamlet when the
Prince of Denmark mused, “there is nothing either good or bad, but thinking makes
it so.” For instance, postmodernists would dispute the conception of progress that
defines scientific/technological modernity as good and seeks to impose it on people
of traditional cultures.
Postmodernists are not some disconnected group who imagine that a warplane or
the White House is only an illusion. But they would say that the need to have either
of these, like many other political realities, is a matter of mind-set, in this case the
result in part of defining yourself primarily as, say, an American who is distinct from
other nationalities, as compared to defining yourself first and foremost as a human
who has common links and interests with all other humans globally. From this start-
ing point, postmodernists go on to explore ways to escape traditional thinking and
create new ways of thinking, and thus new realities. To say that postmodernists advo-
cate much greater creativity in “thinking outside of the box” hardly does them justice,
but it does convey some sense of their approach.
This point about narrow thinking is the root of the postmodernist critique of
realism and liberalism. Postmodernists charge that both theories perpetuate stale
ways of conceiving how we organize and conduct ourselves by, for example, assum-
ing the long-term continuance of national identities and the existence of the interna-
tional system centered on independent countries. What postmodernists say is that
these “realities” can be changed by thinking about and discussing ourselves and
others in different ways. They believe that organizing ourselves politically around a
geographically defined country is only an image in our mind reinforced by the
way that we discuss politics. Postmodernists want to change political discourse so
primary political identity could expand beyond nationalism to also include, for
instance, being a North American, a woman, or simply a human.
As an example, most people define the concept of “national interest” to mean
those things that benefit the country and its people in terms of gaining, increasing,
and keeping wealth, military might, and status. Postmodernists reject such a mean-
ing because, they contend, there is no such thing as an objective national interest. If
that is true, we can change what it is by conceiving of national interest differently.
It may be in American national interest to share more of America’s wealth to uplift
the multitude of abjectly poor people in the world, a policy that would arguably
enhance Americans’ sense of moral rectitude and their standing in the world. Indeed,
postmodernists reject the validity of the “we” and “they” discourse in international
politics that distinguishes between ethnonational groups.
28 CHAPTER 1 Thinking and Caring about World Politics

Postmodernists even doubt the reality of the “metanarratives” (overarching

stories) of history. The standard portrayal of the rise and fall of powerful states is
based on the power struggles among them. Is that real? Perhaps the real story, as Karl
Marx and Friedrich Engels suggested in the Communist Manifesto (1848), is that all
history is defined by class struggle between the propertied class (the bourgeoisie)
and the oppressed workers (the proletariat). Or maybe politics has been driven, as
some feminist postmodernists suggest, by creating structures (such as states and
organized religion) that have allowed men to oppress women in the supposed inter-
est of protecting them. Because you have not heard such alternative stories, your
instinct may be to dismiss them. But do not be so sure of what is fact and what is
fiction.
One of the numerous postmodernist contributions is providing an alternative
way to think about how to achieve peace. For example, they view states as linked to
violence in many ways and are therefore suspicious of them. One charge is that states
justify their existence and power by promoting a sense of danger. Postmodernists
also believe that states focus on enhancing their own security as a structure, rather
than in terms of their people. Moreover, states try to harness people to the state’s pur-
pose by creating nationalism as the exclusive political identity and by suppressing as
muddled, even treasonous, attempts to create competing political identities. In short,
according to one postmodernist, “It is force that holds the state together.” Based on
this view, to achieve peace, we must examine the relationship of violence to our cur-
rent political structure and “encourage individuals to actively engage in politics” in
order to change the discourse (Shinko, 2004).

Feminist Theory
Yet another critique of realism and liberalism is provided by feminist thought. Like
all the theories and critiques we are exploring, feminism has many aspects and even
its own internal disputes. To bridge these, we will adopt the strategy of one feminist
author and use feminism “in its original meaning: the theory of, and the struggle for,
equality for women” (Fraser, 1999:855). From this perspective, it is possible to high-
light a number of common points in feminist thought about world politics. First,
feminism argues that women have been left out of the process and even the concep-
tualization of world politics.
Feminist scholars maintain that the definition of what is relevant to the study of
www international relations is largely a product of the male point of view and ignores or
underrepresents the role of women, their concerns, and their perspectives. Similarly,
feminist scholars argue that to a significant degree male-dominated research has pro-
SIMULATION
So Say the Mamas: moted methodologies that are not relevant to the questions posed by feminist schol-
A Feminist World ars and to their perspective on knowledge (Tickner, 2005; Caprioli, 2004). In this
sense, many feminists would agree with the postmodernists that mainline scholar-
ship has presented a metanarrative of world politics that is not real. Instead it reflects
just one set of perceptions (male, in this case). The overarching story from a feminist
perspective would be very different.
Concepts such as peace and security are prime examples of how, according to
feminists, men and women perceive issues differently. One feminist scholar suggests
that “from the masculine perspective, peace for the most part has meant the absence
of war” (Reardon, 1990:137). She terms this “negative peace.” By contrast, Reardon
(138) continues, women think more in terms of “positive peace,” which includes
“conditions of social justice, economic equity and ecological balance.” Women, more
than men, are apt to see international security as wider than just a military concept,
as also including security from sexism, poverty, domestic violence, and other factors
 Thinking Theoretically: Putting Events in Context 29

that assail women. Women favor this more inclusive view of secu-
rity because, according to another study, “the need for human se-
curity through development is critical to women whose lives often
epitomize the insecurity and disparities that plague the world
order” (Bunch & Carillo, 1998:230).
This inclusive view of violence is supported by women’s experi-
ences. “The most painful devaluation of women,” according to one
UN report, “is the physical and psychological violence that stalks
them from cradle to grave” (UNDP, 1995:7). Fewer women than
men may die or be wounded as soldiers, but women are at least as
likely to be casualties in military and terrorist attacks on economic
and population centers. Many women die from the starvation and
disease that frequently accompany war, and yet others fall victim to
widespread sexual abuse that occurs in some wars. During the early
1990s, the campaign against the Bosnians by the Serbs included
an officially orchestrated campaign of sexual attack on many thou-
sands of women and girls as young as 13 in an effort to terrorize the
Bosnians. Sometimes even the supposed peacemakers may be sexual
predators. A UN report in 2005 documented many cases of UN
peacekeeping troops and officials in the Congo and elsewhere some-
times raping and more often coercing destitute women and girls as
young as age 12 into “survival sex,” swapping sex for as little as a
dollar’s worth of food or other necessities.13 Among many other
signs of endemic violence against women are the facts that (1) about Among other things, feminists believe that women
80% of the world’s refugees are women and their children, (2) an es- should be equally active and as well represented
timated 100 million girls suffer genital mutilation, and (3) globally, among policy makers as men. The positive role
the national incidence of women who have been the victim of abuse that women play is captured in this photo of two of
the many women who have won the Nobel Peace
by an intimate partner averages 25% and ranges up to 58%.
Prize, Northern Ireland’s Betty Williams (1976) and
Feminism is related to political identity in two ways (Croucher, Guatemala’s Rigoberta Menchú Tum (1992). They
2003a). One is to create womanhood as a focus of women’s sense of were together in Guatemala City in 2006 during an
who they are politically. This does not mean that women are apt to event to motivate young adults to take a role in
try to forge an independent feminist state somewhere in the world, their world.
but it does mean that women may view their country and its policies
through a heightened feminist consciousness. Second, the political identity of some
women is influenced by their suspicion that states and other political structures are
designed to maintain male dominance. This view, one feminist scholar writes, “strips
the [state’s] security core naked so that we can see its masculine-serving guises”
(Sylvester, 1994:823).

Economic Theories
Chapter 12, the first of two on the international political economy (IPE), includes a
lengthy discussion of various theories related to its operation. Nevertheless, it is im-
portant to have some early sense of these approaches. Economic nationalism is
closely related to realism and argues that countries do and should use their economic
strength to increase national power and, in turn, use their national power to further
build economic strength. Economic internationalism, by contrast, is akin to liberal-
ism. Economic internationalists believe free economic interchange without political
interference can bring prosperity to all countries.
Economic structuralism is the third major IPE approach. There are a number of
variations to economic structuralist theory, but they all share the view that economics
plays a key, perhaps dominant role in determining politics. All radical theorists also
30 CHAPTER 1 Thinking and Caring about World Politics

see the world divided by economic circumstance and believe that the wealthy (coun-
tries, corporations, societal classes) act in a self-interested way to keep poor countries
and classes within societies impoverished and weak.
Being aware of the structuralist theories is particularly important at the begin-
ning of this text in order to gain some perspective on matters taken up in other chap-
ters, such as the yawning prosperity gap that exists between a few countries like
the United States that are very wealthy and the many countries like Uganda that are
excruciatingly poor (see Figure 2.4, p. 59). As evident in chapters 2, 5, 14, and else-
where, economic structural theory is an important component of the critique of glob-
alization. One charge is that globalization and its liberal agenda of lowering barriers
to trade, investment, and other international economic exchanges has primarily
served the interests of the United States and other wealthy countries by allowing
them to further penetrate and dominate poorer countries. There is even an argument
that when economic measures are not enough to preserve and expand the dominance
of the core countries they will use force to further their ends. Casting globalization as
a U.S. “project” designed to further American dominance, one critic writes, “The Iraq
war should be seen as part of an intended endgame for a globalization project
that . . . [serves] U.S. ambitions” (Schulzinger, 2006:16).

Constructivist Theory
As the realists and liberals battled it out intellectually, other scholars rejected all or
parts of both theories and sought new ways of thinking. Among other influences, the
views of postmodernist, feminist, and other scholars on the subjectivity of much of
what we assume is real led in the mid-1980s to the formulation of constructivist
theory (Jacobensen, 2003; Zehfuss, 2002). Constructivism views the course of in-
ternational relations as an interactive process in which the ideas of and communica-
tions among “agents” (or actors: individuals, groups, and social structures, including
states) serve to create “structures” (treaties, laws, international organizations, and
other aspects of the international system). These structures, in turn, influence the
ideas and communications of the agents. This definition, like constructivist theory
itself, is very challenging to understand because, as an early constructivist scholar
had noted in a reading entitled “World of Our Making,” it takes “most readers into
unfamiliar worlds” (Onuf, 2002:127).

Constructivism and the Nature of Politics

The title, “World of Our Making,” is an apt description of the core beliefs of con-
structivists. Their view begins with a rejection of what they claim is the assumption
by realists and liberals that most of the actors of world politics, such as states, and
structures, such as the anarchistic international system, are a stable given. Construc-
tivist read all such “knowledge” (it exists) as much more fluid than do realists and
liberals. It is not that constructivists do not recognize that countries exist. It is that
constructivists see them as primarily structures that are fluidly based on the willing-
ness of agents (in this case citizens) to define themselves politically in terms of the
state (national political identity) and behave in ways (fighting for it, paying taxes)
that support it. Such political identities are mental pictures of who we are, and, as
such, both they and the political structures that rest on them are more ethereal than
you might assume. For example, in 1991 there was no doubt, even among construc-
tivists, that the Soviet Union existed. It was the world’s largest country with a com-
plex governmental structure and a vast nuclear and conventional military inventory.
Indeed, the Soviet Union was one of the world’s two superpowers. Yet as the clock
 Thinking Theoretically: Putting Events in Context 31

struck midnight on December 26, 2001, the Soviet Union disappeared. Why? That
will be debated for a long time, but constructivists would argue that one factor was
that the Soviet Union had been constructed in part in the minds of those within its
borders. When they shifted their political identities to being Russians, Ukrainians,
Kazaks, and other nationalities, rather than Soviets, these people “constructed” new
sovereign states and “deconstructed” the Soviet Union, which was then disbanded by
Russia and its other constituent republics.
Constructivists also differ from liberals and, especially, realists in what they see
as the goals of the agents. Liberals and realists hold different views on how to best
achieve goals, but they tend to see them in relatively concrete terms such as physical
safety and material well-being. By contrast, constructivists believe that an important
role is played by nonmaterial factors such ideology, morality, and other cultural out-
looks and values. This stress on societal values makes constructivists place consider-
able emphasis on the internal political processes of countries and how those dynam-
ics shape a country’s perceptions of the world and interactions with it. Historians of
American foreign policy, for example, have found a religious component in American
culture that disposes it to see the “American way” as God given, which promotes a
missionary zeal to carry its blessing to others. This messianic tendency in American
culture helps explain from a constructivist point of view the determination to spread
democracy to the Middle East and elsewhere. Factoring in values also helps under-
stand policy choices.

Constructivism and the Course of World Politics

Because constructivism contends that to a great degree the world is what we make
of it, most of its adherents do not share the pessimism of realists about the possibil-
ities of escaping global competition and conflict. For instance, understanding that
powerful countries may define their world role in different ways may help avoid
confrontations. As this is being written in late 2006, the news includes an Associated
Press story headlined, “Rice: U.S. Concerned about Rising China” that quotes Secre-
tary of State Condoleezza Rice’s worry about China’s “outsized . . . military buildup.”
Realists would react with alarm, but constructivists would, among other things, look
at China’s history of strategic culture, which arguably has generally not sought
to propel China militarily far beyond its borders (Lantis, 2005). Constructivists
would worry that discussing China’s military buildup as a threat might become a self-
fulfilling prophecy, creating tensions between Washington and Beijing, escalating
armaments by both sides, leading to yet higher tensions, more armaments, and so on.
From this perspective, positive interactions with China might yield better results.
Research indicates, for instance, that military-to-military contacts between U.S. mil-
itary representatives and those of other countries are “positively and systematically
associated with liberalizing trends” in those countries, a finding that “provides evi-
dence that constructivist mechanisms do have observable effects, and that ideation-
ally based processes play an important role in U.S. national security” (Atkinson,
2006:509).
Even more broadly for constructivists, the future rests on the ways in which
we communicate (speak and write) and think about the world and our place in it.
They believe that language calls things into existence. For them, choosing one label
over another (foreigner, fellow human), then attaching certain values to that label
(foreign different, not my responsibility; fellow citizen similar, my responsibility)
is profoundly important politically because we act on the basis of what things mean
to us (Tsygankov, 2003). Constructivists believe that we should reject traditional mean-
ings because they have led to division and conflict. As one put it, “A path cannot be
32 CHAPTER 1 Thinking and Caring about World Politics

called a path without the people who walk it” (Simon, 1998:158). They do not be-
www lieve that the anarchical condition of the international system forces states to take
certain actions (like being armed). Instead, constructivists think that how we con-
ceive of the lack of central authority is what determines interactions—“Anarchy is
SIMULATION
Multiple Choice Quiz what states make of it” (Wendt, 1992:335). From this point of view, conflict is not the
result of structural power politics. Rather, it stems from the discordant worldviews
and the inability of people to communicate in ways that would allow them to con-
struct a mutually beneficial vision and create structures to accomplish that vision.
“Constructivism is about human consciousness and its role in international
life . . . [and] rests on . . . the capacity and will of people to take a deliberate attitude
towards the world and to lend it significance [by acting according to that attitude],”
is how one constructivist put it (Ruggie, 1998:855). If values and perceptions
change, then so too can relations, structural realities, and other aspects of the inter-
national system. Political identification can be among these changes. How we define
ourselves and the values we place on that identification in relationship to others can,
according to constructivists, reshape the structures by which we organize ourselves
and the interactions among those structures.

Assessing Theories
“Good grief,” you may be thinking, “with an avalanche of abstract theory I am hav-
ing trouble connecting to reality.” Do not be dismayed. That is not an unreasonable
response to many pages of theory at the beginning of this text and your course. More-
over, as you progress further in this text and your course, and as you reflect on the
outlines of the theories you have just encountered, they will begin to make more
sense. They will also help you organize your thoughts about how to connect the ac-
tors, events, trends, and other aspects of the world drama that you will encounter.
As you continue thinking theoretically, here are a couple of suggestions that may
help. One that was made at the beginning of the theory section but bears repeating is
to avoid trying to “referee” the debate among the various schools of thought. Various
well-educated, well-read scholars who have devoted their academic careers to study-
ing theory profoundly disagree on which one is the best model of reality. You cer-
tainly may find one theory or another appeals to you, but for the present the best idea
is to keep an open mind about all of them. Each has something important to say.
Also observe that many of the theories have both empirical (facts) and normative
(values) aspects. Empirically, any good theory should provide insightful description.
That is, it should be able to describe past and current events in a way that tells you
of what they are an instance, to recall Rosenau’s standard from earlier. Harder yet, but
still a valid test of the empirical worth of a theory is how well it enables accurate pre-
diction. Realists would probably predict diplomatic muscle flexing and perhaps even
military action if, for example, two democracies are angrily disagreeing about each
other’s withdrawals from an oil field that lies under both their territories. Liberals
would be more likely to predict that the democracies would not fight (democratic
peace theory) and that, instead, they would negotiate a compromise or perhaps even
submit the dispute to an intergovernmental organization such as the International
Court of Justice. So one thing you can do to evaluate realism and idealism is to watch
developing events, think about how realists and liberals would predict their out-
come, and then see which proves more accurate.
Prescription is a third aspect of many theories. This involves policy advocacy,
arguing what policy should be, rather than describing what it has been or is or pre-
dicting what it will be. Many realists, for instance, do not believe that countries always
 Chapter Summary 33

follow a self-interest course. Indeed, realists worry that their country may be per-
suaded by altruism, by ideological fervor, or by some other drive to pursue policies
that are not in the national interest. Recall that realist Hans Morgenthau opposed the
Vietnam War as a misuse of U.S. power and, more contemporarily, realist John
Mearsheimer took essentially the same view of invading Iraq in 2003. Thus you
can use theory to organize your views about what your country’s foreign policy
should be and, indeed, what the entire future course of world politics should be. If
you do so from a solid grounding in theory, you will be far ahead of those who imag-
ine that each event and situation is unique and not part of the ongoing drama on the
world stage.

CHAPTER SUMMARY

PREVIEWING THE GLOBAL DRAMA 5. Our country’s role in the world also affects deci-
1. This book’s primary message is captured by sions about the allocation of budget funds. Some
Shakespeare’s line, “All the world’s a stage, and all countries spend a great deal on military functions.
the men and women merely players.” This means Other countries spend relatively little on the mili-
that we are all part of the world drama and are tary and devote almost all of their budget resources
affected by it. It also means that we should try to to domestic spending.
play a role in determining the course of the dra- 6. World politics also plays an important role in
matic events that affect our lives. determining the condition of your living space.
2. This text is organized to reflect the theme that the Politics, for the most part, has not created envi-
world system is evolving. Along the traditional ronmental degradation, but political cooperation
path countries have pursued their national inter- almost certainly will be needed to halt and reverse
ests as far as their power permits within a largely the despoiling of the biosphere.
anarchical international system. The alternative, 7. Your life may also be affected by world politics.
evolving path would have states abandon their You may be called on to serve in the military.
pursuit of short-term self-interest and take a more Whether or not you are in the military, war can
cooperative, globalist approach to world politics. cost you your life.
8. There are many things any one of us can do, indi-
THE IMPORTANCE OF WORLD POLITICS TO EACH OF US vidually or in cooperation with others, to play a
3. Economics is one way that we are all affected. The part in shaping the future of our world. Think, vote,
word intermestic has been coined to symbolize protest, support, write letters, join organizations,
the merging of international and domestic con- make speeches, run for office—do something!
cerns, especially in the area of economics. Coun-
tries and their citizens have become increasingly THINKING THEORETICALLY:
interdependent. PUTTING EVENTS IN CONTEXT
4. Economically, trade both creates and causes the 9. We improve our understanding of world politics
loss of jobs. International investment practices by putting events within the context of theory to
may affect your standard of living in such diverse see patterns and make generalizations about the
ways as perhaps helping fund your college schol- conduct of international affairs.
arship or creating employment for you or some- 10. Realism, liberalism, constructivism, postmodern-
one in your family. The global economy also sup- ism, feminism and a variety of economic theories
plies vital resources, such as oil. Exchange rates all help organize our ability to think theoretically.
between different currencies affect the prices 11. Realism focuses on the self-interested promotion
we pay for imported goods, the general rate of of the state and nation. Realists believe that power
inflation, and our country’s international trade politics is the driving force behind international
balance. relations. Therefore, realists believe that both safety
34 CHAPTER 1 Thinking and Caring about World Politics

and wisdom lie in promoting the national interest and their role in world politics. Nationalist, inter-
through the preservation and, if necessary, the nationalist, and structuralist economic theories
application of the state’s power. also provide insights into the course of world
12. Liberalism holds that humans are capable of coop- politics.
erating out of enlightened common interests in an 14. Constructivism contends that ideas, language,
orderly, humane, and just world, and the world and communications created a subjective reality
has moved significantly in that direction during that we mistake for objective reality and that
the last century. Liberals also see the policy pre- causes us to create structures that reinforce our
scriptions of realists as dangerous. perceptions.
13. Postmodernism criticizes existing theories, espe- 15. For now, assess the theories by keeping an open
cially realism, for making unfounded assumptions mind, considering the insights each has to offer,
about what is real. Feminism criticizes existing and evaluating the descriptive, predictive, and
theories for ignoring the perceptions of women prescriptive value of each.

For simulations, debates, and other interactive activities, a chapter quiz, Web links,
and much more, visit www.mhhe.com/rourke12/ and go to chapter 1. Or, while
accessing the site, click on Course-Wide Content and view recent international
relations articles in the New York Times.

KEY TERMS

anarchical international economic nationalism liberalism postmodernism

system economic structuralism neoliberalism realism
classic liberalism feminism neorealism sovereignty
classic realism fiscal year (FY) nongovernmental states
constructivism intergovernmental organizations (NGOs) zero-sum game
direct democracy organizations (IGOs) non-zero-sum game
economic internationalism intermestic political theory
 C H A P T E R

2
THE EVOLVING WORLD SYSTEM:
EARLY DEVELOPMENT
Ancient Greece and Rome
The Evolution of
After the Fall of Rome, A.D. 476 to 1700
Universal Authority in the Middle Ages
Local Authority in the Middle Ages
World Politics
The Decline of the Feudal System
The Decline of Universalistic Authority I am amazed, methinks, and lose my way
The Emergence of the Sovereign State
The Eighteenth and Nineteenth Centuries Among the thorns and dangers of the world.
Popular Sovereignty —William Shakespeare, King John
Westernization of the International System
The Growth of the Multipolar System Whereof what’s past is prologue, what to come,
THE EVOLVING WORLD SYSTEM: In yours and my discharge.
THE TWENTIETH CENTURY —William Shakespeare, The Tempest
The Eclipse of the Multipolar System
The Collapse of Europe as a Global Power
Center
The Rise of Non-European Powers
The Cold War and the Bipolar System
The Rise and Decline of the Bipolar System
The End of the Bipolar System
THE TWENTY-FIRST CENTURY: THE GENESIS
OF A NEW SYSTEM
The Polar Power Structure in the Twenty-First
Century
A Unipolar Moment
The Multipolar Urge
Limited Unipolarity
Future Polarity
Other Power Changes in the Twenty-First Century
The Weakening Western Orientation of
the International System
Challenges to the Authority of the State
Security in the Twenty-First Century
Global Economics in the Twenty-First Century
Economic Interdependence
Economic Disparity between North
and South
Quality of Life in the Twenty-First Century
Human Rights
The Environment
CHAPTER SUMMARY

This chapter’s review of the evolution of world politics will help you to
understand the current international system and to think about how it
should operate in the future.
36 CHAPTER 2 The Evolution of World Politics

HIS CHAPTER HAS TWO PURPOSES. One is to establish a historical foundation for

T our analysis of international relations that emphasizes the themes and events
you will encounter repeatedly in this book. Second, this chapter sketches the
evolution of the current, rapidly evolving world political system. The concept of
an international system represents the notion that (1) the world is more than just
the sum of its parts, such as countries, (2) that world politics is more than just the
sum of the individual interactions among those parts, and (3) that there are general
patterns of interactions among the system’s actors. The nature of the international
system and its impact on world politics are further explored in chapter 3.
Be patient as you read this chapter. You will find that it often introduces a
topic briefly and then hurries on to another point. “Wait a minute,” you may think,
“slow down and explain this better.” Hang in there! Other chapters fill in the details.

THE EVOLVING WORLD SYSTEM:

EARLY DEVELOPMENT

There have been numerous global and regional international systems, with some
scholars dating them back to the southern Mesopotamian region of Babylon (in what
is now Iraq) some 7,500 years ago. Modern politics is vastly different than it was, but
that change has, for the most part, evolved slowly.

Ancient Greece and Rome

We can begin tracking the international system with a brief exploration of the era
that included the Greek city-states (about 700 B.C. to 300 B.C.) and the rise of Rome
in about 500 B.C. to its fall in A.D. 476. It was during this period that four of today’s
important political characteristics were first seen. Each of them subsequently almost
disappeared, only to flourish more than a thousand years in the future.
Territorial State: Before the city-states, political organization was based on a ruler
or on a cultural group, such as a tribe. Each controlled territory, but the political
connection of those living in the territory was to the ruler or group, not to the terri-
tory itself. Other than the rulers, people had no sense of “owning” the territory. With
the rise of the Greek city-states, territory as such defined a political entity. People
in the city-states felt some permanent ownership of the land, and that connection
became part of their political identity. As a result, the concept of citizenship first de-
veloped and laws began to specify who was and who was not a citizen. After 450 B.C.
Athenian law granted citizenship (membership) in the territorially defined political
unit. New entry into citizenship was possible only if both your parents were citizens
or you had been legally approved through what may have been the world’s first
naturalization process. Overall, citizens may have made up only about a third of the
population.
Sovereignty: Aristotle (384–322 B.C.), in his epic work, Politics, argued that
supreme authority stemmed from a political unit’s law and system of government,
not just from its rulers or religion. Therefore, each Greek city-state (polis) considered
itself to have sovereignty under its own law. This meant that it recognized no
legitimate higher authority, either secular or religious.
Nationalism: The citizens of the Greek city-states identified strongly with the
polis, making it the focus of political identity, as well as the place they lived. Or,
as Aristotle commented, “Man is an animal of the polis.” This state of mind was a
 The Evolving World System: Early Development 37

precursor of nationalism, today’s most important sense of political identity and one
that interconnects people, government, and territory.
Democracy: Also in the Greek city-states, the people became the source of polit-
ical authority for the first time in history. Athenians and others “did not think of
themselves as subjects of a king. . . . Instead they were ‘citizens’ who were actively
responsible for guiding their polis” (Sherman & Salisbury, 2004:56). This idea of
citizen participation reached its zenith in Athens, where a democracy existed for
approximately 150 years beginning about 500 B.C. Just about the time Athens was at
its height, Rome was beginning to grow far to the west. Like Athens, it was a city-
state that expanded into an empire, and then eventually declined and fell. Also like
the Athenians, the Romans had a democracy until it was throttled by military dicta-
torship during the first century B.C. It would be incorrect to closely correlate the
Greek and Roman political systems with modern ones. For example, Athenian
democracy was limited to adult male Athenian citizens only, perhaps 15% of the peo-
ple in the city, while women, slaves, and metics (resident foreigners) were excluded
from participation. Still, the outlines of the modern state, sovereignty, nationalism,
and democracy can all be traced to these ancient times.

After the Fall of Rome, A.D. 476 to 1700

Five centuries of Roman tyranny and empire obliterated most notions of democracy
and nationalism. These ideas did not die, though. They merely lay moribund for
a millennium awaiting the right historical circumstances to reemerge. During this
extended period called the Middle Ages (to about 1500), political power in the West
was wielded at two levels of authority—one universal, the other local.

Universal Authority in the Middle Ages

Governance during the Middle Ages rested in part on overarching
authority that controlled territory and people but was defined by
neither. There were religious and secular aspects to this universal-
istic authority.

Religious Authority The Roman Catholic Church was one source

of universalistic authority. It served as the integrating force in sev-
eral ways. The Church provided a common language among intel-
lectuals by keeping Latin alive. Christian doctrine underlay the
developing concepts of rights, justice, and other political norms.
Even kings were theoretically (and often substantially) subordinate
to papal authority. To extend that, the pope in concert with various
powerful monarchs sought to promote the idea of a universal
Roman-Christian state. This goal led Pope Leo III to crown one
Germanic king, Charlemagne, as “Emperor of the Romans” in 800.
Similarly, Pope John XII bestowed Charlemagne’s old title on an-
other German king, Otto I, in 962, thereby legitimizing his control
over what became known as the Holy Roman Empire.

Political authority was once organized quite differently than it is now. One difference
was the overarching secular as well as religious authority of the Roman Catholic
Church and the pope. In an echo of this earlier status, a member of the Vatican’s
Swiss Guard stands behind Pope Benedict XVI. The now largely ceremonial unit
was once a true fighting force and dates back to the sixteenth century.
38 CHAPTER 2 The Evolution of World Politics

Secular Authority As the Middle Ages proceeded, the overarching authority of the
Catholic Church was supplemented, and sometimes supplanted, by great multi-
ethnic empires. Most of the people under the control of the Austro-Hungarian, British,
Chinese, Dutch, French, German, Ottoman, Russian, Spanish, and other empires
were not culturally related to the emperors and felt little loyalty to them. As for the
monarchs, they claimed their authority came from God, and most of them did not
feel a strong political identification with or an emotional attachment to the com-
moners. Many of these empires lasted into the 20th century, but they and the degree
of macrolevel integration they provided were all eventually swept away by the rising
tide of nationalism.

Local Authority in the Middle Ages

The local, microlevel of authority was called the feudal system. It was organized
around principalities, dukedoms, baronies, and other such fiefdoms. Nobles ruled
these, exercising near complete sovereignty over them. In theory, these nobles were
vassals of a king or an emperor, but in fact they were usually autonomous and some-
times even more powerful than the monarch they supposedly served.
It is important to understand that the concepts of territory and political author-
ity during the medieval period were much different from what they are now. Cer-
tainly monarchs and nobles controlled specific territories, but in theory they did not
exercise sovereignty over them. Instead, God and God’s Church gave monarchs the
right to rule over certain lands, and, in turn, the kings subdivided their territory by
granting dominion over parts of it to subordinate nobles. Thus the nature of the feu-
dal system, in which vassals were theoretically subservient to kings and kings were
theoretically subservient to emperors and popes, meant that sovereignty did not exist
legally and often did not exist in fact. Commoners had little or no authority and were
considered subjects, a concept closer to the status of property than to citizen.
By the 13th century the fabric of universalism and feudalism had begun to fray.
During the next few centuries, “the international system went through a dramatic
transformation in which the crosscutting jurisdictions of feudal lords, emperors, kings,
and popes started to give way to territorially defined authorities” (Spruyt, 1994:1).
The existing nonterritorially defined, hierarchical system was replaced by a system
based on territorially defined states whose sovereignty made them equals legally.

The Decline of the Feudal System

Many forces of change in the Middle Ages eroded the feudal system. Of these, two
stand out—military technology and economic expansion.

Military Technology The introduction of gunpowder to European warfare in the

mid-1300s and other changes in military capabilities diminished the ability of the
smaller feudal fiefdoms to defend themselves. Inexpensive, little-trained commoners
armed with rudimentary rifles could shoot highly trained, expensively armored
knights, the epitome of the feudal warrior elite, off their horses. Relatively inexpen-
sive cannons could readily demolish expensive castles, the centerpiece of feudal
defense. These and other realities meant that static defenses of small territories
needed to be replaced by a defense based on maneuver, which was best provided by
a territorially larger unit, the state.

Economic Expansion Europe’s growing economy also undermined the feudal system.
Improved trade was one factor that contributed to the economic expansion. The
Mongol Empire’s control of much of Asia and the Middle East in the late 13th century
 The Evolving World System: Early Development 39

States developed in part because of the need

for political units larger than feudal baronies
to facilitate the expansion of international
trade. The theme of commerce is represented
in this early map showing Niccolo and Maffeo
Polo, father and uncle to Marco Polo, heading
back in the late 1200s to Venice along the
fabled “silk road” trade route that connected
the Mediterranean region with China.

fostered the stability that trade needs to flourish. Expanded trade with Asia led Europeans
to build larger ships, which, in turn, created even greater possibilities for trade. The
journeys of Marco Polo of Venice to China and other lands between 1271 and 1295
were related to this new commercial activity. Later the search for new trade and trade
routes led, among other things, to the journey of Christopher Columbus in 1492.
The beginning of mass production was a second factor driving economic expan-
sion. Individual craftsmen began to give way to primitive factories. Full-scale indus-
trialization did not take place for another 500 years, but the early stages of the
industrial revolution were in place by the 1200s.
The growth of trade and manufacturing had important political consequences.
First, it created a wealthy and powerful commercial class, the burghers, who increas-
ingly dominated the expanding urban centers of trade and manufacturing. Second,
the burghers became dissatisfied with the prevailing political system because they
needed greater access to raw materials for their factories and markets for their prod-
ucts. This access was hampered by the impediments to commerce inherent in the
maze of feudal entities. Third, the desire of the burghers to create larger political
units to facilitate their commercial ventures made the monied business class natural
allies with kings, who were constantly striving to increase their control over their
feudal lords. The burghers and kings each had something the other needed. The
kings could legitimately destroy the fiefdoms; the burghers could supply kings with
money to pay for the soldiers and arms needed to overcome the nobles. The result-
ing alliance helped to create the modern state.
In sum, changing military technology made the feudal fiefdoms obsolete as a
defensive unit, and changes in manufacturing and commerce left them obsolete as an
economic unit. Safety and prosperity required larger units. States provided those.

The Decline of Universalistic Authority

At the same time that the micropolitical feudal system was decaying, the macropolit-
ical claims of universalistic authority by the pope and the Holy Roman Emperor were
being challenged by the growing power of the kings. This decline of papal authority
and increase in royal power were reinforced by a period of cultural and intellectual
40 CHAPTER 2 The Evolution of World Politics

rebirth and reform called the Renaissance (about 1350–1650). Many of the concepts
that emerged, including scientific inquiry and personal freedom, undermined the
authority of the Church.
Web Link One significant outcome was the Protestant Reformation. Influenced by Renais-
The text of the Treaty of sance thinking, Martin Luther rejected the Catholic Church as the necessary inter-
Westphalia is available at mediary between people and God. In 1517 Luther proclaimed his belief that anyone
www.yale.edu/lawweb/avalon/ could have an individual relationship with God. Within a few decades, nearly a quar-
westphal.htm. ter of the people of Western Europe became Protestants. The first great secular break
with the Catholic Church occurred in England, where King Henry VIII (r. 1509–1547)
rejected papal authority and established the Anglican Church. The Reformation also
touched off political-religious struggles elsewhere in Europe. The ostensible issue
was religious freedom, but there were also important political causes and conse-
quences. When the century-long struggle between the imperial and Catholic Holy
Roman Empire and the nationalist and Protestant ethnic groups ended with the
Treaty of Westphalia (1648), centralized political power in Europe was over. The
Holy Roman Empire had splintered into two rival Catholic monarchies (Austria and
Spain); a number of Protestant entities (such as Holland and many German states)
gained independence or autonomy. Yet other countries, such as Catholic France and
Protestant England, were more secure in their independence. Therefore, many schol-
ars regard 1648 as marking the births of the modern national state and of the world
political system based on sovereign states as the primary political actors.

The Emergence of the Sovereign State

The breakdown of the feudal-universalistic system of governance did not, however,
immediately make the state the uncontested, dominant political actor. Instead, the
people of the Middle Ages experimented with several types of political organizations
to see how well they would meet the security and economic needs of the time.

The Early State and Its Competitors The revival of city-states, such as Venice, was
one alternative scheme of political organization. Another was the formation of
loosely confederated city-leagues based on common economic interests. The most
famous of these mercantile alliances, the Hanseatic League, was founded in 1358 to
protect commerce against piracy. It eventually included 70 northern European cities
stretching from Bruges (in modern Belgium) to Novograd (in modern Russia) and
became a major economic force.
What is important is that states, not city-states or city-leagues, became the new
focus of political organization. The Hanseatic League ended in 1667. The fortunes of
Venice and other city-states ebbed more slowly, but they eventually faded also. The
failure of these experiments and the survival of the state occurred for identifiable,
pragmatic reasons. Those are beyond our telling here, but the essential point is that
in time “sovereign states displaced city-leagues and city-states . . . because their
institutional logic gave them an advantage in mobilizing their societies’ resources”
(Spruyt, 1994:185). States were best equipped to conduct commerce, provide defense,
and meet other needs.

Consequences of the Emergence of the State The emergence and eventual triumph
of the state as the dominant mode of governance had profound consequences for the
international system. One of these was that states became the primary actors in the
post-Westphalia international system. They continue in that starring role today.
Therefore, much of the action on the world stage is about states and groups of states
interacting with one another.
 The Evolving World System: Early Development 41

More subtly, the fact that states recognize no higher authority necessarily means
that the international system has no central authority to maintain order and dis-
pense justice. Therefore, international relations occur in an anarchical political
system. This does not mean that the international system is a scene of unchecked
chaos. There is an informal hierarchy based on power, with more powerful states
often maintaining some semblance of order (Hobson, 2005). Moreover, the interna-
tional system usually operates in a reasonable way. This occurs, however, mostly
because countries find it in their interests to act according to expectations. When
a state decides that it is in its interests to break the largely informal rules of the
system, as Iraq did in 1990 when it invaded Kuwait, there is little to stop it except
countervailing power.

The Eighteenth and Nineteenth Centuries

The emergence of the sovereign state as the primary actor marked a major shift in
the international system. Following the Peace of Westphalia, national states contin-
ued to gather strength as monarchs such as Louis XIV of France (r. 1643–1715),
Frederick II of Prussia (r. 1740–1786), and Peter the Great of Russia (r. 1682–1725)
consolidated their kingdoms and even expanded them into empires. If anything, the
pace of change quickened in the 18th and 19th centuries. Three themes stand out:
the advent of popular sovereignty, the Westernization of the international system,
and the zenith of the multipolar system.

Popular Sovereignty
In the early 18th century, most kings claimed to rule their realms by
“divine right.” “L’état, c’est moi” (I am the state), France’s Louis XIV
proclaimed. Perhaps, but in 1793 another French king, Louis XVI,
lost his head over this presumption, and the people claimed the
state for themselves under the doctrine of popular sovereignty.
The revival of popular sovereignty, which had lain dormant
since the demise of Athenian democracy and the Roman republic,
marked a major change in the notion of who owned the state and
how it should be governed. Until this time, the prevailing belief
was that kings ruled by divine right over both territory and people,
who were subjects, not citizens. Understandably, the people had
limited attachment to the state, since it was the king’s, not theirs.
The American (1776) and French (1789) revolutions challenged
this philosophy. Democracies were established on the principle that
ultimate political power rests with the people, not the monarch.
Popular sovereignty also expanded the concept of nationalism to
include mass identification with and participation in the affairs of
the state. If the people owned the state, then they had both a
greater emotional attachment to it and a greater responsibility to
support it. One symbol of this change was that Napoleonic France

The American and French revolutions significantly advanced the emerging idea
of popular sovereignty. The link between the two events is symbolized by these
women dressed as the Statue of Liberty and Marie Antoinette, the queen
toppled during the French Revolution. The women are at a party in New York
City commemorating Bastille Day, July 14. On that day in 1789 a French mob
stormed the Bastille Prison in Paris, beginning the revolution.
42 CHAPTER 2 The Evolution of World Politics

(1799–1815) was the first country to have a true patriotic draft that raised an army
of a million strong.
From its beginnings in America and, particularly, in France, democratic nation-
alism spread throughout Europe and steadily undermined monarchical government
and its concept of divine right. The collapse of the dynasties in China, Germany,
Austria-Hungary, Russia, the Ottoman Empire, and elsewhere early in the 20th cen-
tury marked the real end of strong monarchical government. Nationalism and popu-
lar sovereignty were also antithetical to empire. The large multiethnic and in some
cases colonial empires that were prevalent in the early 1900s began to unravel in
World War I. Then the British and French colonial empires fell apart in the mid-
twentieth century, and the last great multiethnic empire imploded in 1991 when the
Soviet Union fragmented into 15 independent countries.

Westernization of the International System

The domination and shaping of the international system by the West was a second
important characteristic of the 18th and 19th centuries. Somewhat earlier, the growth
of European power had enabled Great Britain, France, and other European countries to
thrust outward and take control of North and South America and some parts of Asia.
The Arab, Aztec, Chinese, Incan, Mogul (Indian), Persian, and other non-European
empires or dynasties began to decline and fall. The process accelerated in the 19th cen-
tury, and Europeans came to dominate the globe and to see themselves “as forming an
exclusive club enjoying rights superior to those of other political communities” (Bull &
Watson, 1982:425). One reason for the westernization of the international system was
the scientific and technological advances that sprang from the Renaissance in Europe.
This sparked the industrial revolution, which began in the mid-1700s in Great Britain.
During the next 150 years, industrialization spread rapidly but not globally. Instead, it
was mostly a Western phenomenon, with the notable exception of Japan.
Web Link Industrialization and associated advances in weaponry and other technology
More on the industrial revolution had a profound impact on world politics. Europe gained strength compared with
including some interactive nonindustrialized Asia and Africa. Industrialization also promoted colonialism,
activities are available from the because the manufacturing countries needed to expand resources and markets to
BBC at www.bbc.co.uk/history/ fuel and fund their economies. Many industrialized countries also coveted colonies
british/victorians/#industrial
as a matter of prestige. The result was an era of Euro-American imperialism that
_revolution/.
stretched to all corners of the world. The fate of Africa is graphically displayed in
the map on the facing page. Eurowhites similarly subjugated most Asian cultures.
China, it should be noted, was never colonized, but after the 1840s it was divided
www into spheres of influence among the Western powers. Only Japan and Siam (now
Thailand) remained truly sovereign. Joining the scramble for possession, Americans
acquired Hawaii and Samoa in the 1890s. Victory in the Spanish-American War
MAP
The Colonization and
(1898) added Guam, Puerto Rico, and the Philippines. Additionally, U.S. military
Decolonization of Africa, interventions in the Caribbean–Central American region became so frequent in fol-
1878, 1914, 2005. lowing decades that the true sovereignty of those countries was questionable.
Even though these colonial empires were, for the most part, not long-lived, they
still had a major and deleterious impact that continues to affect world politics. The
imperialist subjugation of Asians, Africans, and others by Europeans and Americans
set the stage for what became the division of the world into two spheres—one
wealthy, one poor—that continue to exist.

The Growth of the Multipolar System

The 1700s and 1800s also saw the zenith of the multipolar system, which governed
political relations among the globally dominant major European powers from the
 The Evolving World System: Early Development 43

The Colonization and Decolonization of Africa, 1878, 1914, 2005

Arab peoples Algiers

TANGIER ME
TUNISIA DITERRANE
MADEIRA IS. Casablanca AN S
EA
SAHARA (Portugal) O Tripoli
CC Cyrene
(Gr. Br.) RO
INFI MO Cairo
CANARY IS. (Sp.)

ge
Sudanese Empires (Spain) LIBYA

ua
ALGERIA

ng
la
(Sp.) RIO DE EGYPT
li
(Gr. Br.) ORO
i
ah
(Port.)
Sw

Bantu kingdoms

RE
DS
EA
FRENCH WEST AFRICA Khartoum ER
ITR
GAMBIA L. Chad ANGLO-EGYPTIAN EA FRENCH
SUDAN Adowa SOMALILAND

CA
PORT.
AFRICA IN 1878 Dutch GUINEA Fashoda BRITISH

AFRI
NIGERIA SOMALILAND
SIERRA IVORY
LEONE ETHIOPIA

IAL
COAST

R
LIBERIA CAMEROONS N D

ATO
AN LA
BRITISH ALI ALI
GOLD RIO DA

U
T
EAST I OM
AN

EQ
COAST MUNI
UG AFRICA S

C H
TOGO L. Victoria Nyanza

EN
ATLANTIC OCEAN BELGIAN
FR CONGO L. Tanganyika Mombasa
CABINDA GERMAN ZANZIBAR (Gr. Br.)
(Port.)
EAST AFRICA
INDIAN
OCEAN

TUNISIA ANGOLA NYASALAND

RH
OD

UE
MOROCCO
ES

AR
BI
ALGERIA IA

AM
LIBYA

SC
EGYPT

OZ

GA
GERMAN

M
SOUTH-

DA
MAURITANIA
WEST BECHUANA-

MA
MALI
NIGER ERITREA LAND TRANSVAAL
SENEGAL AFRICA
GAMBIA CHAD
BURKINA SUDAN DJIBOUTI
GUINEA GUINEA FASO
BISSAU NIGERIA
SOMALIA
ORANGE
SIERRA GHANA CENTRAL ETHIOPIA FREE STATE
LEONE BENIN
AFRICAN
LIBERIA CAMEROON REPUBLIC UGANDA UNION OF SWAZILAND
TOGO
IVORY SOUTH AFRICA
EQUATORIAL
COAST GUINEA
RWANDA KENYA BASUTOLAND
Capetown
GABON DEM. REP NATAL
OF THE BURUNDI
CONGO REPUBLIC CONGO
TANZANIA
MALAWI
ANGOLA
British Portuguese
ZAMBIA MOZAMBIQUE
French Belgian
NAMIBIA ZIMBABWE

BOTSWANA MADAGASCAR German Spanish

SWAZILAND
Italian Independent African states
SOUTH
AFRICA LESOTHO
AFRICA IN 2007

The industrialization of the West was one factor that caused the colonization of Asia and Africa in the
late 1800s and early 1900s. This map and its insets show that Africa was largely controlled by its
indigenous peoples in 1878 (inset) but had by 1914 (larger map) become almost totally subjugated
and divided into colonies by the European powers. Then, after World War II, the momentum shifted.
Independence movements led to decolonization. Now there are no colonies left in Africa. Thus the
West’s domination of the world has weakened.
Source: Perry Marvin, Myra Chase, James R. Jacob, Margaret C. Jacob, and Theodore H. Von Laue. Western Civilization:
Ideas, Politics and Society, Fourth Edition. Copyright 1992 by Houghton Mifflin Company. Adapted with permission.
44 CHAPTER 2 The Evolution of World Politics

Treaty of Westphalia in 1648 through the mid-twentieth century. In the century be-
tween the final defeat of Napoleon (1815) and the outbreak of World War I (1914),
the major powers, or power poles, were Great Britain, France, Prussia/Germany,
Austria-Hungary, Russia, and to a lesser extent Italy and the Ottoman Empire/Turkey.
The multipolar system was marked by shifting alliances designed to preserve
the balance of power by preventing any single power or alliance from dominating
Europe and, by extension, the world. Prime Minister Winston Churchill clearly
enunciated Great Britain’s balance-of-power politics when he explained that “for four
hundred years the foreign policy of England has been to oppose the strongest, most
aggressive, most dominating power on the Continent” (Walt, 1996:109).

THE EVOLVING WORLD SYSTEM:

THE TWENTIETH CENTURY

The 20th century witnessed momentous and rapid global change. The rapid pace of
change that continues today is an important theme to keep in mind. When the 20th
century began monarchs ruled most countries; there were no important global orga-
nizations; and there were about 1.5 billion people in the world. By the time the cen-
tury ended, elected officials governed most countries; the UN and other international
organizations were prominent; and the world population had quadrupled to 6 billion
people. All this happened in just one century, a time period that represents only
about 3% of the approximately 3,500 years of recorded human history.
A great deal of this change is related to a seemingly ever-increasing pace of
technological and scientific innovation, as evident in Figure 2.1. The 20th century
saw the creation of television, computers, the Internet, nuclear energy, air and space
travel, missiles, effective birth control, antibiotics, and a host of other innovations
that benefit or bedevil us. Technology both creates and solves problems. Medical
advances, for one, mean that many more babies
FIGURE 2.1 Technological survive and people live much longer, but those
and Scientific Change changes have also contributed to an explosive popu-
268
lation growth. New technologies have also been
Number of major scientific a key factor in the expansion of the world economy
and techonological inventions
and discoveries per century 217 by dramatically improving our ability to extract raw
materials, turn them into products, and transport
them to consumers. Here again, though, the benefit
of an improved standard of living for most people
has been offset by economic expansion’s negative by-
products: pollution, deforestation, global warming,
and other ills.
32
15
5 The Eclipse of the Multipolar System
Century 16th 17th 18th 19th 20th
The pace of world political evolution began to speed
The quickening pace of technological and scientific change has up even more by the beginning of the 1900s. Demo-
strongly affected human beings and their politics. This figure depicts cracy was rapidly eroding the legitimacy of mon-
the number of important discoveries and inventions since 1500. Fully archs. In 1900 there were still czars and kaisers; they
90% of them have occurred since 1800, with half in the 20th century would be gone in less than two decades. Nationalism
alone. increasingly undermined the foundations of multi-
Data source: World Almanac (2007). ethnic empires. World War I was a pivotal point.
 The Evolving World System: The Twentieth Century 45

Two empires, the Austro-Hungarian and Ottoman, were among the losers. From
Did You Know That:
their rubble, countries such as Czechoslovakia, Poland, and Yugoslavia (re)emerged.
The rapid pace of world
Other countries like Jordan, Lebanon, Syria, and Palestine/Israel came under the
change is evident in the life
mandate (oversight) of the League of Nations and finally became independent after of the world’s oldest person,
World War II. Maria Olivia da Silva of
Astorga, Brazil. When she
The Collapse of Europe as a Global Power Center was born on February 28,
1880, Brazil was still ruled
The causes of the demise of the European multipolar system by the mid-twentieth
by an emperor, Pedro II,
century are complex and subject to dispute. What is important, however, is that the and Rutherford B. Hayes
system lost its ability to maintain a balance of power as the major powers coalesced was the U.S. president. She
into two rigid, nearly bipolar alliances that soon engaged in a death struggle. In was 23 years old when the
World War I (1914–1918) the Central Powers included Germany, Austria-Hungary, Wright brothers first flew
and 89 when Neil Armstrong
and Turkey. The Allied Powers consisted of France, Russia, Great Britain, and Italy.
stepped on the moon.
After its defeat in the war, Germany was at first treated severely, but the realpolitik Ms. da Silva is older than
logic of a multipolar system led the British and French to let Germany rebuild its 75% of the world’s countries.
strength in the 1930s. That suited the British, who worried that France might once
again dominate Europe and threaten them as it had under Napoleon. The seizure of
power in Russia by Lenin’s Bolsheviks in 1918 also prompted London and Paris to
tolerate German revitalization. France was especially alarmed by the specter of Com-
munist ideology combined with Russian military might and saw a rearmed Germany
as a bulwark against the “Red menace.” For the British and French, these balance-of-
power maneuvers constituted a near-fatal mistake.
The grotesqueness of World War I was another reason why Great Britain and Web Link
France did not seriously try to restrain resurgent Germany. The two victors had each For a flavor of the Munich crisis
lost almost an entire generation of young men. When Adolf Hitler came to power in 1938, you can hear radio
(1933) and rearmed his country, Great Britain and France vacillated timorously. The programming from the day that
Munich Conference (1938) became synonymous with this lack of will. In that con- Neville Chamberlain explained
to a happy British crowd his
ference, Great Britain and France gave way to Hitler’s demands for the annexation of
decision to appease Adolf Hitler
part of Czechoslovakia based on the mistaken belief of British Prime Minister Neville at http://archives.cbc.ca/IDD-1
Chamberlain and other leaders that an appeasement policy toward Germany would -109-1257/1930s/1938/.
satisfy it and maintain the peace.

The Rise of Non-European Powers

Although Europe was center stage, important changes were occurring elsewhere.
Almost all of the Western Hemisphere was made up of independent countries by
1900, and a few states in other areas also gained independence. Other existing states,
especially Japan and the United States, began to play a more significant role and to
undercut European domination of the international system. China began the century
saddled with a decaying imperial government and foreign domination, but it over-
threw its emperor in 1911 and started a long struggle to rid itself of foreign domina-
tion and to reestablish its role as a major power. Also during the first part of the
century, the League of Nations was established, and many non-European countries be-
came active in world diplomacy through membership in it. Thus, a shift was under way.
The voices of Africa, Asia, and Latin America became stronger, and two non-European
powers, the United States and Japan, readied themselves to take a starring role.

The Cold War and the Bipolar System

World War II (1939–1945) was a tragedy of huge proportions. It also finally de-
stroyed the European-based multipolar structure. In its aftermath, a bipolar system
dominated by the Union of Soviet Socialist Republics (USSR, Soviet Union) and the
46 CHAPTER 2 The Evolution of World Politics

United States soon formed. To those who experienced its intensity, the hostility be-
tween the two superpowers seemed to augur an unending future of bipolar con-
frontation and peril. As is often true, the view that the present will also be the future
proved shortsighted. The bipolar era was brief. It began to gradually weaken in little
more than a decade; by 1992 it was history.

The Rise and Decline of the Bipolar System

Web Link World War II devastated most of the existing major actors. In their place, the United
See Duck and Cover, the
States emerged as a military and economic superpower and the leader of one power
movie produced by the U.S. pole. Even though incredibly damaged, the Soviet Union emerged as the superpower
government in the 1950s to leader of the other pole. The USSR never matched the United States economically,
teach children what to do in but the Soviets possessed a huge conventional armed force, a seemingly threatening
case of a nuclear attack, at
ideology, and, by 1949, atomic weapons. The uneasy alliance that had existed be-
http://stream.state.gov/streamvol/
journals/fullversion.mov.
tween Washington and Moscow during World War II was soon replaced by overt
hostility. Indeed, their rivalry divided much of the world into two antagonistic
spheres in what became known as the cold war, a conflict with all but the shooting
of a “hot war.”
Historians still debate the causes of the cold war, but it is
safe to say that varying economic and political interests and the
power vacuum created by the collapse of the old balance-of-
power structure created a bipolar system in which a great deal
of world politics was centered on the confrontation between
the two superpowers along the so-called East-West axis. The
United States reacted to what it saw as a Soviet/communist threat
with the containment doctrine, a policy of global opposition to
the Soviet Union and other communist countries. To that end,
Washington sponsored a number of regional alliances, most no-
tably the North Atlantic Treaty Organization (NATO, established
in 1949), which encircled the USSR, as evident in the map on the
facing page. The Soviets responded in 1955 with the Warsaw
Treaty Organization (or Warsaw Pact). Both sides also vied for
power in the developing countries (known then as the Third
World), and Soviet and American arms and money flowed to
various governments and rebel groups in the ongoing communist-
anticommunist contest. Yet despite the intense rivalry, a mutual
fear of nuclear war deterred the superpowers from direct con-
frontations. The wisdom of avoiding eyeball-to-eyeball crises was
evident in the Cuban missile crisis (1962), one of the few times the
superpowers did directly confront each other. The scariest event
of the cold war occurred when the Soviets began building nuclear
missile sites in Cuba, and President John F. Kennedy risked nuclear
war to force them out.

It is hard for those who did not experience the most intense part of the cold
war in the 1950s and early 1960s to understand how scary a time it was. The
fear among Americans about a possible nuclear attack by the Soviet Union is
captured in this photo of a mother leading her two young children to their
backyard nuclear fallout shelter in Sacramento, California, during a nuclear
alert drill in 1961.
 The Evolving World System: The Twentieth Century 47

U.S.–Soviet Bipolarity
JAPAN PHILIPPINES
PACIFIC OCEAN

SOUTH KOREA
FORMOSA

NORTH VIETNAM
SOUTH VIETNAM
UNITED
STATES

CANADA
THAILAND
CHINA

MONGOLIA
O N
UNITED

U N I
GUATEMALA S TAT E S ARCTIC
OCEAN
EAST PAKISTAN

E T
ND
LA
N INDIA
EE

S O V I
GR

PAKISTAN
DOMINICAN
REPUBLIC INDIAN
PUERTO RICO ICELAND
NORWAY OCEAN
UNITED IRAN
DENMARK
KINGDOME. GER.
POLAND
AT L A N T I C CZECH. ROM.
An Age of Bipolarity: HOLLAND TURKEY IRAQ
HUNG.
The Cold War ca. 1970 OCEAN BELGIUM YUG. BULGARIA
FRANCE
ALBANIA
Soviet bloc ITALY GREECE
SPAIN
U.S. and allies W. GERMANY

The bipolar era was marked by mutual hostility and fear between the United States and its allies and
the Soviet Union and other communist countries. Americans perceived Soviet-led communism to be
threatening everywhere, and adopted the containment doctrine to counter it. The Soviets were equally
alarmed by what seemed an encircling set of U.S.-led allies. This polar projection map depicts the
world as something like the way Moscow saw it, with the communists (in red) alarmingly surrounded
by the Western allies (in blue).

One outgrowth of the containment doctrine was the U.S. involvement in Vietnam. Web Link
Vietnamese forces led by nationalist/communist Ho Chi Minh defeated France’s colo- A site that focuses on the cold
nial army in 1954 and achieved independence. But the country was divided between war with audio, video, and
Ho’s forces in the north and a nondemocratic, pro-Western government in the south. interactive elements is offered
The struggle for a unified Vietnam soon resumed, and the United States intervened by CNN at www.cnn.com/
specials/cold.war/.
militarily in 1964. The war quickly became a trauma for Americans. Perhaps the
most poignant domestic tragedy was the death in 1970 of four students at Kent State
University during clashes between antiwar demonstrators and the Ohio National
Guard. War-weariness finally led to a complete U.S. disengagement. Within a short
time Ho’s forces triumphed and Vietnam was unified in 1975.
Vietnam caused a number of important changes in American attitudes. One was
increased resistance to the cold war urge to fight communism everywhere. Second,
Americans saw more clearly that the bipolar system was crumbling, especially as
relations between the Soviet Union and China deteriorated. Beginning approxi-
mately with the administrations of Soviet leader Leonid I. Brezhnev (1964–1982)
and American President Richard M. Nixon (1969–1974), U.S.-Soviet relations began
to improve, albeit fitfully. Nixon accurately assessed the changing balance of power,
48 CHAPTER 2 The Evolution of World Politics

especially the rise of China, and he moved to improve relations through a policy of
détente with Moscow and Beijing. They came to similar realpolitik conclusions
about the changing power configuration of the international system and sought
improved relations with Washington.

The End of the Bipolar System

During the 1970s and early 1980s, relations between Moscow and Washington
continued to warm, fitfully at first, then more rapidly. Mikhail S. Gorbachev became
the Soviet leader in 1985 and instituted a range of reforms designed to ease the Soviet
Union’s oppressive political system and to restructure its cumbersome bureaucratic
and economic systems. While Gorbachev’s goals were limited, he opened a Pandora’s
box for the communist Soviet Union and unleashed forces that were beyond his
control.
Web Link Gorbachev also sought better relations with the West in an effort to reduce the
A site that has some interesting USSR’s burdensome military spending, to improve trade, and to accrue other eco-
video clips of notable foreign nomic benefits. Among other things, Gorbachev announced that the USSR would let
policy speeches by U.S. presi- Eastern Europeans follow their own domestic policies. They responded by moving
dents related to the cold war quickly to escape Moscow’s orbit. This was symbolized most dramatically in East
is in the April 2006 edition
of the U.S. Department of
Germany, where the communist government fell apart rapidly. East German guards
State’s electronic journal at withdrew from their posts along the Berlin Wall, which physically divided its city and
http://usinfo.state.gov/journals/ symbolized the overall East-West split, and protesters and souvenir hunters soon
journala.htm. tore most of the barrier down. East Germany dissolved itself in October 1990, and its
territory was absorbed by West Germany into a newly reunified Germany. Other
communist governments in the region also fell, and the Warsaw Pact dissolved in
early 1991. It was hard to believe then, but the Soviet Union was next. It collapsed,
and its constituent republics declared their independence. On December 25, 1991,
Gorbachev resigned as president of a country that no longer existed. That evening,
the red hammer-and-sickle Soviet flag was lowered for the last time from the Kremlin’s
spires and replaced by the red, white, and blue Russian flag. Few novelists could have
created a story of such sweep and drama. The Soviet Union was no more.

THE TWENTY-FIRST CENTURY:

THE GENESIS OF A NEW SYSTEM

“What’s past is prologue,” Shakespeare comments in The Tempest. That is as true for
the real world of today and tomorrow as it was for the Bard’s literary world of yester-
day. One hopes that no future historian will write a history of the 21st century under
the title The Tempest. Titles such as As You Like It or All’s Well That Ends Well are more
appealing possibilities for histories yet to be. It is we who will write the script for the
history to come. As Shakespeare tells us in Julius Caesar, “It is not in the stars to hold
our destiny but in ourselves.” The sections that follow will help you determine your
preferences for the future by examining the factors and trends that will benefit or
beset the world “tomorrow, and tomorrow, and tomorrow,” as Macbeth put it.

The Polar Power Structure in the Twenty-First Century

Few changes in the polar configuration of power have had as decisive a symbol as the
collapse of the Soviet Union in 1991. Clearly the bipolar system is gone. What is not
certain is how to characterize the current, still evolving system (Thompson, 2006).
 The Twenty-First Century: The Genesis of a New System 49

Although not all scholars would agree, the view here is that what exists in the first
decade of the 21st century is best described as a limited unipolar system that is strug-
gling to become a multipolar system.

A Unipolar Moment
Just before the Soviet Union’s final collapse, analyst Charles Krauthammer (1991:23)
wrote an article entitled “The Unipolar Moment.” It disagreed with the widespread
assumption that a multipolar system was forming to replace the anticipated end
of bipolarity. “The immediate post–cold war world is not multipolar,” he observed.
“It is unipolar. The center of world power is the unchallenged superpower, the United
States.” This view sees the United States as the world’s hegemonic power, that
is, possessing influence far beyond any other power. Concurring, another scholar
writes, “We have entered the American unipolar age” (Ikenberry, 2004:609). And a
third observes, “Not since Rome has one nation loomed so large above the others”
(Nye, 2002:545). The implication of this status is that the “United States . . . [as]
a global hegemon . . . has formidable tools at its disposal, and it can wield its
power effectively to attain important policy objectives” (Layne, 2006:45). Certainly
U.S. military power is prominent among these tools. U.S. arms with some allied sup-
port twice defeated Iraq (1991, 2003) and overwhelmed Serbia (1999) in wars that
were wildly one-sided, mostly because of the vast and growing lead of U.S. military
technology. However, U.S. dominance is not just based on military might. Instead,
according to France’s foreign minister, “U.S. supremacy today extends to the econ-
omy, currency, military areas, lifestyle, language, and the products of mass culture
that inundate the world, forming thought and fascinating even the enemies of the
United States.”1
Reasonably, the question arises, “If the United States is the world’s hegemonic
power, then why does it not always get its way?” The reason is, “Hegemony is not
omnipotence” (Layne, 2006:43). There are numerous factors that restrain the United
States:
■ Military power is much better at deterring attacks than it is at compelling
others to act according to your wishes. www
■ Military power is better at dealing with other established military forces than
it is at dealing with insurgencies and terrorism. JOIN THE DEBATE
■ Being a hegemon does not mean that all other states are powerless or that The United States and
they are willing to accept your dominance. Indeed, the opposite is true, and Hegemonic Power
there is a multipolar urge.

Many analysts believe that

world politics is currently a
unipolar or perhaps limited
unipolar system, in which
the dominant, or hegemonic,
power is the United States.
50 CHAPTER 2 The Evolution of World Politics

The Multipolar Urge

In his poem, “Mending Wall,” Robert Frost wrote about the seemingly inexorable
forces of nature that topple stone walls. Wisely he observed:
Something there is that doesn’t love a wall,
That wants it down.

Similarly, there is something in the balance-of-power nature of the international sys-

tem that does not like unipolarity. U.S. dominance rankles many countries, whether
they were allies, enemies, or neutrals in the cold war era (Layne, 2006a; Malone &
Khong, 2003). In 2005 after a group of U.S. senators met in Paris with President
Jacques Chirac, they told reporters that he had stressed his belief that the interna-
tional system was multipolar and implied that France was one of the multiple power
centers. Chirac “still doesn’t like the idea of the unipolar world with the United States
as top dog,” Senator Joseph R. Biden, Jr. (D-DE) noted astutely.2 Other countries’
leaders have also noted their opposition to unipolarity. Among them, Russia’s Presi-
dent Vladimir Putin has argued, “The world order can and should be multipolar,”
and Prime Minister Atal Behari Vajpayee of India spoke favorably of a “cooperative
multipolar world order.”3
These expressions of support for a multipolar world by the leaders of France,
www India, and Russia do not mean that they are anti-American, merely anti-unipolarity.
The reason is that a world in which there is one dominant power, the United States
in this case, is an international system in which all other countries are at least partly
MAP
European Colonization subordinate. We will see in chapter 3 that unipolarity arguably has some benefits, but
1500–2000 it is a difficult state of affairs for any sovereign country (other than the single super-
power, of course) to accept. In addition to this resistance, some critics charge that the
United States is wandering into “hegemonic quicksand” by stubborn unilateralism
and by squandering its power in Iraq and elsewhere in an ill-conceived pursuit of
empire (Brzezinski, 2004:16). This view leads critics of U.S. policy to argue that to
the extent that U.S. hegemonic power exists, the unipolar moment will soon pass
(Cockburn & St. Clair, 2004; Mann, 2004).

Limited Unipolarity
There is no precise line where unipolarity begins and ends. This vague boundary is
one reason why all analysts do not agree that the world is unipolar. Although unipo-
larity does not imply absolute power, the important challenges that exist to U.S.
power lead some analysts to depict the current state of affairs as a limited unipolar
system. The most important of the restraints on U.S. power result from the extensive
degree to which the United States, like all countries, is intertwined with and reliant
on other countries. For example, the U.S. war on terrorism will make little progress
unless other countries cooperate in identifying and arresting terrorists within their
borders and dismantling the financial networks on which terrorists often rely. Simi-
larly, the U.S. economy may be the world’s most powerful, but it depends heavily
on favorable trade relationships with other countries for its prosperity. A third exam-
ple involves the frequent U.S. need for diplomatic support. The simmering crisis
with North Korea is likely to be resolved much more easily if the region’s countries,
especially China, cooperate with Washington in persuading Pyongyang to give up its
nuclear weapons program. The point is that because the United States frequently
benefits from the cooperation of others, it can only go so far in riding roughshod over
their preferences on a range of issues (Patrick & Forman, 2002).
Currently, there are probably not too many issues on which a determined
Washington cannot get its way. Almost by definition, a hegemonic power attempts to
 The Twenty-First Century: The Genesis of a New System 51

DEBATE THE POLICY SCRIPT

Is Preemptive War Good Policy?
In “The National Security Strategy of the United States of because of that? Another worry is that if you claim the right to
America,” a 2002 report to Congress, President George W. preemptive war, others also have that right. It is important to
Bush argued that Americans were increasingly threatened by ask yourself if world stability and security are enhanced or less-
terrorism and weapons of mass destruction. To address these ened by the universal application of the principle of legitimate
dangers, he announced that, “As a matter of common sense preemptive war.
and self-defense, America will act against such emerging Legal controversy about preemptive war theory centers on
threats before they are fully formed. . . . [T]he only path to the obligations of the United States and every other country
peace and security is the path of action.” In essence, the pres- that has signed the UN Charter, which is a binding treaty. Two
ident declared that the United States reserved the right to articles in the Charter are especially relevant. Article 51 says
strike enemies before they attacked Americans. that “nothing in the Charter” should be interpreted as denying
Theory became reality when the United States invaded Iraq a country “the inherent right of individual or collective self-
in 2003. Speaking to the nation, Bush argued that Iraq “threat- defense if an armed attack occurs.” Article 39 stipulates that
ens the peace with weapons of mass murder” and declared, except in self-defense, it is the UN Security Council that “shall
“We will meet that threat now, with our [military forces] so that determine the existence of any threat to the peace, breach of
we do not have to meet it later with armies of firefighters and the peace, or act of aggression and . . . decide what measures
police and doctors on the streets of our cities.”1 shall be taken . . . to maintain or restore international peace
UN Secretary-General Kofi Annan was among those who and security.”
disagreed with President Bush. Annan told the General Deciding about the wisdom of preemptive war is more than
Assembly that the idea of preemptive war “represents a funda- a “for-or-against” choice. Instead, you can be categorically for
mental challenge to the principles on which, however imper- it, categorically against it, or favor preemptive war only in lim-
fectly, world peace and stability have rested for the last 58 years. ited circumstances. If you favor the limited use option, then
My concern is that, if it were to be adopted, it could set prece- you also have to specify when preventive war is permissible
dents that resulted in a proliferation of the unilateral and law- and when it is not. Remember, the standard that you adopt as
less use of force, with or without justification.”2 legitimate for your country also applies to every other country.
Preemptive war, hitting before you get hit, is controversial at
both the practical and legal levels (Walzer, 2004). Pragmatically, What Do You Think?
striking enemies before they attack has clear benefits. How- When, if ever, do threats justify war?
ever, liabilities also exist. What if you are wrong, and people die

shape the international scene to its liking. The unipolar power does so with allies and
other forms of multilateral support when possible, but it acts unilaterally when nec-
essary. Trying to control events also implies being proactive, as least sometimes,
rather than always responding to the initiative of others. These two standards of
hegemony, willingness to exercise unilateral leadership and to act rather than react,
were clearly evident in President George W. Bush’s national security policy, and one
aspect of that policy, preemptive war, is presented for your consideration in the
Debate the Policy Script box, “Is Preemptive War Good Policy?” A suggestion is to
ponder preemptive war in general terms and not to judge it solely by the course of
the U.S. invasion and occupation of Iraq. Policy principle and policy execution are
very different matters.

Future Polarity
Forecasting the future configuration of world power is difficult, beyond the safe-bet
prediction that U.S. hegemony, like that of every other great power in history, will
end. Certainly, as the statements by Chirac and others demonstrate, a great deal of
the diplomatic strategy of many countries seeks to hasten the arrival of multipolarity.
For example, many observers expressed the arguably reasonable suspicion that the
52 CHAPTER 2 The Evolution of World Politics

German and French opposition in 2003 to war with Iraq, which prevented the
United States from getting UN Security Council support of the invasion, was based
in part on a desire to assert their own authority in the system.
Particularly if U.S. policy is overly aggressive and unilateral, it could drive the
next tier of powers, such as Russia and China, into alliance with one another and
opposition to the United States. At the opposite extreme, if the United States drasti-
cally reduces its leadership role, then a multipolar system could quickly reemerge by
default (Ikenberry, 2002; Bender, 2003). One view is that such a system will be state-
centric and look and function much like the traditional multipolar system that existed
in the 19th century (Mearsheimer, 2001). Another view is that the system is evolving
toward becoming a modified multipolar system. Such a system would not look or
operate like a traditional multipolar system because states and alliances are now
being joined as important actors by regional and global international organizations,
such as the European Union (EU) and the United Nations (UN). These new types of
major actors could well change the dynamics of the international system in ways that
are discussed in chapters 3 and 7.
Americans themselves are another major factor that will determine the future
of U.S. hegemony and the shape of the international system. While the prospect of
shaping the world appeals to many Americans and the United States gains many ben-
efits from being a hegemonic power, there is also a price to be paid. One is the cost,
including the massive amounts that the United States spends on national security. A
related cost is the lives that are lost applying military power. A third cost stems from
often being vilified. As discussed above, there is widespread antagonism toward
hegemony. Even countries that benefit from the dominant state’s power are restive to
some degree. As such, some, although certainly not all, of the fear and anger that
many countries and people express about the dominant power is not related to its
policies but instead is a dynamic of a unipolar system reality that no hegemonic
power has ever been beloved by the world it dominates.
The question is whether, to what degree, and how long Americans will be will-
ing to accept the burdens as well as the benefits of hegemony. The middle course,
being active in the world but emphasizing multilateral efforts, requires less effort, but
it sometimes entails a willingness to forego pursuit
FIGURE 2.2 American Views of the goals that do not enjoy support of a substan-
on the U.S. Global Role tial part of the international community. At the other
Unsure extreme, isolationism, such as defending the United
Single leader 4% States and its territories from military and economic
12% attack while letting events in the rest of the world
take their course without a U.S. response, could be
done at a small fraction of the annual U.S. defense
No leadership role budget. This would be especially true if the United
10% Shared States were willing to use all its power, including its
leadership
74% nuclear arsenal, to deter and respond to an attack
that had begun or was clearly imminent. Yet isola-
tionism also might mean global realities that offend
American values and that are inimical to long-term
U.S. interests. To a substantial degree, which role the
When asked what if any leadership role they want the United States to
United States will play depends on what the American
play, most people prefer shared leadership, with only small minorities
wanting either to abandon leadership or to dominate the world.
public wants or at least will tolerate. For now, as
evident in Figure 2.2, a majority of Americans sup-
Data source: Pew Research Center and Chicago Council on Foreign Relations poll,
October 2005; data provided by The Roper Center for Public Opinion Research,
port playing an active role in world politics, but less
University of Connecticut. than 20% want to play the part of the hegemonic
 The Twenty-First Century: The Genesis of a New System 53

power. Therefore, presidents risk a politically dangerous backlash if they follow a

policy that Americans feel overextends their country’s global political involvement.

Other Power Changes in the Twenty-First Century

The shifts in the polar structure are not the only changes in power that will have im-
portant consequences during the coming century. Also of significance now is a grow-
ing shift of power away from the West, the challenges to the authority of the state in
the international system, and changes in how we seek security.

The Weakening Western Orientation of the International System

Another ongoing change is the weakening of the dominant Western orientation of the
international system as a result of the expansion of the number and power of non-
Western states. The colonial empires established by the imperial Western powers col-
lapsed after World War II, and in the ensuing years over 100 new countries have gained
independence. The vast majority of these new countries are located in Africa, Asia, and
other non-Western regions, as evident in the map below. A few, especially China, have
achieved enough power to command center stage. Even the smaller non-Western
countries have gained a stronger voice through their membership in international
organizations. For example, non-Western countries now command a majority in the
UN General Assembly, and in the Security Council the U.S. attempt in 2003 to gain
support for war with Iraq failed because Washington was unable to persuade such
Council members as Angola, Mexico, and Pakistan to support the U.S. position.

The Common Colonial Experience of Non-Western Countries

The West: Europe and principal

European-heritage countries

Non-Western countries and

territories experiencing colonial
control by a country of the West
at any time, 1800 to present

Non-Western countries and

territories experiencing colonial
control by another Non-Western
country at any time, 1800 to present

Non-Western countries
continuously free from control by
a European or European-heritage 0 1000 2000 Miles
Scale: 1 to 180,000,000
country since 1800 0 1000 2000 3000 Kilometers

Most countries of the South share a past of having been direct or de facto colonies. With a few
exceptions, the colonial power was a European country or the United States. There is a very short list of
non-Western countries that did not come under control, and even most of those experienced outside
domination. Much of China, for example, was divided into spheres of influence among European
countries and Japan.
54 CHAPTER 2 The Evolution of World Politics

While the non-Western countries have many differences, they share several
commonalities. Most struggle economically, are ethnically/racially not Eurowhite,
and share a history of being colonies of or being dominated by Eurowhites. Further-
more, the value systems of many of these countries differ from Western values. Just
one reason is that Eurowhite countries tend to base their values in major part on
Judeo-Christian tradition, while other countries draw on the values of Islam, Confu-
www cianism, Hinduism, and other non-Western religions and philosophies.
It should not be surprising, then, that many of these new or newly empowered
WEB POLL
countries support changes in the international system. The result of all this is that the
What Does the Future perspectives and demands of these countries are considerably changing the focus and
Hold for World Politics? tone of world political and economic debate.

Challenges to the Authority of the State

Web Link Along with the changing polar configuration and the rise of non-Western states, the
A short version of Benjamin 21st-century system is also being affected by the fact that states’ starring role in the
Barber’s “Jihad vs. McWorld” world drama has become somewhat less secure. This idea is captured by Benjamin
can be read in article form Barber (1996) in his book, Jihad vs. McWorld: How Globalism and Tribalism Are Re-
online at: www.globalissues.org/ shaping the World. He contends that the authority of states is being eroded by antithet-
Geopolitics/WarOnTerror/
ical forces. Pushing in one direction, some forces (jihad or tribalism) are fragmenting
McWorld.asp.
states. Pushing on states in the other direction are forces to merge into an integrated
world (McWorld) through a process called globalization. Barber (p. 4) worries that
the first direction leads to the “grim prospect of a retribalization of large swaths of
humankind by war and bloodshed: a threatened balkanization of nation-states in
which culture is pitted against culture, people against people, tribe against tribe, a Jihad
in the name of a hundred narrowly conceived [identifications and loyalties].” The other
direction, Barber predicts, will meld “nations into one homogeneous global theme
park, one McWorld tied together by communications, information, entertainment,
and commerce.” For now, Barber believes, “Caught between Babel and Disneyland,
the planet is falling precipitously apart and coming reluctantly together at the very
same moment.” If this depiction is correct, it means that the world is moving back to
something resembling the pre-Westphalian system of macroauthority and micro-
authority. Whereas that system’s collapse resulted in the ascendancy of the middle
level of authority (state power), the current system is being challenged by a reverse
process of disintegration of the state into smaller units, and integration of states into
more regional or universalistic wholes.

The Forces of McWorld Many analysts believe that the political, economic, and
social pressures that constitute the forces of McWorld are breaking down the impor-
tance and authority of states and moving the world toward a much higher degree of
political, economic, and social integration.
Political integration, for example, is evident in the increasing number and impor-
tance of international organizations such as the World Trade Organization (WTO).
When there are trade disputes, countries are no longer free to impose unilateral deci-
sions. Instead, they are under heavy pressure to submit disputes to the WTO and
to abide by its decisions.
Economic interdependence, the intertwining of national economies in the global
economy, means that countries are increasingly less self-sufficient. This loss of
economic control diminishes the general authority of a state. There is a lively debate
over what this means for the future of states. One likely scenario is that advanc-
ing globalization will increasingly reduce the relevance of states, their ability to
 The Twenty-First Century: The Genesis of a New System 55

This image of a Chinese heavy metal fan dancing at a performance of Sebastian

Bach and his band during the Beijing Pop Festival in 2006 is not the rarity it
once was, given the degree of cultural globalization that has occurred in recent
decades.

unilaterally determine their course of action, and their prac-

tical, perhaps even legal, sovereignty, a possibility discussed in
chapter 6.
Social integration is also well under way, in the view of
many scholars. They believe that the world is being integrated—
even homogenized—by rapid travel and communication and by
the increased interchange of goods and services. People of dif-
ferent countries buy and sell each other’s products at an ever-
increasing rate; Cable News Network (CNN) is watched world-
wide; the Internet provides almost instant global information
and interpersonal interaction; English is becoming something
of a lingua franca. At a less august level, it is possible to travel
around the world dining only on Big Macs, fries, and shakes
at the more than 31,000 McDonald’s outlets in 119 countries
that serve fast food to about 18 billion customers each year. In
sum, there are indications that the world’s people are moving
toward living in a more culturally homogenized global village.
This outward trend works to weaken inward-looking national-
ism, the primary basis of identification with and loyalty to one’s
country.
There are numerous critics of globalization, and counterpressures exist, as
we will discuss momentarily and even more in chapter 5. For all of these, though,
globalization is a powerful trend that enjoys widespread support globally, as de-
Did You Know That:
tailed in Figure 2.3 on p. 56. Therefore the most pressing question about global-
Television is a major trans-
ization is how it should be shaped, not whether it should continue, which is almost
national force. One common
certain. reference point is CNN,
which is now available in
The Forces of Tribalism States are also being tested by and sometimes collapsing virtually every country on the
because of such pressures as erosive ethnic rivalries. Barber’s main title refers to this world’s 1.7 billion television
sets.
as jihad (an Arabic word that means struggling to spread or defend the faith), but his
other term, tribalism, better captures the process of disintegration.
Whatever the term, there has been an upsurge of states splintering and collaps-
ing under the pressure of secessionist ethnonational groups. Most momentously, the
Soviet Union dissolved into 15 independent countries in 1991, and some of them are
ethnically unstable. The Chechen people, for instance, are engaged in a frequently
bloody struggle to carve an independent Chechnya out of Russia. Similarly, Yugoslavia
broke apart into four countries, and one of its new republics, Bosnia, itself collapsed
in ethnic warfare. In 1998 an already diminished Yugoslavia further convulsed when
ethnic Albanians, who are a majority in Kosovo Province, rebelled. What little was
left of the old Yugoslavia split up yet again in 2006 when Montenegro declared inde-
pendence, leaving Serbia as the last remnant of the Yugoslav federation. Additionally,
if the plan formulated in 2007 by a UN special envoy for Kosovo moves forward,
Kosovo will move decisively toward becoming the sixth sovereign phoenix rising
from Yugoslavia’s ashes.
56 CHAPTER 2 The Evolution of World Politics

FIGURE 2.3 Opinions Elsewhere, Somalia in the early 1990s fell

on Globalization into chaos among warring clans, and it remains a
shell; Czechoslovakia split into two countries; East
Very bad Timor declared its independence from Indonesia;
5%
Somewhat bad Afghanistan struggles for stability among the rival-
13%
ries of its numerous ethnonational groups; the
Very good Hutu massacre in 1994 of hundreds of thousands
17%
of Tutsis exposed the myth of a single Rwandan
people; there is a sometimes violent Basque sepa-
Unsure ratist movement in Spain; and, in an informal refer-
24% Somewhat
good endum among Kurds during the 2005 Iraqi national
Views of
41%
globalization
elections, 95% voted for an independent Kurdistan
in 45 countries by circling the Kurdish flag on the ballot rather
than the Iraqi one. Perhaps most distressingly,
Globalization enjoys majority support around the world, according to the Sudan has been wracked since 2003 by violence
results of a survey in 45 countries. However, support for globalization is between the country’s Arab Muslims, who control
guarded. Only 17% of the respondents said globalization was very good, the government, and black Muslims who live in the
while 41% characterized it as merely somewhat good and almost a western area of Darfur. Over 200,000 people have
quarter of those polled were unsure of globalization’s impacts.
died there, largely from attacks by a government-
Note: Countries in the Middle/Near East stretch from Egypt to Pakistan. The question backed militia called the Janjaweed. The list could
was: “Do you think that globalization is a very good thing, somewhat good, somewhat
bad, or a very bad thing?” go on, but that is not necessary to stress the point
Data source: Pew Research Center (2003). that many states are troubled by ethnonational
tensions.

Security in the Twenty-First Century

On the traditional path the world still follows, each state is responsible for its own
protection and tries to maintain a military capable of defending its national interests.
Other countries may aid a country that has been attacked but only if they find doing
so is in their national interest. For example, the United States came to Kuwait’s aid in
1991, but did so mostly because of oil. If Kuwait produced tropical fruit, it is unlikely
that a half-million U.S. troops would have rushed to defend the world’s banana sup-
ply from Iraqi aggression.
Self-reliance has its advantages, but there are also disadvantages. Cost is one.
Even with the cold war over, cumulative world military expenditures between 1992
and 2005 came to nearly $11.4 trillion. Of these, the U.S. share was $4.4 trillion.
Uncertain effectiveness is the second drawback to the traditional approach to
national security. Critics charge that “national security” is an oxymoron, given the
fact that over 111 million people were killed in wars during the 20th century alone.
This staggering total is almost 6 times more people than were killed in the 19th cen-
tury and 16 times the number of people slain during the 18th century. Thus, even
taking population growth into account, war is killing a greater percentage of humans
each successive century. Most ominously, the advent of nuclear weapons means that
Did You Know That: the next major war could be humankind’s final performance. Moreover, the possibility
At $1.1 trillion, world military
of such an apocalyptic scene being played out has been increased by the proliferation
spending in 2005 was almost of weapons of mass destruction (WMDs) in the form of biological, chemical, nuclear,
twice as much as the com- and radiological weapons, and by the spread of the missile technology to rapidly
bined gross national prod- deliver these WMDs over long distances (Brown, 2003).
ucts of the 47 poverty- The limited ability of national forces alone to provide security was also high-
stricken countries in
sub-Saharan Africa and their
lighted by the terrorist attacks of September 11, 2001. The devastation raised global
741 million people. awareness of what has been termed asymmetrical warfare. As one analyst explained,
“The notion of ‘asymmetrical warfare’ [involves] using unconventional tactics in
 The Twenty-First Century: The Genesis of a New System 57

The front page of Melbourne’s Herald Sun of October 10, 2006,

shows its reaction to North Korea’s test of a nuclear weapon the
day before. Parts of Australia are within range of North Korea’s
missiles. Weapons of mass destruction and the missiles to
deliver them bring into question the ability of countries to
provide security for their citizens.

combat rather than using forces of comparable size

and employing similar tactics in battle. Terrorism
takes the concept of asymmetrical warfare to another
level by not even engaging military forces in battle.”4
And if terrorists with conventional explosives and
even airliners transformed into missiles were not
scary enough, there is increasing concern about the
possibility of terrorists acquiring WMDs.
Given the limited ability of the traditional
approach to provide effective security, the world is
beginning to try new paths toward safety, which
chapter 11 details. Arms control is one approach by
which the world is trying to limit weapons, war, and
perhaps avert Armageddon. During the last decade
alone, new or revised treaties have been concluded
to deal with strategic nuclear weapons, chemical
weapons, land mines, nuclear weapons proliferation,
and several other weapons issues.
International security forces are another part of
the alternative approach. UN peacekeeping forces
provide the most prominent example. Prior to 1948
there had never been a peacekeeping force fielded by
an international organization. In late 2006 there were 16 under way, with about
82,000 military and police personnel from 113 countries deployed. Such forces still
have limited utility, but under different conditions they might offer an alternative to
nationally based security.
The Bush administration came to office in 2001 with a skeptical view of interna-
tional security cooperation, and that attitude was enhanced in 2003 when the Security
Council refused to support the American and British resolution authorizing immedi-
ate force against Iraq. At least part of the inability of Washington to win support for
action against Iraq was the disagreement of many countries and even many Americans
with the idea of striking first. Where do you stand on this issue after considering the
points raised in the earlier decision box, “Is Preemptive War Good Policy?”

www
Global Economics in the Twenty-First Century
There are a number of trends since World War II that will continue to affect the in- SIMULATION
ternational system as this century evolves. Economic interdependence and economic You Be the Policy Maker:
Who Should Be in Charge
disparity between the few wealthy countries and the many relatively poor ones are of
of Peacekeeping?
particular note.

Economic Interdependence
One trend that has gained considerable momentum since World War II is the growth
of economic interdependence. The trade in goods and services during 2006 exceeded
58 CHAPTER 2 The Evolution of World Politics

$14 trillion; Americans alone own more than $11.1 trillion in assets (companies,
property, stock, bonds) located in other countries, and foreigners own more than
$13.6 trillion in U.S. assets; the flow of currencies among countries now equals about
$2 trillion every day. The impact of this increasingly free flow of trade, investment
capital, and currencies across national borders is that countries have become so
mutually dependent on one another for their prosperity that it is arguably misleading
to talk of national economies in a singular sense.
To deal with interdependence, the world has created and strengthened a host of
global and regional economic organizations. The leading global economic organiza-
tions are the World Bank, the International Monetary Fund (IMF), and the World
Trade Organization (WTO). Among the numerous regional economic organizations
are the Association of Southeast Asian Nations (ASEAN), the European Union (EU),
and the Southern Common Market (Mercosur) in South America.
Before leaving our discussion of economic interdependence, we should note that
the course of economic globalization is not smooth nor is its future certain. Trade
and monetary tensions exist among countries. Many people oppose surrendering any
of their country’s sovereignty to the UN, the WTO, or any other international orga-
nization. Other people worry that free trade has allowed multinational corporations
to escape effective regulation to the detriment of workers’ rights, product safety, and
the environment. Yet other critics agree with President Hugo Chávez of Venezuela,
who condemns economic globalization as a “weapon of manipulation” used by the
wealthy countries to keep poor countries in “the never-ending role of producers of
wealth and recipients of leftovers.”5 These and other charges have sparked an up-
surge of opposition to further interdependence and occasionally violent protests
against it. There are, in short, significant choices to be made in how to order finan-
cial relations among countries.

Economic Disparity between North and South

A wide gulf in economic circumstances separates the small percentage of the world
population who live in the few wealthy countries and the large majority of humanity
that lives in the many much poorer countries. The terms North and South are used to
designate the two economic spheres that divide the world. The North represents the
wealthy and industrialized economically developed countries (EDCs), which lie
mainly in the Northern Hemisphere. By contrast, the South is composed of the less
developed countries (LDCs), the majority of which are near or in the Southern
Hemisphere. This categorization does not mean that the world is divided precisely
between wealthy and poor countries. Instead their economic circumstances range
from general opulence (the United States) to unbelievable poverty (Bangladesh).
There are a few countries, such as Portugal, grouped with the North that are far from
rich. And there are some countries of the South, including a few petroleum export-
ing countries and such newly industrializing countries (NICs) as South Korea, that
have a standard of living that exceeds some EDCs. Moreover, there are some wealthy
people in LDCs and numerous poor people in EDCs. A somewhat more gradual
economic classification of countries is used by the World Bank. It groups countries
according to per capita gross national product (GNP, also called gross national
income, GNI) into four groups. Categories of low income, lower middle income,
higher middle income, and high income groups show that more than half the world’s
countries fall into the two lower ranges. The 2006 per capita GNP categories and
number of countries in each group that year are shown in Table 2.1.
Whatever classification scheme is used, the core reality is that there is a huge
economic disparity between North and South. In 2005, the per capita GNP of the
(continued on next page)
 The Twenty-First Century: The Genesis of a New System 59

The World Bank’s economic

TABLE 2.1 Economic Classification of Countries classifications indicate vast
disparities in wealth among
World Bank income
countries.
groups (2006) Per capita GNP range Number of countries

Low income $825 or less 59

Lower middle income $826–$3,255 53
Upper middle income $3,256–$10,065 38
High income $10,066 and up 42

Data source: World Bank online.

North was $35,131, which is 20 times (20:1) as much as the per capita wealth of
the South, $1,746. Of course, many things are less expensive in LDCs than in EDCs, so
another way to compare the data is by factoring in purchasing power parity (PPP),
a measure that adjusts for the cost of living in different countries. This approach nar-
rows the spread, with the North’s per capita GNP-PPP at $32,524 and the South’s at
$5,151. But this is still a ratio of more than 6 to 1 (6:1).
What makes these dry statistics important is that the yawning wealth gap, whether
20:1 or 6:1, has devastating implications for the LDCs. Their children are over
12 times more likely to die before age 5 than are children in the North. As Figure 2.4
shows, the people in countries of the North and those in the South live in virtually

FIGURE 2.4 North-South Differences

Wealth: Per capita gross national product-purchasing power parity
$43,470
$38,980
$34,580
$32,600

$9,420
$2,090 $1,840 $1,500 $920
U.S. Japan Germany Canada World Bangladesh Haiti Uganda Yemen
North South

Health: Life expectancy (years)

82 80 78 77
67 63 61
52 49

Japan Canada Germany U.S. World Bangladesh Yemen Haiti Uganda

North South

One way to measure the difference between the lives of people in the North and those in the South are
per capita GNP-PPP wealth and life expectancy. By these, and many other standards, the people of the
South are severely disadvantaged compared to those who live in the North. GNP-PPP is gross national
product–purchasing power parity, that is, adjusted for living costs differences among countries.
Data source: World Bank online.
60 CHAPTER 2 The Evolution of World Politics

different worlds. The North is predominantly a place of reasonable economic security,

literacy, and adequate health care. By contrast, the lives of the people of the South are
often marked by poverty, illiteracy, rampant disease, and early death. One ramifica-
tion of the weakening Western orientation of the international system discussed ear-
lier is that this economic inequity is causing increased tension between the North
and South. The LDCs are no longer willing to accept a world system in which wealth
is so unevenly distributed.
Many people in the South blame much of their poverty on past colonial sup-
www pression and on what they believe to be continuing efforts by the EDCs to dominate
the LDCs by keeping them economically and politically weak. Some in the North
SIMULATION
agree with this analysis. While such feelings do not justify terrorism, it is important
Systems of Political Power to understand that the widespread grinding poverty among the LDCs is one of the
factors that led to the rage behind the September 11, 2001, attacks on the United
States. President Bush later indirectly acknowledged that by pledging to take such
actions as doubling the size of the Peace Corps so that it could “join a new effort to
encourage development and education and opportunity in the Islamic world,” with
the goal of “eliminating threats and containing resentment” in order to “seek a just
and peaceful world beyond the war on terror.”6
www The point, whether or not you believe that the EDCs oppress the LDCs, is that
choices must be made. One option for the wealthy countries is to ignore the vast
ANALYZE THE ISSUE difference in economic circumstances between themselves and the LDCs. The other
The Group of 77 option is to do more, much more, to help. Both options carry substantial costs.

Quality of Life in the Twenty-First Century

The last few decades have spawned several changes involving the quality of human life
that will continue to affect world politics in the new century and the choices we must
face. Preserving human rights and the environment are two matters of particular note.

Human Rights
Violations of human rights have existed as far back into history as we can see. What
is different is that the world is beginning to condemn human rights violations across
borders and sometimes take action. International tribunals are trying individuals
accused of war crimes and crimes against humanity in Sierra Leone, Rwanda, and the
Balkans, and efforts are under way to constitute a new one to prosecute those com-
mitting atrocities in Darfur. Importantly, the reach of the law is extending to the high-
est levels. The former president of Yugoslavia, Slobodan Milosevic, was on trial for war
crimes in the Balkans before he died in prison of heart failure in 2006, and Liberia’s for-
mer President Charles Taylor has been charged with 650 counts of war crimes during
his country’s civil war and is in UN custody awaiting trial. Such prosecutions may be-
come even more common now that the newly created (2003) permanent International
Criminal Court (ICC) located in The Hague, the Netherlands, has begun to investigate
alleged war crimes in several conflicts and has issued its first arrest warrants.
Demands for the protection of human rights are louder and stronger in numerous
other areas. The rights of women are just one of these. Women have become in-
creasingly active in defense of their rights around the world, and they have received
support from many governments and international organizations. Women are “no
longer guests on this planet. This planet belongs to us, too. A revolution has begun,”
Tanzanian diplomat Gertrude Mongella has proclaimed with considerable accuracy.7
It would be naïve to pretend that the end of human rights abuses is imminent
or that progress has not been excruciatingly slow. Yet it would also be wrong not to
 The Twenty-First Century: The Genesis of a New System 61

recognize that there is movement. Leaders now regularly discuss human rights con-
cerns; that was virtually unheard of not long ago. Sometimes, countries even take
action based on another country’s human rights record. Human rights conferences are
no longer unnoticed, peripheral affairs. A significant number of human rights treaties
have been signed by a majority of the world’s countries. In sum, what was once
mostly the domain of do-gooders has increasingly become the province of presidents
and prime ministers.

The Environment
The mounting degradation of the biosphere is a by-product of the rapidly expanding
world population and the technological changes that began with the industrial revolu-
tion. Considerable damage has been done to the world’s land, air, and water by pollu-
tion, forest destruction, and other abuses. Additionally, many natural resources are
disappearing. Among the many facets of repairing the damage and easing or at least
halting these continued destructive practices, the greatest challenge is to achieve
sustainable development. This requires achieving two seemingly contradictory goals:
(a) continuing to develop economically while (b) simultaneously protecting the envi-
ronment. Much needs to be done, but some progress is being made. Among other
advances, the subject has shifted from the political periphery to presidential palaces.
Many leaders now realize that their national interests are endangered by environmental
degradation, as well as by military and economic threats. For example, a U.S. national
security report concluded that environmental problems “compromise our national se-
curity,” and warned of potentially “devastating threats if we fail to avert irreparable dam-
age to regional ecosystems and the global environment. Other environmental issues,
such as competition over scarce fresh water resources,
are a potential threat to stability in several regions.”8 FIGURE 2.5 Annual
The need to balance economic development and Carbon Dioxide Emissions
environmental protection is recognized by almost Billions of metric tons of 19.8
everyone, yet achieving sustainable development will CO2 annually discharged
not be easy. Among other challenges, the LDCs need into the atmosphere World totals
extensive assistance to develop in an environmentally
responsible way. UN officials have placed that cost as 11.6 14.9 15.3
high as $125 billion a year, and the financial weak- LDCs
9.2
ness of the South means that the only source for much 7.6 7.3 10.5
of this funding is the North. One reason for the North 5.5 6.3
5.0
to help, some observers argue, is because over the 4.3 4.4 4.5
4.0 4.1
last 250 years it was and remains the source of a sub- 3.9 3.5
4.2 EDCs
stantial majority of most pollutants, despite having 1.6 2.3
less than one-fifth of the world population. “You can’t 1990 2000 2010 2020 2030 2040 2050
have an environmentally healthy planet in a world
that is socially unjust,” Brazil’s president noted.9 Historically, the economically developed countries (EDCs) have annually
Although not everyone agrees with the social jus- discharged most of the world’s carbon dioxide (CO2). However, the CO2
tice view, self-interest is a second arguable reason for emissions of less developed countries (LDCs) and their share of global
CO emission have both increased. If this trend continues, LDC emissions
the North to help the South. Pollution and the prob- will2surpass those of the EDCs in 2013 and spiral dangerously upward.
lems it spawns, like global warming caused by the The conundrum of sustainable development is how to encourage the
buildup of carbon dioxide (CO2) in the atmosphere, LDCs to continue to develop their economies while simultaneously
do not recognize national borders. To better under- avoiding further increases in CO2 emissions.
stand the North’s stake in LDC development and its Note: A metric ton equals 2,204.6 pounds. There are two ways to calculate CO2 emissions.
impact on the environment, consider Figure 2.5. The method used here by the U.S. government and others can be converted into the
data reported by the World Bank and others using the other method by multiplying by
It shows that while the LDCs with about 85% of the 44/12. The reverse calculation is to divide by 3.6667.
world population still emit less CO2 than do the Data source: World Bank; U.S. Department of Energy.
62 CHAPTER 2 The Evolution of World Politics

EDCs, this relationship is changing dramatically because of the efforts of the LDCs to
upgrade their economies and their standards of living. If the changes that occurred
between 1990 and 2000 continue, the LDCs will soon produce most of the CO2
and world emissions will skyrocket to almost 73 billion metric tons in 2050. Even
then, the LDCs will still be generating only 7.2 metric tons per capita, compared to
12.7 metric tons per capita in the EDCs.

CHAPTER SUMMARY

THE EVOLVING WORLD SYSTEM: EARLY DEVELOPMENT countries and transnational actors became more
1. This chapter has two primary goals. One is to estab- important, the expense of continuing confrontation
lish a reference framework from which the histori- strained American and Soviet budget resources,
cal examples used in this book can be understood and the relative power of the two superpowers
in context. The second goal is to sketch the evolu- declined. The bipolar system ended in 1991 when
tion of the current world political system. the Soviet Union collapsed.
2. The genesis of the modern world system can be 7. During the 20th century, nationalism also under-
traced to the classical civilizations of ancient Greece mined the foundations of multiethnic empires.
and Rome. Four important political concepts— European contiguous empires, such as the Austro-
the territorial state, sovereignty, nationalism, and Hungarian Empire, disintegrated. The colonial
democracy—have evolved from these ancient states. empires dominated by Great Britain, France, and
3. Following the fall of the Roman Empire during the other Eurowhite countries also dissolved.
Middle Ages until 1500, governance rested in a
universalistic authority on the one hand and a THE TWENTY-FIRST CENTURY:
local, microlevel authority on the other. THE GENESIS OF A NEW SYSTEM
4. The current world system began to develop around 8. There are numerous new trends, uncertainties,
the 15th century, when modern states started to and choices to make as we enter the 21st century.
form due to a process marked by both integration One significant question is what will follow the
and disintegration of earlier political authority. bipolar system. For now a limited unipolar system
The Treaty of Westphalia (1648), more than any exists, with the United States as the dominant
other event, demarcated the change between the old power, but numerous forces are working to under-
and the new systems. With the sovereign state at its mine U.S. power and move the system toward
center, the newly evolving system is anarchical. a more multipolar configuration. That could be
5. Several changes occurred during the 1700s and a classic state-centric system or a modified multi-
1800s that had an important impact on the inter- polar system, in which global and regional inter-
national system. The emergence of the concept of national organizations, as well as states, play key
popular sovereignty involved a shift in the idea of roles.
who legitimately controls the state. The divine 9. Another shift in the international system is its
right of kings gave way to the notion that political weakening Western orientation. The number and
power does, or ought to, come from the people. strength of non-Western countries have grown
During these two centuries, the system also became substantially, and the strength of these states will
Westernized and the multipolar configuration almost certainly continue to grow in this century.
reached its apogee. These countries often have values that differ from
those of the Western countries.
THE EVOLVING WORLD SYSTEM: 10. Challenges to the authority of the state represent a
THE TWENTIETH CENTURY third shift in the international system, which has
6. The 20th century witnessed the most rapid evolu- strong implications for the 21st century. There are
tion of the system. The multipolar system tottered, both disintegrative internal challenges to the state
then fell. The bipolar system declined as other and integrative external challenges.
 Key Terms 63

11. The pursuit of peace is also at something of a cross- integration or to halt that process and follow more
roads. The destructiveness of modern weaponry traditional national economic policies. If the deci-
has made the quest for peace even more impera- sion is to continue toward greater economic inte-
tive. There are two overriding issues. One is how to gration, then a second choice is how to regulate
respond to the challenge that asymmetrical war- the global economy to deal with the legitimate
fare presents to traditional national defense strate- concerns of those who are suspicious of or even
gies. The second is whether to seek overall security outright opposed to greater globalization.
through the traditional approach of self-reliance 13. The effort to resolve the wide, and in many ways
or to place greater emphasis on international growing, gulf between the economic circumstances
peacekeeping, arms control, and other alternative of the countries of the economically developed
international security approaches. North and the less economically developed South
12. The international economy is also changing in is also a mounting issue in the new century.
ways that have important implications for the 14. A final set of issues that must be addressed in the
21st century. Economic interdependence has pro- new century involves the quality of life: human
gressed rapidly. The transnational flow of trade, rights and the environment. Both issues have be-
investment capital, and currencies has economi- come the subject of much greater international
cally entwined all countries. There are, however, awareness, action, progress, and interaction. Yet
counterpressures, and countries have important ending the abuses of human rights and protecting
choices to make in the near future. One is whether the environment are still distant goals.
to continue down the newer path to economic

For simulations, debates, and other interactive activities, a chapter quiz, Web links,
and much more, visit www.mhhe.com/rourke12/ and go to chapter 2. Or, while
accessing the site, click on Course-Wide Content and view recent international rela-
tions articles in the New York Times.

KEY TERMS

anarchical political system Eurowhite multipolar system Renaissance

appeasement policy feudal system Munich Conference South
asymmetrical warfare globalization nationalism sovereignty
balance of power gross national product newly industrializing state
bipolar system (GNP) countries (NICs) superpower
cold war hegemonic power North sustainable development
containment doctrine Holy Roman Empire North Atlantic Treaty Third World
détente imperialism Organization (NATO) Treaty of Westphalia
East-West axis industrial revolution popular sovereignty tribalism
economic international system power poles weapons of mass
interdependence less developed countries Protestant Reformation destruction (WMDs)
economically developed (LDCs) purchasing power West
countries (EDCs) limited unipolar system parity (PPP) westernization of the
ethnonational groups McWorld realpolitik international system
C H A P T E R

3 INDIVIDUAL-LEVEL ANALYSIS

Levels of Analysis Humans as a Species

Cognitive Factors
Emotional Factors

and Foreign Policy Psychological Factors

Biological Factors
Perceptions
Organizational Behavior
Role Behavior
Search, seek, find out; I’ll warrant we’ll unkennel the fox.
Decision-Making Behavior within
—William Shakespeare, The Merry Wives of Windsor Organizations
Leaders and Their Individual Traits
Dazzle mine eyes, or do I see three suns? Personality
—William Shakespeare, King Henry VI, Part 3 Physical and Mental Health
Ego and Ambition
Political History and Personal Experiences
Perceptions and Operational Reality
Policy as a Mix of Rational and Irrational Factors
STATE-LEVEL ANALYSIS
Making Foreign Policy: Type of Government,
Situation, and Policy
Type of Government and the Foreign Policy
Process
Type of Situation and the Foreign Policy
Process
Type of Policy and the Foreign Policy
Process
Making Foreign Policy: Political Culture
Foreign Policy–Making Actors
Heads of Government and Other Political
Executives
Bureaucracies
Legislatures
Interest Groups
The People
Women are playing a greater role in the politics of their countries and the SYSTEM-LEVEL ANALYSIS
world. This woman is at a first anniversary celebration of the January 2006 Structural Characteristics
inauguration of Ellen Johnson Sirleaf as president of Liberia, the first The Organization of Authority
woman to be elected to head an African country. President Sirleaf, who Scope, Level, and Intensity of Interactions
holds a master of public administration degree from Harvard, has helped Power Relationships
stabilize the country. Indicative of her benign appearance and firm The Number of Powerful Actors
approach, she is widely called “Ma Ellen” and “the Iron Lady.” The Context of Power
Economic Realities
Norms
CHAPTER SUMMARY
 Individual-Level Analysis 65

in chapter 1 and reviewed its history in

H
AVING INTRODUCED THE GLOBAL DRAMA
chapter 2, it is time to turn our attention to what drives the action on the world
stage. Much like the plot of a play, the course of world politics is the story of
the motivations and calculations of the actors and how they put those into action. Be-
cause states have long been and remain the most powerful actors on the world stage,
our focus here will be on how they make and carry out foreign policy. Therefore,
most of what occurs in world politics is a dynamic story of states taking actions and
other states reacting to them, either directly or indirectly through international orga-
nizations. States are certainly not the only global actors, though, and the roles and
decision-making processes of individuals such as Osama bin Laden, international
governmental organizations (IGOs) such as the UN, and international nongovern-
mental organizations (NGOs/transnational groups) such as Greenpeace are taken up
in other chapters.
As the following pages will detail, the foreign policy process is very complex.
Analysts untangle the intricacies by studying foreign policy making from three per-
spectives termed levels of analysis. These include (1) individual-level analysis—the
impact of people as individuals or as a species on policy; (2) state-level analysis—how
the organization and operation of a government affect policy; and (3) system-level
analysis—the external realities and pressures that influence a country’s policy.

INDIVIDUAL-LEVEL ANALYSIS

Individual-level analysis begins with the view that at the root it is people who make
policy. Therefore, individual-level analysis involves understanding how the human
decision-making process—people making decisions (as a species, in groups, and
idiosyncratically)—leads to policy making.

Humans as a Species
The central question is this: How do basic human traits influence policy? To an-
swer that, a first step is understanding that humans seldom if ever make a purely
rational decision. For example, think about how you decided which college to at-
tend. Surely you did not just flip a coin. But neither did you make a fully rational
decision by considering all colleges worldwide and analyzing each according to
cost, location, social atmosphere, class size, faculty qualifications, program re-
quirements, job placement record, and other core considerations. Furthermore,
and making your choice even less rational, it was almost certainly influenced by a
range of emotions, such as how far away from home the school was and whether
you wanted to be near, or perhaps far away from, your family, friends, or romantic
partner. To make things even less rational, you probably had to make a decision
without knowing some key factors of your college experience, such as who your
dorm roommate would be.
It may be comforting to imagine that foreign policy decision making is fully ra-
tional, but the truth is that in many ways it does not differ greatly from your process
in deciding which college to attend and many of the other important choices you
make in life. They, like foreign policy decisions, are influenced by cognitive, emo-
tional, psychological, and sometimes even biological factors, as well as by rational
calculations.
66 CHAPTER 3 Levels of Analysis and Foreign Policy

Cognitive Factors
What you did in choosing your college and what national leaders do when deciding
foreign policy is to engage in cognitive decision making. This means making deci-
sions within the constraints of “bounded rationality.” External boundaries include
missing, erroneous, or unknowable information. To cite an example, President Bush
and Prime Minister Blair had to decide whether to invade Iraq in March 2003 with-
out knowing whether Saddam Hussein would respond with chemical or biological
attacks on U.S. and British forces. Internal boundaries on rational decision making
are the result of our human frailties—the limited physical stamina and intellectual
capacity to study exceptionally complex issues. Whatever the “realities” were during
the crisis leading up to the Iraq War in 2003, the universe of information available
was far more than President Bush, Prime Minister Blair, President Saddam Hussein,
or any human could absorb.
Needless to say, none of us likes to think that we are not fully rational, so we are
apt to adopt one of a range of mental strategies for coping with our cognitive limits.
As illustrations, three such strategies are seeking cognitive consistency, wishful
thinking, and using heuristic devices.

Seeking Cognitive Consistency Decision makers tend to seek cognitive consistency

by discounting ideas and information that contradict their existing views. The
controversy about the snarl of information and misinformation about Iraq’s abilities
and intentions will continue for years, but it is informative to ask why top decision
makers in London and Washington were willing to accept British intelligence that
Baghdad was attempting to buy uranium from Africa and to ignore the substantial
doubts expressed by the CIA. One reason is that the British finding “fit” with the
existing negative images of Saddam Hussein and his intentions, whereas believing
information that there was no nuclear program would have created uncomfortable
cognitive inconsistency.

Wishful Thinking To self-justify our decisions, we humans often convince our-

selves that our choice will succeed (Johnson, 2004). Given the overwhelming forces
he faced, it is hard to understand why Saddam Hussein chose to fight rather than go
safely into exile. The reason, according to some of his former aides, is that he
believed he would survive in power. In the Iraqi dictator’s mind, his military defeat
in 1991 was only a tactical retreat. This wishful thinking was evident just before the
2003 war when a reporter pointed out that the forces facing him were even more
powerful than those that had routed Iraq’s army in the Persian Gulf War and asked,
“Why would you think that you could prevail this time on the battlefield?” The Iraqi
leader replied, “In 1991 Iraq was not defeated. In fact, our army withdrew from
Kuwait according to a decision taken by us. . . . We withdrew our forces inside Iraq
in order that we may be able to continue fighting inside our country.” Extending his
Web Link wishful thinking, Saddam Hussein assured the reporter, “If war is forced upon us,
then Iraq will continue to be here. . . . [We] will not finish just like that, even though
Excerpts from captured Iraqis
about Saddam Hussein and a huge power may want it to be like that.”1
Iraqi thinking before the Iraq
War are included in a CIA report, Using Heuristic Devices A third way humans deal with their cognitive limitations is
Comprehensive Report of the by using heuristic devices. These are mental shortcuts that help us make decisions
Special Advisor to the DCI on
more easily by allowing us to skip the effort of gathering considerable information
Iraq’s WMD, 30 September 2004,
located at https://www.cia.gov/ and analyzing it thoroughly.
library/reports/general-reports-1/ Stereotypes are one type of heuristic device. For example, the willingness of
iraq_wmd_2004/index.html. the U.S. Department of Justice to countenance at least the limited torture of Muslim
 Individual-Level Analysis 67

Wishful thinking is common in human

decision making. Saddam Hussein seemed
to believe that he would politically survive a
war with the United States in 2003 just as
he had in 1991. This may have increased his
willingness to risk war. Wishful thinking
cannot change reality. Saddam appears to
have realized this by the time this photograph
was taken of him during his trial for war
crimes against his own people in the 1980s.
Seven months after this photo was taken,
Saddam was hanged by the Iraqi government
for his crimes.

prisoners suspected of terrorism was arguably voiced in Attorney General John

Ashcroft’s stereotypic comment that “Islam is a religion in which God requires you to www
send your son to die for him. Christianity is a faith in which God sends His son to die
for you.”2 SIMULATION
Analogies are another heuristic shortcut (Dyson & Preston, 2006; Breuning, Heuristic Devices
2003). We make comparisons between new situations or people and situations or
people that we have earlier experienced or otherwise have learned about. One such
mental connection that frequently figures in policy debates is the Munich analogy.
This refers to the decision of France and Great Britain to appease Nazi Germany in
1938 when it threatened Czechoslovakia. World War II signified the failure of ap-
peasement, and the “lesson” later leaders drew was that compromise with dictators
only encourages them. The Munich analogy was clearly in the mind of Secretary of
Defense Rumsfeld when he urged action against Iraq despite the lack of definitive
evidence of Iraqi WMDs, by arguing, “Think of the prelude to World War II . . . [and]
all the countries that said, ‘Well, we don’t have enough evidence.’ . . . There were mil-
lions of people dead because of the miscalculations.”3 As the postwar attempt to
democratize and stabilize Iraq went from bad to worse, opponents of the war used
another analogy, Vietnam. When, for example, President Bush announced in early
2007 that he would “surge” 21,000 extra troops into Iraq, Senator Edward Kennedy
(D-MA) warned, “The Department of Defense kept assuring us that each new escala-
tion in Vietnam would be the last. Instead, each one led only to the next.”4 Figure 3.1
on page 68 shows how broadly the Vietnam analogy to Iraq resonated with Americans
(Schuman & Corning, 2006).

Emotional Factors
Although it is comforting to imagine that decision makers are coolly rational, the
reality is that they get depressed, sad, angry, and experience all the other human emo-
tions. For example, President Jimmy Carter was irate when Iranian students study-
ing in U.S. colleges picketed the White House in 1980 during the hostage crisis
with Iran over its seizure of the U.S. embassy and its staff in Tehran. An incensed
68 CHAPTER 3 Levels of Analysis and Foreign Policy

FIGURE 3.1 Iraq and Carter growled that he would like to “go out on the
the Vietnam Analogy streets myself and take a swing at . . . those bastards”
(Vandenbroucke, 1991:364). Carter could not go
Unsure out on Pennsylvania Avenue and beat up protesters,
The views of
5%
Americans but his anger and desperation to do something
arguably led to his ill-advised and ill-fated attempt
to rescue the hostages. Similarly, President Bush was
outraged by the 9/11 terrorist attacks. “We’re going
Vietnam Vietnam to find out who did this,” he told Vice President
and Iraq not and Iraq
analogous analogous Cheney, “and we’re going to kick their asses.”5
37% 58%
Psychological Factors
Humans share a number of common psychological
traits that also help explain why their feelings and
By 2006, most Americans saw the U.S. presence in Iraq as analogous decisions are usually less than fully rational. One
to the U.S. entanglement in Vietnam (1964–1973). This analogy such approach is frustration-aggression theory,
persuaded some people to advocate a quick U.S. withdrawal from Iraq. which argues that individuals and even societies that
In other cases, the analogy strengthened the convictions of people are frustrated sometimes become aggressive.
already opposed to the U.S. military presence in Iraq. “Why do they hate us?” President Bush rhetori-
Note: The question was: “Do you think the war in Iraq has turned into a situation like cally asked Congress soon after the 9/11 attacks.6
the United States faced in the Vietnam War, or don’t you think so?”
“They hate our freedoms,” was the answer the pres-
Data source: CNN Poll, November, 2006; data provided by The Roper Center for
Public Opinion Research, University of Connecticut. ident supplied to his own question. Perhaps, but
others put the source of rage in a very different light.
Based on polling in nine Muslim countries, one analyst suggests that rather than a
hatred for freedom, the reason for the widespread negative opinions among Muslims
is that, “The people of Islamic countries have significant grievance with the West and
the United States in particular” based on their view that the United States is “ruth-
less, aggressive, conceited, arrogant, easily provoked, [and biased against Mus-
lims].”7 It is not necessary to agree with Muslims, especially Arabs, to understand
their sense of frustration over the lack of a Palestinian homeland, the underdevelop-
ment that characterizes most of the Muslim countries, or the sense of being domi-
nated and sometimes subjugated by the Christian-led West (Zunes, 2005). Nor does
one have to agree that Muslims’ anger justifies the violence that has sometimes
occurred to pay heed to the old maxim that an “ounce of prevention is worth a pound
of cure.” Preventing terrorism surely includes building defenses and bringing terror-
ists to justice. Those are half-measures, though, and they will be much enhanced
by addressing the root causes of terrorism rather than by simply waging war on the
terrorists themselves.

Biological Factors
Although they are highly controversial, various biological theories provide yet an-
other way to explain why human decisions fall short of being fully rational. One of
the most important issues in human behavior is the degree to which human actions
are based on animal instinct and other innate emotional and physical drives or based
on socialization and intellect. With specific regard to politics, biopolitics examines
the relationship between the physical nature and political behavior of humans.
Biopolitics can be illustrated by examining two approaches: ethology and gender.

Ethology The comparison of animal and human behavior is called ethology. Konrad
Lorenz (On Aggression, 1969), Desmond Morris (The Naked Ape, 1967), Robert
Ardrey (The Territorial Imperative, 1961), and some other ethologists argue that like
 Individual-Level Analysis 69

animals, humans behave in a way that is based partly on innate characteristics. Web Link
Ardrey (pp. 12–14), for example, has written that “territoriality—the drive to gain, To learn more about the parallels
maintain, and defend the exclusive right to a piece of property—is an animal between the behavior of
instinct” and that “if man is a part of the natural world, then he possesses as do all primates and humans, click
other species a genetic . . . territorial drive as one ancient animal foundation for that the “Chimpanzee Central”
link on the home page of the
human conduct known as war.”
Jane Goodall Institute at
It is clear that territorial disputes between neighboring countries are a common www.janegoodall.org/.
cause of war. As one study puts it, “empirical analyses consistently show that territor-
ial issues . . . are more likely to escalate to war than would be expected by chance”
(Vasquez & Henehan, 2001:123). To an outsider, some of these territorial clashes may
seem rational, but others defy rational explanation. One inexplicable war was the
1998–2000 conflict between two desperately poor countries, Ethiopia and Eritrea, over
tiny bits of territory along their border. The land was described in one press report as
“a dusty terrain of termite mounds, goatherds, and bushes just tall enough for a camel
to graze upon comfortably.” It was, said one observer, “like two bald men fighting over
a comb.”8 Even the leaders of the two countries could not explain why war was waged.
“It’s very difficult to easily find an answer,” Eritrea’s president admitted. “I was sur-
prised, shocked, and puzzled,” added Ethiopia’s perplexed prime minister.9

Gender A second biopolitical factor is the possibility that some differences in polit-
ical behavior are related to gender. An adviser to President Lyndon Johnson has re-
called that once when reporters asked him why the United States was waging war in
Vietnam, the president “unzipped his fly, drew out his substantial organ, and de-
clared, ‘That is why.’”10 Such earthy explanations by male leaders are far from rare in
private, and they lead some scholars to wonder whether they represent a gender-
based approach to politics or are merely gauche.
Political scientists are just beginning to examine whether gender makes a differ-
ence in political attitudes and actions. It is clear that a gender opinion gap exists be-
tween men and women on a range of issues. War and other forms of political violence
is one of those. Polls among Americans going back as far as World War II have almost
always found women less ready than men to resort to war or to continue war. For ex-
ample, two-thirds of American men compared to half of American women supported
going to war with Iraq in 2003.11 This gender gap was again found internationally
with, for instance, men in Australia, Canada, Great Britain, and Italy 10% to 15%
more favorable toward war than their female counterparts. Indeed, cross-national
polls have generally found that the gender gap on war is worldwide, as evident in
Figure 3.2. Polls about attitudes toward other forms of political violence yield simi-
lar results. One survey that asked Muslims in 11 countries about suicide bombings
found that 35% of the men, but only 31% of the women thought they were justified.12
Why do gender gaps exist? Are they inherently rooted in differences in male/
female biological traits, or are they produced by differences in male and female
socialization? The idea of gender, as distinct from sex, is based on the belief that all
or most behavioral differences between men and women are based on learned role
definitions. Thus sex is biology; gender is behavior. There are some, however, who
argue that biology strongly controls behavior. One recent book, Manliness, argues
that aggressive behavior is closely related to sex (Mansfield, 2006: 16, 64, 85, 206).
The author contends that all humans can be aggressive, can exhibit the “bristling
snappishness of a dog,” but suggests that “the manly have this trait in excess.”
Furthermore, manliness includes a distinct sense of territoriality, a factor that can
“connect aggression to defense of whatever is one’s own.” Such behaviors are apt to
become national policy because more manly people (conceivably including women)
70 CHAPTER 3 Levels of Analysis and Foreign Policy

FIGURE 3.2 War and the Gender Gap

90% 90%
86% 86%
Percent of men and Men
women favoring war
against Iraq in 1991 Women

62% 62% 60%

53% 53% 53%
50% 49% 50%
47% 45%47%
41% 43% 41%
40% 39%

24%

14%
7%

Israelis Mexicans British Americans Germans French Belgians Italians Russians Turks Nigerians Japanese

This figure shows the percentages of men and women in favor of using military force to expel Iraq from
Kuwait in 1991. Notice that in all but one country, Turkey, more men than women favored using force.
Also notice the variations among countries. Women cannot be described as antiwar, nor can men be
characterized as pro-war because both men and women in some countries favored war and opposed it
in others.
Note: The American response (Pew) was to a slightly different question than for all others (Wilcox, et al.) and is used here as
generally representative only. Except for Americans, the poll was taken in each country’s capital city. Respondents in the Soviet
Union were therefore mostly Russian.
Data source: Wilcox, Hewitt, & Allsop (1996); Pew Research Center poll, January 1991.

are more likely to be leaders, given that “The manly man is in control when control
is difficult or contested” (Kenneally, 2006).13
This view leads to the question of whether equal representation (or perhaps
dominance) of women in foreign and defense policy making would change global
politics. Concurring with Mansfield that men are particularly prone to bellicosity,
Francis Fukuyama (1998:33) concludes that a world led by women “would be less
prone to conflict and more conciliatory and cooperative than the one we inhabit now.”
Supporting this view, one recent study found that women tend to adopt more collab-
orative approaches to negotiation and conflict resolution, while men pursue more
conflictual ones (Florea et al., 2003). Other studies, however, have found more
mixed results about the potential impact of women decision makers and contend that
a future world dominated by women “would not be as rosy as Fukuyama suggests”
(Caprioli, 2000:271).
What do you think? Would the U.S. invasion of Iraq have occurred if Laura
www Bush, not her husband, George W., had been president of the United States; if the
long-time head of Iraq had been Sajida Khairallah Telfah, not her husband, Saddam
JOIN THE DEBATE
Hussein; and if most of the other top diplomatic and national security posts in the
Do Women Speak with a United States and Iraq had been held by women, not men?
Different Voice?
Perceptions
There is an ancient philosophical debate over whether there is an objective world or
whether everything is only what we perceive it to be. Whatever the answer to that
debate may be, it is clear that we all view the world through perceptual lenses that
distort reality at least to some degree. All the elements of individual-level analysis
that we have been discussing, and others, help shape perceptions. Whatever their
 Individual-Level Analysis 71

source, though, perceptions have a number of characteristics that influence global

politics. To demonstrate this, we can take a look at four common characteristics of
perceptions.
We tend to see opponents as more threatening than they may actually be. The nu-
clear programs of North Korea and Iran have alarmed many Americans. One survey
found that 71% of Americans considered Iran a threat to regional stability and 77%
saw North Korea in the same way. By contrast, in the other 20 countries surveyed,
only 40% believed Iran to be a force for instability and just 47% perceived North
Korea in that light.14
We tend to see the behavior of others as more planned and coordinated than our own.
During the cold war, Americans and Soviets were mutually convinced that the other
side was orchestrating a coordinated global campaign to subvert them. Perhaps more
accurately, former Secretary of State Henry Kissinger (1979:1202) has described the
two superpowers as behaving like “two heavily armed blind men feeling their way
around a room, each believing himself in mortal peril from the other whom he as-
sumes to have perfect vision.” Each, according to Kissinger, “tends to ascribe to the
other side a consistency, foresight, and coherence that its own experience belies.”
We find it hard to understand why others dislike, mistrust, and fear us. President
George W. Bush captured this overly positive sense of self during a press conference
when he pronounced himself “amazed that there’s such misunderstanding of what
our country is about that people would hate us. . . . Like most Americans, I just can’t
believe it because I know how good we are.”15 Others are less sure of Americans’
innate goodness. One recent survey found that 60% or more of poll respondents in
countries as diverse as Indonesia, Nigeria, Turkey, and Russia thought that the
United States posed a military threat to them.16
We and others tend to have similar images of one another. Between countries and
even between leaders, it is common to find a mirror-image perception. This means
that each side perceives the other in roughly similar terms. Figure 3.3 depicts this
sense of mutual threat that exists between the United States and Muslim countries.

FIGURE 3.3 Mirror Images of Threat

Unsure Unsure
3% 7%

Do not feel Feel Do not feel Feel

threatened threatened Mirror threatened threatened
by U.S. by U.S. image by Muslims by Muslims
36% 61% 33% 60%

Muslims Americans
Threat perception of U.S. in Muslim countries Threat perception of Muslim countries in U.S.

Americans and citizens of Muslim countries share a mirror image of hostility toward one another.
Note the almost equal percentages of Americans who see Muslims as hostile and Muslims who see
Americans as hostile.
Note: The question of Americans was, “Do you think the Muslim world considers itself at war with the United States?” The
question in Muslim countries was, “How worried are you, if at all, that the U.S. could become a military threat to your country
someday? Are you very worried, somewhat worried, not too worried, or not at all worried?”
Data source: Pew Research Center for the People and the Press (2003).
72 CHAPTER 3 Levels of Analysis and Foreign Policy

Organizational Behavior
Yet another common characteristic of humans is that they tend to think and act
differently in collective settings than they do as individuals. This leads to a second
approach to individual-level analysis, one that examines how people act in organiza-
tions. Two concepts, role behavior and group decision-making behavior, illustrate
this approach.

Role Behavior
We all play a variety of roles based on our attitudes about the positions we have and
the behaviors we adopt in them. For example, how you act when you are in class, on
the job, or in a family situation varies depending in part on your role—on whether
you are a professor or a student, a manager or a worker, a parent or a child.
Presidents and other policy makers also play roles. The script for a role is derived
from a combination of self-expectations (how we expect ourselves to act) and external
expectations (how others expect us to behave). For leaders, these latter expectations
are transmitted by cues from advisers, critics, and public opinion. One common role
expectation is that leaders be decisive. A leader who approaches a problem by saying,
“I don’t know what to do” or “We can’t do anything” will be accused of weakness.
For example, President Bush was in Florida when the 9/11 attacks occurred,
and the Secret Service wanted him to remain safely out of Washington, D.C., for a
time. However, Bush’s sense of his role as president soon prevailed, and he irrita-
bly told his chief of staff, “I want to go back [to Washington] ASAP.” By 7:00 P.M.
that evening he was back in the White House, and 90 minutes later he addressed
the nation from the Oval Office. The president felt it was important to reassure the
public by being visible at his post in the White House. “One of the things I wanted
to do was to calm nerves,” he later said. “I felt like I had a job as the commander
in chief” to show the country “that I was safe . . . not me, George W., but me the
president.”17

Decision-Making Behavior within Organizations

When people give advice and make decisions within an organization, they not only
have to consider what they think but also how their opinions and decisions will be
viewed by others in the organization, especially its leaders. The calculation of how
our views will “go over” tends to promote groupthink. This concept denotes pres-
sure within organizations to achieve consensus by agreeing with the prevailing opin-
ion, especially the view of the leader (Schafer & Crichlow, 2002).
The image of the devil’s advocate pressing principled, unpopular views is
appealing, but such individuals are rarities in organizations, in part because those
who take this approach get forced out. Similarly, agencies that dissent can wind up
with their budgets cut and their areas of responsibility diminished. In a case in point,
Secretary of Defense Rumsfeld favored sending a relatively small force to invade and
pacify Iraq in 2003. Disagreeing, General Eric Shinseki, head of the U.S. Army, told
Congress that several hundred thousand troops would be needed. Rumsfeld, whose
approach was summed up by another retired four-star general as “Do it my way or
leave,” forced Shinseki to retire.18 According to another national security official at
that time, Rumsfeld’s actions “sent a very clear signal to the military leadership . . .
[and] served to silence critics just at the point in time when, internal to the process,
you most wanted critical judgment.” History records that in time virtually everyone
realized that, as one senator put it in 2007, “We never had enough troops to begin
with. . . . General Shinseki was right.”19
 Individual-Level Analysis 73

FIGURE 3.4 Decision Process and Policy Outcome

Policy success
Mixed 0%
12.5%
Mixed
Policy 25%
failure
12.5% Policy
Policy
failure
Policy success Mixed
43%
success 50% 57%
75% Policy
failure
25%

Good decision process Mediocre decision process Poor decision process

Good decision processes characterized by a lack of groupthink tend to result in better policy than
mediocre and poor decision processes, which are respectively burdened with medium or high
instances of groupthink. The research represented in this figure examined the decision making of
various policies for evidence of groupthink and then asked experts to evaluate the success or failure
of the resulting policy. As indicated, decisions with little or no evidence of groupthink worked well in
the estimate of 75% of the experts, with another 12.5% each rating the policy a mixed outcome or a
failure. By contrast, none of the experts judged any of the poor decision processes marked by
significant groupthink to be a success.
Data source: Herek, Janis, & Huth (1987).

In some cases, not giving a leader unpleasant advice may even involve physical
survival. One reason that Saddam Hussein miscalculated his chances of success was
that his generals misled him about their ability to repel U.S. and British forces. The
officers knew they could not withstand the allied onslaught, but they feared telling
Saddam Hussein the truth. As one Iraqi general later explained, “We never provided
true information as it is here on planet Earth. . . . Any commander who spoke the
truth would lose his head.”20
Even if a leader wants broad advice, getting it is sometimes difficult because
groupthink tends to screen out those who “think outside the box.” Anthony Lake,
who served as national security adviser to President Clinton, recognized that “there
is a danger that when people work well together” and are of the same mind, it can
lead to “groupthink . . . [with] not enough options reaching the president.”21 That
concern continues. As one adviser has commented about the flow of information in
the Bush White House, “The president finds out what he wants to know, but he does
not necessarily find out what he might need to know.”22
Poor decisions are frequently the end result of groupthink. This characteristic is
evident in Figure 3.4. Thus developing strategies to avoid such decision-making
pathologies should improve the quality of the output (Mitchell, 2005).

Leaders and Their Individual Traits

Foreign policy making is much more likely than domestic policy making to be cen-
tered on a country’s top leadership. Therefore, a third approach to individual-level
analysis focuses on idiosyncratic analysis. This is the study of humans as individu-
als and how each leader’s personal (idiosyncratic) characteristics help shape his or
her decisions (Renshon & Larson, 2002). As one study puts it, “The goals, abilities,
74 CHAPTER 3 Levels of Analysis and Foreign Policy

and foibles of individuals are crucial to the intentions, capabilities, and strategies of
Did You Know That:
a state” (Byman & Pollack, 2001:111).
When Iraq’s Minister of
The fundamental question idiosyncratic analysis asks is how the personal traits
Health, Riyad al-Ani, sug-
gested to Saddam Hussein of leaders affect their decisions. Why, for example, are older leaders more likely than
that he might be able to younger ones to initiate and escalate military confrontations? (Horowitz, McDermott,
end the war with Iran & Stam, 2005). Five of the many possible factors to consider are personality, physical
(1980–1988) by resigning, and mental health, ego and ambition, political history and personal experiences, and
then resuming the presi-
perceptions and operational reality.
dency after the peace, the
Iraqi dictator was so out-
raged that he had the hap- Personality
less minister executed, his When studying personality types and their impact on policy, scholars examine
body dismembered, and the a leader’s basic orientations toward self and toward others, behavioral patterns, and at-
parts sent to his wife.
titudes about such politically relevant concepts as authority (Dyson, 2006). There are
numerous categorization schemes. The most well known places political personality
along an active-passive scale and a positive-negative scale (Barber, 1985). Active leaders
are policy innovators; passive leaders are reactors. Positive personalities have egos
strong enough to enjoy (or at least accept) the contentious political environment;
negative personalities are apt to feel burdened, even abused, by political criticism.
Many scholars favor active-positive presidents, but all four types have drawbacks.
Activists, for example, may take action in a situation when waiting or even doing
nothing would be preferable. Reflecting on this, former Secretary of State Dean Rusk
(1990:137) recalled, “We tended then—and now—to exaggerate the necessity to
take action. Given time, many problems work themselves out or disappear.”
Of recent U.S. presidents, Clinton has an active-positive personality. He reveled
www in the job and admitted to being “almost compulsively overactive” (Renshon,
1995:59). Scholars differ on President George W. Bush. One assessment is that he is
ANALYZE THE ISSUE
an active-positive personality who “loves his job and is very energetic and focused”
The Cuban Missile Crisis (DiIulio, 2003:3). Perhaps, but he is certainly less active than Clinton, and might
even be positive-passive (Etheredge, 2001).
Whatever the best combination may be, active-negative is the worst. The more
active a leader, the more criticism he or she encounters. Positive personalities take
such criticism in stride, but negative personalities are prone to assume that oppo-
nents are enemies. This causes negative personalities to withdraw into an inner cir-
cle of subordinates who are supportive and who give an unreal, groupthink view of
events and domestic and international opinion. Lyndon Johnson and Richard Nixon
were both active-negative personalities who showed symptoms of delusion, struck
out at their enemies, and generally developed bunker mentalities. Yet their active-
negative personalities were but shadows of Saddam Hussein’s. According to a post-
war report to the CIA, Saddam’s psychology was shaped powerfully by a deprived and
violent childhood.23 Reflecting that, he changed his original name, Hussein al-Takrit,
by dropping al-Takrit (his birthplace) and adding Saddam, an Arabic word that
means “one who confronts.”

Physical and Mental Health

A leader’s physical and mental health can be important factors in decision making.
For example, Franklin Roosevelt was so ill from hypertension in 1945 that one
historian concludes that he was “in no condition to govern the republic” (Farrell,
1998:xi). Among other impacts, some analysts believe that Roosevelt’s weakness
left him unable to resist Stalin’s demands for Soviet domination of Eastern Europe
when the two, along with British Prime Minister Winston Churchill, met at Yalta
in February 1945, just two months before Roosevelt died from a massive stroke.
 Individual-Level Analysis 75

Occasionally leaders also suffer from psychological problems. Adolf Hitler was
arguably unbalanced as a result of ailments that may have included advanced syphilis
and by his huge intake of such medically prescribed drugs as barbiturates, cardiac
stimulants, opiates, steroids, methamphetamine, and cocaine (Hayden, 2003). Accord-
ing to one analysis, “The precise effects of this pharmaceutical cocktail on Hitler’s
mental state [are] difficult to gauge. Suffice it to say, in the jargon of the street, Hitler
was simultaneously taking coke and speed.”24 The drug combinations Hitler used
offer one explanation for the bizarre manic-depressive cycle of his decision making
late in the war.
Alcohol abuse can also lead to problems. Secretary of State Henry Kissinger once Web Link
referred to President Richard Nixon as “my drunken friend,” who among other For the personality of U.S.
events was once reportedly incapacitated during an international crisis with the presidents and others and the
Soviet Union (Schulzinger, 1989:178). More recently, an official in the Clinton suitability of your personality to
administration has recalled that Russia’s President Boris Yeltsin was often inebriated. achieve presidential greatness,
visit the interactive Web site of
Indeed, during the first summit meeting of the two presidents in 1994, Yeltsin arrived
the Foundation for the Study of
so drunk that he “could barely get off the plane.” He continued to get “pretty roaring” Personality in History at
at other times during the summit, and at one point was “staggering around in his un- www.personalityinhistory.com/.
derpants shouting for pizza.” As for Yeltsin’s decisions, the U.S. official terms them
“sometimes . . . just wacko.” As an illustration, the adviser relates that during the
U.S.-led bombing campaign against Serbia in 1999, “Yeltsin, who was clearly in his
cups, suggested that he and Clinton had to get together on an emergency basis,
and . . . should meet on a submarine.” Such images might have been grotesquely
amusing had not the besotted Russian president controlled a huge nuclear arsenal.25

Ego and Ambition

A leader’s ego and personal ambitions can also influence policy. One thing that ar-
guably drove Saddam Hussein was his grandiose vision of himself. According to one
intelligence report, the Iraqi leader saw himself in “larger than life terms comparable to
Nebuchadnezzar [the great Babylonian king, 605–563 B.C.] and Saladin [the Sultan
of Egypt who in 1189 defeated the Christians during the Third Crusade].”
The ego of the first President Bush also may have influenced policy. He came to
office in 1989 with a reputation for being wishy-washy, and Newsweek even ran a
picture of him with a banner, “The Wimp Factor,” on its cover. Arguably an ego-
wounded Bush responded by being too tough. He soon invaded Panama, and the
following year in the Persian Gulf crisis his fierce determination not to negotiate with
Iraq left it little choice but to fight or capitulate. Certainly, it would be outrageous
to claim that Bush decided on war only to assuage his ego. But it would be naïve to
ignore the possible role of this factor. In fact, after defeating Panama and Iraq,
the president displayed a prickly pride when he told reporters, “You’re talking to the
wimp . . . to the guy that had a cover of a national magazine . . . put that label on me.
And now some that saw that we can react when the going gets tough maybe have
withdrawn that allegation.”26

Political History and Personal Experiences

Decision makers are also affected by their personal experiences. It is worth speculat-
ing how much the personal experiences of President Bush influenced his determina-
tion in 2003 to drive Saddam Hussein from power. It is clear that Bush is very close
to his family (Greenstein, 2003; Helco, 2003). That connection, in the view of some,
made him especially sensitive to the criticism of his father for not toppling the Iraqi
dictator in 1991, and may have created in the younger Bush an urge to complete the
business of his father (Wead, 2003).27 Moreover, it is widely believed that Saddam
76 CHAPTER 3 Levels of Analysis and Foreign Policy

Hussein tried to have the first President Bush assassinated when he visited Kuwait
in 1993. Nine years later, his son told a gathering, “There’s no doubt [that Saddam
Hussein] can’t stand us. After all, this is the guy that tried to kill my dad at one time.”
White House officials quickly issued assurances that the president did not mean “to
personalize” his campaign to depose the Iraqi dictator, but it is hard to totally dis-
count the antipathy of a devoted son toward a man who “tried to kill my dad.”28

Perceptions and Operational Reality

Decision makers’ images of reality constitute a fifth idiosyncratic element that influ-
ences their approach to foreign policy. Although we have already examined human
perceptions in this chapter, it is worth separately considering the perception of leaders
here because of the central role they play in making policy. Whatever their source, the
sum of a leader’s perceptions creates his or her worldview (Hermann & Keller, 2004).
One scholar who served on the staff of President George W. Bush has written, “By the
time I left the White House . . . I was convinced . . . [that] the sitting president’s
‘world view’—‘his primary, politically relevant beliefs, particularly his conceptions of
social causality, human nature, and the central moral conflicts of the time’—probably
explain as much or more about . . . foreign policy than any other single variable”
(DiIulio, 2003:3).
Perceptions play a key role in policy because they form an operational reality.
That is, policy makers tend to act based on perceptions, whether they are accu-
rate or not. For example, research shows that supposedly “rogue states” are no more
likely than any other country to start a war (Caprioli & Trumbore, 2005). Yet the
operational reality of the perceptions among most ranking officials in the Bush
administration was that one such rogue state, Iraq, one of the “axis of evil” in Bush’s
mind, had WMD capabilities and intended to develop them more fully. This was a
key factor in the U.S.-led intervention. That those perceptions were wrong is an
important question in its own right. But as far as the causes of the war itself are con-
cerned, the operational reality (even though it differed from the objective reality)
was determined by the belief of President Bush, Prime Minister Blair, and others
that Saddam Hussein did have such weapons and that they presented a long-term
threat.
A related perceptual phenomenon is called an operational code (Schafer &
Walker, 2006). This idea describes how any given leader’s worldview and “philo-
sophical propensities for diagnosing” how world politics operates influence the
“leader’s . . . propensities for choosing” rewards, threats, force, and other methods of
diplomacy as the best way to be successful (Walker, Schafer, & Young, 1998:176).
President Bill Clinton’s worldview saw the United States as operating in a complex,
technology-driven, interconnected world, in which conflict was more likely to result
from countries’ internal conditions (such as poverty) than from traditional power
rivalries between states. Among other things, this led Clinton to favor a multilateral
approach to diplomacy, to often view the motives and actions of other countries in
nuanced shades of gray, and to delve deeply into the intricacies of policy.
George W. Bush’s operational code is very different. Whereas Clinton took a
cerebral approach to policy, Bush has described himself as more a “gut” player than
an intellectual (Daalder & Lindsay, 2003:7). Perhaps stemming from his profound
religious convictions, Bush, more than Clinton, is apt to see the world in right-
versus-wrong terms.29 For him, not only were the terrorists who launched the
9/11 attacks analogous to the fascists of the 1930s, but countries suspected of abet-
ting terrorism were part of an axis of evil. Compared to Clinton, this belief also
makes Bush more disposed to see the world as a more inescapably dangerous place
 Individual-Level Analysis 77

A leader’s sense of self can impact foreign policy. President George W. Bush arguably has a strong
sense of obligation to reshape the United States and the world drawn from his family’s tradition of
public service. This 1950 photo shows Bush’s grandfather, Senator Prescott Bush of Connecticut, as
well as his father and future president, George H. W. Bush, who is holding the younger President
Bush. Also shown are the senator’s wife, Dorothy, and Barbara Bush, the current president’s mother.
Younger brother Jeb, now the governor of Florida, had not yet been born.

and to follow a unilateralist path in pursuit of what he believes to be right. Just as

Woodrow Wilson’s strong religious convictions helped shape his crusading desire
to make the world safe for democracy, so too may Bush’s religious fervor be an ele-
ment in his missionary-like urge to make the world into a better place by promot-
ing democracy, free enterprise, and generally what he might term the “American
way” (Rhodes, 2003). As one analyst notes, “it is impossible to understand Bush’s
presidential character without fully appreciating his profoundly small ‘d’ democratic
beliefs” (DiIulio, 2003:3).
Finally, some analysts believe that Bush draws a strong sense of duty to lead and
sacrifice from the history of the Bush family’s public service dating back several
generations. For the president this sense of personal leadership translates into feeling
responsible to use his position as the leader of what he sees as a great and good country
to reshape the world. As one scholar has noted, for Bush, “With 9/11, the long-hidden
mission, the purpose for everything that had gone before [in becoming president],
seemed to snap into place. In the political ethos of the Bush family, the charge to
keep was to behave with responsibility. The terrorist attack filled in the blank space
as to what responsibility required in the new post–Cold War era. . . . The Bush
Doctrine . . . was born” (Helco, 2003:20).

Policy as a Mix of Rational and Irrational Factors

After spending considerable time on the myriad emotional, perceptual, and other
factors that detract from rationality, a balanced discussion requires us to stress here
that while decisions are rarely fully rational, they are seldom totally irrational
78 CHAPTER 3 Levels of Analysis and Foreign Policy

(Mercer, 2005). Instead, it is best to see human decisions as a mix of rational and
irrational inputs. This view of how individuals and groups make policy choices is
called poliheuristic theory. This theory depicts decision making as a two-stage
process (Kinne, 2005; Redd, 2005; Dacey & Carlson, 2004). During the first stage,
decision makers use shortcuts to eliminate policy options that are unacceptable for
irrational personal reasons. Poliheuristic theorists especially focus on reelection
hopes and other domestic political considerations, but the shortcuts could include
any of the other irrational factors we have been discussing. With the unacceptable
choices discarded, “the process moves to a second stage, during which the decision
maker uses more analytic processing in an attempt to minimize risks and maximize
benefits” in a more rational way (Mintz, 2004:3). It is at this second stage that de-
cision makers tend to set aside domestic politics and personal factors and concen-
trate on strategic, realpolitik considerations ( James & Zhang, 2005; DeRouen Jr. &
Sprecher, 2004).
For example, one recent study using poliheuristic theory looked at U.S. decision
making during the hostage crisis with Iran. As noted above, there is ample evidence
of nonrational factors in the decisions of President Carter and other top administra-
tion officials. The study concluded that “Carter ruled out alternatives” that had neg-
ative domestic political consequences, then “selected from the remaining alternatives
according to its ability to simultaneously maximize net benefits with respect to mili-
tary and strategic concerns” (Brulé, 2005:99).

STATE-LEVEL ANALYSIS

For all the importance of the human input, policy making is significantly influenced
by the fact that it occurs within the context of a political structure. Countries
are the most important of these structures. By analyzing the impact of structures
on policy making, state-level analysis improves our understanding of policy. This
level of analysis emphasizes the characteristics of states and how they make foreign
policy choices and implement them (Hudson, 2005; Bueno de Mesquita, 2002).
What is important from this perspective, then, is how a country’s political struc-
ture and the political forces and subnational actors within the country cause its
government to decide to adopt one or another foreign policy (Chittick & Pingel,
2002).

Making Foreign Policy: Type of Government, Situation, and Policy

Those who study how foreign policy is made over time in one country or compara-
tively in several countries soon realize there is no such thing as a single foreign pol-
icy process. Instead, how policy is made varies considerably.

Type of Government and the Foreign Policy Process

One variable that affects the foreign policy process is the type of government a coun-
try has. These types range along a scale that has absolute authoritarian governments
on one end and unfettered democratic governments on the other. The more author-
itarian a government is, the more likely it is that foreign policy will be centered
in a narrow segment of the government, even in the hands of the president or what-
ever the leader is called. It is important to realize, though, that no government is
 State-Level Analysis 79

absolutely under the thumb of any individual. States FIGURE 3.5 The Opinion
are too big and too complex for that to happen, and Rally Effect
thus secondary leaders (such as foreign ministers),
86% 89% Percent approving the job
bureaucrats, interest groups, and other domestic el- the president is doing
ements play a role in even very authoritarian politi-
cal systems.
71%
At the other end of the scale, foreign policy 70%
making in democracies is much more open with 66%
65%
inputs from legislators, the media, public opinion, 9/11 attacks
and opposition parties, as well as those foreign War with Iraq
57%
policy–making actors that influence authoritarian
51% 52%
government policy. President Bill Clinton signed
the Comprehensive Test Ban Treaty on behalf of the
United States, for example, but the Senate dis-
9/7 9/14 10/18 8/19 3/3 3/22 4/22 5/19 11/18
agreed with his view and in 1999 refused to ratify 2001 2002 2003
it. Yet even in the most democratic state, foreign
policy tends to be dominated by the country’s top People usually rally behind their leader during times of crisis. Public
leadership. approval of President Bush’s performance in office skyrocketed 35%
after the 9/11 attacks, then rose sharply again at the onset of the war
with Iraq. Also note that the rally effect is fleeting, and the president’s
Type of Situation and the Foreign Policy Process ratings soon declined after each peak.
The policy-making process also varies within coun- Data source: CNN/USAToday/Gallup Polls found at Polling Report.com.
tries. Situation is one variable. For example, policy
is made differently during crisis and noncrisis situa-
tions. A crisis situation occurs when decision makers are (1) surprised by an event,
(2) feel threatened (especially militarily), and (3) believe that they have only a short
time to react (Brecher & Wilkenfeld, 1997). The more intense each of the three
factors is, the more acute the sense of crisis.
Whereas noncrisis situations often involve a broad array of domestic actors
trying to shape policy, crisis policy making is likely to be dominated by the political
leader and a small group of advisers. One reason this occurs involves the rally effect.
This is the propensity of the public and other domestic political actors to support
the leader during time of crisis. Figure 3.5 shows the impact of the rally effect on the
popularity of President Bush at the time of the 9/11 attack and also at the onset of
the Iraq War in 2003 (Hetherington & Nelson, 2003). A similar pattern was evident
in Great Britain, the only major U.S. ally. There, support for the way Prime Minister
Tony Blair was handling the crisis with Iraq rose from 48% before the war to 63%
after it began.30

Type of Policy and the Foreign Policy Process

How foreign policy is decided also varies according to the nature of the issue area
involved. Issues that have little immediate or obvious impact on Americans can be
termed pure foreign policy. A narrow range of decision makers usually makes such
decisions in the executive branch with little or no domestic opposition or even
notice. For instance, President Bush consented to expanding the North Atlantic
Treaty Organization (NATO) by adding seven new members (Bulgaria, Romania,
Estonia, Latvia, Lithuania, Slovakia, and Slovenia) in 2004. Even though this
substantially added to U.S. defense commitments by including countries that bor-
der Russia, the move was nearly invisible within the United States. The media
made little mention of it, and pollsters did not even bother to ask the public what
80 CHAPTER 3 Levels of Analysis and Foreign Policy

The Expansion of NATO

CANADA

NATO in 1998
New members 1999
UNITED STATES
New members 2004
Candidate countries
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SWEDE

D
ESTONIA RUSSIA
UNITED DENMARK LATVIA
KINGDOM LITHUANIA
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IRELAND POLAND BELARUS
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SLOVAKIA
BEL. CZECH. UKRAINE KAZAKHSTAN
LUX. G.
AUST. UN MOLDOVA
FRANCE H ROMANIA
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SWITZ. SLOVENIA BOS.- SERBIA GEORGIA

Ca
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BULGARIA

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Sea AZERBAIJAN

The expansion of the North Atlantic Treaty Organization (NATO) eastward to the very borders of Russia
has potentially great stakes for Americans because the NATO treaty pledges them to defend numerous
small states that were once in the orbit of Moscow and even part of the former USSR. Yet as pure foreign
policy issues, the rounds of expansion in 1999 and 2004 drew almost no notice and less dissent among
the American people and members of Congress. By contrast, intermestic issues, such as trade, draw
much greater public and legislative interest and activity.

it thought. Neither did the expansion arouse much interest in the Senate, which
ratified it unanimously.
By contrast, foreign policy that has an immediate and obvious domestic impact
on Americans is called intermestic policy. This type of policy is apt to foster sub-
stantial activity by legislators, interest groups, and other foreign policy–making
actors and thereby diminish the ability of the executive leaders to fashion policy to
their liking. Foreign trade is a classic example of an intermestic issue because it
affects both international relations and the domestic economy in terms of jobs,
prices, and other factors.
This domestic connection activates business, labor, and consumer groups
who, in turn, bring Congress into the fray (Grossman & Helpma, 2002). Therefore
national leaders, such as presidents, usually have much greater say over pure foreign
policy than they do over intermestic policy. For example, in stark contrast to Bush’s
easy success in getting the NATO expansion ratified, he had to struggle mightily
to persuade Congress to give him greater latitude (called fast-track authority) in
negotiating trade treaties. Although his party controlled both houses of Congress,
the president was only successful after a concerted effort that included person-
ally going to Capitol Hill to lobby legislators and to offer inducements to gain sup-
port. Even then, the final vote in the House of Representatives was a razor-thin
215 to 212.
 State-Level Analysis 81

Making Foreign Policy: Political Culture

Each country’s foreign policy tends to reflect its political culture. This concept rep-
resents a society’s widely held, traditional values and its fundamental practices that
are slow to change (Paquette, 2003; Jung, 2002). Leaders tend to formulate policies
that are compatible with their society’s political culture because the leaders share
many or all of those values. Also, even if they do not share a particular value, lead-
ers want to avoid the backlash that adopting policies counter to the political culture One aspect of political culture
might cause. To analyze any country’s political culture, you would look into such that affects China’s foreign
things as how a people feel about themselves and their country, how they view oth- policy is Sinocentrism, the
tendency of the Chinese to
ers, what role they think their country should play in the world, and what they see
see themselves and their
as moral behavior. country as the center of the
How Americans and Chinese feel about themselves and about projecting political and cultural world.
their values to others provide examples. Both Americans and Chinese are per- This self-image is represented
suaded that their own cultures are superior. In Americans, this is called American by these Chinese characters.
exceptionalism, an attitude that, for instance, led 81% of Americans to agree They are Zhong Guó, the
in a poll that the spread of their values would have a positive effect on other Chinese name for their
country, which translates as
parts of the world.31 A similar sense of superiority among the Chinese is called
middle (Zhong, on the left)
Sinocentrism. This tendency of the Chinese to see themselves as the political and place (Guó, on the right).
cultural center of the world is expressed, among other ways, in their word for their
country: “Zhong Guó” means “middle place” and symbolizes the Chinese image of
themselves.
Where Americans and Chinese differ is in their beliefs about trying to impose
it on others. Americans are sometimes described as having a missionary impulse,
that is, possessing a zeal to reshape the world in the American image. For exam-
ple, it is this aspect of American political culture that has led the United States to
try not only to defeat hostile regimes in Afghanistan, Iraq, and elsewhere, but ad-
ditionally, to replace them with democratic governments. There is also evidence
that the United States makes other decisions, such as foreign aid allocations,
based in part on how closely countries adhere to American conceptions of human
rights.
Chinese attitudes about projecting values are very different. Despite China’s Web Link
immense pride in its culture, there is no history of trying to impose it on others, To support research about
even when China dominated much of the world that it knew. The orientation is American political culture at the
based in part on Confucianism’s tenet of leading by example rather than by forceful University of Pittsburgh, fill out
conversion. It also has to do with the Sinocentric attitude that the “barbarians” are the Web questionnaire at
www.pitt.edu/~redsox/polcul.html.
not well suited to aspire to the heights of Chinese culture and are best left to them-
selves as much as possible. Among other current ramifications, this nonmissionary
attitude makes it very hard for the Chinese to understand why Americans and some
others try to insist that China adopt what it sees as foreign values and standards
of behavior on human rights and other issues. Instead of taking these pressures at
face value, the Chinese see them as interference or, worse, as part of a campaign to
subvert them.

Foreign Policy–Making Actors

“Washington is like a Roman arena [in which] gladiators do battle,” Secretary of
State Henry Kissinger (1982:421) wrote. As his analogy implies, foreign policy mak-
ing is not a calm, cerebral process. Instead it is a clash of ideas and a test of political
power and skills to determine which of many policy proposals will prevail. The com-
batants of which Kissinger wrote are the foreign policy–making actors, including
82 CHAPTER 3 Levels of Analysis and Foreign Policy

political executives, bureaucracies, legislatures, political opponents, interest groups,

and the people.

Heads of Government and Other Political Executives

In most countries, the executive branch is the most important part of the policy-
making process. This is especially true in national security policy and foreign policy.
The most powerful figure in the executive branch is usually the country’s head of
government (most commonly titled president, prime minister, or premier). A step
below, but still of note, are the leader’s cast of other political executives, such as
ministers of foreign affairs (secretary of state) and ministers of defense (secretary of
defense).
The degree to which the head of government dominates foreign policy is based
on numerous factors. We have already touched on some of these, such as the type of
government, the type of situation, and the type of policy. Three other important
factors are the chief executive’s formal powers, informal powers, and leadership
capabilities.
Formal powers are the specific grants of authority that a country’s constitution
www and its statutory (written) laws give to various offices and institutions. Most chief ex-
ecutives, for example, are the commander in chief of their country’s armed forces.
WEB POLL
This gives them broad, often unilateral authority to use the military. Congress passed
Attitudes in Foreign Policy resolutions supporting President Bush’s planned actions against Afghanistan in 2001
Decision-Making and Iraq in 2003, but he claimed the right to act without legislative support. Instead,
the president claimed the authority to go to war “pursuant to my constitutional
authority to conduct U.S. foreign relations as commander in chief and chief execu-
tive.”32 Such an assertion of unilateral authority dismays many Americans as un-
democratic, and it is an issue for you to consider in the decision box, “Who Should
Decide on War?”
Informal powers are a second source of authority for political executives. It is
easier for people to identify with and look for leadership toward an individual than
toward an institution, and this gives the president of the United States and other
chief executives considerable prestige and political influence that cannot be found in
the constitution or laws. For instance, more than any other political figure, the chief
executive personifies the nation. This is especially true in world affairs and doubly so
in crises where a president personifies the nation and embodies “we” in dealings with
“them.” The nation’s focus on the chief executive also means that he or she is
expected to lead. As one classic study of the U.S. presidency has put it, “Everybody
now expects the man inside the White House to do something about everything”
(Neustadt, 1990:7). Presidential prestige also means that they receive considerable
more news media attention than any other political actor. One study found, for
instance, that television networks devote almost 50% more time to covering the pres-
ident than Congress (Graber, 2006).
Web Link Leadership capabilities are the third factor that helps determine how much au-
To learn what presidents say
thority a specific chief executive has. These capabilities include administrative skills,
privately, listen to and read the how well a president organizes and manages his or her immediate staff and the
transcripts of recorded conversa- governments bureaucracy; legislative skills, the ability in a democratic system to win
tions archived by the Presidential the support in the national legislature; public persuasion abilities, the ability to set
Recordings Program at the
forth a clear vision and to speak well and otherwise project a positive image that will
University of Virginia’s Miller
Center of Public Affairs at
win public support; and intellectual capacity, level of intelligence and ability to use
www.whitehousetapes.org/. it pragmatically to formulate policy. Measuring such qualities is very difficult, but
Table 3.1 provides an interesting and undoubtedly controversial presentation and
comparison of presidential intelligence and foreign policy success.
 State-Level Analysis 83

DEBATE THE POLICY SCRIPT

Who Should Decide on War?
Going to war is a country’s most important decision. The ques- an unconstitutional restraint on their authority as comman-
tion is, Who should make it? Article I of the Constitution der in chief. For example, President George W. Bush wel-
empowers Congress “to declare war.” Article II makes the comed resolutions of congressional support for action against
president “commander in chief” of the military. These clauses Afghanistan (2001) and against Iraq (2003) as nice but not
reflect the belief of the Constitution’s authors that presidents necessary, claiming that he was taking action solely “pur-
should “be able to repel [but] not commence war,” as delegate suant to my constitutional authority to conduct U.S. foreign
Roger Sherman put it. The problem is where the line is relations as commander in chief and chief executive.”1 When
between repelling an attack and commencing a war. President in 2007 the Democrats as the newly elected majority in
George W. Bush, for example, portrayed the Iraq War as Congress sought to restrain the president from sending
preemptively repelling the threat of Iraqi weapons of mass an additional 21,000 troops to Iraq, he rejected the ability of
destruction. legislators to do so. “I’m the decision maker” about Iraq, he
Historically, presidents have long used limited force without defiantly declared.2 Fourth, the Supreme Court considers the
a congressional declaration of war or other resolution of issue a political one and has refused to hear challenges to
support. But the frequency of such use and the size of the the president’s use of the military.
conflicts grew after World War II. Since Harry S. Truman, pres- Think about amending the Constitution to clear up who
idents have argued that they have almost limitless authority to should be able to make the decision to go to war. One option
use military force as they see fit. Signifying that, Truman waged is a clause supporting current practice by explicitly giving
the Korean War on his own authority. the war power to the president. The second option is to
Reacting to the unpopular war in Vietnam (which Congress explicitly bar presidents from using military force without con-
had authorized), legislators enacted the War Powers Resolu- gressional authorization except in cases of a direct, signifi-
tion (WPR, 1973) to try to rein in the president’s self-claimed cant, and sustained attack on the United States, its territories,
war power. The WPR specified limited circumstances when or its armed forces. A third option is specifying that except
the president could use force unilaterally and required in the case of a significant and sustained attack, the presi-
congressional consent in all other instances. The WPR has dent and Congress could only send U.S. forces into combat
been largely ineffective. One reason is that Congress has after approval by a majority of Americans voting in a national
never refused a presidential request that it authorize military referendum.
action. Second, Congress has been unwilling to challenge
presidents when they ignored the WPR and used the military What Do You Think?
unilaterally. Third, all presidents have rejected the WPR as How should the United States decide to wage war?

The debate in early 2007 over whether to

send yet more troops to Iraq highlighted
the question about who should have power
to make such decisions. President Bush
said he was the “decider” and increased
troop levels even though doing so was
opposed by a majority of Congress and a
strong majority of the public, including
these protesters. Does this seem proper
democratic governance to you?
84 CHAPTER 3 Levels of Analysis and Foreign Policy

A high IQ is one trait that

arguably makes a skilled
TABLE 3.1 Presidential Intelligence
leader. This table shows
Intelligence Foreign Policy IQ/FPS
the estimated IQs of recent
President Quotient (IQ) Success (FPS) Rank
presidents. It also lists the
ratings on a 1 to 100 basis Kennedy 150.7 69.0 1/3
that experts have given these Johnson 127.8 40.7 7/8
presidents for their foreign
policy. George W. Bush was
Nixon 131.0 75.9 4/1
not rated because he is still in Ford 127.1 52.7 8/7
office. The right column shows Carter 145.1 55.8 3/5
how each president ranks in Reagan 130.0 68.6 6/4
IQ and policy success. How
Bush, G. H. W. 130.1 70.0 5/2
would you rank President
George W. Bush’s foreign Clinton 148.8 54.3 2/6
policy compared to his eight Bush, G. W. 124.6 — 9/-
immediate predecessors? How
would you characterize the Note: The reported IQ scores are the average of the four estimated scores on the Stanford-Binet scale. A score of
connection between IQ and 100 is the average IQ; 120 is considered superior, and genius begins at 145.
success shown here? Data sources: For international relations policy, C-SPAN Survey of Presidential Leadership at
www.americanpresidents.org/survey/. For IQ, Simonton (2006), Table 1, p. 516.

For all the broad power to shape policy that chief executives have, their power
is not unlimited even in authoritarian countries, and it is significantly restrained in
democratic ones. Indeed, the spread of democracy and the increasingly intermestic
nature of policy in an interdependent world mean that political leaders must often
engage in a two-level game in which “each national leader plays both the interna-
tional and domestic games simultaneously” (Trumbore, 1998:546). The strategy of
a two-level game is based on the reality that to be successful, diplomats have to
negotiate at the international level with representatives of other countries and at
the domestic level with legislators, bureaucrats, interest groups, and the public in
the diplomat’s own country. The object is to produce a “win-win” agreement that
satisfies both the international counterparts and the powerful domestic actors
so that both are willing to support the accord. Reflecting this reality, one former
U.S. official has recalled, “During my tenure as Special Trade Representative,
I spent as much time negotiating with domestic constituents (both industry
and labor) and members of the U.S. Congress as I did negotiating with our foreign
trading partners” (Lindsay, 1994:292).

Bureaucracies
Every state, whatever its strength or type of government, is heavily influenced by its
www bureaucracy. The dividing line between decision makers and bureaucrats is often
hazy, but we can say that bureaucrats are career governmental personnel, as distin-
SIMULATION
guished from those who are political appointees or elected officials.
Utilizing Levels of Analysis Although political leaders legally command the bureaucracy, they find it diffi-
cult to control the vast understructures of their governments. President Vladimir
Putin of Russia and President George W. Bush candidly conceded that gap be-
tween legal and real authority during a joint press conference. The two presidents
were optimistically expounding on a new spirit of U.S.-Russian cooperation
when a reporter asked them if they could “say with certainty that your teams will
act in the same spirit?” Amid knowing laughter, Bush replied, “It’s a very good
question you ask, because sometimes the intended [policy] doesn’t necessarily get
 State-Level Analysis 85

translated throughout the levels of government [because of] bureaucratic intran-

sigence.” President Putin agreed. “Of course, there is always a bureaucratic
threat,” he conceded.33
Bureaucrats sometimes do not agree with their country’s foreign policy. In-
stead they may favor another policy option based on their general sense of their
unit’s mission. How any given policy will affect the organization is also an impor-
tant factor in creating bureaucratic perspective. Often what a given bureaucracy
will or will not favor makes intuitive sense. The military of any country will
almost certainly oppose arms reductions or defense spending cuts because such
policies reduce its resources and influence. But the stereotypical view of the mili-
tary as always gung ho for war is not accurate (Gelpi & Feaver, 2002). Whether
the area was Kosovo, Bosnia, Haiti, or elsewhere, the U.S. military has often been
a reluctant warrior within the council of government, especially regarding the use
of ground forces. A common view, expressed by then Chairman of the Joint Chiefs
of Staff, General Colin Powell, is that “politicians start wars. Soldiers fight and die
in them.”34
Filtering information is one way that bureaucracies influence policy. Decision
makers depend on staff for information, and what they are told depends on what sub-
ordinates choose, consciously or not, to pass on. This was illustrated after the Iraq
War by the uproar over President Bush’s assertion in his 2003 State of the Union
message that Iraq “recently sought significant quantities of uranium from Africa.” In
reality, the statement was based on shaky British sources that the CIA doubted. Yet it
wound up in the president’s speech when his speechwriters used information from
an intelligence report that cited the British report but buried the CIA’s objections in a
footnote.
This occurred in part because groupthink seemed to intimidate the CIA and
prevent it from pushing more strongly a view that it assumed would not please the www
president. As Senator Pat Roberts (R-KS), chairman of the Senate Intelligence
Committee, noted after hearings and reports on how the Iraq War began, “Group-
ANALYZE THE ISSUE
think caused the [intelligence] community to interpret ambiguous evidence such as Applying Levels of Analysis in
the procurement of dual-use technology” to mean Iraq had an active weapons the Wake of September 11
program. It is clear that this groupthink also extended to our allies.35 Additionally, and the War in Iraq:
the dubious assertion about Iraq seeking uranium went unchallenged by the The Bush Doctrine
National Security Council (NSC) staff member who reviewed the speech despite an
earlier telephone conversation with the CIA director, who said that the agency
doubted that Iraq had sought uranium from Africa. The NSC official, who favored
action against Iraq, later conceded, “I should have recalled . . . that there was contro-
versy associated with the uranium issue,” but many observers doubted that it was
a mere oversight.36
Recommendations are another source of bureaucratic influence on foreign
policy. Bureaucracies are the source of considerable expertise, which they use to
push the agency’s preferred position. One scholar, after analyzing bureaucratic rec-
ommendations in several countries, concluded that leaders often faced an “option
funnel.” This means that advisers narrow the range of options available to leaders
by presenting to them only those options that the adviser’s bureaucratic organiza-
tion favors. This recommendation strategy, the analyst continued, “often decided
what national leaders would do even before they considered a situation” (Legro,
1996:133).
Implementation is another powerful bureaucratic tool. There are a variety of
ways that bureaucrats can influence policy by the way they carry it out. As the
investigations into the 9/11 attacks have proceeded, it has become clear that the
86 CHAPTER 3 Levels of Analysis and Foreign Policy

terrorists were able to carry them off in part be-

cause of flaws in the implementation of U.S.
antiterrorist policy. Evidence shows that govern-
ment agencies often failed to share information or
otherwise cooperate, that they discounted the
terrorist threat, and that they ignored information
that pointed to an impending attack. For example,
a congressional report indicates that an FBI agent
warned in July 2001 that “an inordinate number
of individuals of investigative interest” were
taking flight training. Yet, the report noted, this
alert “generated little or no interest” among FBI
officials and was not passed on to the CIA or other
relevant agencies. The following month the CIA’s
Counter-Terrorism Center warned in a report that
This editorial drawing from Bulgaria depicts a common image of inept
U.S. intelligence agencies supplying poor information about the
“for every [al Qaeda operative] that we stop, an
possibility of weapons of mass destruction in Iraq and the possibilities estimated 50 . . . slip through . . . undetected. . . . It
of Iraq cooperation with al Qaeda terrorists prior to the U.S. invasion in is clear that [al Qaeda] is building up a worldwide
2003. infrastructure which will allow [it] to launch
multiple and simultaneous attacks with little or
no warning.” The agency also predicted, “The attack will be spectacular and de-
signed to inflict mass casualties against U.S. facilities or interests.” These and
numerous other signals went unheeded, however, leading the congressional com-
mittee to conclude that because government agencies “failed to capitalize” on
available information, they had “missed opportunities to disrupt the September
11 plot and . . . to generate a heightened state of alert and thus harden the home-
land against attack.”37

Legislatures
In all countries, the foreign policy role of legislatures play a lesser role in making
foreign policy than executive-branch decision makers and bureaucrats. This
does not mean that all legislatures are powerless (Howell & Pevehouse, 2005;
Scott & Carter, 2002; Leogrande, 2002). They are not, but their exact influ-
ence varies greatly among countries. Legislatures in nondemocratic systems
generally rubber-stamp the decisions of the political leadership. China’s National
People’s Congress, for example, does not play a significant role in foreign policy
making.
Legislatures play a larger foreign policy role in democratic countries, but even in
these states legislative authority is constrained by many factors. One of these is that
chief executives usually have extensive legal powers in the realm of foreign policy.
American presidents, for instance, are empowered by the U.S. Constitution to nego-
tiate treaties, to extend diplomatic recognition to other countries, to appoint diplo-
matic and military personnel, to use U.S. forces as commander in chief, and to take
numerous other actions with few or no checks by Congress or the courts. Tradition is
a second factor that works to the advantage of chief executives in foreign policy
making. The leadership has historically run foreign policy in virtually all countries,
especially in time of war or other crises.
Third is the belief that a unified national voice is important to a successful foreign
policy. This is particularly true during a crisis, when Congress, just like the public,
tends to rally behind the president. This emotional response helped win support
for a congressional resolution in late 2001 giving the president almost unchecked
 State-Level Analysis 87

authority to use military forces against terrorism by votes of 98 to 0 in the Senate and
Did You Know That:
420 to 1 in the House of Representatives. Just 13 months later, by votes of 77 to 23
The only U.S. legislator to
in the Senate and 296 to 133 in the House, Congress authorized military action
vote against the U.S. decla-
against Iraq. Surely, many members agreed with the war, but at least some voted rations of war in both World
“aye” despite their misgivings because they agreed, as Senate Democratic leader Tom War I and World War II was
Daschle explained, commenting on his vote, that “it is important for America to Jeannette Rankin (R-MT),
speak with one voice.”38 the first woman elected to
Congress.
Fourth, legislators tend to focus on domestic policy because, accurately or not, most
voters perceive it to be more important than foreign policy and make voting decisions
based on this sense of priority. For this reason, legislators are apt to try to influence
intermestic policy issues, such as trade, and are apt to be much less concerned with
pure foreign policy issues, such as the membership of the NATO alliance.
By this logic, though, legislative activity is especially likely and important when
a high-profile issue captures public attention and public opinion opposes the presi-
dent’s policy. Even more commonly, intermestic issues such as trade that directly
affect constituents and interest groups spark legislative activity (Marshall & Prins,
2002). For instance, a study of 25 developed countries found that right-of-center
parties, which are aligned with business, usually favor free trade, while left-of-center
parties, which are supported by labor unions, lean toward protectionism (Milner &
Judkins, 2004). Moreover, globalization is increasingly blurring the line between
foreign and domestic affairs. As one member of the U.S. Congress put it, “Increas-
ingly all foreign policy issues are becoming domestic issues. . . . [and] Congress is
demanding to play a greater role.”39

Interest Groups
Interest groups are private associations of people who have similar policy views and
who pressure the government to adopt those views as policy. Traditionally, interest
groups were generally considered to be less active and influential on foreign policy
than on domestic policy issues. The increasingly intermestic nature of policy is
changing that, and interest groups are becoming a more important part of the for-
eign policy–making process. We can see this by looking at several types of interest
groups.
Cultural groups are one type. Many countries have ethnic, racial, religious, or
other cultural groups that have emotional or political ties to another country. For
instance, as a country made up mostly of immigrants, the United States is populated by
many who maintain a level of identification with their African, Cuban, Irish, Mexican,
Polish, and other heritages and who are active on behalf of policies that favor their
ancestral homes. Religious groups are one type of cultural group that exercises influ-
ence in many countries. Conservative Protestant groups, for one, are influential in
the administration of President George W. Bush because of his personal religious con-
victions and the important political support he receives from them. This connection
among other domestic factors helps explain some of the president’s unilateralist
tendencies and reluctance to rely on the UN and other international organizations
(Skidmore, 2005). As Bush told a friend after a meeting with the Christian Coalition,
“Sovereignty. The issue is huge. The mere mention of [Secretary-General] Kofi Annan
in the UN caused the crowd [the audience at the Christian Coalition meeting] to go
into a veritable fit. The coalition wants America strong and wants the American flag
flying overseas, not the pale blue of the UN.”40
Economic groups are another prominent form of interest activity. As international
trade increases, both sales overseas and competition from other countries are vital
matters to many companies, their workers, and the communities in which they
88 CHAPTER 3 Levels of Analysis and Foreign Policy

live. They lobby their governments for favorable legislation and for support of their
interests in other countries. In industrialized countries, for example, many labor
unions oppose free trade treaties because increased imports tend to undercut domes-
tic products and the workers who make them. U.S. unions were encouraged when
a new Congress opened in 2007 with a majority of Democrats, who tend to support
unions. One union cited “the American labor movement’s strong opposition to glob-
alization” because “labor unions have lost membership, and workers have had to
offer give-backs to employers to retain the jobs that remain, in an era when labor
and, indeed, manufacturing can be sourced abroad.” With the Democrats in the ma-
jority, the unions anticipate that “provisions in future trade agreements will at least
build barriers against their members being drowned in the tidal wave of new trade
liberalization.”41
Issue-oriented groups make up another category of interest group. Groups of
this type are not based on any narrow socioeconomic category such as ethnicity or
economics. Instead they draw their membership from people who have a common
policy goal. The concerns of issue-oriented groups run the gamut from the very
general to the specific and from liberal to conservative. Just one of the multitude of
groups, the neoconservative Project for the New American Century, is an organiza-
tion that during the later Clinton years included in its membership such soon-
to-be Bush administration appointees as Secretary of Defense Rumsfeld and Deputy
Secretary of Defense Paul Wolfowitz. It was this neoconservative (neocon) group
that was the driving force behind the Bush Doctrine of preemptive war and its use
in Iraq (Benn, 2004).
Web Link Transnational interest groups also deserve mention. Growing interdependence
A semi-annual report on the
has increased the frequency of countries, international organizations, and private
Foreign Agents Registration Act interest groups lobbying across borders. In 2005, there were over 1,800 lobbyists
is available through the U.S. registered with the U.S. government as representing 589 foreign interest groups.
Department of Justice at Some represented national governments and others lobbied for subnational units
www.usdoj.gov/criminal/fara/. such as the Province of Quebec in Canada. Yet other lobbyists registered as represen-
tatives of groups hoping to become national governments, including Tibet’s exiled
Dalai Lama, the Kurdish Regional Government of Iraq, and the Palestinian Authority.
Other foreign registrants, reflecting a panoply of interests, included the Icelandic
Tourist Board, Petroleos Mexicanos, the Euro-Asian Jewish Congress of Russia, and
Volkswagen of Germany. Japanese interests (53 registrants) were the most heavily
represented in Washington, followed by those of Mexico (29), Great Britain (27),
and Canada (18).

The People
Like legislatures, the public plays a highly variable role in foreign policy. Public opin-
ion is a marginal factor in authoritarian governments. In democracies, the role of the
people is more complex (Everts & Isernia, 2001). On occasion, public opinion plays
a key role. The United States got out of Vietnam in the 1970s in significant part
because of the determined opposition of many Americans to continued involvement
in that war. Yet even in democracies, the public usually plays only a limited role in
determining foreign policy.

Public Interest in World Affairs One reason for the public’s limited role is that few
citizens ordinarily pay much attention to international issues. During the 2004 and
2006 U.S. national elections, terrorism and Iraq were prominent issues. Worry about
terrorism arguably secured President Bush’s reelection in 2004, and voter discontent
 State-Level Analysis 89

with policy in Iraq was a factor in the Republicans losing control of both houses
of Congress in 2006. Such elections were unusual, though. Normally, the public’s
political interest focuses on domestic issues. During the 2000 presidential election,
for one, only 5% of voters identified a foreign policy matter as the most important
issue to them. Moreover, even in most elections when foreign policy does play an im-
portant role, the majority of voters cite a domestic issue as the most important to
their vote. In 2006, for example, 65% of people in one poll said “problems in the
U.S.” would be more important in their vote for Congress than “problems around the
world.” Only 17% took the opposite view, with another 17% saying both counted
equally and 1% unsure.42
This is not to say that all of the public pays little heed to foreign policy all of the
time. First, there is a segment of the public, the “attentive public,” that regularly pays
attention to world events. Second, crisis issues, such as the war with Iraq, and inter-
mestic issues, such as trade, are apt to draw significantly greater public attention.
Third, studies show that although the public is not versed in the details of policies,
its basic instincts are neither disconnected from events nor unstable (Witko, 2003;
Isernia, Juhasz, & Rattinger, 2002).

Channels of Public Opinion Influence on Foreign Policy There are a few countries in
which the public occasionally gets to decide a foreign policy issue directly through
a national referendum. However, all democracies are basically republican forms of
government in which policies and laws are made by elected officials and their
appointees. Therefore, it is more common for public opinion to have an indirect
democratic influence on policy through voting for officials and through the sensi-
tivity of those officials to public attitudes.
Even if they cannot usually decide policy directly, voters do sometimes have a
choice of candidates for national leadership positions who have different foreign
policy goals and priorities (Fordham, 2002). During 2006, for instance, voters brought
new chief executives or new legislative majorities into power in such countries as
Canada, Chile, Italy, Mexico, Nicaragua, the Palestinian Territories, and Ukraine, as
well as the United States. As in all national elections, many issues were involved,
but, among other impacts, the election of a Hamas majority by the Palestinians
raised tensions with Israel, the election in Ukraine brought a prime minister to
power who favors greater connection with the West and fewer dealings with Russia,
and the new center-left government in Italy soon withdrew the last Italian troops
from Iraq.
Additionally, research shows that both elected and appointed officials are con-
cerned with public opinion and that it often influences policy (Burstein, 2003;
Heith, 2003; Reiter & Tillman, 2002). This is especially true when the public is
clearly attentive to an issue (Knecht & Weatherford, 2006). One reason is that
most decision makers in a democracy believe that public opinion is a legitimate
factor that should be considered when determining which policy is to be adopted.
Second, leaders also believe that policy is more apt to be successful if it is backed
by public opinion. Third, decision makers are wary of public retribution in the
next election if they ignore majority opinion. “I knew full well that if we could rally
the American people behind a long and difficult chore, that our job would be eas-
ier,” President Bush commented about ordering military action against Afghanistan
in 2001. “I am a product of the Vietnam era,” the president explained. “I remember
presidents trying to wage wars that were very unpopular, and the nation split.”43
That image came to haunt Bush after the 2006 elections, and despite vowing to
90 CHAPTER 3 Levels of Analysis and Foreign Policy

TABLE 3.2 Opinions of U.S. Leaders and Public

Issues on Which Leaders and Public Agree Issues on Which Leaders and Public Disagree

Leaders Public Leaders Public

The United States should: Favoring Favoring The United States should: Favoring Favoring

Take active role in world 97% 67% Make protecting American jobs a top goal 41% 78%
Play the role of global police force 18% 20% Stress halting global flow of illegal drugs 46% 63%
Stress halting spread of nuclear weapons 87% 73% Decrease legal immigration 10% 54%
Emphasize combating global terrorism 84% 71% Make U.S. military superiority a top priority 37% 50%
Stress spreading democracy aboard 29% 14% Make improving global environment a top goal 61% 47%
Make strengthening the UN a top goal 40% 38% Do more to combat world hunger 67% 43%
Stress protecting U.S. business interests 22% 33% Make helping poor countries a top goal 64% 18%
Be more willing to accept decisions of UN 78% 66% Reduce U.S. military aid 40% 65%
Keep military bases in South Korea 71% 62% Reduce U.S. economic aid 9% 64%
Keep military bases in Germany 54% 57% Keep military bases in Saudi Arabia 25% 50%
Keep military bases in Japan 56% 52% Keep military bases in Turkey 63% 46%
Bomb terrorist training camps and faculties 83% 83% Keep military base at Guantánamo Bay, Cuba 47% 58%
Assassinate terrorist leaders 52% 68% Use troops to defend S. Korea from N. Korea 82% 43%
Not torture suspected terrorists for information 88% 66% Use troops to protect oil supply 36% 54%
Remain in NATO 66% 58% Topple governments that support terrorism 38% 67%
Join Kyoto Protocol to cut CO2 emissions 72% 71% Use troops to protect Israel from Arabs 64% 43%
Give UN power to control global arms trade 55% 57% Use troops to protect Taiwan from China 51% 33%
Participate in UN peacekeeping 84% 78%
Wage preemptive war in some circumstances 71% 70%
Use troops to halt genocide 86% 75%
Ratify treaty to ban all nuclear weapons tests 85% 87%
Ratify treaty to ban all land mines 80% 80%
Use nuclear weapons only if attacked by them 57% 57%

Notes: NATO is the North Atlantic Treaty Organization, UN is the United Nations, and CO2 is carbon dioxide.
Data source: Chicago Council on Global Affairs (2004).

This table compares the opinions of U.S. political, social, and economic leaders and the American public. Usually the two groups agree,
but they also often disagree, as the two lists show. Also look for more subtle differences. Whether the groups agree or not, the leaders
are usually more internationalist than the public. Where the public is internationalist is on issues that directly and immediately affect
Americans, such as protecting jobs from foreign competition.

“stay the course,” the president clearly began to more flexibly look for a way to ex-
tricate the country from Iraq.
Web Link
Dimensions of Foreign Policy Opinion Most polls only report overall public opin-
Numerous foreign policy opinion
analyses including surveys
ion on a topic, but it is important to realize that opinion is not split evenly across
evaluating the opinions of U.S. all segments of the public. One of these opinion splits, the gender gap, is dis-
global leaders and the foreign cussed earlier in this chapter. Additionally, there is a leader-citizen opinion gap
policy views of Americans and on some issues in the United States and other countries. This term represents the
citizens from 17 countries
difference in the average opinions of those who are the leaders of government,
can be found on the site of
the Chicago Council on
business, the media, and other areas in a society and the general public. Table 3.2
Global Affairs at http://www lists a wide range of issues on which U.S. leaders and the American public agree
.thechicagocouncil.org. and disagree.
 System-Level Analysis 91

SYSTEM-LEVEL ANALYSIS

Countries may be theoretically free to make any foreign policy decision they want,
but as a practical matter, achieving a successful foreign policy requires that they www
make choices that are reasonable within the context of the realities of the interna-
tional system. For example, Mexico’s President Vicente Fox denounced as “disgrace- MAP
ful and shameful” the U.S. plan to build a wall along the two countries’ border, and The Geopolitical World
Mexico could exercise its sovereign authority and use force to try to prevent the bar- at the Beginning
rier’s construction.44 However, doing so would be foolhardy because one fact of life of the 21st Century
in the international system is that the U.S. military power is vastly greater than that
of Mexico. Thus, power realities in the international system dictate that Mexico
would be wiser to attempt to use more moderate means in its effort to persuade the
United States to abandon the notion that good fences make good neighbors.
System-level analysis focuses on the external restraints on foreign policy. This is
a “top-down” approach to world politics that examines the social-economic-political-
geographic characteristics of the system and how they influence the actions of
countries and other actors (Moore & Lanoue, 2003). We can roughly divide the
restraints on reasonable state behavior into those related to the system’s structural
characteristic, its power relationships, its economic realities, and its norms.

Structural Characteristics
All systems, whether it is the international system, your country’s system, or the im-
mediate, local system in your college international relations class, have identifiable
structural characteristics. Two of particular relevance to our analysis here are how
authority is organized in the international system and the scope and level of interac-
tion among the actors in the system.

The Organization of Authority

The structure of authority for making and enforcing rules, for allocating assets, and
for conducting other authoritative tasks in a system can range from hierarchical (ver- www
tical) to anarchical (horizontal). Most systems, like your class and your country,
tend toward the hierarchical end of the spectrum. They have a vertical authority
WEB POLL
structure in which subordinate units are substantially regulated by higher levels of System-Level Analysis
authority. Other systems are situated toward the horizontal authority structure end of
the continuum. There are few, if any, higher authorities in such systems, and power is
fragmented. The international system is a mostly horizontal authority structure. It is
based on the sovereignty of states. Sovereignty means that countries are not legally an-
swerable to any higher authority for their international or domestic conduct. As such,
the international system is a state-centric system that is largely anarchic; it has no
overarching authority to make rules, settle disputes, and provide protection.
The anarchical nature of the international system has numerous impacts on
national policy. Consider defense spending, for instance. We debate whether it is too
high, too low, or about right; but almost nobody suggests that we spend zero and
eliminate our country’s military entirely. To see why the anarchical international sys-
tem pressures countries to have an army, ask yourself why all countries are armed
and why few, if any, students bring guns to class. One reason is that states in the
international system (unlike students in your college) depend on themselves for
protection. If a state is threatened, there is no international 911 to call for help. Given
this anarchical self-help system, it is predictable that states will be armed.
92 CHAPTER 3 Levels of Analysis and Foreign Policy

FIGURE 3.6 Attitudes about While the authority structure in the interna-
Global Governance tional system remains decidedly horizontal, change
is under way. Many analysts believe that sovereignty
Percent of Americans who favor greater U.S. compliance with the: is declining and that even the most powerful states
66% 69% 68% 65% are subject to a growing number of authoritative
57% rules made by international organizations and by in-
ternational law. Countries still resist and often even
reject IGO governance, but increasingly they also
comply with it. In 2006, for example, the World
Trade Organization (WTO) ruled in favor of a U.S.
allegation that the European Union (EU) was violat-
ing trade rules by using health regulations to bar the
United World Trade International International International
Nations Organization Monetary Court of Criminal Court importation of genetically modified foods. That
Fund/ Justice gladdened Washington, but it was disappointed in
World Bank another ruling that year which upheld an EU com-
plaint that U.S. tax breaks given to Boeing and other
Most Americans say they support increased U.S. compliance with a
wide range of international organizations even if their decisions differ
aircraft manufacturers were acting as a subsidy that
from U.S. policy preferences. However, questions about specific issues gave Boeing an unfair advantage over Europe’s Air-
that go against current U.S. policy often bring a less internationalist bus under WTO rules. In both cases, as often occurs,
response by Americans. For example, 65% of them want the United the losing side grumbled mightily and hinted it
States to join the International Criminal Court, but only 37% are willing might not comply, but history shows that countries
to have the ICC try American soldiers accused of war crimes if the U.S. do eventually change their practices when the WTO
government refuses to do so.
finds against them. Americans, like people in most
Data sources: Chicago Council on Global Affairs, Global Views 2004: American Public countries, are sensitive about their sovereignty, yet
Opinion and Foreign Policy (Chicago: Chicago Council on Global Affairs, 2005) and
Pew Global Attitudes Project Poll, January, 2003; data provided by The Roper Center they also are becoming more willing to accept the
for Public Opinion Research, University of Connecticut. idea that their country should abide by IGO deci-
sions, as Figure 3.6 indicates.

Scope, Level, and Intensity of Interactions

Another structural characteristic of any political system is the scope (range), fre-
quency, and intensity (level) of interactions among the actors. In your class, for ex-
ample, the scope of interactions between you and both your professor and most of
your classmates (1) is probably limited to what happens in the course; (2) is not very
intense; and (3) is confined to two or three hours of class time each week over a
single semester.
At the international system level, the scope, frequency, and level of interaction
among the actors is not only often much higher than in your class but has grown ex-
tensively during the last half century. Economic interdependence provides the most
obvious example. Countries trade more products more often than they did not long
ago, and each of them, even the powerful United States, is heavily dependent on oth-
ers for sources of products that it needs and as markets for products that it sells.
Without foreign oil, to pick one obvious illustration, U.S. transportation and indus-
try would literally come to a halt. Without extensive exports, the U.S. economy
would stagger because exported goods and services account for about 15% of the
U.S. GNP.
Data about expanding trade does not, however, fully capture the degree to which
the widening scope and intensifying level of global financial interactions are increas-
ing transnational contacts at every level. For individuals, modern telecommunica-
tions and travel have made personal international interactions, once relatively rare,
now commonplace. For example, between 1990 and 2005 the number of Americans
traveling overseas increased 42% from 44.6 million to 63.5 million. During the same
 System-Level Analysis 93

period, the number of foreign visitors to the United States jumped 25% from
39.4 million to 49.2 million. Communications are also expanding the scope, level,
and intensity of communications. Satellite-transmitted television revolutionized
communications. Most recently, al Jazeera, the Arab-based news network, has added
an around-the-clock English-language broadcast. Trillions of phone calls, letters,
and e-mail messages add to the globalization of human interactions, and the Internet
ignores borders as it connects people and organizations around the world as if they
were in the next room.

Power Relationships
Countries are restrained by the realities of power in the international system, much
like individuals are limited by the distribution of power in more local systems. For www
instance, it is very probable that the distribution of power in your class is narrow.
There is apt to be one major power, the professor, who decides on the class work,
SIMULATION
schedules exams, controls the discussion, and issues rewards or sanctions (grades). Rules of the Game
Sometimes students grumble about one or another aspect of a class, and they might
even be right. But the power disparity between students and their professor makes
open defiance exceptionally rare. Similarly, the conduct of the international system is
heavily influenced by power considerations such as the number of powerful actors
and the context of power.

The Number of Powerful Actors

Historically, international systems have been defined in part by how many powerful
actors each has (Wilkinson, 2004). Such an actor, called a power pole, can be (1) a
single country or empire, (2) an alliance, or could be (3) a global IGO, such as the
UN, or (4) a regional IGO, such as the EU.
These poles are particularly important to the realist approach and its concern Web Link
with the balance of power. Sometimes the term is used to describe the existing dis- An online balance-of-power
tribution of power, as in, “the current balance of power greatly favors the United game can be played at
States.” More classically, though, the theory of balance-of-power politics put forth by www.balance-of-power.ch/
realists holds that: (1) all states are power seeking; (2) ultimately, a state or bloc will main.html.
attempt to become hegemonic, that is, dominate the system; and (3) other states will
attempt to block that dominance by increasing their own power and/or cooperating
with other states in an antihegemonic effort.
Some scholars further believe that the number of power poles in existence at any
one time helps determine how countries are likely to act. According to this view, it is
possible to identify patterns or rules of the game for systems. Figure 3.7 displays four
power configurations (unipolar, bipolar, tripolar, and multipolar) and ways in which
the patterns of interaction arguably differ across them. Bear in mind that these rules
indicate what actors are apt to try to do. The rules are neither ironclad nor do actors
always succeed in implementing them.
As a sample of how these rules work, note that in a unipolar system, which ex-
ists in many ways today with the United States as the single pole, the hegemonic
power tries to maintain control. From a system-level perspective, this impulse to
power is not so much caused by the preexisting desires of the dominant power as by
the pressure in the system to maintain stability and order. The argument is that “a
unipolar system will be peaceful,” but only so long as the hegemonic power acts like
one (Wohlforth, 1999:23). This leads some scholars to worry that if the United
States refuses to play the leading role in the world drama, then the system becomes
unstable, leading to greater violence and other negative consequences (Lal, 2004).
94 CHAPTER 3 Levels of Analysis and Foreign Policy

FIGURE 3.7 The Dynamics of International Systems

Unipolar System One pole

Rules of the game are: (1) The central power
establishes and enforces rules and dominates
military and economic instruments. (2) The
central power settles disputes between
subordinate units. (3) The central power
resists attempts by subordinate units to
achieve independence or greater autonomy
and may gradually attempt to lessen or
eliminate the autonomy of subordinate units.

Traditional Hegemonic Dominance World Federal System

Two poles
Bipolar System Acute hostility between the two poles is the
central feature of a bipolar system. Thus
primary rules are: (1) Try to eliminate the
other bloc by undermining it if possible and
by fighting it if necessary and if the risks are
acceptable. (2) Increase power relative to the
other bloc by such techniques as attempting
to bring new members onto your bloc and by
attempting to prevent others from joining the
rival bloc.

Tripolar System
Three poles
The rules of play in a triangular relationship
are: (1) Optimally, try to have good relations
with both other players or, minimally, try to
avoid having hostile relations with both other
Prevention of players. (2) Try to prevent close cooperation
good relations between the other two players.
between other
two players

Four or more poles

Multipolar System
Rules of the game are: (1) Oppose any actor
or alliance that threatens to become
hegemonic. This is also the central principle
of balance-of-power politics. (2) Optimally
increase power and minimally preserve your
power. Do so by negotiating if possible, by
fighting if necessary. (3) Even if fighting, do
not destabilize the system by destroying
another major actor.

Small Power Short-Term or Potential Link

Large Power Dominant and Lasting Link

The relationships that exist among the actors in a particular type of international system structure vary
because of the number of powerful actors, the relative power of each, and the permitted interactions
within the system. This figure displays potential international system structures and the basic rules that
govern relationships within each system. After looking at these models, which one, if any, do you think
best describes the contemporary international system?
 System-Level Analysis 95

Advocates of this view warn, “Critics of U.S. global dominance should pause and
consider the alternative. If the United States retreats from its hegemonic role,
who would supplant it? . . . Unfortunately, the alternative to a single superpower is
not a multilateral utopia.” What will occur, the argument continues, is a “power
vacuum . . . an era of ‘apolarity’,” leading to “an anarchic new Dark Age: an era of
waning empires and religious fanaticism; of endemic plunder and pillage in the
world’s forgotten regions; of economic stagnation and civilization’s retreat into a few
fortified enclaves” (Ferguson, 2004:32). This view is akin to Barber’s (1996) image
of tribalism, as discussed in chapter 2.
Needless to say, there is considerable debate over such views. Some scholars con-
tend that a reduced U.S. presence in the world would not destabilize the system. Yet
other analysts debate the motives behind and the implications of the United States
conducting itself as the hegemonic power. Some condemn it as a destructive imperi-
alistic impulse (Gitlin, 2003; Lobell, 2004). Speaking to an international conference
in 2007, Russia’s President Putin argued that the U.S. aggressive policy had made the
world more dangerous than during the cold war. During that period of bipolar con-
frontation, Putin argued, there “was a fragile peace, a scary peace, but it was fairly
reliable, as it turns out. Today it is less reliable.”45 Others argue that U.S. power is not
only necessary for stability, but will also have other positive impacts such as spread-
ing democracy (Kaplan 2004; Krauthammer, 2004). Amid all these sharply divergent
views about the U.S. global role, though, there can be little doubt that changing the
power equation changes the way a system operates.
The theory about the rules of the game in a unipolar system also suggests that
lesser powers try to escape dominance. Arguably, that explains why many Europeans
favor transforming the existing 60,000-soldier Eurocorps (with troops from Belgium,
France, Germany, Luxembourg, and Spain) into a de facto EU army to rival or even to
replace NATO, which the United States dominates. As former British Prime Minister
Margaret Thatcher put it, “The real drive towards a separate European defense” is
based on the unstated goal of “creating a single European superstate to rival America
on the world stage.”46 The urge to escape the U.S. orbit also may help explain why
France, Germany, Russia, and China were all opposed to U.S. action against Iraq in
2003. Certainly those countries objected to the war as such, but it was also a chance
to resist the lead of the hegemonic power. In this context, it was not surprising that
several European countries met soon after the Iraq War to discuss how to increase
their military cooperation. “In order to have a balance, we have to have a strong
Europe, as well as a strong U.S.,” is how French President Jacques Chirac explained the
purpose of the conference.47 Moreover, surveys indicate that not only do Europeans
agree that a stronger Europe to counterbalance U.S. power is desirable, so does a
majority or plurality of people in most other countries surveyed on the question. The
details are presented in Figure 3.8 on page 96. None of this means that any of these
countries are implacably antagonistic toward the United States, only that Washington
needs to exercise power carefully to avoid driving its former allies together with its
former enemies in an anti-hegemony, not an anti-American, alliance (Carter, 2003).

The Context of Power

The United States is troubled by its massive trade deficit ($221 billion in 2006) with
China, and there is pressure on the Bush administration to react strongly. U.S. man-
ufacturers and unions assert that they are losing business and jobs to the flood of
imports. Thus far, however, Washington has not pressed Beijing hard on the issue. One
reason is that raising tariffs on Chinese goods and other decisive actions, which the
United States has the power to do, would dramatically decrease China’s willingness
96 CHAPTER 3 Levels of Analysis and Foreign Policy

FIGURE 3.8 Opinions on to cooperate with the United States in other key
European and U.S. Power areas. An example of these is North Korea’s nuclear
weapons program, a situation that could lead to
Spain 81% 10% 9% the spread of nuclear weapons beyond North Korea
Germany 79% 11% 10% to South Korea and Japan and even to war on the
Italy 76% 10% 14% Korean Peninsula. China is one of the few countries
France 70% 8% 22% with any influence in Pyongyang, and Beijing might
Mexico 66% 26% 8% respond to U.S. pressure to reduce the trade deficit
China 66% 18% 16% by refusing to cooperate with Washington’s efforts to
Great Britain 66% 8% 26% persuade North Korea to end its nuclear program.
South Africa 63% 12% 25%
Canada 63% 11% 26%
Australia 62% 15% 23% Economic Realities
Russia 60% 27% 13% System-level analysts contend that the economic re-
Lebanon 59% 27% 14% alities of the international system help shape the
Poland 58% 30% 12% choices that countries make. Again, this is the same
Argentina 57% 27% 16% in systems from the global to your local level. For
Indonesia 56% 22% 22% example, a safe prediction is that after finishing your
Brazil 53% 19% 28% education you will get a job and spend most of the
South Korea 53% 7% 40% rest of your life working instead of pursuing what-
Turkey 49% 32% 19% ever leisure activities you enjoy the most. You will
Chile 48% 35% 17% almost certainly do that because the economic reali-
Japan 35% 52% 13% ties of your local system require money to get many
India 35% 27% 38% of the things you want, and most of us need a job to
Philippines 35% 11% 54% get money. Similarly, the international system has
United States 34% 11% 55% economic facts of life that help shape behavior.
Opinions on Europe’s power surpassing U.S. power Interdependence is one of the economic facts of
Positive Neutral Negative life that influences states’ behavior. For example,
many studies conclude that increasing economic in-
“Uneasy lies the head that wears a crown,” Shakespeare tells us in terdependence promotes peace as countries become
Henry I, Part II. This insight helps explain global attitudes toward the more familiar with one another and need each other
reigning hegemonic power, the United States. When people in 23 for their mutual prosperity (Schneider, Barbieri, &
countries were asked whether it would be mainly a positive or negative
Gleditsch, 2003). The ramifications of this on pol-
development if “Europe becomes more influential than the United
States in world affairs,” a majority in 17 countries and a plurality in 2
icy are evident by again turning to U.S.-China rela-
others replied mainly positive. Only majorities of Americans and tions. It is tempting to advocate imposing tariff
Filipinos thought the change would be negative, while people in India hikes and other sanctions on Beijing, and certainly
were closely divided and most Japanese were neutral. that would stagger China’s economy. But it would
Note: Unsure and all other answers other than positive or negative were coded as also damage Americans economically. Equivalent
neutral here. U.S.-made products would be much more expen-
Data source: Program on International Policy Attitudes, 23 Nation Poll: “Who Will Lead
the World?” April 2005.
sive, thereby increasing the cost of living for the
American consumer. Toys, electronic products, and
many other things that Americans import from China might be in short supply or
not available, at least until substitute sources could come on line. Many U.S. busi-
nesses and their stock- and bondholders might also suffer because they have
invested heavily in setting up manufacturing plants in China that produce goods for
the U.S. market. In short, the United States could decide to impose sanctions on
China, but doing so would at least partly be the equivalent of Americans shooting
themselves in their own economic foot.
Natural resource production and consumption patterns also influence the oper-
ation of the system. From this perspective, the U.S. military reaction to Iraq’s attack
on Kuwait in 1990 and its threat to the rest of the oil-rich Persian Gulf region was
 System-Level Analysis 97

virtually foreordained by the importance of petroleum to the prosperity of the United

Did You Know That:
States and its economic partners. As U.S. Secretary of State James A. Baker III ex-
Iraq contains about 11%
plained to reporters, “The economic lifeline of the industrial world runs from the
of the world’s proven oil
Gulf, and we cannot permit a dictator . . . to sit astride that economic lifeline.”48 reserves.
By contrast, U.S. officials repeatedly denied that petroleum was connected to the
war in 2003. Secretary of Defense Rumsfeld, for one, asserted that the U.S. campaign
against Iraq “has . . . literally nothing to do with oil.”49 Nevertheless, numerous an-
alysts believe that it was an underlying factor. Some contend that Washington sought
to ensure continued supplies at a stable price by adding control of Iraq to its already
strong influence over Saudi Arabia, Kuwait, Qatar, and other oil-rich states in the re-
gion. The administration “believes you have to control resources in order to have ac-
cess to them,” argues Chas Freeman, a former U.S. ambassador to Saudi Arabia.50
Other analysts believe that the motive behind U.S. policy was a power play. As one
scholar put it, “Controlling Iraq is about oil as power, rather than oil as fuel. Control
over the Persian Gulf translates into control over Europe, Japan, and China. It’s having
our hand on the spigot.”51
There has also been speculation that the opposition of France, Russia, and some
other countries to the U.S.-led invasion and their support for easing sanctions on www
Iraqi oil exports were in part oil related. The contention is that these countries were
concerned with the contracts their oil companies had with Iraq to develop its oil pro- MAP
duction once sanctions were lifted, and they feared that those agreements would be Flows of Oil
abrogated and given to U.S. firms in the wake of a U.S. occupation of the country. As
one U.S. oil expert put it before the war, “Most of these governments . . . have [a
financial] interest in the current Iraqi government surviving. It’s not trivial. . . . Once
it’s developed, the oil will be 2.5 million barrels [worth about $70 million] per day.”52

Flows of Oil

123
73 53

3
88
114

89
131
132

65

Flows of Oil in Millions

of Tons per Year
Lines are approximate
proportional width.

World politics is strongly influenced by the reality in the international system that much of the world’s
petroleum is produced in the Middle East and consumed in North America, Europe, and Japan.
98 CHAPTER 3 Levels of Analysis and Foreign Policy

Norms
Like all the other factors we have been discussing, norms influence the actors in sys-
tems from the global level to the local level. Norms are one of the reasons that even on
a very warm day you will almost certainly come to class wearing clothes rather than
au naturel. In fact, norms make it reasonably predictable that most students will come
to class not only dressed, but dressed similarly. Jeans, sweatshirts, sneakers or work
boots, and baseball caps (often worn backwards) seem the most common “uniform.”
Similarly, norms play a part in determining actions within the international sys-
tem. It is hard for some to accept that norms exist in a world in which absolutely hor-
rendous things sometimes happen. Moreover, it would be far too strong to say there
is anything near a universally accepted standard of behavior. Yet it is the case that
values do exist, are becoming a more important part of international conduct, and are
becoming more uniformly global. During the war with Iraq in 2003, for example, one
available U.S. option was “nuking” Iraq’s main cities and military sites and killing
most Iraqis. It surely would have ended the regime of Saddam Hussein, it would have
been quick, and it would have cost many fewer American lives and dollars than the
conventional attack and subsequent occupation. Yet the U.S. decision was to send
troops to Iraq at great expense and at great risk, especially given the perceived threat
of a chemical or biological attack on them. Why?
Norms were one reason for not using nuclear weapons. The global population
would have been horrified, and Americans themselves might have risen up and re-
moved President Bush from office. Indeed, the norm against using nuclear weapons,
especially against a non-nuclear power, is so strong that only massive Iraqi use of
chemical or biological weapons might have prompted such a response. Moreover,
even during their conventional invasion, it is noteworthy that U.S. and U.K. military
forces generally conducted operations in a way to keep civilian casualties much
lower than they might otherwise have been. That reflected the growing norms in the
world, including those of Americans, 75% of whom, according to one poll, believed
there should be a “very high” or “high” priority on minimizing civilian casualties.53
It is easy to lose track of the main message in this long section on system-level
analysis. So to recap our focus, system-level analysis looks for the way that the struc-
ture, power distribution, economic realities, and norms of the international system
influence foreign policy. Indeed, we have seen that foreign policy making is much
more complex than merely “what the president decides.” Instead, foreign policy and
by extension world politics are heavily influenced by numerous factors related to
the traits of humans as individuals and as a species, to the complicated structure of
government with its many important subnational actors, and to the context of the
international system in which all countries operate.

CHAPTER SUMMARY

INDIVIDUAL-LEVEL ANALYSIS 2. Individual-level analysis can be approached from

1. Individual-level analysis is based on the view three different perspectives. One is to examine
that it is people who make policy. It analyzes the fundamental human nature. The second is to
policy-making process by examining how people study how people act in organizations. The third is
(as a species, in groups, and individually) make to examine the motivations and actions of specific
decisions. persons.
 Chapter Summary 99

3. The human nature approach examines basic organizations are normally the second most pow-
human characteristics, including the cognitive, erful actors.
psychological, emotional, and biological factors
that influence decision making. SYSTEM-LEVEL ANALYSIS
4. The organizational behavior approach studies 13. To be successful, countries usually must make
such factors as role (how people act in their policy choices within the context of the realities of
professional position) and group decision-making the international system. Therefore, system-level
behavior, including groupthink. analysis examines how the realities of the interna-
5. The idiosyncratic behavior approach explores the tional system influence foreign policy.
factors that determine the perceptions, decisions, 14. Many factors determine the nature of any given
and actions of specific leaders. A leader’s personal- system. Systemic factors include its structural
ity, physical and mental health, ego and ambitions, characteristics, power relationships, economic
understanding of history, personal experiences, realities, and norms of behavior.
and perceptions are all factors. 15. One structural characteristic is how authority is
6. The application of perceptions to policy can be organized. The international system is horizontal,
explained by exploring operational reality and based on state sovereignty, and therefore it is anar-
operational codes. chical. There are, however, relatively new central-
izing forces that are changing the system toward a
STATE-LEVEL ANALYSIS more vertical structure.
7. State-level analysis assumes that since states are 16. Another structural characteristic is a system’s
the most important international actors, world frequency, scope, and level of interaction. The
politics can be best understood by focusing on current system is becoming increasingly inter-
how foreign policy is influenced by the political dependent, with a rising number of interactions
structure of states, the policy-making actors across an expanding range of issues. Economic
within them, and the interactions among the interdependence is especially significant.
policy actors. 17. When analyzing power relationships, an impor-
8. Foreign policy is not formulated by a single tant factor is the number of poles in a system and
decision-making process. Instead, the exact nature how the pattern of international relations varies
of that process changes according to a number of depending on how many power centers, or poles,
variables, including the type of political system, a system has.
the type of situation, the type of issue, and the 18. The current system most closely resembles either
internal factors involved. a unipolar system or limited unipolar system
9. States are complex organizations, and their inter- dominated by the United States.
nal, or domestic, dynamics influence their interna- 19. The context of power is another system character-
tional actions. istic. One contextual factor is the applicability of
10. One set of internal factors centers on political power in a given situation.
culture: the fundamental, long-held beliefs of a 20. Another aspect of the context is the intricate inter-
nation. relationships among almost 200 countries and the
11. Another set of internal factors centers on the need of even powerful countries for diplomatic
policy-making impact of various foreign policy– reciprocity, the cooperation of others on a range of
making actors. These include political leaders, issues. It is therefore wise, before using power, to
bureaucratic organizations, legislatures, political calculate the long-term impact of the attitudes of
parties and opposition, interest groups, and the other countries.
public. Each of these influences foreign policy, 21. Norms are the values that help determine patterns
but their influence varies according to the type of behavior and create some degree of predictabil-
of government, the situation, and the policy at ity in the system. The norms of the system are
issue. changing. Many newer countries, for instance, are
12. Usually, heads of government are the most power- challenging some of the current norms of the sys-
ful foreign policy–making actors. Bureaucratic tem, most of which are rooted in Western culture.
100 CHAPTER 3 Levels of Analysis and Foreign Policy

For simulations, debates, and other interactive activities, a chapter quiz, Web links,
and much more, visit www.mhhe.com/rourke12/ and go to chapter 3. Or, while
accessing the site, click on Course-Related Headlines and view recent international
relations articles in the New York Times.

KEY TERMS

authoritarian foreign policy–making idiosyncratic analysis poliheuristic theory

governments actors individual-level analysis political culture
balance-of-power politics formal powers informal powers political executives
biopolitics frustration-aggression interest groups power pole
bureaucracy theory intermestic policy roles
cognitive decision gender opinion gap issue area state-centric system
making groupthink leader-citizen opinion gap state-level analysis
crisis situation head of government leadership capabilities system-level analysis
decision-making process hegemonic power levels of analysis two-level game
democratic governments heuristic devices mirror-image perception unipolar system
ethology horizontal authority operational code vertical authority
foreign policy process structure operational reality structure
 C H A P T E R

4
Nationalism:
The Traditional
UNDERSTANDING NATIONS, NATIONALISM,
AND NATION-STATES
Nations, Nationalism, and Nation-States Defined
Nations
Orientation
Nationalism
Nation-States
Who is here so vile that will not love his country?
The Rise and Ascendancy of Nationalism —William Shakespeare, Julius Caesar
Early Nationalism
Ascendant Modern Nationalism
If he govern the country, you are bound to him indeed;
Patterns of Nation-State Formation but how honourable he is in that, I know not.
NATIONALISM IN PRACTICE: ISSUES —William Shakespeare, Pericles, Prince of Tyre
AND EVALUATION
Nation-States: More Myth Than Reality
One State, One Nation
One State, Multiple Nations
One Nation, Multiple States
One Nation, No State
Multiple Nations, Multiple States
Positive and Negative Aspects of Nationalism
Positive Nationalism
Negative Nationalism
Self-Determination as a Goal
Positive Aspects of Self-Determination
Concerns about Self-Determination
NATIONALISM AND THE FUTURE
The Recent Past and Present of Nationalism
The Predicted Demise of Nationalism
Persistent Nationalism
The Future of Nationalism
CHAPTER SUMMARY

Nationalism, identifying politically first and foremost with your country, has
long been and remains the most important political orientation of a majority
of the people. This chapter explores the evolution of nationalism and its
advantages and disadvantages.
102 CHAPTER 4 Nationalism: The Traditional Orientation

LIENS FASCINATE US. NOT THE ALIENS that immigration officials worry about, but

A the ones that come from other planets. Whether it is movies such as Star Wars:
Revenge of the Sith, television such as the numerous Star Trek series, sci-fi nov-
els, or comics, our entertainment media are filled with “others.” These aliens can do
more than amuse or scare us; they can teach us something. For instance, take E.T.,
the extraterrestrial being. Now, there was one strange-looking character. He—she?—
had a squat body, no legs to speak of, a large shriveled head, saucer eyes, and a tele-
scopic neck. And the color! Yes, E.T. was definitely weird. Not only that; there was
presumably a whole planet full of E.T.s—all looking alike, waddling along, with their
necks going up and down.
Or did they all look alike? They might have to us, but probably not to one another.
Perhaps their planet had different countries, ethnic groups, and races of E.T.s. Maybe
they had different-length necks, were varied shades of greenish-brown, and squeaked
and hummed with different tonal qualities. It could even be that darker-green E.T.s with
longer necks from the country of Urghor felt superior to lighter-green, short-necked
E.T.s from faraway and little-known Sytica across the red Barovian Sea. If E.T. were a
Sytican, would the Urghorans have responded to the plaintive call, “E.T. phone home”?
We can also wonder whether E.T. could tell Earthlings apart. Was he aware that
some of his human protectors were boys and some were girls and that a racial and
ethnic cross section of Americans chased him with equal-opportunity abandon?
Maybe we all looked pretty much the same to E.T. If he had been on a biological
specimen–gathering expedition, would he have collected a Canadian, a Nigerian, and
Web Link
a Laotian, or would he have considered them duplicates?
You can participate in the Search The point of this whimsy is to get us thinking about our world, how we group
for Extraterrestrial Intelligence
ourselves, and how we distinguish our group from others. This sense of how you are
(SETI) program at the University
of California at Berkeley through
connected politically to others is called political identity. What we humans mostly
its Web site at http://setiathome do is to ignore our many and manifest similarities and perceptually divide ourselves
.ssl.berkeley.edu/. into Americans, Chinese, Irish, Poles, and a host of other national “we-groups.”

UNDERSTANDING NATIONS, NATIONALISM,

AND NATION-STATES

This chapter explores nationalism, which for more than five centuries has been, and
continues to be, the most important way we identify ourselves politically. National-
ism’s status as the key component of most people’s political identity makes it one of
the most important forces in traditional global politics. Despite its strength, however,
nationalism is not as dominant a political identity as it once was. Indeed, some even
doubt whether it will or should continue and predict or advocate various trans-
national alternative orientations. These alternatives are taken up in chapter 5, and
their juxtaposition with the traditional nationalist orientation in this chapter repre-
sents one of this book’s main themes: that the world must decide whether to continue
to practice traditional world politics, to adopt a new approach to global affairs, or to
blend traditional and new approaches and, if so, in what measure of each.

Nations, Nationalism, and Nation-States Defined

The world’s political divisions rest in great part on three concepts: nation, nation-
state, and nationalism. Understanding both the theory and reality of what they are and
how they relate to one another is central to our analysis of international politics.
 Understanding Nations, Nationalism, and Nation-States 103

Nations
A nation is a people who (a) share demographic and cultural similarities, (b) pos-
sess a feeling of community (mutually identify as a group distinct from other
groups), and (c) want to control themselves politically. As such, a nation is intangi-
ble; it exists because its members think it does. A state (country) is a tangible insti-
tution, but a nation is “a soul, a spiritual quality” (Renan, 1995:7). Americans, for
one, are a nation; the institutional vehicle of their self-governance is their state, the
United States.

Demographic and Cultural Similarities The similarities that a people share help
make them a nation. These similarities may be demographic characteristics (such as
language, race, and religion), or they may be a common culture or shared historical
experiences. It could be said that the American nation is the outcome of Valley Forge,
World War II, Martin Luther King, McDonald’s, MTV, the Super Bowl, Jennifer
Lopez, the 9/11 terrorist attacks, and many other people, events, and processes that
make up the American experience. Symbols such as the American flag, Uncle Sam,
and the bald eagle reinforce nationalism (Kolstø, 2006; Geisler, 2005).

Feeling of Community A second thing that helps define a nation is its feeling of www
community. Perception is the key here. Whatever its objective similarities, a group
is not a nation unless it subjectively feels like one. Those within a group must per-
WEB POLL
ceive that they share similarities and are bound together by them. The central role International Identity
of perceptions in defining a nation leads, perhaps inevitably, to a “we-group” defin-
ing itself not only by the similarities of its members but also in terms of how the
members of the nation differ from others, the “they-
groups.” The group members’ sense of feeling akin
to one another and their sense of being different
from others are highly subjective.

Desire to Be Politically Separate The third element

that defines a nation is its desire to be politically
separate. What distinguishes a nation from an ethnic
group is that a nation, unlike an ethnic group,
desires to be self-governing or at least autonomous.
In the United States there are many groups, such
as Italian Americans, who share a common culture
and have a sense of identification. They are ethnic
groups, not nations, however, because they are not
separatists. In nationally divided states (like Cyprus,
with its majority Greek and minority Turkish com-
munities), the minority nationalities refuse to con-
cede the legitimacy of their being governed by the
majority nationality.
It should be noted that the line between ethnic
groups and nations is not always clear. In many
countries there are ethnic groups that either teeter on Wanting to be politically separate is a key factor that distinguishes
a nation from an ethnic group. This photo shows members of the
the edge of having true nationalist (separatist) senti-
Basque nation of Spain carrying a banner that reads, “New Basque
ments or that have some members who are national- Country” in their native language. Addressing the gathering on a huge
ists and others who are not. In Canada, for instance, screen in the background is Arnaldo Otegi. He leads Batasuna, the
there is ongoing dissatisfaction among many French Basque party that advocates secession of the Basque region, which
Canadians in the province of Quebec about their lies mostly in northern Spain and extends into France.
104 CHAPTER 4 Nationalism: The Traditional Orientation

status in the Canadian state. Some Québécois favor separation; others do not. Once the
prevailing opinion of the ethnic group perceives it to be distinct politically as well as
culturally, then it becomes an ethnonational group (Conversi, 2002 & 2004).

Nationalism
The second aspect of the traditional political orientation is nationalism. It is the
sense of political self that makes people feel patriotic about their country, connected
to a we-group, and different from they-groups. It is hard to overstate the importance
of nationalism to the structure and conduct of world politics. Nationalism is an
ideology. Like all ideologies, nationalism is a set of related ideas that (1) establish
values about what is good and bad, (2) direct adherents on how to act (patriotism),
(3) link together those who adhere to the ideology, and (4) distinguish them from
those who do not.
Specifically, nationalism connects individuals through links that are forged when
people (1) “become sentimentally attached to the homeland,” (2) “gain a sense of
identity and self-esteem through their national identification,” and (3) are “motivated
to help their country” (Druckman, 1994:44). As an ideology, nationalism holds
that the nation should be the primary political identity of individuals. Furthermore,
nationalist ideology maintains that the paramount political loyalty of individuals
should be patriotically extended to the nation-state, the political vehicle of the
nation’s self-governance. While most people have more than one political identity,
nationalism almost always is their primary political orientation. For example, Presi-
dent Lyndon B. Johnson once said, “I am an American, a Texan, and a Democrat—
Web Link
in that order.” Like Johnson, we emotionally rank our identities, and also like LBJ,
most of us put our country first. Thus you probably see yourself first and foremost
A good source of additional
information about nationalism
politically as a citizen of the United States or some other country. You might even be
is the Nationalism Project at willing to fight and die for your country. Would you do the same for your hometown?
www.nationalismproject.org/. Or Earth?

Nationalism is a learned form

of political identity. None of
these babies has a sense of
loyalty to any of the countries
represented by the flags on
their blanket, but they soon
will. As a result, even though
they seem pretty much the
same in this photo, each baby
will come to see the others as
different and perhaps even as
hostile.
 Understanding Nations, Nationalism, and Nation-States 105

Nation-States
A third element of our traditional way of defining and organizing ourselves politi-
cally is the nation-state. This combines the idea of a nation with that of a state. A
state, about which much more is said in chapter 6, is a country, a sovereign (inde-
pendent) political organization with certain characteristics, such as territory, a
population, and a government. Canada and China, for example, are states. Ideally,
a nation-state is one in which virtually all of a nation is united within the boundaries
of its own state, and the people of that state overwhelmingly identify with the nation.
Few states even approach this ideal, as we shall see, but the image is a powerful force
for both those nations seeking to found their own states and those states seeking
national unity.

The Rise and Ascendancy of Nationalism

Nationalism is such a pervasive mindset in the world today that it is difficult to
believe that it has not always existed. But it has not. Indeed, most scholars contend
that nationalism is a relatively modern phenomenon. Certainly, there have always
been cultures that defined people. It is also true that people have lived in one or
another type of political unit as far back as we can see in history. As we shall find,
though, what is relatively modern is the widespread sense among people that they
have a personal attachment to the political unit, in this case their country, and are
defined by the connection.
This reality that nationalism has not always existed is important because if some-
thing has not always been, it will not necessarily continue to be. As we shall see later
in the chapter, nationalism has its pluses and minuses, and numerous observers be-
lieve that it is an outmoded, even dangerous, orientation that should be deempha-
sized. Understanding that nationalism is not an absolute also leads to a discussion of
how it has evolved over time.

Early Nationalism
It is impossible to establish precisely when nationalism began to evolve (Smith,
2004). In the West, though, the fall of the universalistic Roman Empire set the stage.
Under Rome something of common culture, language (Latin), and law prevailed, at
least among the elite in the various parts of the empire. After Rome’s collapse these
common cultural and political ties deteriorated. Some sense of universality (such as
the authority of the pope over kings and the use of Latin) survived in the Roman
Catholic Church.
There were also various attempts to reestablish a Western empire. For example,
the king of the Franks, Charlemagne (742–814), gained control over most of western
and central Europe and in 800 was proclaimed by Pope Leo III to be Imperatori
Augustus, a symbolic title reminiscent of the Roman emperors. This led to the con-
cept of the Holy Roman Empire (HRE), which lasted in theory until 1806. Yet despite
its pretentious title, the HRE never wielded the power of Rome and sometimes had
little power at all.
As a result, the universality that had existed under Rome, and which the Church
and the HRE tried to maintain, fragmented into different cultures. The use of Latin,
a language spoken by all elites across Europe, declined, and the local languages that
supplanted Latin divided the elites. This was but the first step in a process that
eventually created a sense of divergent national identities among the upper classes.
Beginning in 1517, the Protestant Reformation divided Western Christendom and
further fragmented European culture.
106 CHAPTER 4 Nationalism: The Traditional Orientation

The growth of nationalism became gradually intertwined with the development

of states and with their synthesis, the nation-state. The history of states is reviewed
in chapter 2, but we can say here that some of the earliest evidence of broad-based
nationalism occurred in England at the time of King Henry VIII (1491–1547). His
break with the centralizing authority of the Roman Catholic Church and his estab-
lishment of a national Anglican Church headed by the king were pivotal events. The
conversion of English commoners to Anglicanism helped spread nationalism to the
masses, as did the nationalist sentiments in popular literature. In an age when most
people could not read, plays were an important vehicle of culture, and one scholar
has characterized the works of William Shakespeare (1564–1616) as “propagandist
plays about English history” (Hobsbawm, 1990:75). “This blessed plot, this earth,
this realm, this England,” Shakespeare has his King Richard II exult. In another play,
Henry VI, Shakespeare notes the end of the authority of the pope in Rome over the
king in London by having Queen Margaret proclaim, “God and King Henry govern
England.” This sounds commonplace today, but omitting mention of the authority of
the papacy was radical stuff 450 years ago (Maley, 2003).

Ascendant Modern Nationalism

Modern nationalism began to emerge in the 1700s. Until that time, the link between
the states and their inhabitants was very different than it is today. Most people were
not emotionally connected to the state in which they lived. Instead, people were
subjects who were ruled by a monarch anointed by God to govern (the divine right
theory). This changed under the doctrine of popular sovereignty. It holds that
people are not subjects, but citizens who have a stake in and are even owners (no
matter how tangentially) of the state. Moreover, rulers governed by the consent of
the people, at least in theory if often not in fact (Heater, 2004).
Until the late 1700s, popular sovereignty had been evolving slowly in Switzerland,
England, and a few other places. Then it accelerated with the American Revolution
(1776) and the French Revolution (1789). They dramatically advanced popular
sovereignty by doing away with kings altogether and in their place proclaiming, in
the words of the American Declaration of Independence, that governments derive
their “just powers from the consent of the governed.”
From these beginnings, the idea of popular sovereignty began to spread around
Did You Know That:
the globe. Within 200 years of the American and French Revolutions, absolute
National flags are relatively
monarchism, the most common form of governance from time immemorial, had
modern inventions that
replaced flags of royal
virtually disappeared. Transnational ties among the elites also waned. When Great
dynasties. The French Britain’s royal house of Stuart died out in 1714, it was still possible for the British to
tricolor, for example, dates import a German nobleman to become King George I. Such a transplanted monarch
only to 1794, when it or president would be virtually unthinkable today.
replaced the white flag with
Nationalism’s spread also dramatically changed the political map. An important
the gold fleur-de-lis of the
royal house of Bourbon.
factor was the associated concept of self-determination. This is the idea that every
nation should be able to govern itself as it chooses. Following this notion, some
nations that were divided among two or more political entities coalesced to create a
single state. The formation of Germany and Italy in the 1860s and 1870s are exam-
ples. In other cases, national states were established on the ashes of empire. Indeed,
a key change in the last 250 years has been the decline and death of vast multiethnic
empires, as one after another has sunk under its own ponderous weight like a woolly
mammoth in the La Brea tar pits. First, American colonists revolted against British
colonial rule. Then the urge for self-determination contributed to the decline and
fall of the Spanish empire in the 1800s, followed by the Austro-Hungarian and
Ottoman empires in the late 19th century and early 20th century. In each case, many
 Understanding Nations, Nationalism, and Nation-States 107

of the nations that had existed within these empires established states. By the mid-
twentieth century, nearly all of Europe and the Western Hemisphere had been divided
into nation-states, and the colonies of Africa and Asia were beginning to demand
independence. The British and French empires were similarly doomed by national-
ist pressures within them and fell apart in the three decades after World War II.
Finally, the last of the huge multiethnic empires, Russia/the Soviet Union, collapsed in
1991, with 15 nation-states emerging. Nationalism reigned virtually supreme around
the world.
These developments were widely welcomed on two grounds. First, the idea of
a nation implies equality for all members. Liberal philosophers such as Thomas
Paine in The Rights of Man (1791) depicted the nation and democracy as inher-
ently linked in the popularly governed nation-state. Supporters of nationalism also
welcomed it as a destroyer of empires. Among other important expressions of this
view is Article 55 of the United Nations Charter, which states that “the principle
of . . . self-determination of peoples” is one of the “conditions of stability and well-
being which are necessary for peaceful and friendly relations among nations.” As we
shall see later in the chapter, this support of self-determination is more controversial
than it may seem.

Patterns of Nation-State Formation

As the history of nationalism suggests, nations, nationalism, and nation-states can
come together in various patterns. Sometimes nations and nationalism precede
states; sometimes states precede nations and nationalism; and at other times nations
and nationalism evolve along with states.

Nations and Nationalism Precede Nation-States The easiest form of state building
occurs when a strong sense of cultural and political identity exists among a people,
and the formation of the nation precedes that of the state. This process is called “uni-
fication nationalism” (Hechter, 2000:15). Europe was one place where nations gen-
erally came together first and only later coalesced into states. As noted, for example,
Germans existed as a cultural people long before they established Germany in the
1860s and 1870s. In much the same way, the Italian peninsula was fragmented after
the fall of the Roman Empire and remained that way until a resurgent sense of Italian
cultural unity and its accompanying political movement unified most of the peninsula
in a new country, Italy, in 1861. Similarly, on the other side of the world in Japan,
increased nationalism helped end the political division of the Japanese islands among
the daimyo (feudal nobles) during the Tokugawa Shogunate (1603–1867), and restored
real power to what had been a figurehead emperor.

Nation-States Precede Nations and Nationalism Another scenario is when the state
is created first and then has to try to forge a sense of common national identity
among the people and between them and the state. This state-building process is
very difficult. Colonialism is one common cause of states coming into existence with-
out a national core. For example, European powers artificially included people of
different tribal and ethnic backgrounds within the borders of their African colonies
(Larémont, 2005). When those colonies later became states, most lacked a single,
cohesive nation in which to forge unity once independence had been achieved.
Numerous problems resulted and persist. For example, Rwanda and Burundi are
neighboring states in which Hutu and Tutsi people were thrown together by colonial
boundaries that, with independence, became national boundaries, as depicted in the
map of Africa on page 43. The difficulty is that the primary political identifications
108 CHAPTER 4 Nationalism: The Traditional Orientation

of these people have not become Rwandan or Burundian. They have

remained Hutu or Tutsi, and that has led to repeated, sometimes
horrific, violence.
The difficulties of building national identities and a stabilizing
state have also beset the United States, and to a degree other involved
countries, the UN, and regional organizations, in the aftermath of
interventions in such places as Somalia and the Balkans in the 1990s
and Afghanistan and Iraq more recently. Outside powers can find
themselves “stuck” because they are neither able to create stable
political situations that will allow them to withdraw nor willing to
withdraw and permit a violent struggle for power to ensue (Etzioni,
2004; Fukuyama, 2004; Migdal, 2004).

Nations, Nationalism, and Nation-States Evolve Together Frequently

nation-building and state-building are not locked in a strict sequen-
tial interaction, when one fully precedes the other. Sometimes they
evolve together. This approximates what occurred in the United
States, where the idea of being American and the unity of the state
began in the 1700s and grew, despite a civil war, immigration
inflows, racial and ethnic diversity, and other potentially divisive
factors. Still, as late as 1861, the limitations of nationalism could
be seen when Colonel Robert E. Lee declined President Abraham
Lincoln’s offer of the command of the United States Army and
accepted command of the militia of his seceding home state,
One problem to be addressed in attempting to create Virginia. The point is that American nationalism was not fully de-
a unified Iraq is building Iraqi nationalism. Among veloped in 1776. As has happened elsewhere, living within a state
other obstacles are the nationalist sentiments of the over time allowed a diverse people to come together as a nation
Kurds, symbolized by this young Kurdish boy through a process of e pluribus unum (out of many, one), as the U.S.
wearing a jacket bearing the proposed flag of an
motto says.
independent Kurdistan.

NATIONALISM IN PRACTICE:
ISSUES AND EVALUATION

The idea of a mutually identifying people coming together as a political nation to

establish their own nation-state in order to govern themselves is an attractive one.
Surely, it has brought benefits, but the reality of nationalism also has its dark side.
As a first step toward evaluating the pros and cons of nationalism, it is important to
understand how the theory and practice of nation-states differ.

Web Link Nation-States: More Myth Than Reality

To explore ethnonational Like most ideological images, the ideal nation-state is more myth than reality
division in Europe, go to the
(Axtmann, 2004). The reason is that the territorial boundaries of nations and states
site of the NGO Organization
of European Minorities at
often do not coincide. Instead, most states are not ethnically unified, and many
www.eurominority.org/version/ nations are split by one or more national boundaries. This lack of “fit” between
eng/. nations and states is a significant source of tension and conflict (Williams, 2003).
 Nationalism in Practice: Issues and Evaluation 109

There are five basic patterns: (1) The first is the ideal FIGURE 4.1 National Pride Variations
model of one nation, one state. The other four are lack-
of-fit patterns including (2) one state, multiple na- Whites 3.70
United
tions; (3) one nation, multiple states; (4) one nation, States
Blacks and Latinos 3.65
no state; and (5) multiple nations, multiple states. 0.05

One State, One Nation Anglophones 3.60

Only about 10% of all countries approximate the Canada Francophones 3.20

ideal nation-state by both having a population that is 0.40

90% or more of one nation and also having 90% of

Bulgars 3.00
that nation living within its borders. The United
Bulgaria Roma and Turks 2.55
States is one such country. More than 99% of all
0.45
Americans live in the United States, and there are no
large ethnonational groups seeking independence or Latvians 3.70
autonomy. There is some such sentiment among Latvia Russians 3.10
indigenous Americans, such as Native Hawaiians, 0.60
but combined they make up only a bit more than
1% of the population. Moreover, Americans express Spaniards 3.40
high levels of national pride, patriotism, and other Spain Basques and Catalans 2.75
nationalistic sentiments (Smith & Kim, 2006). In- 0.65
deed, as Figure 4.1 details, Americans not only have
more national pride than people in almost any other 1 Pride 4
country, but the level of that pride expressed by the (low) (high)
dominant cultural group and minority groups is Level of dominant group pride
much closer than it is between the dominant and Level of minority group pride
minority groups in many other countries. Gap between groups

One State, Multiple Nations The United States comes closer than most countries to being a true
A far greater number of countries are multinational nation-state. One indication is the relative levels of national pride
states, those in which more than one nation lies within expressed by members of each country’s dominant cultural group and
a state. In fact, 30% of all states have no nation that by members of its minority groups. As is normal, members of the
dominant cultural group in every country expressed high national pride
constitutes a majority. The map on page 110 showing and also more national pride than did members of minority groups,
the degree of demographic unity of each country indi- which suffer discrimination. However, the gaps varied widely, with the
cates racial and ethnic, as well as national, diversity. smallest, a negligible 0.05, in the United States.
Most of these minority groups do not have separatist Note: In countries with more than one minority group, gap scores were averaged.
tendencies, but many do or could acquire them. Data source: Dowley & Silver (2000), Table 5, p. 369.
Canada is one of the many countries where na-
tional divisions exist. About one-fourth of Canada’s
32 million people are ethnically French (French Canadians) who identify French as
their “mother tongue” and first language (Francophones). The majority of this group
resides in the province of Quebec, a political subdivision rather like (but politically
more autonomous than) an American state. Quebec is very French; of the province’s
7.2 million people, more than 80% are culturally French.
Many French Canadians have felt that their distinctive culture has been eroded
in predominantly English-culture Canada. There has also been a feeling of economic
and other forms of discrimination. The resulting nationalist sentiment spawned
the separatist Parti Québécois and led to a series of efforts in the 1980s and 1990s to www
obtain autonomy, even independence, for the province. The most recent of these
was a 1995 referendum on separation. The voters in Quebec rejected independence, MAP
but did so by only a razor-thin majority, with 50.6% voting non to sovereignty and Global Distribution
49.4% voting oui. The issue then receded somewhat, but it arose anew in late 2006 of Minority Groups
110 CHAPTER 4 Nationalism: The Traditional Orientation

Global Distribution of Minority Groups

Minority Population
Percentage of the total population
in groups other than the majority
or plural population
Less than 10%
10%–20%
21%–30%
31%–40%
41%–50%
More than 50%

0 1000 2000 Miles

0 1000 2000 3000 Kilometers

Very few states are ideal nation-states, ones where most of the people in the country are of one nation
and where almost everyone of that nation lives within the country. Much more common are multinational
states and multistate nations, as described in the text. Diversity within a state based on ethnicity, race,
and religion is not necessarily divisive. Americans are fairly diverse, but most see themselves as
Americans, whatever their demographic characteristics. In many other countries, though, diversity
engenders separatist ethnonational groups and often leads to violence.

when separatist Québécois legislators in Canada’s House of Commons (the dominant

chamber) sought a declaration that it “recognizes that the Québécois form a nation.”
Prime Minister Stephen Harper responded by rhetorically asking and answering, “Do
the Québécois form a nation within Canada? The answer is yes. Do the Québécois
form an independent nation? The answer is no.” Whether there will be a renewed
concerted drive by Quebec to gain greater autonomy or even independence remains
unclear, but at least one Canadian scholar commented, “This could become just as
nasty as the last time around [1995].”1
Canada has avoided bloodshed over its national division, but many other multi-
national states have not. Some have suffered extraordinary violence. Rwanda, for one,
is divided between two ethnonational groups, the minority (but politically dominant)
Tutsi people and the majority Hutu people. In 1994 an orgy of killing decimated
Rwanda when Hutus slaughtered some 800,000 Tutsis and their sympathizers over
about 100 days and well over 1 million Tutsis and moderate Hutus fled for their lives to
neighboring countries. Most recently, the violence in Iraq between Shiites and Sunnis
and the quasi-autonomous status of the country’s Kurds in their region in the north
raise a question about Iraqi nationalism: How do many people living in Iraq see them-
selves first—as Iraqis or as a member of one of the religious/ethnonationalist groups?

One Nation, Multiple States

A multistate nation is another departure from the nation-state ideal. This type of
misfit between nation and state occurs when a nation overlaps the borders of two or
 Nationalism in Practice: Issues and Evaluation 111

more states. Conflict between the states that share the nation is common (Woodwell,
2004).
One multistate nation pattern occurs when one nation dominates two or more
states. The cold war created a number of such instances, including North and
South Vietnam, North and South Korea, East and West Germany, and the two
Yemens. The Irish in Ireland and Northern Ireland provide another possible exam-
ple of a multistate nation, although the Scottish heritage of many of the Protestants
in the North makes the existence of a single Irish nationality controversial. In any
case, a single nation that dominates two states has an urge to unite itself by merging
the two states. Often conflict over union occurs, as it did in Vietnam, Korea, Ireland,
and Yemen. Today only Korea (and arguably Ireland) remain as examples of such a
division.
Another multistate nation pattern is where a nation is a majority in one state and
a minority in one or more other states. The 5.7 million Albanians provide a good ex-
ample of this type of multistate nation. About 3.6 million of them live in Albania,
where they form 95% of the population. Another 1.6 million Albanians live in and
make up 90% of the population in Kosovo, a province of Serbia. Fighting broke out
in 1997 when Albanian Kosovars asserted their autonomy. Serbia’s brutal retaliatory
campaign eventually sparked a U.S.-led NATO air war against Serbia in 1999 and the
insertion of a NATO security force, Kosovo Force (KFOR), into the province, where Web Link
it remains with about 17,000 troops. Fighting could erupt again, especially if the UN
For a map showing the locations
sponsors a referendum in Kosovo on independence. It would almost certainly win, of ethnic Albanians in the
but Serbia’s foreign minister warns, “Serbia will not accept independence of Kosovo.”2 Balkans and related commen-
Yet another 500,000 Albanians live in Macedonia, where they constitute 25% of the tary, visit the U.S. Institute for
country’s population and are heavily concentrated in the parts of the country that Peace site at www.usip.org/
border on Albania and Kosovo. Clashes between this group of Albanians and the pubs/specialreports/early/
kosovomap.html.
Macedonian government during 2000 and 2001 also necessitated a NATO interven-
tion, and a small force, now under EU control, remains.
There are also multistate nations where a majority of the nation lives outside its
associated state. Of about 26 million Azerbaijanis (Azeris), for example, only 28% of
them live in Azerbaijan, located on the western shore of the Caspian Sea. Almost
two-thirds of Azerbaijanis live in Iran, with the rest scattered throughout such
nearby countries as Georgia, Russia, and Turkey. Conflict in cases where a nation
dominates one state and has members in another state can occur in several situa-
tions. One is when the nation’s associated state seeks to redress oppression of mem-
bers of the nation living in another country. A second source of conflict is based on
irredentism, a term based on the Italian word irredenta (unclaimed), and involves an
effort by the nation’s associated state to incorporate outlying members of the nation
and their territory in another state.

One Nation, No State

A stateless nation is yet another pattern of misfit between state and nation. This
occurs when a nation is a minority in one or more states, does not have a nation-state
of its own, and wants one (Hossay, 2002). Two such stateless nations that have been
much in the news in recent years are the Kurds and the Palestinians.

The Kurds The Kurds are an ancient non-Arab people who are mostly Sunni
Muslims. The most famous of all Kurds was Saladin, the great defender of Islam. He
captured Jerusalem from the Christians (1187) and then defended it successfully
against England’s King Richard I (the Lion-Heart) and other invading Christians
during the Third Crusade (1189–1192).
112 CHAPTER 4 Nationalism: The Traditional Orientation

Estimates of the Kurdish population range between 14 million and 28 million.

As the map below shows, the Kurds are spread among several states and have no
country of their own. About half of them are in Turkey; Iran and Iraq each have
another 20 to 25%; and smaller numbers reside in Armenia, Azerbaijan, and Syria.
Sporadic and continuing attempts to establish an independent Kurdistan have caused
conflicts with the countries in which the Kurds live. These disputes sometimes have
involved outside countries. The United States and other countries protected the
Kurds from attack by Saddam Hussein’s regime in the UN-designated Kurdish Secu-
rity Zone in northern Iraq from soon after the Persian Gulf War in 1991 until his fall
in 2003 (Stansfield, 2005; McDowall, 2004).
Kurdish forces fought against the Iraqi army in 2003, thereby strengthening the
autonomy they had enjoyed in the northern part of the country since 1991. What
remains to be seen, and what worries Turkey and other neighbors of Iraq with
Kurdish populations, is whether the Kurds in Iraq will be content to remain part of
a reformed Iraq or will try to found an independent Kurdistan with irredentist
claims on the Kurds in other countries. Under the American dominance of Iraq,
its Kurds have participated in the national political process, but as that veered
toward civil war and an American withdrawal, there have been ongoing and impor-
tant indications of the Kurds’ determination to remain at least autonomous in a
post-occupation Iraq. Perhaps the clearest sign of the Kurds’ long-term aspiration
was the result of an informal referendum held in conjunction with the parliamen-
tary election in 2005. Fully 98% of all Kurds voted for eventual independence. “The
fact remains that we are two different nationalities in Iraq—we are Kurds and Arabs,”
one Kurdish leader noted.3
Any attempt to establish an independent Kurdistan in northern Iraq would
almost certainly have significant international ramifications. For example, Turkey
might intervene militarily because, as its prime minister explained, “Most Turks
think, if there is a Kurdish state in northern Iraq, . . . our own Kurds will want to
join with them, and, then, we will be losing Turkey’s southeastern part, and, there
will be a greater Kurdistan, and, Turkey will be losing its territory.” As such, the
prime minister warned, “Any attempt to set up a Kurdish state in northern Iraq
would be considered by the Turkish state as a vital
danger to Turkey. We would not let that happen. We
Kurdistan would . . . do whatever we can . . . to kill it off.”4
ARMENIA
TURKEY AZERBAIJAN
� Yerevan The Palestinians The story of the Palestinians cen-
ters on the fact that they and another nation, the
Lake Jewish people, have long existed in the same area.
K U
Van AZERBAIJAN The Jewish nation and its state, Israel, now control
R most of that territory; the Palestinians intend to re-
D Tabriz
Diyarbakir I claim enough of it to create their own state. The an-
S Lake
T Orumiyeh cient dispute dates back many millennia to Abraham
A IRAN
N and his two sons: Isaac, who founded the Jewish
nation, and Ishmael, the symbolic father of all Arabs.
Mosul Irbil The historical ebb and flow in the region of Jews and
Palestinians is cloudy and far too complex to unravel
Eu
ph

IRAQ Kirkuk here, but we can pick up the story in 1920 when
ra

Dayr az Zawr
te

Tigr
sR

Lake Palestine was governed by Great Britain. At that time,

ive

is R

SYRIA
r

Tharthar Palestinian Arabs were about 90% of the population.

iver

Bakhtaran
0 100 200 Miles
In Europe, however, Zionism gathered strength
0 100 200 Kilometers
in the 19th century. Zionism is the nationalist, not
 Nationalism in Practice: Issues and Evaluation 113

strictly religious, belief that Jews are a nation that should have an Israel and Its Neighbors
independent homeland. This belief and virulent anti-Semitism
in Nazi Germany and elsewhere in Europe accelerated Jewish
MEDITERRANEAN LEBANON
emigration to Palestine, swelling the Jewish population there
SEA
from 56,000 in 1920 to 650,000 by 1948 (along with about 1 mil-
lion Arabs). At that point, fighting for control erupted, the British
Nahariyyah SYRIA
withdrew, and Arab leaders rejected a UN plan to partition Acre
Palestine into a Jewish state and an Arab state. Israel won the Sea of
Haifa Galilee
ensuing war in 1948 and acquired some of the areas designated
for the Arab state. About 500,000 Palestinians fled to refugee Nazareth

camps in Egyptian-controlled Gaza and elsewhere; another 400,000

ISRAEL
came under the control of Jordan in an area called the West Bank
(of the Jordan River), and 150,000 remained in the new state of
Israel (Handelman, 2004).

er
Jordan Riv
Since then, Israel has fought and won three more wars with Nabulus
Tel Aviv-Jaffa
its Arab neighbors. In the 1967 war Israel captured considerable WEST
territory, including Gaza from Egypt and the West Bank (including Lod BANK

East Jerusalem) from Jordan. Both these areas had major Palestinian Ramallah Amman
Ashdod Jerusalem Jericho
populations. Victory, however, did not bring Israel peace or secu-
rity. The key reason is the unresolved fate of the West Bank, which Ashkelon Bethlehem
is central to Palestinians’ quest for an independent homeland. Gaza Hebron DEAD
The struggle between Israelis and Palestinians for land, secu- SEA
rity, even survival has created an explosive situation that has defied
resolution for over half a century. Surely, there have been times of Beersheba
progress. Most significantly, a majority of Israelis now grudgingly
accept the idea that Palestinians should have their own state. And Dimona

most Palestinians, with equal reluctance, now concede the perma- NEGEV
nent existence of Israel and that a Palestinian state will be largely GAZA DESERT JORDAN
STRIP
confined to the West Bank. However, each time of hope for reso-
lution has been followed by renewed violence.
At this writing in 2007, the cycle of occasional hope repeat-
edly slain by violence continues. A positive moment came after
the death of longtime Palestinian president Yasser Arafat, when
his replacement in early 2005 was the new, popularly elected Area gained by Israel in 1949

leader Mahmoud Abbas. He strongly denounced terrorist tactics Area occupied by Israel since 1967

and tried to constrain Palestinian militants. Israel responded with Area under total Palestinian control

a number of conciliatory moves. Raising hopes further, Abbas Areas of joint control

and Prime Minister Ariel Sharon of Israel met in the first Israeli-
EGYPT
Palestinian summit since 2000 and agreed to cease all violence
against one another. Israel then withdrew its forces from Gaza,
leaving it entirely in Palestinian hands. Elat

Soon, however, hope again faded. Prime Minister Sharon was

felled by a debilitating stroke in early 2006 and was succeeded
by Ehud Olmert, who shared Sharon’s views but did not have his stature as a war hero,
nor Sharon’s ability to overcome domestic opposition to accommodation with the
Palestinians. For their part, the Palestinians added their own blow to hope in 2006 by
electing a parliament dominated by members of Hamas, a radical group with terrorist
ties, and making one of the group’s members the Palestinian prime minister. A few
months later, Palestinian militants attacked an Israeli border post, killing two soldiers
and capturing one, which led Israel to send its forces back into Gaza. That was soon
followed by a major clash and associated regional conflict. Members of Hezbollah,
114 CHAPTER 4 Nationalism: The Traditional Orientation

another militant group, launched guerrilla attacks against Israel from positions in
Did You Know That:
Lebanon, and Israel retaliated with a full-scale military assault on much of Lebanon.
Hamas has two meanings.
Israeli forces later withdrew from Lebanon and Gaza, but the region was left more
It translates from Arabic as
“zeal,” and it is also an Arabic unstable than in many years. Polls show that most Palestinians and Israelis want
acronym for Harakat peace, but also that they are divided on the very difficult issues between them
al-Muqawama al-Islamiya, (Nabulsi, 2004). Just a few of these are the status of Jerusalem (which both claim as
Islamic Resistance their rightful capital), the Palestinians’ claimed “right of return” to Israel to reclaim
Movement.
their land, the future of Jewish settlements in the West Bank, and the legitimacy of
the security fence that Israel is building in part on lands claimed by the Palestinians.
It may come to pass that Palestinians and Israelis will eventually coexist peacefully in
neighboring sovereign states, but such an outcome remains problematic and distant
at best.

Multiple Nations, Multiple States

Still another misfit pattern that falls short of the ideal nation-state occurs when sev-
eral states and several nations overlap. This complex configuration is common and is
illustrated by Afghanistan, Russia, and their respective neighboring countries.

Afghanistan and Neighboring Countries Afghanistan, the countries around it, and
their ethnonational groups illustrate the volatile mix created by overlapping borders
among nations and states. Afghanistan exists as a legal state, but it teeters on the edge
of being a failed state, a country so fragmented that it cannot be said to exist as a uni-
fied political or national entity. Symbolizing the ethnonational complexity within
Afghanistan and the links that many of its groups have to nearby nations and coun-
tries, the word Afghan was coined over 1,000 years ago from an ancient Turkic word
meaning “between.” While there have been brief periods of some unity in the face of
invaders or under strong rulers, the sense of being an Afghan has been much less
central to the political identification of most people in the country than their ethnic
identification. Afghanistan’s ethnic groups (and their percentage of the population)
include the Pashtuns (42%), Tajiks (27%), Hazaras (9%), and Uzbeks (9%), with
smaller groups making up the remaining 13%.
Extending the focus outward to the neighboring countries further complicates
the ethnonational tangle. To begin, there are 10 million Pashtuns in Afghanistan and
another 18 million in neighboring, Punjabi-dominated Pakistan. Together this state-
less Pashtun nation has some aspirations to found its own state, Pashtunistan. Further
to the north are the Tajiks, the Uzbeks, and a small number of Turkmen, who are
linked respectively to their ethnic brethren in the neighboring countries of Tajikistan,
Uzbekistan, and Turkmenistan. Then there are the Hazaras, who claim descent from
Genghis Khan and the Mongols and harbor some dreams about an independent
Hazarajat. These groups speak some 34 different languages and dialects.
One ramification of this is that the United States has found that it was far easier
to take over the country in 2001 and oust the Taliban regime than to create a viable,
united Afghani state. The central problem, as one expert put it, is that “You don’t
have a functioning state [in Afghanistan]. There is no sense of nationhood. . . . Blood
[kinship] is much more important.”5 Although Afghanistan now has an elected
national government and a North Atlantic Treaty Organization (NATO) force remains
in the country to try to maintain its unity, there is still a persistent and recently resur-
gent effort by the Pashtun-dominated Taliban to regain power.

Russia and Neighboring Countries Czarist Russia and its successor state, the Soviet
Union, were a multiethnic empire that dissolved in 1991 into Russia and 14 other
 Nationalism in Practice: Issues and Evaluation 115

former Soviet republics (FSRs). This left a hodge-

podge of nations and states that frequently resembles
a matryoshka, the classic nested Russian folk art doll
in which each doll has a smaller one inside. For ex-
ample, in addition to living in their own nation-state,
Russians make up 10% or more of the populations
of seven other FSRs (Belarus, Estonia, Kazakhstan,
Kyrgyzstan, Latvia, Moldova, and Ukraine).
Russia itself is predominantly Russian, but it has
some restive ethnonational groups, especially the
Chechens. The approximately 1 million mostly
Muslim Chechens live in the northern Caucasus re-
gion just west of the Caspian Sea. Chechnya (or the
Chechen Republic) encompasses about 6,000 square
miles (a bit larger than Connecticut). Imperial Russia
began a campaign in 1783 and eventually conquered
the territory, but the Chechens’ ongoing resistance
was so strong that one Russian military governor
warned there would be “no peace as long as a single
Chechen remains alive.”6
During World War II, Moscow deported the What was once the Soviet Union (USSR) remains a hodgepodge of
entire Chechen population to Siberia in the east nations and states. One of these nations, the Soviet republic of Georgia,
because Soviet dictator Josef Stalin suspected the reemerged when the USSR collapsed in 1991, but within it are the
Chechens might assist the invading Germans in South Ossetians, who themselves want independence. This photograph
return for independence. More than one-third of shows a nervous Georgian soldier and local residents reacting to heavy
all Chechens died during their time in Siberia, but fighting between Georgian and separatist forces.
they were unbowed. They were allowed to return
to their native land in the mid-1950s but remained restive. Once the USSR dis-
solved, their quest for self-rule redoubled. Amid ferocious fighting that left 100,000
dead, the Chechens achieved autonomy in 1996, then lost it in 2000 when Russian
arms again overran them. The struggle continues, however, with sporadic, often
brutal fighting in Chechnya and occasional Chechen terrorist attacks in Russia. The
most ghastly of these occurred in the Russian town of Beslan, where Chechen
terrorists seized an elementary school in 2004. During the ensuing siege, 330
people, mostly Russian schoolchildren, were killed. For now, Russia maintains a
tenuous hold on Chechnya, but current Russians leaders, like czars and commissars
before them, are finding it daunting to subdue a people whose national anthem
asserts in part:
Never will we appear submissive before anyone,
Death or Freedom—we can choose only one way. . . .
We were born at night, when the she-wolf whelped.
God, Nation, and the Native land.
Many of the other FSRs also have complicated ethnonational compositions.
As noted above, Uzbeks and Tajiks not only live in Uzbekistan and Tajikistan, respec-
tively, they also live in Afghanistan. To further complicate matters, numerous Tajiks
live in Uzbekistan, and many Uzbeks live in Tajikistan. Numerous separatist move-
ments also exist in the European FSRs, including those in the South Ossetia and
Abkhazia regions of Georgia, the so-called Transdniester Republic within Moldova,
and the Nagorno-Karabakh enclave in Azerbaijan. Each has seen fighting that could
spread and bring neighboring countries into conflict. This possibility led President
116 CHAPTER 4 Nationalism: The Traditional Orientation

Traian Băsescu of nearby Romania to describe the tensions as “transnational threats”

to European stability. “We cannot leave the countries of this region as victims of
European history, as unstable borderlands outside Eastern Europe,” Băsescu warned.7

Positive and Negative Aspects of Nationalism

Nationalism has been a positive force, but it has also brought despair and destruction
to the world. During an address to the UN General Assembly, Pope John Paul II spoke
of these two nationalisms. One was positive nationalism, which the pontiff defined as
the “proper love of one’s country . . . [and] the respect which is due to every [other]
culture and every nation.”8 The other was negative nationalism, “an unhealthy form of
nationalism which teaches contempt for other nations or cultures . . . [and] seeks to
advance the well-being of one’s own nation at the expense of others.”

Positive Nationalism
Most scholars agree that in its philosophical and historical genesis, nationalism was
a positive force. It continues to have a number of possible beneficial effects and many
defenders (Conway, 2004, Wiebe, 2002).
Nationalism promotes democracy. In the view of one scholar, “Nationalism is the
major form in which democratic consciousness expresses itself in the modern
world” (O’Leary, 1997:222). The logic is that nationalism, at least in so far as it is
rooted in the notion of popular sovereignty, promotes the idea that political power
legitimately resides with the people and that governors exercise that power only as
the agents of the people. The democratic nationalism that helped spur the American
Revolution has spread globally, especially since World War II, increasing the propor-
tion of the world’s countries that are fully democratic from 28% in 1950 to 46%
in 2005.
Nationalism discourages imperialism. During the past 100 years alone, nationalism
has played a key role in the demise of the contiguous Austro-Hungarian, Ottoman,
and Russian empires and of all or most of the colonial empires controlled by the
countries of Europe and the United States. Among these colonies, East Timor gained
independence most recently. It was one of the last remnants of the moribund
Portuguese empire when its people declared independence in 1975. Freedom was
stillborn, however, when Indonesia bloodily annexed East Timor. For the East
Timorese, though, Indonesian overlords were no more acceptable than European ones,
and their continuing campaign for self-determination as well as considerable interna-
tional pressure finally persuaded Indonesia to allow a referendum on independence
in 1998. Seventy-nine percent of the East Timorese voted for independence. Indonesia’s
military tried to keep control by arming a horde of thugs who killed thousands of
East Timorese, but security was achieved when Australia and the United Nations
intervened militarily. The UN created a transitional administration for East Timor, then
turned the government over to a fully independent East Timor in 2002.
Nationalism has also strengthened the resolve of other countries and their
nation(s) to resist foreign domination. A century ago, the establishment of a colonial
government controlled by the victorious power might have followed a conflict such
as the Iraq War of 2003. Certainly the initial postwar government in Baghdad
was heavily influenced by the Americans, but it was clear that real power would
eventually have to be turned over to Iraqis. Global norms and even American public
opinion would have reacted too strongly against a colonial takeover. Moreover, Iraqis
would have been violently opposed. Although 2006 found Iraqis divided internally
on many issues, one thing that united them was their desire to have U.S. and other
 Nationalism in Practice: Issues and Evaluation 117

One of the positive aspects

of nationalism is that it fortifies
a people to resist foreign
domination. Outsiders long
controlled much of China,
but the Chinese identity
remained strong, and China
has reemerged as a proud
and fully independent country.
A manifestation of this strong
nationalism are these faces
sculpted in the earth in Hehnan
Province as part of a patriotic
art performance. About 3,000
people took part, shouting
patriotic slogans as they
gathered around the design.

coalition forces out of their country in the near future. A poll in late 2006 found that
more than three-fourths of all Iraqis suspected that the United States was planning to
build permanent bases in Iraq, and 71% of Iraqis wanted the foreign forces out of
their country within a year.9
Nationalism allows for economic development. Colonies and minority nations
within states have often been shortchanged economically. Many countries in Africa
and elsewhere are still struggling to overcome a colonial legacy in which the colonial
power siphoned off resources for its own betterment and did little to build the eco-
nomic infrastructure of the colony. This pattern also occurred in theoretically inte-
grated multiethnic empires, such as the Soviet Union. There, the six predominantly
Muslim FSRs (Azerbaijan, Kazakhstan, Kyrgyzstan, Tajikistan, Turkmenistan, and
Uzbekistan) were neglected under Russian/Soviet control and still have an average
per capita gross domestic product (GDP) that is only one-third of Russia’s and a child
mortality rate that is more than quadruple that of Russia. It is certain that these new
countries face years of economic hardship, but, from their perspective, at least their
efforts will be devoted to their own betterment.
Nationalism allows diversity and experimentation. Democracy, for instance, was an
experiment in America in 1776 that might not have occurred in a one-world system
dominated by monarchs. Diversity also allows different cultures to maintain their own
values. Some analysts argue that regional or world political organization might lead to
an amalgamation of cultures or, worse, to cultural imperialism, the suppression of the
cultural uniqueness of the weak by the strong. For good or ill, as chapter 5 details, the
world is coming closer together culturally. However, nationalism embodied in sover-
eign states at least helps ensure that whatever acculturation occurs will generally be
adopted willingly by the people rather than dictated by an outside power.

Negative Nationalism
For all its contributions, nationalism also has a dark side. “Militant nationalism is
on the rise,” Bill Clinton cautioned early in his presidency. He warned that it is
“transforming the healthy pride of nations, tribes, religious, and ethnic groups into
118 CHAPTER 4 Nationalism: The Traditional Orientation

FIGURE 4.2 Ethnonational Violence

40
Ethnonational violence
Ongoing violent clashes at start of period
Violent clashes begun during period 32
Violent clashes ended during period
25 31
23
22
20 20
18 17 15
15
11 15
13 8
10
4

1950–1959 1960–1969 1970–1979 1980–1989 1990–1999 2000–2006

Ethnonational violent conflict rose steadily after 1950 and peaked in the mid-1990s. It has declined
since then because many conflicts have ended—sometimes peacefully, sometimes with the final
defeat of one group by another—and fewer new conflicts have broken out. Still, ethnonational fighting
remains much more common than other forms of internal conflict or wars between countries.
Whether the drop-off in violence represents a long-term shift or a short-term aberration remains
to be seen.
Note: The author’s interpretations of the data differ in a few instances from the classifications on the source.
Data source: “Major Episodes of Political Violence: 1946–2006,” data compiled by Monty G. Marshall, Center for
Systemic Peace.

cancerous prejudice, eating away at states and leaving their people addicted to the
political painkillers of violence and demagoguery.”10 Illustrating this, Figure 4.2
shows that the number of ongoing ethnonational conflicts over self-determination
rose steadily from 4 in 1956 to 41 in 1990. Then the number declined steadily to 22
in 2004. Perhaps ethnonational conflict will continue to decline, but it is too early to
tell (Fearon & Laitin, 2003). Unfortunately, whatever the number of conflicts, the
intensity and magnitude of ethnonational conflicts remain high. Moreover, these
internal conflicts can become internationalized given the evidence that “states suf-
fering from ethnic rebellions are more likely to use force and to use force first when
involved in international disputes than states without similar insurgency problems”
(Trumbore, 2003:183).
Although it has a number of aspects, the troubling face of nationalism begins
www with how nations relate to one another. By definition, nationalism is feeling a kinship
with the other “like” people who make up the nation. Differentiating ourselves from
JOIN THE DEBATE
others is not intrinsically bad, but it is only a small step from the salutary effects
Can Nationalism Go Too Far? of positively valuing our we-group to the negative effects of nationalism. Because
The Case of U.S. Minutemen we identify with our we-group, we tend to consider the they-group as apart from us.
This lack of identification with others often leads to a reluctance to help others,
exclusionism, exceptionalism and xenophobia, internal oppression, and external
aggression.

Reluctance to Help Others Our nationalist sense of difference and separateness

limits our sense of responsibility—even our human caring—for the “theys.” Most of
us not only want to help others in our we-group, but we feel we have a duty to do so
through national social welfare budgets and other methods. Internationally, most of
us feel much less responsible. Horrendous conditions and events that occur in other
countries often evoke little notice relative to the outraged reaction that would be
 Nationalism in Practice: Issues and Evaluation 119

forthcoming if they happened in our own country. In the region of sub-Saharan Africa,
for example, only 41% of the people live to age 55, compared to 80% of Americans.
And the chances of an infant in sub-Saharan Africa perishing before his or her first
birthday are 15 times greater than the risk to American babies.
If most Americans began dying before retirement age or if the death rate of
American babies skyrocketed, there would be an outburst of national anguish among
Americans, and vast financial resources would flow to increase adult longevity and
decrease the infant mortality rate. Yet, the U.S. government’s response to the equivalent
human tragedy in sub-Saharan Africa is largely limited to sending about $4 billion in
economic and humanitarian aid—bilateral (to individual countries) and multilateral
(through international organizations)—to the region. This comes to just over $5 per
person in sub-Saharan Africa or about $13 per American. Is this enough? Most
Americans think so. A poll found that 64% of them thought their country was spend-
ing too much on foreign aid. Only 8% thought it too little.11 In part, that is because,
on average, Americans think that 31% of the federal budget goes to foreign aid.12 The
actual percentage is about 1% for all foreign aid, with about 0.7% for economic assis-
tance. Ironically, the average respondent thought foreign aid should be cut to 19% of
the federal budget, which would actually be a monumental increase. None of this means
that Americans are uncharitable. Instead it means that, like people in other countries,
Americans have a much greater sense of responsibility for people in their own country
than for people in other countries. Therefore, most people contend, government aid
should go primarily toward addressing needs “at home” rather than abroad.

Exclusionism Each year, millions of people are forced or seek to flee from their
homes due to political violence, poverty, and other forces beyond their control.
Indeed, as chapter 14 details, refugees are a global problem. The we-they basis of
nationalism creates a near-universal resistance of
“them” coming to “our” country. A survey of people FIGURE 4.3 Opinions on Immigration
in 40 countries found that on average 76% of them
Percentage favoring more restrictive immigration
wanted to further their country’s limits on immigra-
tion, as detailed in Figure 4.3. A strong majority of Africa 79%
Americans (81%) and Canadians (69%) felt that
Latin
way, even though most of them come from immi- 77%
America
grant stock. Opinion in the two countries with the
Western
smallest percentage of people favoring more Europe
76%
restrictions, Japan (43%) and South Korea (37%),
United States
ironically may reflect the fact that both countries and Canada
75%
already have stringent immigration restrictions and
very few immigrants. Near East 68%

Eastern
Exceptionalism and Xenophobia Valuing one’s na- 67%
Europe
tion is a positive aspect of nationalism, but it too
often leads to feeling superior to others or even fear- Asia 61%
ing and hating them. Xenophobia is one destructive
way in which some people relate to they-groups. Most people around the world are reluctant to admit immigrants to
This emotion involves disliking or fearing other their country because of the “we-they” differentiation between their
nation and others. Globally, 72% of those polled felt that way, with a
nationalities. Exceptionalism, the belief that your
majority of respondents in every region favoring tighter restrictions on
nation is better than others, is less virulent but immigration.
still troubling. A global survey taken in 43 coun-
Note: The average was based on averaging the 42 countries involved in the poll, not
tries found that a majority of people in 39 of them the regions.
“completely” or “mostly” agreed with the statement, Data source: Pew Research Center (2002).
120 CHAPTER 4 Nationalism: The Traditional Orientation

FIGURE 4.4 National Exceptionalism “Our people are not perfect, but our culture is
superior to others.” Overall, 68% of people felt this
Our culture is superior to others way. Indians were the most exceptionalistic, and,
Mostly agree defying a common stereotype, the French were least
11%
Completely agree exceptionalistic. The view of people in these two
countries and others is shown in Figure 4.4. Some
critics charge that among other recent instances,
37% the Wilsonian impulse to advance democracy in the
37% world that helped persuade the Bush administra-
74% tion to invade Iraq is an example of the exception-
33% alist urge to reshape the world in your own image
(Lieven, 2004).
31%
23% Xenophobia and exceptionalism often lead to
10% conflict (Marx, 2003; Wimmer, 2002). This reality
Average of 43 India United States France
moved Voltaire to lament in 1764 that “it is sad
countries that being a good patriot often means being the
enemy of the rest of mankind.”13 Feelings of hatred
Exceptionalism, feeling superior culturally or in other ways to others, is
between groups are especially powerful if there is
one negative aspect of nationalism. As evident here, exceptionalism
is common. Indeed, a majority of people in 39 of the 43 countries
a history of conflict or oppression. Past injuries in-
surveyed agreed that, “Our people are not perfect, but our culture is flicted “by another ethnic group [are] remembered
superior to others.” Contrary to stereotypes the French were least mythically as though the past were the present.”14
exceptionalistic, and Americans were a bit below average. Indians Understanding the intensity that xenophobia can
were the most exceptionalistic. reach helps explain much of what has happened
Data source: Pew Research Center (2003). in the Balkans since the early 1990s. An emotional
catalyst for Serbs centers on the Battle of Kosovo
in 1389. In it, the Ottoman Turks defeated Serbia’s Prince Lazar, thus beginning
five centuries of Muslim domination. The battle, according to one commentary, is
“venerated among the Serbs in the same way Texans remember the Alamo.” Adds
Serb historian Dejan Medakovic, “Our morals, ethics, mythology were created
at that moment, when we were overrun by the Turks. Kosovo . . . has permeated
the Serbian people.”15 The festering mythic wound of 1389 for the predominately
Christian Orthodox Serbs spilled its poison through their so-called ethnic cleansing
attacks on Bosnian Muslims in the early 1990s, then on Kosovar Muslims later in
the decade.

Web Link Cultural Discrimination and Oppression In those states with a dominant ethno-
The impact of the Battle of
national group and one or more minority groups, the dominant group almost always
Kosovo (1389) on the Serbs’ has political, economic, and social advantages over the other(s). At its extreme,
sense of oppression is captured in dominant groups sometimes violently suppress minority groups or even attempt
the heroic painting The Maiden genocide. This aptly characterizes the Serbs’ ethnic cleansing frenzy in Bosnia and
of Kosovo and the epic poem of Kosovo, the genocidal attacks on the Tutsis by the Hutus in Rwanda, and the recent
the same title, both available at:
www.kosovo.net/history/dorich
murderous campaign against black Christian and black Muslim groups by Arab
_kosovo/kosovo16.htm/. Muslims in Sudan. An even more horrific example occurred in Nazi Germany, where
Adolf Hitler preached in Mein Kampf that pure Germans were an “Aryan nation”
that epitomized human development (Eastwell, 2006). By contrast, Russians and
other Slavic people were considered marginal humans to be kept as virtual and
expendable slaves in segregated and degrading conditions. Jews and Gypsies were
“nonpeople” and “racial vermin” to be exterminated, along with the insane and
homosexuals.
Even in less dire circumstances, when the oppression of minorities is limited
to economic and social deprivation, conflict often occurs. Almost inevitably, the
 Nationalism in Practice: Issues and Evaluation 121

disadvantaged groups become restive. However, their complaints often get little pos-
itive response because, as UN Secretary-General Kofi Annan pointed out, the social
and economic inequality of minority groups “tends to be reflected in unequal access
to political power that too often forecloses paths to peaceful change.”16 Not surpris-
ingly, oppressed groups then take direct action if they are unable to resolve their
grievances through the legal or political processes. In more fortunate countries, these
take the form of protest marches, economic boycotts, and other peaceful tactics. The
strategy followed by American blacks led by the Reverend Martin Luther King dur-
ing the 1960s serves as an example. Other countries are less fortunate, and many of
the numerous ethnonational wars represented in Figure 4.2 have been the result of
frustrated minority groups taking up arms when less violent avenues of action led
nowhere.

Imperialism Negative nationalism can lead to external aggression based on the be-
lief that it is acceptable to conquer or otherwise incorporate other nations. Russian/
Soviet history provides an example. The country was a classic multiethnic empire
built on territories seized by centuries of czarist Russian expansion and furthered by
Soviet arms. From its beginning 500 years ago as the 15,000-square-mile Duchy of
Moscovy (half the size of Maine), Russia/the USSR grew to be the world’s largest
country. This expansion is shown in the map below. Many of those territories were

500 Years of Russian Expansion

Moscow

Grand Duchy of Moscovy, 1462

1462–1689

1689–1801

1801–1904

1904–1991

Present Boundary

Nationalism has positive and negative effects, and both are illustrated in the history of Russia. Among
the negative effects, nationalism often prompts expansionism. The Grand Duchy of Moscovy was about
half the size of Maine when it was founded in about 1480. It expanded under Russian czars and then
Soviet commissars to become what was the world’s largest country.
122 CHAPTER 4 Nationalism: The Traditional Orientation

lost in 1991 when the Soviet Union fragmented, and Russia’s weakened position
precludes any determined attempt to reassert its earlier domination of its neighbors.
Indeed, old-fashioned imperialism may have become too costly economically and
diplomatically to pursue in the future.
Yet it may be well to remember the warning of Karl Marx (1818–1883) that “the
policy of Russia is changeless. Its methods, its tactics, its maneuvers may change,
but the polar star of its policy—world domination—is a fixed star.”17 Indications
that Marx may have been right continue (Bugajski, 2004). For example, Russia’s par-
liament, the Duma, has passed resolutions asserting that the dissolution of the Soviet
Union (and, by inference, the independence of the FSRs) was illegal and welcom-
ing secessionist areas from other FSRs to (re)join Russia. “What Russian deputies
did reveals their neo-imperialistic ambitions,” a diplomat from a neighboring FSR
worried.18
Russian ambitions were also evident in 2004, when in Ukraine’s presidential
election, President Putin supported the fraudulent election of Russian-leaning candi-
date Viktor Yanukovych over Western-leaning Viktor Yushchenko. Massive protests
by Yushchenko supporters and pressure from the West forced Putin to stand aside
as new, internationally monitored elections were called, and Yushchenko won a
resounding victory. Russia is also meddling in several other FSRs, by supporting
Russian nationals in the breakaway region of Transdniester in Moldova and also
assisting separatist movements in the South Ossetia and Abkhazia regions of Georgia.
President Putin has not been willing so far to be overt, but in 2006, the Duma’s
deputy speaker argued, “We should immediately establish diplomatic relations with
Abkhazia, South Ossetia and Transdniester.”19 Russia has also supported Alexander
Lukashenko, the dictatorial president of Belarus, based on his interest in eventu-
ally uniting the two countries. However, when Lukashenko wavered on that path
in 2006, President Putin retaliated by ending the delivery of subsidized natural gas
in an effort to impoverish Belarus to force it back on the path of integration
with Russia. “Raising gas prices . . . is equivalent to breaking off relations entirely,”
Lukashenko warned Putin. “We will survive, but you will lose the last ally [among
the FSRs].”20

Self-Determination as a Goal
An additional gap between the ideal and reality of nationalism is related to the wis-
dom of self-determination as a goal (Danspeckgruber, 2002). As with nationalism
generally, there are positive and negative aspects of self-determination.

Positive Aspects of Self-Determination

Many observers have lauded the principle of self-determination. For one, President
Woodrow Wilson believed that “self-determinism is not a mere phrase. It is an im-
perative principle of action.”21 Moreover, the origins of many nation-states are rooted
in the demand for self-determination of their nation. For example, the Declaration of
Independence begins with the proclaimed determination of Americans to “assume
among the powers of the earth, the separate and equal station to which the laws of
nature and of nature’s God entitle them.”
Certainly, there are numerous reasons to support self-determination. In addi-
tion to the benefits of nationalism noted earlier, self-determination ends many of
 Nationalism in Practice: Issues and Evaluation 123

the abuses that stem from ethnic oppression. If all ethnic groups were allowed to
peacefully found their own sovereign units or join those of their ethnic brethren,
then the tragedies of Bosnia, Chechnya, East Timor, Kosovo, Rwanda, Sudan, and
many other strife-torn peoples and countries would not have occurred.

Concerns about Self-Determination

The principle of self-determination becomes more problematic in practice. The core
problem is that there are thousands of ethnic groups worldwide. Each has the poten-
tial to develop a national consciousness and to seek independence or autonomy.
If the principle of self-determination is valid, then what would the world be like if
each of these groups was able to establish its own sovereign state? Before dismissing
such an idea as absurd, recall that political scientists widely recognize the existence
of Barber’s (1996) tribalism tendency: the urge to break away from current political
arrangements and, often, to form into smaller units. To do so involves several potential
problems.

Untangling Groups Untangling groups is one challenge presented by self-

determination. Various nations are intermingled in many places. Bosnia is such a
place; Bosnian Muslims, Croats, and Serbs often lived in the same cities, on the same
streets, in the same apartment buildings. How does one disentangle these groups and
assign them territory when each wants to declare its independence or to join with its
ethnic kin in an existing country?
A second problem that the principle of self-determination raises is the prospect
of dissolving existing states, ranging from Canada (Quebec), through Great Britain
(Scotland and Wales), to Spain (Basque region and Catalonia). Americans also
need to ponder this problem. They have long advocated the theory of a right of self-
determination. One has to wonder, however, how Wilson would have applied this
principle to national minorities in the United States. Should, for example, the princi-
ple of self-determination mean that Americans support those native Hawaiians who
claim correctly that they were subjugated by Americans a century ago and who want
to reestablish an independent Hawaii?
In other places, creating ethnically homogeneous states would have multiple
complexities. To create nation-states out of the various ethnonational groups in
Afghanistan would require disentangling many places where the groups overlap.
It would also include some groups joining neighboring countries such as Tajikistan
and Uzbekistan. But then what would happen to the Tajiks who live in Uzbekistan
and the Uzbeks who live in Tajikistan? And in the case of the Pashtuns, a Pash-
tunistan would have to be created by pieces taken out of Pakistan and Iran, as well as
Afghanistan.

Microstates A third problem of self-determination relates to the rapidly growing

number of independent countries, many of which have a marginal ability to survive
on their own. Is it wise to allow the formation of microstates, countries with
tiny populations, territories, and/or economies? Such countries have long existed,
with Andorra, Monaco, and San Marino serving as examples. But in recent years,
as colonialism has become discredited, many more of these microstates have be-
come established. The problems microstates create are detailed in chapter 6. We
can say here, though, that about one-third of the world’s countries have popula-
tions smaller than that of Los Angeles, California, and about 10% have less land
than that city. Such countries often cannot defend themselves, cannot economically
124 CHAPTER 4 Nationalism: The Traditional Orientation

sustain themselves, or both. This incapacity to perform one or both of two basic
www obligations of a state—to provide for the security and the economic welfare of
its citizens—undermines such states’ reason for being, increases economic bur-
dens on the rest of the world, and creates potentially unstable power vacuums
ANALYZE THE ISSUE
Taiwan (Klabbers, 2006).

International Instability Allowing current states to fragment could also decrease

regional and even world stability. The concern about microstates has already
been discussed. Another type of threat to international stability related to self-
determination was set in motion by the U.S. invasion of Iraq in 2003. Among
other consequences, toppling Saddam Hussein increased the potential for a dis-
membered Iraq. It is divided among the majority Shiite Muslims, Sunni Muslims
(who dominated under Saddam Hussein), and Kurds. As noted earlier, most
Kurds’ ultimate goal is an independent Kurdistan. Trying to achieve that goal,
however, would almost certainly meet with violent resistance from what re-
mained of Iraq. Moreover, Baghdad might find a ready ally in Turkey, which fears
losing its own Kurdish region to an emergent Kurdistan. Yet another concern
about a fragmented Iraq is that its Shiite-dominated eastern region might fall
within the orbit of Shiite Iran. Additionally, a weakened Iraq would no longer be
an effective buffer separating Iran from Saudi Arabia and the other oil-rich Arab
states that lie to the south of Iraq along the western shore of the Persian Gulf. U.S.
and other foreign troops kept Iraq from atomizing after Saddam’s downfall, but
once they are gone, as they will be relatively soon, the prospect of a truly united
Iraq is grim.

Deciding about Self-Determination Existing countries face important choices when

deciding whether to recognize new countries. Among other things, as new countries
come into existence, the global community, through its commitments to the United
Nations and to the integrity of the international system, acquires some obligation to
assist them in the face of external aggression. Similarly, new and impoverished states
add pressure on already inadequate international economic assistance through donor
countries and international organizations. Furthermore, recognizing secessionist
movements as new states arguably encourages yet more ethnonational groups to seek
independence.
Given that there is a large array of ethnonational groups with aspirations to self-
determination that believe their goals are just as legitimate as were American goals in
1776, the issue is whether to support them at all, or if not, which ones and why?
Some commentators advocate broad support of self-determination, which one ana-
lyst calls “the most powerful idea in the contemporary world” (Lind, 1994:88). Others
reply that “self-determination movements . . . have largely exhausted their legiti-
macy. . . . It is time to withdraw moral approval from most of the movements and
see them for what they mainly are—destructive” (Etzioni, 1993:21; Dahbour, 2003).
Between these two ends of the spectrum of opinion, many seek a set of standards
by which to judge whether or not a claim to the right of secession is legitimate.
One such standard is whether a minority people is being discriminated against by a
majority population. Simple viability is another standard. It asks whether a potential
state has the human and economic resources to function independently. Whatever
the standard, though, it is certain that applying the principle of self-determination is
difficult in a complex world. How would you write the script for self-determination
in the future? That is the question asked in the debate box, “Should There Be a Limit
to Self-Determination?”
 Nationalism in Practice: Issues and Evaluation 125

DEBATE THE POLICY SCRIPT

Should There Be a Limit to Self-Determination?
Self-determination is one concept that is hard to oppose. After Tokelauans could decide on whether to join the world’s other
all, the United States and most other countries were born amid 193 sovereign states. An independent Tokelau would be the
nationalistic assertions of a claimed right to self-determination. world’s second-smallest and least-populated state, larger only
Since then, President Woodrow Wilson and other U.S. leaders than the Holy See (the Vatican; population, 932; area, 0.17 of
have also lauded the importance of the principle of self- a square mile).
determination. On February 16, 2006, Tokelauans voted. They favored
Despite its appeal in the abstract, self-determination be- independence by a 349-to-232 majority, but that 60% yes vote
comes more problematic when faced with some realities. Take fell 30 votes short of the two-thirds majority required for inde-
Tokelau, for instance. This self-administering territory of New pendence under the terms of the referendum. Independence
Zealand lies about halfway between New Zealand and Hawaii. It advocates were dismayed but remained determined, and it is
is made up of three small atolls that together measure 3.9 square likely that the UN will soon ask for a new vote.
miles, about one-fiftieth the size of Tulsa, Oklahoma. Tokelau’s
population numbers 1,396 and its highest point is about 50 feet What Do You Think?
above sea level. It has neither farmable land nor commercially Should entities like Tokelau become sovereign states? It and
valuable natural resources. Tokelau’s largest source of income is 15 other “non-self-governing territories,” such as the Falkland
the $4 million in annual aid it receives from New Zealand. Islands, Gibraltar, Guam, and Pitcairn, are on the UN’s list
Although there are no charges that the Tokelauans’ human for potential decolonization, and there are numerous other
rights are being abused, there are those who decry the fact territories with relatively small populations and economies
that the islands were taken by colonial Great Britain in 1889 that also arguably have as good a claim to independence as
and turned over to New Zealand to administer in 1925. Such Tokelau does. What, if anything, should be the criteria for
sentiments led to a UN-sponsored referendum in which the self-determination?

The idea of self-determination argues that the South Pacific people of Tokelau should be
independent if they wish. Yet there are pragmatic questions about whether the 1,400
people and their three tiny atolls should be able to join the ranks of sovereign states. One
of Tokelau’s limitations is that it has no ports or airports, and most cargo coming into
Tokelau has to be unloaded from ships beyond the reefs, then brought ashore in small
boats, as seen here.
126 CHAPTER 4 Nationalism: The Traditional Orientation

NATIONALISM AND THE FUTURE

People have almost certainly always identified with one or another group, be it based
on family, extended clan, religion, or some other basis. However, nationalism, the
particular form of political identification that welds a mutually identifying people,
their territory, and self-governance, is much more recent. Some scholars find traces
of nationalism extending back to ancient times, but there is little disagreement that
nationalism has only been an important political idea for about the past 500 years
and that it did not reach its current ascendancy as a source of primary political
identification until the 19th and 20th centuries.
What of the future, though? Since nationalism has not always been, it is not
immutable. It could weaken or even disappear as our dominant sense of political
identification. In addition to recognizing this possibility, we should ask ourselves
how we would evaluate the persistence or demise of nationalism. Would that be
positive or negative?

The Recent Past and Present of Nationalism

Nationalism continues to thrive and dominate our political consciousness in most
ways. Yet, doubts about nationalism have increased in some circles. It has weakened
somewhat, and there are those who predict and/or advocate its further diminution or
even its extinction as the primary focus of political identification.

The Predicted Demise of Nationalism

World War II changed the thinking of many people about nationalism. They blamed
fascism and other forms of virulently aggressive nationalism for the war itself, and for
the other horrors of the period. Moreover, critics argued that the second global war
in 30 years demonstrated that the state system based on national antagonism was not
only outdated, but dangerous. The advent of weapons of mass destruction added
urgency to the case, making “the nation and the nation-state . . . anachronisms in the
atomic age.”22 As a counterpoint, the establishment of the United Nations in 1945
symbolized the desire to progress from competitive, often conflictive nationalism
toward cooperative globalism.
The thrust of this thinking led numerous scholars to predict the imminent demise
www of the national state or, at least, its gradual withering away. As it turned out, such
retirement announcements and obituaries proved reminiscent of the day in 1897
when an astonished Mark Twain read in the paper that he had died. Reasonably sure
SIMULATION
The Future of the State: that he was still alive, Twain hastened to assure the world: “The reports of my death
Will Nationalism Survive? are greatly exaggerated.” Similarly, one scholar notes that contrary to predictions of
nationalism’s impending extinction, “this infuriatingly persistent anomaly . . . refused
to go away” (Wiebe, 2001:2). Instead, nationalism gained strength as a world force.

Persistent Nationalism
The continued strength of nationalism is unquestionable. Insistence on national self-
determination has almost tripled the number of states in existence since World
War II. For most of this time, the primary force behind the surge of nationalism was
the anti-imperialist independence movements in Africa, Asia, and elsewhere. More
recently, nationalism has reasserted itself in Europe. Germany reemerged when
West Germany and East Germany reunited. More commonly, existing states disinte-
grated. Czechoslovakia became two states and Yugoslavia eventually dissolved into
 Nationalism and the Future 127

six countries. Even more momentously, another 15 FIGURE 4.5 Nationalist Sentiment
came into being when the last great multiethnic
empire, the vast realm of Russia, then the USSR, I would rather be a citizen of my country than any other country.
atomized. Except for East Timor, Eritrea, Namibia,
and Palau, all of the states that have achieved inde- Unsure
pendence since 1989 are in Eastern Europe or are 14%
FSRs. There are also nationalist stirrings—in some No 8%
cases demands—among the Scots, Irish, and Welsh
Average of responses
in Great Britain; the Basques and Catalans in Spain; Yes 78% in 22 countries
and among other ethnonational groups elsewhere in
Europe.
Another sign of persistent nationalism is the
continuing attachment of people to their countries
(Gijsberts, Hagendoorn, & Scheepers, 2004). As de- Nationalism makes most people feel attached to their country. One
tailed in Figure 4.5, one cross-national survey found survey found that a large majority of the people polled in 22 countries
that a strong majority of all people said they would worldwide felt that way. Only a small percentage was ambivalent; even
fewer people were emotionally unattached to their country.
rather be a citizen of their own country than any
other. Somewhat unexpectedly, the strength of na- Data source: International Social Survey Program, National Identity Study, 2003/2004;
Mayda & Rodrick (2005), Table 12, p. 1425.
tionalist sentiment was not closely connected to
a country’s economic circumstances. For example,
among those in relatively poor countries, 88% of both Bulgarians and Filipinos
felt that way. By contrast, only 50% of the relatively wealthy Dutch shared that view
(Mayda & Rodrik, 2005). Asking people if they would move to another country
yields similar results. One such poll found that only 18% of those in relatively poor
India would do so, while 38% of those in comparatively well-off Great Britain
would.23

The Future of Nationalism

It may seem contradictory, but the continuing strength of nationalism does not nec-
essarily mean that those who earlier predicted its demise were wrong. Perhaps they
were only premature. This possibility is raised by numerous signs that nationalism
is waning and that states are weakening. Therefore, a critical question is whether
nationalism will significantly weaken or even die out.
The answer is unclear. The existence of divergent political identities based on
community, language, religion, and other cultural differences extend as far back into www
time as we can see (Smith, 2004, 2005). From a biblical perspective, there may have
been a single people at the time of Adam and Eve and their immediate descendants.
MAP
But later in the first book of the Bible, God divides them after they attempt to build World Languages
the Tower of Babel up to the heavens. To defeat that pretentious plan, God creates
different languages to complicate communication. “Behold,” God commands, “the
people is one, and they have all one language. . . . [L]et us go down, and there
confound their language, that they may not understand one another’s speech”
(Genesis 11:6–7).
Whether this tale is taken literally or symbolically, the point is that diverse
cultural identities are ancient and, some analysts would say, important—perhaps Did You Know That:
inherent—human traits, stemming from the urge to have the psychological security There are 6,809 languages
of belonging to a we-group (Hammond & Axelrod, 2006). It may be, for example, spoken in the world. That is
a decline of 306 since 1600,
that being a member of a nation both “enables an individual to find a place . . . with another 500 or so cur-
in the world [in] which he or she lives” and also to find “redemption from per- rently in danger of extinction.
sonal oblivion” through a sense of being part of “an uninterrupted chain of being”
128 CHAPTER 4 Nationalism: The Traditional Orientation

(Tamir, 1995:432). Yet it must also be said that group identification and nationalism
are not synonymous. The sense of sovereignty attached to cultural identification is
relatively modern. “Nationalism and nations have not been permanent features of
human history,” as one scholar puts it (O’Leary, 1997:221). Therefore, nationalism,
having not always existed, will not necessarily always be the world’s principal form
of political orientation.
What does the future hold? One view is that nationalism will continue as
the main source of political identification. “Given that globalization has done little to
diminish the nation’s political [and] ideological . . . appeal—and in many cases has
invigorated it,” one scholar writes, “we are stuck with the nation—politically, acade-
mically, practically, and theoretically” (Croucher, 2003:21). Others expect national-
ism to eventually cease to be an important political phenomenon. The most common
view among political scientists is a middle position that holds that nationalism will
persist for the foreseeable future as a key sense of the political identification of most
people but that it will not enjoy the unrivaled center stage presence it has had for
several hundred years.
Also unclear is what would follow if state-centric nationalism were to die out.
www One possibility is that it will be replaced by culture, religion, or some other demo-
graphic characteristic as the primary sense of political self. Alternatively, a sense of
global nationalism could emerge based on the similarities among all humans and
ANALYZE THE ISSUE
Nationalism: A Melting Pot?
their common experiences, needs, and goals. One such scholar envisages “a nation
coextensive with humanity” that would then come together in a “United States of the
World” (Greenfeld, 1992:7).
What can we conclude? Will nationalism persist “until the last syllable of
recorded time,” to borrow words from Shakespeare’s Macbeth? More importantly,
should it, given its benefits and drawbacks? You can help supply the answer to these
questions because the script for tomorrow’s drama on the world stage has yet to be
written.

CHAPTER SUMMARY

UNDERSTANDING NATIONS, NATIONALISM, 5. One issue is that the ideal nation-state is more
AND NATION-STATES myth than reality. In practice the boundaries of
1. Nationalism is one of the most important factors nations and the borders of states are seldom
in international politics. It defines where we put congruent.
our primary political loyalty, and that is in the 6. Another issue is negative aspects, as well as positive
nation-state. Today the world is divided and defined aspects of nationalism.
by nationalism and nation-states. 7. The problems associated with nationalism also raise
2. Nations, nation-states, and nationalism are all key issues about self-determination and the question of
concepts that must be carefully defined and clearly whether this liberal ideal is always wise in the real
differentiated and understood. world.
3. The political focus on nationalism has evolved and
become ascendant over the last five centuries. NATIONALISM AND THE FUTURE
8. After World War II, some predicted an end to na-
NATIONALISM IN PRACTICE: ISSUES AND EVALUATION tionalism, but they were wrong. Today nationalism
4. There are differences between the theory of nation- is stronger, and the independence of Afro-Asian
alism and its application. To evaluate nationalism countries, the former Soviet republics, and other
objectively, these must be considered. states has made it even more inclusive.
 Key Terms 129

9. In a world of transnational global forces and prob- Such predictions are, however, highly speculative,
lems, many condemn nationalism as outmoded and and nationalism will remain a key element and a
perilous. Some even predict its decline and demise. powerful force in the foreseeable future.

For simulations, debates, and other interactive activities, a chapter quiz, Web links,
and much more, visit www.mhhe.com/rourke12/ and go to chapter 4. Or, while
accessing the site, click on Course-Related Headlines and view recent international
relations articles in the New York Times.

KEY TERMS

ethnonational group microstate nation-state stateless nation

exceptionalism multinational states political identity xenophobia
failed state multistate nation popular sovereignty Zionism
ideology nation self-determination
irredentism nationalism state building
C H A P T E R

5
Globalism: GLOBALISM
GLOBALIZATION
Factors Accelerating Globalization

The Alternative Globalization of Transportation and

Communications
Global Transportation
Global Communications

Orientation Economic Globalization

Trade
International Investment
Monetary Exchange
What wouldst thou do with the world, Cultural Globalization
. . . if it lay in thy power? Language
—William Shakespeare, Timon of Athens Consumer Products
Evaluating Globalization
Why, here’s a change indeed in the commonwealth! Arguments for Economic Globalization
Concerns about Economic Globalization
What shall become of me? Concerns about Cultural Globalization
—William Shakespeare, Measure for Measure
TRANSNATIONALISM
Transnational Organizations
The Growth of NGOs
The Activities of NGOs
The Impact of NGOs
Regional Transnationalism
Cultural Transnationalism
Transnational Religion
Religion and World Politics
The Strength of Religious Fundamentalism
Islam and the World
The Political Heritage of Muslims
Islam and Nationalism
Islam and the Non-Islamic World
Islamic Sectarianism
Islamic Traditionalism and Secularism
Transnational Movements
Women in the World
Goals of the Transnational Women’s
Movement
Organization of the Transnational Women’s
Movement
Advances in Women in Politics
The Future of Transnationalism
CHAPTER SUMMARY

When Rudyard Kipling predicted in 1889 that “East is East, and West is West,
and never the twain shall meet,” he could not have foreseen the degree to
which this chapter’s subject matter, globalization and transnationalism, would
prove him wrong. Now you and this Cambodian Buddhist monk could e-mail
one another, swap computer files, or use your ability to communicate globally
to form a transnational group to promote your common interests.
 Globalism: The Alternative Orientation 131

in terms of its parts, such as different

M
OST OF US USUALLY THINK OF THE WORLD
countries and peoples. Nationalism and its message of primary political loy-
alty to and concern with our nation and our state is the core political concept
associated with this view of a divided world. Indeed, this orientation is so familiar
that most people find it difficult to imagine alternatives. There are, though, and this
chapter challenges our traditional view and explores such alternatives by focusing
on three closely related concepts: globalism, globalization, and transnationalism.
Globalism is the view that the world is more than just its parts, that it is also a
whole, one which has many commonalities and connections that cut across political
borders, national identities, and cultural differences. Globalization is the process
of expanding globalism and denotes the increasing integration of economics, com-
munications, and culture across national boundaries. As such, globalism is the world’s
“underlying basic network,” while globalization refers to the “dynamic shrinking”
of the factors that divide the world economically and socially (Nye, 2002:1).
Transnationalism is the most “personal” of our three main concepts here. It
focuses on the identity of and contacts among individuals and groups acting in a private
(nongovernmental) capacity. Thus, transnationalism is primarily concerned with
civil society, a concept that includes all the cultural, social, economic, and other
activities of individuals and groups that are beyond direct government control. More
specifically, transnationalism denotes a range of cross-border political identities
and signifies social, economic, and political links among people and private organi-
zations across national borders. Many of these regional and global links serve to
promote or intensify a common sense of identity among people, and these ties can
form the basis of political self-identification that in some cases can rival or supplant
nationalism. Religion, for example, often transcends political borders and identities.
As with nationalism, transnationalism has its positive and negative sides. It can
promote cooperation, but it can sometimes pit groups against one another.
All three of these phenomena have long existed, but they have been gaining
strength in recent decades. Therefore, human interaction and political identification
are moving beyond traditional national boundaries and creating myriad regional
and global links. Keep your mind open to the possibilities of these different ways
of connecting yourself to the political world even if they seem far-fetched. Bear in
mind that in Shakespeare’s time people believed, as he had a character exclaim in

This drawing captures the

intermeshing of the world’s
economy, communications,
transportation, and many
other functions in the
globalization process.
132 CHAPTER 5 Globalism: The Alternative Orientation

The Taming of the Shrew, “He that is giddy thinks the world turns round.” To simplify
the complex changes that are occurring, it is possible to divide them into two related
trends: globalization and transnationalism.

GLOBALISM

Although the notion of globalism is becoming more familiar and gaining wider accep-
tance in recent decades, it is not a new idea. Indeed, the idea has ancient origins. Glob-
alist thought in Western culture can be traced to Stoicism, a philosophy that flourished
in ancient Greece and Rome from 300 B.C. to A.D. 200. The Stoics saw themselves
as part of humanity, not as members of one or another smaller political community.
As such, Stoics were cosmopolitan, a word derived from combining the Greek words
cosmos (world) and polis (city). One of those with a sense of being a global citizen was
the Roman emperor Marcus Aurelius, who wrote in Meditations, “my . . . country, so
far as I am [the emperor], is Rome, but so far as I am a man, it is the world.”
Other ancient, non-Western great philosophical traditions contain teachings that
are similar to the cosmopolitan thrust of Stoicism. Philosophies such as Confucianism
and religions such as Buddhism and Hinduism all contain transnational elements. For
example, Siddhartha Gautama (ca. 563–483 B.C.), who became known as the Buddha,
urged that we adopt a universal perspective. “Whatsoever, after due examination and
analysis, you find to be conducive to the good, the benefit, the welfare of all beings,”
he taught, “that doctrine believe and cling to, and take it as your guide.”
Although Stoicism declined, the concept of transcending local political identity
remained alive over the centuries. During the Middle Ages, the Roman Catholic
Church was a globalist force. As one study notes, “The pope’s temporal rule in Vatican
City reminds twenty-first-century observers” of the Roman Catholic Church’s early
“notion of political unity” with its “roots in medieval Christendom and papal claims
of universal temporal authority” (Nelsen & Guth, 2003:4).
Still later, globalist thought was evident in the philosophy of Thomas Paine and
other revolutionaries of the late 18th century. Americans remember Paine as a patriot
of their revolution, but that is an ill-fitting description. Indeed, Paine’s primary
political identification was not as an American. Instead, he described himself as a
“citizen of the world” and was dubious about countries because they “limited citi-
zenship to the soil, like vegetation.” Paine’s writing helped galvanize Americans
during their struggle for independence, but he wrote in The Rights of Man (1779) that
he would have played “the same part in any other country [if] the same circumstances
[had] arisen.”1 Putting this view into practice, Paine also supported the French
Revolution, which he saw as continuing the work of its American counterpart and
leading a “march [of liberty] on the horizon of the world. . . . [that nothing] can
arrest” (Fitzsimons, 1995:579). That transnational march, Paine predicted, would
lead to free trade and to an international congress to resolve differences among states.
Thus today’s globalization would have neither surprised nor dismayed Paine.
During the same era, the philosopher Immanuel Kant took the idea of interna-
tional cooperation for peace even further. He wrote in Idea for a Universal History
from a Cosmopolitan Point of View (1784) that countries should abandon their “lawless
state of savagery and enter a federation of people in which every state could expect
to derive its security and rights . . . from a united power and the law-governed deci-
sions of a united will.” The thinking of nineteenth-century German communist philos-
ophers Friedrich Engels and Karl Marx also contained strong transnational elements.
 Globalization 133

They believed that all human divisions were based on economic class and that the
state was a tool of the wealthy bourgeoisie to oppress the proletariat. Therefore, The
Communist Manifesto (1848) explained, “Workingmen have no country.” Moreover,
Engels predicted that once the proletariat prevailed, “the state would lose its purpose
as the “special repressive force” of the bourgeoisie and, being “superfluous,” would
“die out of itself.”
Marxist thought has declined dramatically, while globalist thought has persisted
and strengthened in recent decades. It is, for example, a key component in idealism/
classic liberalism, a school of thought that is part of the overall liberal approach to
analyzing world politics. This is discussed in extensive detail in chapter 1 and can be
reviewed there. That chapter also explores constructivism and postmodernism,
schools of thought with which globalism and the related idea of transnationalism are
also often, if not necessarily, associated. Each of these theories emphasizes that nation-
alism is not preordained and conflict is not inevitable. Instead both stress that we
have considerable latitude to determine how we conceive of ourselves and our ties
with others. This includes the possibility of conceiving human beings as more simi-
lar than different, of primarily identifying politically with the world and humankind
rather than with a country and ethnonational group, and seeing self-interest and
long-term global interests as synonymous rather than conflictive.

GLOBALIZATION

Globalism and its advance through globalization may seem fairly abstract concepts,
but in reality they are everyday phenomena for each of us. The morning activities
of your author include working on the chapter you are now reading and preparing
www
lecture notes for a class. Globalization permeates these activities. My computer key-
SIMULATION
board was made in Thailand, the mouse came from China, the monitor was produced
Transnational Personal
in South Korea, and the CD I use to back up my files was manufactured in Taiwan. Inventory
Both my phone and desk calculator are from Malaysia. During my work today I have
connected with Web sites in more than a half-dozen countries. My morning newspa-
per’s top stories include President Bush’s decision to “surge” 21,000 more American
troops into Iraq, the ongoing sectarian strife in that country, preliminary indications
that global warming made 2006 the warmest year on record, and passage by the
House of Representatives of most of the 9/11 Commission’s recommendations for
new programs to protect Americans against terrorism. Getting back to my immediate
activities, this book will be produced in the United States, but there is a good chance
the paper started as a tree in Canada, and my editor is originally from India. The shirt
I am wearing is from Mauritius, my shoes were made in China, and my sweater began
its existence in Ireland. The car I drove to the office today was assembled in Mexico
and propelled by fuel probably imported from Venezuela, Nigeria, or another foreign
source. My class this afternoon has students from a variety of countries beyond the
United States, and my graduate assistant is Israeli. If you think about it, globalization
is probably entwined with your daily existence as much as it is with mine.

Factors Accelerating Globalization

To a degree, globalization is ancient. It has been under way since the first isolated tribes
and other groups of humans began to trade and otherwise interact with one another.
Yet from another perspective, globalization is primarily a modern phenomenon
134 CHAPTER 5 Globalism: The Alternative Orientation

FIGURE 5.1 Global Trade, 1929–1938 because the speed with which globalization has pro-
gressed has increased greatly during the past two
Annual global trade: US$ billions
hundred years or so and even more extraordinarily
$32.7 since World War II. The modern acceleration of glob-
alization is the product of two factors: technological
$26.1
change and government policy.
Technological advances have rapidly expanded the
$18.7 $16.0 speed with which merchandise, money, people, infor-
$11.9
$13.0 $14.1 mation, and ideas move over long distances. Certainly
$12.6 $12.4 $12.2 people, money, culture, and knowledge have flowed
across political borders since ancient times. What is
different, though, is the speed at which globalization
1929 1930 1931 1932 1933 1934 1935 1936 1937 1938 is now proceeding. As discussed in chapter 2 (see Fig-
ure 2.1, p. 44), about 90% of history’s significant tech-
Increasingly restrictive trade policies of many countries in the 1920s
nological advances have occurred since 1800, and the
were followed by a collapse of global trade, which sank 64% between
1929 and 1934. Many analysts believe that the Great Depression rate of discovery and invention has been accelerating
helped foster fascism and, in turn, World War II. Economic globalization during that time. Be it the Internet, jet travel, or some
is partly a result of policy instituted after World War II to promote freer other advance, a great deal of this technological inno-
economic interchange in order to minimize chances of a recurrence of vation is moving the world away from the national
global economic turmoil and subsequent war. orientation that has dominated for several centuries
Data source: Dallin (1945). and toward a growing global connectedness. “It’s a
Flat World, After All,” the title of an article by a veteran
journalist telling “a tale of [globalized] technology and geoeconomics that is fun-
damentally reshaping our lives,” is a bit overdrawn, but it captures the importance of
globalization.2
Government policy is a second factor that has promoted globalization, especially
on the economic front. After World War I, countries increasingly tried to protect their
economies from foreign competition by instituting trade restrictions in the form of high
tariffs and by impeding the free exchange of currencies. In hindsight, policy makers
concluded this approach had been disastrous. Much of Europe struggled economi-
cally during the 1920s, then collapsed at the end of the decade. Between 1929 and
1932 industrial production in Europe fell 50% and unemployment shot up to 22%.
The U.S. stock market crashed in 1929, and the American economy soon imploded, as
did the economies of Japan and other countries. Global trade plummeted, as evident in
Figure 5.1, and the world sank into the Great Depression. During the 1920s, fascist
dictator Benito Mussolini had seized power in downtrodden Italy, and during the
Great Depression, Adolf Hitler and other fascist dictators rose to power in Germany,
Japan, Spain, and elsewhere. World War II soon followed, exacting a horrific price.
Many observers argued that the restrictive economic policies after World War I had
created the economic desperation that allowed fascism to take hold, which, in turn,
led to World War II.
Based on their analysis of the causes of World War II, policy makers planning for
the postwar period focused in part on preventing a reoccurrence of global conflict. On
the economic front, the United States led the effort to create the General Agreement
on Tariffs and Trade (GATT), a treaty and an organization of the same name (later re-
named the World Trade Organization, WTO) meant to eventually eliminate the trade
barriers that were blamed for World War II. Policy makers also established the Inter-
national Monetary Fund (IMF). Such belief in and government support for globaliza-
tion remain powerful factors today. Among other reasons to note this is that the role of
government in promoting globalization tends to undercut the argument expressed
by President Bill Clinton that “Globalization is not something we can hold off or turn
 Globalization 135

off . . . it is the economic equivalent of a force of FIGURE 5.2 Global Travel

nature—like wind or water.”3 Countries, especially
acting collectively, can shape, restrain, or even reverse Millions of international travelers annually 681
many aspects of globalization by increasing economic
806
barriers, by restricting travel and interfering with
transnational communications, and by other policies 441
designed to make national borders less permeable.
278

Globalization of Transportation 166

69
and Communications 25

Globalization could not exist to the degree it does

without the technological ability to transport prod- 1950 1960 1970 1980 1990 2000 2005
ucts and people rapidly and in large numbers across
great distances. Similarly, globalization is dependent Modern transportation has promoted globalization by helping to
on the technology that permits us to transmit images, increase the number of international travelers.
data, the written word, and sound easily and rapidly Data source: World Tourism Organization.
all over the world.

Global Transportation
Modern transportation carries people and their products across national borders
in volume and at a speed unimaginable not very long ago. Oceangoing transport pro- www
vides a good example. The most famous merchant vessel of the mid-1800s was the
Flying Cloud (1851–1874), a 229-foot-long sailing ship. Now the oceans are being WEB POLL
plied by such modern megaships as the tanker Jahre Viking, which at 1,504 feet long How Globalized Are You?
is so large that crew members often use bicycles on board to travel from one point to
another. The immense ship carries more than a half-million tons of cargo, 900 times
the capacity of the Flying Cloud. Yet the Jahre Viking is but one of the vast world
merchant fleet of almost 28,000 freighters and tankers with a combined capacity of
over 733 million tons of goods. These behemoths not only carry more cargo, but they
have also expanded trade by reducing seagoing transportation costs to a small frac-
tion of what they were a century ago. In 2006, for example, it cost only about three
cents per gallon to transport oil from the Middle East to the United States.
Advances in transportation have been important in moving people as well as
goods. When the first English settlers traveled from the British Isles to what would
be Jamestown, Virginia, in 1607, the only way to make the trip was by ship, and the
voyage took almost five months. International travel is almost routine today, with
hundreds of millions of travelers moving between countries within a few hours each
year as Figure 5.2 indicates.

Global Communications
It is almost impossible to overstate the impact that modern communications have had
on international relations. In only a century and a half, communications have made
spectacular advances, beginning with the telegraph, followed by photography, radio,
the ability to film events, telephones, photocopying, television, satellite communica- Did You Know That:
tions, faxes, and now computer-based Internet contacts and information through e-mail The per-minute price of a call
and the World Wide Web. from New York City to London
has dropped from $74.89 in
1900, to $1.32 in 1990, to
The Growth of Communications Capabilities The flow of these communications as little as 5 cents today
is too massive to calculate precisely, but if the growth of international telephone using a prepaid phone card.
calls is any indication, we are increasingly able to “reach out and touch someone”
136 CHAPTER 5 Globalism: The Alternative Orientation

FIGURE 5.3 Internet Users internationally, as the AT&T advertising slogan went.
One indication is that the total annual minutes of in-
2005 world:
1000 ternational telephone use more than tripled between
Internet users (millions) 964.3 million
800 1991 and 2005 from 40 billion to 140 billion.
600 The technological revolution in communications
has also meant that more and more people around the
400
globe are getting their news from the same sources.
200 1990 world: The most obvious example is CNN, which now
2.7 million
0 reaches virtually every country in the world and
1900 1995 2000 2005 broadcasts in nine languages. And while CNN car-
World Developed countries Developing countries ries something of an American perspective to the rest
of the world, non-U.S. news networks are bringing
The growth of the Internet is a true communications revolution. foreign news perspectives to Americans. Al Jazeera,
In just 15 years, as shown here, the number of people using the
Internet grew 36,988% from 2.7 million users to 964.3 million
which translates as “The (Arabian) Peninsula,” is based
users. Most users are still in the economically developed countries, in Qatar and began operations in 1996 as the first
but as evident, use is also rising rapidly in the economically less Arabic language television news network. Since then
developed countries. it has become well known around the world for its
Data sources: International Telecommunications Union, World Telecommunications
broadcasts of, among other things, video and audio
Indicators Data Base 2006; World Bank, World Development Indicators, 2007. tapes of Osama bin Laden from his hiding place. In
2006 Al Jazeera added broadcasts in English origi-
nating in the United States, and the news agency also has Internet news sites in both
Arabic and English, which, it claims, get more than 160 million hits a year, making it
the most visited Arabic language Web site and among the top 200 most visited sites
worldwide.
Not only are almost instantaneous news and information available over the
Internet, but the number of people using the Internet is growing exponentially.
Between 1990 and 2004, the share of the world population using the Internet soared
from only 0.5% to 14%, and the number of total users is approaching 1 billion,
as Figure 5.3 indicates. Internet access is still more readily available in the economi-
cally developed countries, where 54% of the population uses it, but use in the less
developed countries has grown to nearly 7%. Furthermore, today’s Internet users are
not only able to access the Web, they can use it to communicate with one another via
e-mail and create Web sites for themselves or their groups to share information and
to promote their causes globally.

Web Link The Impact of Globalized Communications The communications revolution, with
For an Arab perspective on world
its ongoing spread of global access to information and interactive communications, is
events, go to the Web site of of immense importance. One impact is “democratic internationalism.” Transnational
Al Jazeera at http://english communications have provided citizens from different countries with the ability to
.aljazeera.net. espouse causes of nearly every imaginable type, to exchange views, to organize across
national borders, and to undertake political action (Schmitz, 2004). As discussed
later in this chapter, transnational groups are flourishing and having an important
impact on policy at the international level through the UN and other international
organizations and on the national level through the pressure brought on governments
by the groups’ national chapters.
Modern communications have also enabled people to seek alternative informa-
tion and opinions from what is normally available to them. For example, Arabs in the
Middle East can get an American perspective on the news by accessing CNN, and
Americans an Arab view of the world on Al Jazeera.
A third effect of global communications is to undermine authoritarian govern-
ments. The rapid mass communications that are taken for granted in the industrialized
 Globalization 137

democracies are still greeted with suspicion by authoritarian governments. China Web Link
tries to control the Web by using technology to monitor and block dissident com- The CampusActivism Web site at
munications and by imposing fines and imprisonment on those who the government www.campusactivism.org/ is one
claims endanger national security by transmitting dissident information and opin- source of information for liberal-
ions. In the end, though, Beijing’s efforts are probably doomed to failure. “The more oriented activism on issues of
international as well as domestic
they [Chinese authorities] do to block it, the more people want to get online,” says
affairs. The Young Americans
dissident Liu Xiaobo. “People in China now understand a lot more about what’s going site at www.yaf.org performs
on than . . . in the ’70s and ’80s. Then, the only contact we had with the outside the same function for more
world was through meeting the very occasional foreigner or somehow getting hold conservative students.
of a foreign paper or magazine.” According to Liu, “That’s why in China these days
you can see all kinds of organizations and activities springing up, moving the country
towards real change.”4

Economic Globalization
Economic interchange across borders is bringing the world together and creating eco-
nomic interdependence in many ways. The intensifying reality of economic inter-
change and interdependence is detailed in chapters 1, 2, and 12, but several of the basic
points related to trade, investments, and monetary relations are important here.

Trade
International trade has expanded exponentially, increasing from $53 billion in exports
in 1948 to almost $14.5 trillion ($14,500 billion) in 2006. Trade can be divided into
two parts. Merchandise trade is the more familiar. It consists of goods—tangible
items—including primary goods (raw materials) and manufactured goods. Services
trade is less well known but also important. Services include things people do for
one another. When U.S. insurance companies earn premiums for insuring foreign
assets or people, when American movies earn royalties abroad, when U.S. trucks
carry goods in Mexico or Canada, the revenue they generate constitutes the export
of U.S. services. Whatever their nature, services are a major source of income for
countries, amounting to more than 20% of all international trade.
Several factors have spurred increased trade. First, improved production tech-
nology has increased the supply of goods. The industrial revolution, which began in
eighteenth-century Europe, led to mass manufacturing. As production rates sped up,
manufacturers increasingly had to seek markets for their burgeoning supply of goods
farther away and even across national borders. This, in turn, created an increased
demand for raw material and synthetic resources to supply the factories. Materialism
is a third factor that accounts for increased trade. The rise in the world’s standard of
living, especially in the industrialized countries, has expanded international trade
as people have sought more material goods and improved services. A fourth factor is
improved transportation. As discussed above, it has increased our ability to carry the
growing supply of materials and manufactured goods and to meet the demand for
them. Also as noted earlier, government policy seeking to reduce barriers to interna-
tional economic interchanges is a fifth factor that has promoted trade.
Whatever the causes, the impacts of increased trade are profound. Much of what
we consume comes from abroad. In 2005, for example, the $2 trillion in U.S. imports
accounted for 23% of the $8.7 trillion that American individuals and companies
spent on goods and services. Therefore the price and availability of foreign goods and
services is a key determinant of our standard of living and cost of living. Much of
a country’s gross domestic product (GDP), the value of what is produced within
its borders, also goes into trade. As such, exports provide jobs for workers and other
138 CHAPTER 5 Globalism: The Alternative Orientation

FIGURE 5.4 Exports important benefits to a country. Moreover, the impor-

and the World Economy tance of trade as a stimulus to productivity is steadily
increasing, a change evident in Figure 5.4.
89% 88%
84% 81%
78% International Investment
71%
Percent of world production to domestic consumption Trade has not been the only form of international
economic activity that has grown rapidly. A parallel
globalization of international investment has created
29%
increased financial interdependence among countries.
22% For example, Americans had $10 trillion in invest-
19%
16%
11% 12% ments, property, stocks, bonds, and other assets
Percent of world production to exports
abroad in 2006, making not only individual investors
but also the health of the entire U.S. economy depen-
1955 1965 1975 1985 1995 2005
dent to a degree on the state of the world economy.
What a country produces (its gross domestic production, GDP) is Conversely, foreigners had a $12.7 trillion stake in
either consumed domestically (within the country) or exported to other the United States, and the ebb and flow of those
countries. This figure shows that from 1955 through 2005, total world funds into the country are also a central factor in
exports as a share of the combined GDPs of world countries rose
Americans’ prosperity, or lack of it. Two types of for-
from 11% to 29%. Conversely, countries’ consumption of their own
products fell from 89% to 71%. The increasing importance of exports
eign assets are particularly important: foreign direct
to economic prosperity is an indication of economic globalization. investment (FDI), which involves buying real estate,
setting up a new company, or buying enough stock
Data source: World Bank online.
to control an existing company in another country,
and foreign portfolio investment (FPI), buying
stocks and bonds on a smaller scale that does not involve controlling companies or
owning real estate. Such investments have long existed, but they have accelerated
greatly in recent decades.
Because it involves ownership control, FDI is the more important of the two
major types of investment. For the most part, the world’s multinational corporations
(MNCs), also called transnational corporations (TNCs), account for the lion’s share
of the global FDI. MNCs are businesses that operate in more than one country. MNC
operations can involve sales outlets, mines and other natural resource–extraction
processes, farms and ranches, manufacturing plants, or offices that supply banking
and other services. MNCs date back at least to the Dutch East India Company in
1602, but it was not until after World War II that they began to expand in number
and size at a rapid pace. Now over 75,000 MNCs with 660,000 foreign subsidiaries
exist, and they pack enormous economic muscle. Their annual revenues (gross cor-
porate product, GCP) provide one good measure. The top 500 MNCs alone had a
collective GCP of $18.9 trillion in 2005. This equaled an astounding 42% of the
world’s collective GNP ($45 trillion) for that year. The amount of money these MNCs
invest each year is immense and, as Table 5.1 shows, growing by every measure.

Monetary Exchange
Global increases in travel, trade, investment, and other activities have necessarily
meant that larger amounts of money are exchanging hands across national borders.
Currently, as much as $2.5 trillion worth of currencies are exchanged daily into other
currencies. To accommodate the globalization of money, there has been a parallel
globalization of financial services, such as banking. In recent decades, banks have
grown from hometown to national to multinational enterprises and have expanded
their operations beyond traditional banking to include many financial services
such as issuing credit cards, providing venture capital, offering insurance, and main-
taining brokerage houses and other investment functions. There are now dozens of
 Globalization 139

TABLE 5.1 Foreign Direct Investment Growth

Gross Annual Net Annual FDI Assets as a
Measure/Year FDI Assets FDI FDI Share of World GDP

1990 $1.8 trillion $218.7 billion $201.4 billion 8.5%

2005 $10.1 trillion $916.3 billion $646.9 billion 22.7%
Increase 461% 419% 221% 167%

Data source: UNCTAD, World Investment Report, 2006.

Foreign direct investment (FDI) has grown in size and importance as part of the globalization process.
This table shows four measures of FDI and each one’s increase between 1990 and 2005. These four
are the value of all FDI assets held worldwide, the total amount of new money invested annually, the
net amount invested (new investments minus sale of old investments), and how the total FDI assets
compare to the world’s annual GDP. This range of data indicates that foreign investors own more and
more of the productive assets of almost all countries.

banks with assets over $1 billion, and 11 of them each command assets over $1 tril-
lion. The largest of these is Great Britain’s Barclays ($1.6 trillion). It employs 118,000
people, and in addition to its extensive operations in the United Kingdom, Barclays
has 1,542 branches in 59 other countries; holds $111 billion in foreign bonds; has
direct financial dealings with over 15 million clients, including foreign governments,
institutions, businesses, and individuals; administers 65 of the 100 largest pension
plans worldwide; and operates 150 investment funds worth $240 billion trading on
10 different stock exchanges. In size and global reach, Barclays is followed closely by
U.S.-based Citigroup ($1.5 trillion) and Japan’s Mizuho Financial Group ($1.3 tril-
lion). Controlling enormous sums of money in such a variety of financial services
gives these multinational banks considerable power over the international flow of
capital through their traditional banking services, such as making loans, and their
many other financial services. For example, American banks have almost $700 billion
in foreign assets (such as overseas loans) and about $1 trillion in foreign liabilities
(such as foreign deposits in the banks).

Cultural Globalization
Much of the early development of different languages, customs, and other diverse
aspects of world cultures resulted from the isolation of groups of people from one
another. It is not surprising, then, that a degree of cultural amalgamation has occurred
as improved transportation and communication have brought people of various soci-
eties into ever more frequent contact. Analyzing the blurring of cultural differences
inevitably includes a great deal about fast food, basketball, rock music, and other such
aspects of pop culture, but they do not trivialize the subject. Instead, a long-standing
“bottom-up” line of political theory argues that the world’s people can build on com-
monplace interactions and increasing cultural commonalities that engender familiarity
with and confidence in one another to create a global civil society that might evolve
into a global nation. Some nations emerged from civil societies and, as discussed in
chapter 4, carved out their own nation-states. By the same process, if transnational
civil societies develop, then regional and even global schemes of governance could
conceivably form and supplement or supplant the territorial state. Scholars who
examine this bottom-up process of transnational integration look for evidence in
140 CHAPTER 5 Globalism: The Alternative Orientation

such factors as the flow of communications and commerce between countries and
the spread across borders of what people wear, eat, and do for recreation.
While it is premature to talk of a world culture, and indeed that may never come,
there is significant evidence of cultural amalgamation in the world. The leaders of
China once wore “Mao suits”; now they wear Western-style business suits. When
dressing informally, people in Shanghai, Lagos, and Mexico City are more apt to wear
jeans, T-shirts, and sneakers than their country’s traditional dress. Young people
everywhere listen to the same music, with, for example “My Love” by Justin Timber-
lake on the top 10 charts in Brazil, China, Ireland, Israel, Russia, Turkey, South Africa,
and many other countries in addition to the United States in 2006. And whatever it
means to our gastronomic future, Big Macs, fries, and milk shakes are consumed
around the world.
Web Link Before looking further at the evidence of cultural amalgamation, one caution is
To find out what movies people in order. You will see that a great deal of what is becoming world culture is Western,
in other countries are watching especially American, in its origins. That does not imply that Western culture is
and what music they are listening superior; its impact is a function of the economic and political strength of Western
to, visit the box office and music Europe and the United States. Nor does the preponderance of Western culture
charts at http://allcharts.org/.
in the integration process mean that the flow is one way. American culture, for exam-
ple, is influenced by many “foreign imports,” ranging from fajitas, through soccer, to
acupuncture.

Language
One of the most important aspects of converging culture is English, which is becom-
ing the common language of business, diplomacy, communications, and even culture.
President Hamid Karzai of Afghanistan and many other leaders of countries or inter-
national organizations can converse in English. Indeed, a number of them, including

Cultural globalization is evident in these Chinese performers dressed in Santa suits during a Christmas
celebration in Shaanxi Province, China. Some disapprove of such activities, though, and a group of
college students published a letter warning against adopting the trappings of foreign cultures.
 Globalization 141

UN Secretary-General Ban Ki-moon of South Korea, FIGURE 5.5 Attitudes toward English
learned or improved their English while enrolled at
U.S. universities. A bit more slowly, English is spread- Asia 92%
ing among common citizens around the world. This
Eastern Europe 91%
is evident in differences among various age groups.
Among Europeans, for instance, 89% of all school Western Europe 87%
children now have English instruction.
Near East 86%
Modern communications are one factor driving Agreement with the
the spread of English. There have been notable Latin America 85% statement, “Children
advances, such as the ability to search in nearly 100 need to learn English
Africa 83% to succeed.”
languages through Google, in making the Web more
accessible to non-English speakers, but the vast
majority of what is available on the Internet has The growth of English as the language of business, the Internet, and
other aspects of global communications is likely to spur the continued
been and remains in English. As the Webmaster at increase in the number of English speakers. Strong majorities of
one site in Russia comments, “It is far easier for a people in every world region believe that it is important for their
Russian . . . to download the works of Dostoyevsky children to learn English in order to succeed in the modern world.
translated in English to read than it is for him to Note: The Near East is broader than the Middle East and stretches from Egypt to
get [it] in his own language.” Business needs also pro- Pakistan.
mote the global growth of English. The U.S. status as Data source: Pew Research Center (2003).
the world’s economic powerhouse makes it far more
common for foreign businesspeople to learn the language of Americans than it is for
Americans to learn other languages. A report issued by the Japanese government
declared that “achieving world-class excellence demands that all Japanese acquire a
working knowledge of English.”5 The use of English will probably continue to
expand throughout the world because, as Figure 5.5 indicates, a majority of people
in every region in the world believe that their children are more likely to prosper if
they learn English.

Consumer Products
The interchange of popular consumer goods is another major factor in narrowing
cultural gaps. American movies are popular throughout much of the world. In Japan,
for example, the top drawing film in 2006 was Pirates of the Caribbean 2. Moreover,
foreign distribution is vital to the U.S. film industry, which earns 61% of its revenue
overseas. By contrast, foreign films account for just 3% of the U.S. market. American
television programming is also widespread, but unlike movies, it is a declining part
of most foreign television markets. However, jeans, logo-bearing T-shirts, and other
American-style dress trends are nearly ubiquitous globally, and burgers, fried chicken,
and other types of fast food further spread common culture.
China provides just one example of the degree to which diverse cultures have
succumbed to many things American. Children in China pester their parents to take
them to see Mi Loushu (Mickey Mouse) at the Hong Kong Disneyland. Kentucky
Fried Chicken has over 1,700 outlets in China and McDonald’s has 800, even though
at $0.60, a jishi hanbao (cheeseburger) is pricey for most Chinese workers. Chinese
musical tastes are also changing, and the Web site of the Hard Rock Café in Beijing
advises that the city is “the capital of rock ’n’ roll” (gun shi). Finally after a fast-food
meal and a night of gun shi, the revelers can get some rest at one of the many hotels
in China operated by Hilton and other Western chains. While at the hotel relaxing,
patrons can turn on television and watch CNN in English or change channels to
watch MTV-China or catch a National Basketball Association (NBA) game. Finding
one will be easy, because all Chinese stations carry NBA games. During the 1990s, the
Chinese were enthralled with Chicago Bulls great Michael Jordan, whom they called
142 CHAPTER 5 Globalism: The Alternative Orientation

“space flier.” Indeed, one poll of Chinese youth found that they considered Jordan a
Did You Know That:
more important historical figure than Mao Zedong, leader of the Chinese Communist
About 20% of all the hits on
Revolution (Larmer, 2005). Enthusiasm for basketball has grown even more now
the Web site of the National
Basketball Association, the that 7'6" Yao Ming of the Houston Rockets has become an NBA all-star noted for his
top U.S. professional league, awesome kou qui (slam dunk).
originate in China. To reemphasize the main point, there is a distinct and important intermingling and
amalgamation of cultures under way. For good or ill, Western, particularly American,
culture is at the forefront of this trend. The observation of the director-general of
UNESCO, that “America’s main role in the new world order is not as a military super-
power, but as a multicultural superpower,” is an overstatement, but it captures some
of what is occurring.6 What is most important is not the specific source of common
culture. Rather, it is the important potential consequences of cultural amalgamation.
As noted, some analysts welcome it as a positive force that will bring people and,
eventually, political units together. Others see transnational culture as a danger to
desirable diversity.

Evaluating Globalization
One of the oddities about evaluating globalization is that it enjoys considerable pop-
ular support around the world, as Figure 5.6 indicates, yet critics of the process are
legion and more vehement than its supporters. It is easiest to evaluate globalization fac-
tually. There can be little doubt that the process has speeded up considerably. Evidence
of the extraordinarily rapid globalization of communications and transportation is

FIGURE 5.6 Evaluations of Globalization

Percentage who think that globalization is: Good Bad Unsure

68% 69% 69%

62% 62%
57%

47%

40%
35%

28% 29%
25%
22% 21% 23% 22% 22% 23% 23%

5%
10% 10% 9% 8%

Latin America Western Eastern Africa Asia Middle/Near Canada United States
Europe Europe East

A majority (58%) of people globally and in every region but Eastern Europe and the Middle/Near East
support globalization. However, this general endorsement is not wildly enthusiastic, as also detailed in
Figure 2.3 on p. 56, with only 17% believing globalization is very good.
Note: Countries in the Middle/Near East stretch from Egypt to Pakistan. The question was: “Do you think that globalization is
a very good thing, somewhat good, somewhat bad, or a very bad thing?”
Data source: Pew Research Center (2003).
 Globalization 143

beyond dispute. The economic data is also clear. Measured by trade, investment,
monetary flow, and every other standard, economic globalization has advanced
quickly and far. Cultural globalization is harder to measure, but anyone who has
traveled internationally for several decades will attest to how much more common
the use of English, Western-style dress, fast-food restaurants serving burgers and
fries, and many other aspects of a spreading common culture have become. Evaluat-
ing globalization qualitatively, deciding whether it is a positive or negative trend, is
much more difficult.

Arguments for Economic Globalization

As noted earlier, economic globalization speeded up after World War II because it
was promoted by American and other policy makers who believed in the causal
sequence: reducing fewer international economic restrictions would ¡ increase pros-
perity, thereby ¡ decreasing a source of potential conflict among countries. Many
policy makers, scholars, and others continue to believe in the validity of this causal
sequence and to promote globalization based on it. They also see additional links be-
tween globalization and peace. One thought is that globalization increases prosperity
and that democracy is more likely in prosperous countries. Since democratic peace
theory contends that democracies seldom if ever fight with one another, then a positive
sequence is: globalization ¡ greater prosperity ¡ more democracies ¡ fewer wars.
Yet another argument is that globalization creates interdependent economies, which
make it difficult and economically self-destructive to fight wars. This second positive
linkage sequence is: globalization ¡ increased interdependence ¡ fewer wars.
Just as some policy makers and scholars see positive links between economic
globalization and peace, some analysts believe that as globalization creates more per-
sonal interaction, cultural interchange, and amalgamation among people, it makes
others seem less alien and threatening, and the resulting familiarity enhances peace.
Thus, in a third positive sequence: globalization ¡ increased cross-cultural contacts
and amalgamation ¡ a decreased sense of difference among nations ¡ less conflict.
Whatever the precise sequence of the links, President Bill Clinton was expressing his
belief in the general globalization ¡ peace concept when he told Congress, “These
are the challenges we have to meet so that we can lead the world toward peace and
freedom in an era of globalization.”7 Numerous scholars also link globalization to
peace, arguing in one case, “The United States and other major powers can best dis-
courage conflict by promoting greater global economic ties” (Gartzke & Li, 2003:285).
It is important to note, however, that not everyone agrees that globalization promotes
peace or, even if it does, that it is a positive process. Therefore there are concerns
about both economic and cultural globalization.

Concerns about Economic Globalization

Analyzing the impact of economic globalization is a complex undertaking that takes
up a great deal of chapter 13. However, an overview of the arguments found there
merit inclusion here. One aspect relates to the causal arguments linking prosperity
directly to peace or indirectly through democratization to peace. While there is sub-
stantial evidence supporting these contentions, there are analysts who doubt them,
either entirely or in part.
A second and broader concern about economic globalization relates to how ben-
efits are distributed. The basic arguments that critics make is that the benefits are not
distributed anywhere near equally, with the wealthy benefiting and the poor gaining
little or nothing and sometimes even becoming worse off, at least relatively. The answer
depends to a degree on which numbers are stressed. Since 1945 world prosperity has
144 CHAPTER 5 Globalism: The Alternative Orientation

grown overall. The economically developed countries (EDCs) led by

the United States have done exceptionally well, and conditions in
the less developed countries (LDCs) have improved overall. Many
of them have made great strides and while not truly prosperous are
not generally poor either. Yet there are still a billion people world-
wide living in extreme poverty on the equivalent of a dollar or two
a day, and many countries remain desperately poor. Moreover, the
gap between the per capita wealth of the EDCs and LDCs has ex-
panded. In 1980, for every 1 dollar of wealth generated per person
in the LDCs, the EDCs produced 14 dollars per capita. In 2005 that
1:14 gap had grown to 1:20.
At the extreme, some contend that poverty persists and the
wealth gap has grown because globalization is a tool used by the
EDCs to exploit the LDCs by pressuring them to open their
economies to penetration and domination by EDCs. A related view
is that even within the EDCs, the wealthy are using globalization to
increase their wealth by using the financial power of the multi-
national corporations (MNCs) they control to escape regulations pro-
tecting the environment, workers, and consumers by either moving
operations to a permissive country or pressuring governments to
ease or end regulations. Those who see globalization as a process
that is making the rich richer by exploiting both poor countries and
the poor within wealthy countries advocate radical change in global
economic trends and policy. A less dire interpretation of the causes
of the expanding wealth gap and other unsatisfactory trends and
Globalization has many opponents, particularly those conditions is that many LDCs do not have an adequate economic
who feel threatened by it. One such individual is this base to compete openly in the global market. From this perspective,
South Korean rice farmer, who is trying to stop a train the prescription is reform of the globalization process by giving more
carrying rice imported from the United States. His
economic assistance to LDCs, by regulating international working
flag bears the slogan, “No import of rice, block FTA
[the free trade agreement] between U.S. and South
conditions, by creating global environmental codes, and by institut-
Korea.” ing a wide variety of other reforms that will create a more equitable
globalization process internationally and within countries.

Concerns about Cultural Globalization

Those who object to cultural globalization condemn it for undermining the world’s
rich tapestry of cultural diversity and potentially producing a less vibrant monocul-
ture that one scholar has described as the “eternal yawn of McWorld” (Barber,
1996:vi). The alternative perspective is, “We should not fear that globalism will lead
to homogenization. Instead, it will expose us to the differences that surround us”
(Nye, 2002:1).
What do people around the world think of cultural amalgamation? The answer
has several parts (Edwards, 2006). One is that most people welcome the availability
of foreign culture. A worldwide survey in 45 countries found that 77% thought that
having foreign products available was good, and 61% felt that way about foreign
movies and other entertainment media. However, a second part of the answer is that
few people are unreservedly positive about importing foreign culture. When asked
about foreign entertainment media, for instance, only 30% thought it was “very good,”
and another 31% said it was merely “somewhat good.” A third part of the answer is that
many people have conflicting views, as shown in Figure 5.7, with a strong majority
of people around the world arguing simultaneously that cultural imports are good
and that their way of life is threatened and needs protection from outside influences.
 Globalization 145

FIGURE 5.7 Opinions on Cultural Globalization

Unsure Unsure Unsure
3% 3% 4%

Yes No No
28% 26% 34%
No Yes Yes
69% 71% 62%

Cultural imports are bad Traditional way of life being lost Way of life needs protection
from foreign influences

People are ambivalent about cultural globalization. In each of these three pie charts, the “pro-
globalization” answer is in green, the “anti-globalization” answer in red, and “unsure” is in yellow.
In the left chart, 69% of the respondents in 45 countries took a pro-globalization stance, saying they
saw imported products, movies, and other entertainment media as positive. Yet in the second and
third charts, majorities took anti-globalization stances, with 71% saying that their traditional way of
life was being lost and 62% wanting that way of life to be protected. There was little variation among
geographic regions on all these questions, with a majority of people in each region taking the pro-
globalization position on cultural imports and the anti-globalization position on “way of life” issues.
Data source: Pew Research Center (2003).

A fourth part of public reaction to cultural imports relates to the demographic pat-
terns. Age makes a difference, with older people usually more averse to cultural im-
ports than younger people. In the West African country of Senegal, for example, 76%
of young adults (age 18 to 29) favor cultural imports; only 47% of adults aged 50 and
over support that view. By contrast, geography and the relative wealth of countries
generally do not make a great deal of difference in the responses to various questions
about cultural imports, although Muslim countries, especially those in the Middle
East, are somewhat more resistant than other groups of countries.
A final note about cultural imports is that countries sometimes try to restrict
them either because governments want to whip up nationalist feeling or are respond-
ing to the demands of nationalist groups. France and China provide two examples. At
least 90% of the French favor popular culture imports and believe their children
should learn English. Yet the government of France has strongly resisted the en-
croachment of foreign culture. President Jacques Chirac warned that the spread of
English poses a “major risk for humanity.” The government requires the exclusive
use of French in teaching, business, and government, and pressures the entertain-
ment industry to feature French-language movies and music. Such measures have
not worked well. For example, the new James Bond movie, Casino Royale, and other
English-language movies led the box-office revenue in France during the final weeks
of 2006.
Like their French counterparts, 90% of China’s people also view cultural imports
favorably. Yet dissenters worry about the loss of Chinese traditional culture. The end
of 2006, for instance, saw a campaign on the government-controlled China Daily
Web site that warned, “Western culture has been changing from a breeze and a drizzle
into a wild wind and a heavy storm. This is vividly embodied in the rising popularity
of Christmas,” the site lamented, and it urged “our countrymen to be cautious about
Christmas, to wake from their collective cultural coma and give Chinese culture the
146 CHAPTER 5 Globalism: The Alternative Orientation

dominant role.” Not everyone agreed. “It might not be a bad thing for traditional
Chinese culture to make some changes under Western influence. There should be
competition among different cultures,” one posting on a Blog site objected. “It is not
necessary to boycott Western culture. You just can’t,” was another post.8

TRANSNATIONALISM

Transnationalism springs from two sources. Globalization is one. Economic interde-

pendence, mass communications, rapid travel, and other modern factors are fostering
transnationalism by intertwining the lives of people around the world and promot-
ing a much higher level of transnational contacts. Human thought is the second
source of transnationalism. “I think, therefore I am,” philosopher René Descartes
argued in Discourse on Method (1637). The ability to think abstractly allows humans
to imagine—to see themselves beyond what they have experienced and to define
how they wish to be connected to people, ideas, and institutions. Transnationalism,
indeed any political sense, is based on this abstract self-awareness.
Transnationalism has both action and identification elements. On the action
dimension, transnationalism is the process of people working together as individuals
and collectively in private groups across borders with other individuals and groups
to accomplish a common purpose. On the other dimension, transnationalism pro-
vides alternatives to nationalism as a source of political identity. This concept refers
to how we see ourselves connected as individuals to ideologies (such as commu-
nism), religion (such as Islam), demographic characteristics (such as ethnicity or
gender), region (such as Europe), or virtually any other perceived common bond. We
will speculate on the future of transnationalism later in the chapter, but it is impor-
tant to say here that most people will not abandon nationalism in the foreseeable
future. It is also important to see, however, that things are changing, and that at least
some people are shifting some or all of their political identification away from their
nationalist identity and toward one or more other identities.
As our discussion of transnationalism proceeds, you will see that it has the poten-
tial to significantly restructure the international system and its conduct. Some aspects
of transnationalism tend to undermine nationalism and, by extension, the state. For
example, some citizens of the European Union identify as Europeans, instead of sim-
ply as French, German, or some other nationality. In other cases, transnational identi-
fication and organization help change attitudes and policies around the world related
to a specific area of concern. This will be illustrated by examining the global women’s
movement.
You will also see that transnationalism is neither an inherent force for peace nor
for discord. Some aspects of transnationalism promote greater global interdependence
and harmony and, as such, are very much in accord with the vision of the liberal
school of political thought discussed in chapter 1. Yet globalization has also spurred a
transnationalist antiglobalization movement that believes the process is destructive
(O’Neill, 2004). Yet another, and in this case, dire image of transnationalism envisions
a world divided and in conflict along cultural lines. Those who see transnationalism
in this light tend to be realists, many of whom would strengthen the national state as
a bulwark against the dangers of hostile transnational alignments. To explore trans-
nationalism, we will first survey transnational organizations, then turn our attention
to regional transnationalism, cultural transnationalism, religious transnationalism,
and transnational movements before looking at the future of transnationalism.
 Transnationalism 147

Transnational Organizations FIGURE 5.8 Growth of International

One indication of the increased strength of transna- Nongovernmental Organizations
tionalism is the phenomenal growth in the number 12,000
and activities of transnational organizations called
nongovernmental organizations (NGOs). These are
10,000
organizations that operate across national bound-
aries, that have a membership composed of private
8,000

Number of NGOs
individuals, and that do not answer to any govern-
ment. Two other types of transnational organiza-
tions that fall within the definitional boundaries of 6,000

NGOs but are usually treated separately are terrorist

groups and transnational corporations (multinational 4,000
corporations). These are treated in greater detail in
chapters 10 and 12 respectively. 2,000

The Growth of NGOs 0

Between 1900 and 2005, the number of NGOs grew 1900 1925 1950 1975 2005
from 69 to over 11,400, as Figure 5.8 shows. Note
that by far the greatest growth spurt has occurred One indication of the growth of transnational activity is the sharp
increase in the number of transnational nongovernmental
since 1975 in parallel to rapidly advancing globaliza-
organizations (NGOs), especially since 1975.
tion. Of these, more than 2,000 hold consultative sta-
tus with the United Nations, up from 928 such groups Data source: Union of International Associations.
in 1992 and 222 such groups in 1952. These groups
have a highly diverse range of interests that include
peace, human rights, the environment, and virtually
every other public concern.
The increasing number of NGOs and their diverse range of interests and activ- Web Link
ities reflect globalization in several ways (Reimann, 2006). First, there is a growing The wide range of NGO
awareness that many issues are partly or wholly transnational. For instance, one coun- concerns is evident in the list
try’s discharge of atmospheric gases that attack Earth’s vital ozone layer increases the of UN-accredited NGOs on the
Web site of the Conference of
rate of skin cancer globally, not just in the country that emitted the gases. Similarly,
Non-Governmental Organizations
many women believe that the status of women in any one country is linked to the at www.ngocongo.org/.
treatment of women everywhere. Second, NGOs have flourished because advances
in transportation and communication have made transnational contacts easy, rapid,
and inexpensive. Third, the growth of NGOs reflects disenchantment with existing
political organizations based in or dominated by states in an age of globalization and
transnational problems. As a result, people are seeking new ways to work with one
another beyond traditional government-to-government diplomacy.

The Activities of NGOs

In essence, NGOs are organized interest groups that operate singly or in combination
with one another to promote their causes. In the realm of environmental politics, for
example, there are such groups as Friends of the Earth International, headquartered
in the Netherlands. It coordinates a transnational effort to protect the environment
and also serves as a link among 5,000 Friends of the Earth member-groups in 70
countries. Just like more domestically oriented interest groups, NGOs promote their
goals by such techniques as attempting to raise public awareness and support for
their causes and by providing information, argumentation, and electoral backing to
policy makers in national governments and intergovernmental organizations (IGOs,
international organizations in which the members are states).
148 CHAPTER 5 Globalism: The Alternative Orientation

On the domestic front, for example, government

agencies often work with NGOs to accomplish goals
and sometimes even seek their support to obtain
funds and other types of support. Speaking before
the U.S. Conference of Catholic Bishops in 2006,
the head of the U.S. Agency for International Devel-
opment (USAID) stressed that the “the U.S. govern-
ment and NGO community together must use their
comparative advantages . . . in combating poverty.”
He also urged the clerics and their “NGO colleagues”
to “lobby the Hill [Congress] for increases in for-
eign assistance.”9
NGOs also play a role in the international
policy-making processes of the UN and other
IGOs, who have long sought out relationships with
NGOs; these ties have expanded greatly over time.
In 1948, there were 40 NGOs that had official “con-
sultative status” status with the UN. That number
Groups of private citizens working together in nongovernmental
passed 1,000 in 1996 and stood at 2,870 in 2006.
organizations (NGO) have become an important part of world politics.
Friends of the Earth are one prominent environmental NGO, and some NGOs are also active through their participation in
of its members are shown here demonstrating in front of the European multinational conferences convened by the United
Union headquarters in Brussels, Belgium. They are demanding that Nations and other IGOs to address global problems.
any meat from animals raised on genetically modified (GM) feed be Since the early 1990s, all such conferences have two
labeled as such when it is sold. parts. One is the official conference that includes
delegates from governments. The second is the par-
allel NGO conference. The largest such dual conference was the 2002 World Confer-
ence on Sustainable Development in Johannesburg, South Africa, drawing some
41,000 delegates from more than 6,600 NGOs to its parallel meeting.
International conferences are both the result of the work done by NGOs and
a vehicle that promotes their role by enhancing their visibility and by serving as
a place where they can create transnational advocacy networks (TANs). These are
www groups of NGOs and IGOs that share an interest in a specific aspect of global society
(Park, 2005; Betsill & Bulkeley, 2004; Rodrigues, 2004). For example, the effort to
protect the environment combines the efforts of a TAN comprising national govern-
ANALYZE THE ISSUE
UN Conference for
ment agencies such as the U.S. Environmental Protection Agency, NGOs such
Nongovernmental as Greenpeace, and IGOs such as the United Nations Environment Programme.
Organizations Another key role for NGOs is to provide a way for individuals to become involved in
and have an impact on global events. Some pointers on how you can take advantage
of that opportunity are provided in the participation box, “Join an NGO.”

The Impact of NGOs

It is hard to measure the impact of NGOs or any other single factor on policy making,
but there is evidence that NGOs are gaining recognition as legitimate actors and are
playing an increased role in the policy process. One measure is funding. The amount
Did You Know That: of aid flowing through NGOs to economically less developed countries (LDCs) in-
An opinion survey in 43 creased from $1 billion in 1970 to approaching $10 billion today. Historically, NGOs
countries found that 74% of have received most of their funds from their members. More recently, some govern-
all respondents evaluated the ments and IGOs have begun to channel some of their aid funds through NGOs. For
role of NGOs positively. Only
13% thought poorly of
example, USAID directs some of its funding through a number of NGOs and also
NGOs, with 13% unsure. gives funds to strengthen NGOs themselves in order to allow them to bring about
economic development, democratization, and other desired changes.
 Transnationalism 149

GET INVOLVED
Join an NGO
Are you happy with the way that everything, absolutely every- Organizations at www.un.org/dpi/ngosection/index.asp. Partic-
thing, is going in the world? If you are not, then do something ularly helpful is the information accessed through the hyperlink
about it! “UN System Focal Points.” Also worthwhile is the information
Each of us has an opportunity to play a part in world affairs provided by the NGO Unit of the Department of Economic
by joining one of the multitude of nongovernmental organiza- and Social Affairs at www.un.org/esa/coordination/ngo/. A list-
tions (NGOs). There is almost certainly one and probably sev- ing of all the NGOs that have consultative status with the UN
eral of these voluntary groups that address any transnational Economic and Social Council is located at www.un.org/esa/
issue that you are interested in from almost any policy per- coordination/ngo/pdf/INF_List.pdf.
spective that you have.

Be Active!
To seek out a group to your liking, visit the Web site of the
UN Department of Public Information/Non-Governmental

Global issues—UN system partnership

Development
Africa Cooperation Food Labor Statistics
Aging Disabilities, Governance Law of the Sea Sustainable
Persons with and Antarctica Development
Agriculture Disarmament Health Least Developed Terrorism
Countries
AIDS Drug Control and Human Rights Millennium Assembly Trade and
Crime Prevention Development
Atomic Energy Education Human Settlements Question of Palestine Volunteerism
Children Elections Humanitarian Affairs Peace and Security Water
Climate Change Energy Indigenous People Population Women
Culture Environment Information Refugees Youth
Communications
Technology
Decolonization Family Intellectual Property Social Development
Demining Financing, International Law Outer Space
International

NGOs have also helped move some of their causes to the center of the political stage
by increasing public information and demanding action. According to a former British
diplomat, “You used to have a nice, cozy relationship [between states]. Now you have
more figures on the stage. . . . This adds to the pace and complexity of diplomacy.”10
For example, 50 years ago, the environment received little political attention. Now it
is an important issue that generates world conferences (such as those in Rio in 1992
and Johannesburg in 2002); it is a frequent topic of conversation among heads of
government, and the subject of numerous international agreements.
Transnational NGOs and their national chapters also individually and collec-
tively bring pressure on governments. In the United States, for example, the League
150 CHAPTER 5 Globalism: The Alternative Orientation

of Conservation Voters lobbies legislators and agency officials and takes such public
relations steps as maintaining a “scorecard” that rates the voting record of members
of Congress on the environment. It should also be noted that some forms of NGO ac-
tivity can be destructive and, therefore, illegitimate in the view of most. For example,
al Qaeda and many other terrorist groups are transnational organizations.

Regional Transnationalism
Chapter 7 on international organizations examines the European Union (EU) as an
example of a regional organization. The EU has evolved since its genesis soon after
World War II to the point now where there is advanced economic integration.
Although at a slower rate, political integration has also proceeded. These changes
are beginning to affect how Europeans define their political identity (Caporaso,
2005). Even if there is no doubt that nationalism continues to dominate, there
is also a sense of other identifications taking some hold. Among Europeans, 40%
define themselves only as citizens of their country. Another 44% define themselves
as citizens of their country first and Europeans second. Even more transnationally
identified, 8% feel more European than national, and 4% perceive themselves as
exclusively European (with 3% unsure).11 Thus while nationalism reigns supreme,
it is notable that one out of every eight people in the EU has transferred his or her
traditional national identification to a primary or exclu-
sive sense of being European and that 60% of EU citizens
have some sense of political identification with it, even
if it is secondary.
There are other indications that political identifica-
tion with the EU may increase. One is the higher percent-
age of people (18%) with a primary or exclusive European
identity in the six countries that in 1958 founded what
became the EU than in the newer member-countries.
Also, there is a stronger European identification (15%)
among younger Europeans (age 15 to 24), with support
dropping off with age to only 8% among Europeans aged
55 or more.
There is no other area of the globe with a regional or-
ganization that even approaches the economic, much less
the political integration of the EU. Thus, to date any sense
of regional political identity is almost exclusively confined
to Europe. But in the 1950s, Europe’s Common Market
was just beginning, and it was limited to trade, much as
several regional organizations such as the North American
Free Trade Agreement (NAFTA, which links Canada, Mex-
ico, and the United States) are today. What has evolved in
Europe could occur elsewhere.

Although only a small minority of Europeans identify with the

European Union today, that sense may increase as children Cultural Transnationalism
who do not remember pre-EU times grow up. Perhaps when
this Hungarian child holding an EU flag grows up, he and
There is considerable scholarship that demonstrates how
many of his contemporaries will consider themselves greater intercultural familiarity reduces stereotyping, sus-
European first and Hungarian, British, French, or some picion, fear, and other divisive factors that promote do-
other nationality second. mestic and international conflict. Therefore, the familiarity
 Transnationalism 151

with different cultures that globalization brings and even the blending of cultures
holds the prospect of reducing conflict in the world.
A darker view is that cultural transnationalism will lead to a “clash of civilizations.”
The best-known proponent of this view is Samuel P. Huntington’s theory (1993,
1996). Like many analysts, Huntington (1993:22–26) believes that nationalism
will “weaken . . . as a source of identity.” What will happen next is the key to his con-
troversial thesis. He believes that new cultural identifications will emerge that will
“fill this gap” and countries will align themselves in “seven or eight cultural blocs,”
including “Western, Confucian, Japanese, Islamic, Hindu, Slavic-Orthodox, Latin
American, and possibly African.” These blocs, Huntington further predicts, will
become “the fundamental source of conflict” as “different civilizations” engage in
“prolonged and . . . violent conflicts.”
Most Western scholars reject Huntington’s theory (Henderson, 2004). How-
ever, it seems more plausible in other parts of the world. Additionally, some research
has found evidence of increasing intercivilizational clash since World War II,
although it has mostly involved the West and Islam (Tusicisny, 2004). As a result,
whatever the perspective may be from the United States or other Western, largely
Christian-heritage countries, there is considerable suspicion among Muslims that
a concerted campaign is under way to undermine their religion and its cultural
traits. It is important to note that the view of such actions as anti-Islam or, at least,
reflecting cultural insensitivity is not confined to Muslims. Just before his death,
Richard Nixon wrote of the long delay before the West intervened to stop the
slaughter of Muslims in Bosnia, “It is an awkward but unavoidable truth that had
the [mostly Muslim] citizens of Sarajevo [the capital of Bosnia] been predominantly
Christian or Jewish, the civilized world would not have permitted [the atrocities
that occurred].”12
As discussed later in the chapter, there is a history of conflict between Christendom
and Islam that goes back more than a millennium, and to some Muslims current pol-
icy by the U.S.-led West is an extension of that conflict. Muslims making that case
might point, among other things, to their perceptions of the following U.S. and/or
European policies:
■ Inaction while Christian Serbs slaughtered Bosnian Muslims (1992–1995)
■ Exclusion of Muslim Turkey from the mostly Christian EU
■ Opposition to Iraq or Iran getting nuclear weapons while ignoring Israeli
nuclear weapons
■ Two invasions of Iraq and one of Afghanistan and the long-term presence
of Western troops in both countries
■ Sanctions on Iraq after 1991 that lasted longer than those on Germany after
1945
■ Lack of sanctions on largely Christian Russia for its often brutal campaign
against the Muslim Chechens
■ Support of Israel

Whether or not such actions reflect a bias against Islam or at least cultural in-
sensitivity, it is important to see that they are perceived to be true by many Muslims.
A survey taken of Muslims in 14 countries in Africa, Asia, and the Middle East found
that nearly half felt their religion to be in danger. This perception has arguably fos-
tered the greater sense of solidarity that a strong majority of Muslims also expressed
in the survey.13 These findings are detailed in Figure 5.9 on p. 152.
152 CHAPTER 5 Globalism: The Alternative Orientation

FIGURE 5.9 Sense of Threat Transnational Religion

and Solidarity among Muslims Most of the world’s great religions have a strong
70% transnational element. It is particularly apt to exist
when a religion, which is a basis of spiritual identity,
becomes a source of political identity among its
members. When religion and political identities be-
46% 47% come intertwined, members of a religion may take a
number of political actions. One is to try to conform
the laws and the foreign policy of their country to
their religious values. A second is to provide political
20%
support for the causes of coreligionists in other
countries. This sense of support is why, for example,
7%
10% Jews from around the world are likely to support
Israel and Muslims everywhere are apt to support the
Palestinians. Religion also helps explain why Osama
Yes No No answer Yes No No answer bin Laden, a Saudi, was able to recruit Muslims from
Are there any serious threats to Do you feel more solidarity Egypt, Pakistan, Chechnya, and elsewhere, includ-
Islam today? these days with Islamic people
living around the world?
ing the United States and Europe, to the ranks of al
Qaeda and to find a base for the organization in
Whatever the cause, about half of all Muslims believe that their religion Afghanistan.
is under attack. This sense of threat is especially high in the Middle
East, where 78% perceived serious threats. Perhaps as part of a Religion and World Politics
defensive reaction, 70% of Muslims indicated that they are currently
feeling greater solidarity with other Muslims around the world. Indeed, “You’re constantly blindsided if you consider reli-
these feelings were expressed before the U.S. invasion of Iraq in 2003 gion neutral or outside world politics,” cautions one
and were almost certainly intensified by that action and the ensuing international relations scholar.14 It is wise counsel
occupation. because religion plays many roles in world politics
Note: The survey was conducted in 2002 among Muslims in Jordan, Lebanon, Pakistan, (Shah & Toft, 2006; Fox & Sandler, 2004). Often,
Turkey, Uzbekistan, Bangladesh, Indonesia, Ghana, Ivory Coast, Mali, Nigeria, Senegal, it is a force for peace, justice, and humanitarian con-
Tanzania, and Uganda.
Data source: The Pew Research Center for People and the Press, “Views of a Changing cern ( Johnston, 2003). It is also true, though, that
World” (June 2003). religion has been and continues to be a factor in many
bloody wars, conflicts, and other forms of political
violence (Fox, 2004). For example, religion is an element of the conflict between
mostly Jewish Israelis and the mostly Muslim Arabs. Religion is also part of what
divides Pakistan and India, each of which has nuclear weapons, giving rise to what
some people believe is the world’s most dangerous situation.
Religion also causes or exacerbates conflict within countries. What was Yugoslavia
disintegrated partly along religious lines into Catholic Croats, Muslim Bosnians, and
www Eastern Orthodox Serbs. More recently, religion plays a role in the deadly cultural
divide between Serbs and Muslim Albanians in Yugoslavia’s Kosovo Province. Conflict
MAP can also occur within a religion, as demonstrated by the horrific violence in Iraq
World Religions between Sunni and Shiite Muslims and even between factions of Shiites.
Organized religion also plays a range of positive roles as a transnational actor.
Among Christians, the World Evangelical Alliance, founded in 1846, is an early exam-
ple of a Protestant NGO. Even older, the Roman Catholic Church is by far the largest
and most influential religion-based NGO. The Vatican itself is a state, and the pope is
a secular as well as a spiritual leader. The political influence of Roman Catholicism,
however, extends far beyond the Vatican. During the cold war, for instance, the Church
worked successfully to weaken communism’s hold on Poland and other mostly Roman
Catholic countries in Eastern Europe. Soon after the Soviet Union collapsed in 1991,
its last president, Mikhail S. Gorbachev, wrote, “Everything that happened in Eastern
 Transnationalism 153

Europe in these last few years would have been impossible without the presence of
the pope and without the important role—including the political role—that he
played on the world stage.”15

The Strength of Religious Fundamentalism

One aspect of religion that has gained strength in many areas of the world is
fundamentalism (religious traditionalism). Indeed, one study reports, “The world as
a whole now has more people with traditional religious views than ever before—and
they constitute a growing proportion of the world’s population” (Norris & Inglehart,
2004:1). As used here, a fundamentalist/traditionalist is someone who holds conser-
vative religious values and wishes to incorporate those values into national law. Some
fundamentalists also have a primary political identity with their religion, not their
nation-state. This perspective promotes political cooperation among coreligion-
ists across borders; it may also mean driving out people of another or no faith or
suppressing their freedoms within borders.
There is considerable debate over whether the rise of fundamentalism is a series of
isolated events or related to a larger global trend. Advocates of the latter view believe
that at least part of the increase in the political stridency of religion is based on a
resistance to the cultural amalgamation that fundamentalist traditionalists believe is
undermining the values on which their religion is based. Religiosity is also heightened
among those in “vulnerable populations” who are or who see themselves “facing
personal survival-threatening risks” from war, poverty, or other causes (Norris &
Inglehart, 2004:4). Whatever its source, a sense of siege increases people’s awareness
of their religious identity and their solidarity with their coreligionists across national
borders. It is strongest in poorer countries, but also affects wealthier ones. What makes
the increase in fundamentalism important to world politics is that political conser-
vatism, religious fundamentalism, and avid nationalism often become intertwined
in volatile ways.

India and Pakistan Relations between India and Pakistan provide a prime example
of the impact of religion on politics. The two countries were part of British India until
1947, when they were partitioned into Hindu-dominated India and Muslim-dominated
Pakistan amid horrific religious conflict that left hundreds of thousands of people dead.
Since then a volatile mix of religion and nationalism has beset relations between the
two countries and led to three wars and numerous other military clashes. As it has
been since 1947, the most perilous flashpoint is the border province of Kashmir,
which is part of India but whose population is mostly Muslim.
Two things make the future of the region especially worrisome. One is that nuclear
war became a horrendous possibility when India and Pakistan both tested nuclear
weapons in 1998. Both countries also have missiles capable of raining nuclear war-
heads down on each other’s cities. The second source of danger is a strong element
of religious fundamentalism. In Pakistan it is part of the increase in religious tradi-
tionalism throughout the Muslim world as discussed elsewhere in this chapter. India
has also seen a rise of nationalist religious traditionalism, politically represented by
the Bharatiya Janata Party (BJP), which was founded in 1980 as a Hindu nationalist
party. Many members wish to create Hindutva, a theocratic Hindu India, or even
Akhand Bharat (Old India), a mythical concept of a unified Indian subcontinent
under Hindu Indian leadership. National elections in 1998 put the BJP in control of
India’s government. Within months it conducted India’s first nuclear weapons tests
and in the following several years there were several clashes with Pakistan in the
Kashmir region. Certainly the nuclear weapons program in India had long been
154 CHAPTER 5 Globalism: The Alternative Orientation

under development, and the usual charges and countercharges were exchanged be-
tween India and Pakistan over responsibility for their clashes, but it is also the case
that the BJP brought a more muscular, religious-nationalist lean to Indian foreign
policy. The BJP lost power as a result of the 2004 elections, but remains the second-
largest party in India’s parliament. Thus it is too soon to know whether the funda-
mentalist appeal of the BJP has weakened among India’s voters or whether the BJP
will return to power in the 2009 elections.

Israel Religious traditionalism also influences politics in Israel, where its ultra-
orthodox Jewish groups tend to favor a hard-line stance with the Palestinians, no
compromise on the status of Jerusalem, and the continuation of Jewish settlements
in the West Bank. Indeed, this political faction claims that the West Bank and the
Golan Heights are part of the ancient land given in perpetuity to the Jewish nation
by God. Whether the policy ramifications are domestic or international, “the issue,”
according to an Israeli scholar, “is whether Israel will shape a way of life according to
Western, democratic concepts, or one infected by Middle Eastern fundamentalism
and theocratic impulse.” Others dismiss such concerns. “We’re not going to make a
second Iran in the Middle East,” a rabbi who also heads a religion-oriented political
party assures listeners.16

The United States Whatever U.S. constitutional doctrine may be, separation of church
and state in the United States has never been a complete political reality. Religion has
long played a role in U.S. foreign policy. Moreover, many observers contend that
religion has been an especially important factor during the presidency of George W.
Bush, with Evangelical Christians and other traditionalist Protestants gaining a greater
policy voice. Many analysts point to the emphasis on spreading democracy and other
aspects of the American way by word if possible and by the sword if necessary as rooted
in a religious missionary impulse (Arnold, 2004). Typically, Bush once declared, “The
liberty we prize is not America’s gift to the world, it is God’s gift to humanity.”17
Washington has “exported” conservative religious “family values” as part of U.S. policy
in ways such as withholding funds from international agencies that provide abortion
assistance (Kline, 2004). Some analysts also link Bush’s very strong support of Israel
to the strength of the Evangelicals. A survey that asked Americans whether U.S.
policy should favor Israel over the Palestinians found that among religious groups,
Evangelicals (52%) were second only to Jews (75%) in saying “yes.”18 One reason
for this view, explains Evangelical minister Pat Robertson, is, “We believe that the
emergence of a Jewish state is in the land promised by God to Abraham.”19
To understand the Evangelicals’ influence on policy, one scholar writes, “it is
important to recognize that the rise of the religious right as a political force in the
United States is a relatively recent phenomenon that emerged as part of a . . . strategy
by [leaders] in the Republican Party who—while not fundamentalist Christians
themselves—recognized the need to enlist the support of this key segment of the U.S.
population in order to achieve political power” (Zunes, 2004:1). Of course, not all the
connections between religion and politics in the United States or any other country
are rooted in traditionalist beliefs. Opposition to war, pressure to advance the cause
of global human rights, demands that wealthy countries do more to help poorer ones,
and many other examples of policy advocacy are centered in more mainline religious
beliefs and organizations. That raises the question of whether religion should play a
strong role in foreign policy and world politics.
For all connections between religion and global politics that we have been dis-
cussing, none has been more in the news than the role of Islam. Therefore, let us turn
 Transnationalism 155

our attention to a detailed look at Islam because of its current importance on the
world stage and because its history and tenets are too often unknown or misrepre-
sented in the Western world.

Islam and the World

Islam is a monotheistic religion founded by Muhammad (ca. 570–632). The word Islam
means “submission” to God (Allah), and Muslim means “one who submits.” Muslims
believe that Muhammad was a prophet who received Allah’s teachings in a vision.
These divine instructions constitute the Koran (or Qur’an), meaning “recitation.”
It is the political application of Islam by Muslims that interests us here. A tradi-
tional Islamic concept is the ummah, the idea of a Muslim community that is unified
spiritually, culturally, and politically. Muhammad was the first leader of the ummah.
Muslims distinguish between Muslim-held lands, dar al-Islam (the domain of Islam),
and non-Muslim lands, dar al-harb (the domain of unbelief). One tenet of Islam is the
jihad, “struggle” carried on in the name of Allah by mujahedin. It is important to stress
that jihad can mean spreading Islam or defending the faith peacefully and does not
necessarily mean armed struggle any more than the noted hymn that begins “Onward,
Christian Soldiers, Marching as to War” implies Christian militancy. This reality has
too often been lost in false stereotypes of Islam as intrinsically violent. Certainly,
there are militant Muslims. But virtually every religion is afflicted by fanatics who
distort its meaning and commit unimaginable atrocities in its name.
The political ramifications of Islam are important because there are over 1 billion
Muslims worldwide and they make up a majority in many countries, as demonstrated
by the map below. Additionally, Muslims constitute an important political force in
countries where they are not the majority population, such as the Philippines. Overall,

Countries with a Majority Muslim Population

Albania Turkmenistan Uzbekistan
Bosnia Azerbaijan
Kyrgystan
Turkey Tajikistan
Tunisia Syria Afghanistan
Morocco Lebanon Iraq
Iran
Jordan Kuwait
Pakistan
Western Sahara Algeria Libya Bahrain
Egypt Qatar
Mauritania Saudi Arabia U.A.E*
Senegal Mali Niger Oman Bangladesh
Chad Sudan Yemen
Gambia Nigeria Djibouti Brunei
Guine-Bissau Malaysia
Somalia
Guinea Benin
Sierra Leone Burkina Comoros
Faso Indonesia
Cote d' Ivoire
Cameroon Maldives East Timor
Gabon

*United Arab Emirates

This map of the countries in which Muslims constitute a majority of the population illustrates that Islam
is not confined to the Arab states in the Middle East. In fact, most Muslims are not Arabs. The largest
predominantly Muslim state is Indonesia, where 88% of the country’s 238 million people are Muslims.
The people of Pakistan, Bangladesh, Nigeria, and Iran, the next four most populous predominantly
Muslim countries, are also not Arabs.
156 CHAPTER 5 Globalism: The Alternative Orientation

only about one of every four Muslims is an Arab, and the world’s largest Muslim com-
www munity (204 million) is in Indonesia, where it constitutes 88% of the population.

The Political Heritage of Muslims

MAP
Countries with a Majority Muslim attitudes toward the non-Muslim world are shaped by three historical ele-
Muslim Population ments. A triumphant beginning is the first. During Islam’s early period, it experienced
rapid religious and political expansion by peaceful conversion and violent conquest.
At its farthest, Muslim domination encompassed the Middle East, North Africa,
southwestern Asia to the Ganges River, Spain, and central Europe to just south of
Vienna.
Conflict with Christian powers, especially those of Europe, is a second element of
the Muslim political heritage. Eight crusades were launched by Europe’s Catholic kings
against Muslims between 1195 and 1270, and other lesser expeditions lasted into the
1400s. Muslims also clashed for hundreds of years with Christianity’s Orthodox
emperors of Byzantium and later with the Orthodox czars of Russia.
The domination of Muslims by others is the third key historical element of Mus-
lims’ political heritage. After about the year 1500, Muslim secular strength declined,
and by the late 1800s a variety of European powers had come to dominate many
Muslim areas. The last vestige of Muslim power was eclipsed when the Ottoman
Empire collapsed after World War I, and the British and the French became the colo-
nial overlords of the Middle East. As a result, most Muslim countries, whatever their
location, share an experience of recent colonial domination by mostly European,
Christian-heritage powers. During the last half century, direct political domination
ended with the collapse of colonialism. New countries came into being; others moved
from autonomy to full independence.
Yet there is a strong sense among many Muslims that Western dominance, led by
the United States, has continued through alleged neocolonialist practices such as
protecting authoritarian pro-Western regimes in Saudi Arabia and Kuwait and using
military force to smite Muslim countries that defy U.S. demands to support its inter-
ests. For example, a poll in Turkey asking about the possible U.S. use of force to
remove Saddam Hussein from power found that a majority (53%) believed that it was
a part of the “U.S.’s war against Muslim countries that it sees as unfriendly.” Only
34% thought Washington’s policy had to do with a desire for stability in the Middle
East, and 13% were unsure or refused to answer.20

Islam and Nationalism

There are elements of contemporary Islam that support unification by creating a true
www ummah. After centuries of outside domination, the people in the region that stretches
from Gabon to Indonesia have begun to reclaim their heritage in what might be
called a “Muslim pride” movement. This includes Islamic solidarity efforts, which
JOIN THE DEBATE
Can Democracy Succeed in have ranged from coordination in protecting Islamic holy places, through support of
Islamic Countries? the Palestine Liberation Organization, to support of Pakistan’s possession of nuclear
weapons. Among Arab Muslims, the common tie of Islam has helped promote Pan-
Arab sentiment. This Pan-Arab feeling has led to the establishment of some regional
cooperation (the Arab League, for example) and even attempts to merge countries. For
these and other reasons, a majority of Muslims in predominantly Muslim countries
identify more strongly with their religion than their country. This focus is different
from Christians in mostly Christian countries as Figure 5.10 demonstrates.
Nevertheless, it is very unlikely that Muslims will reestablish the ummah in the
foreseeable future. Nationalism is one factor that will prevent this (Telhami & Barnett,
2002). Many Muslim countries have sharp differences and vie with one another for
 Transnationalism 157

FIGURE 5.10 Christians, Muslims, and Nationalism

Other
Other
answers
answers Country 14%
18% 22% Are you first a citizen
of your country or
Religion Country
first a member
24% 62%
of your religion?
Religion
60%

Muslims in 5 mostly Christians in 6 mostly

Muslim countries Christian countries

Nationalism is more important than religion to people’s self-identification among Christians in mostly
Christian Western countries, but religion provides a stronger sense of identity in mostly Muslim
countries.
Note: The six mostly Christian countries were France, Germany, Russia, Spain, the United Kingdom, and the United States.
The five mostly Muslim countries were Egypt, Indonesia, Jordan, Pakistan, and Turkey. “Other answers” included refusal to
answer, unsure, both equally, and others.
Data source: Pew Research Center, “Conflicting Views in a Divided World,” 2006.

regional influence. Iraq and Iran, for example, fought an eight-year-long war in the
1980s that claimed at least 1 million lives. Further solidifying nationalism, there are
major ethnic differences within Islam. Culturally, Indonesians are no more like Syrians
than are Canadians. Even neighboring Muslim countries can be quite diverse. Most
Iranians, for example, are ethnic Persians who speak Farsi; Iraqis are ethnic Arabs
who speak Arabic. Furthermore, there is a strong sense of patriotic pride in many
Muslim countries. This nationalism is particularly strong when faced by an outside
influence, as the United States found out in postwar Iraq. Whatever their views of the
departed Saddam Hussein, a substantial percentage of Iraqis chafed at the idea of an
extended American presence in their country.

Islam and the Non-Islamic World

The political history of Muslims influences their attitudes toward the outside world,
especially the West. First, many Muslims see the United States as the most recent of
a long line of threatening Euro-Christian heritage powers. Muslims also see the
struggle with Israel and what they perceive as U.S. bias toward Israel as part of a long,
ongoing history of attempted Western domination of their region. “There is a deep
feeling that when it comes to the Arabs, it’s always very harsh treatment, and when it
comes to the Israelis, it’s easy,” notes an Egyptian analyst.21
Opinion polls confirm the degree to which these feelings are held widely among
Muslims. Even before the U.S.-led invasion of Iraq, a poll of nine Muslim countries
found that only 22% of the respondents had a favorable opinion of the United States,
and just 12% of Muslims thought the West respects Islamic values. As for the question
of Israel and the Palestinians, 84% of Muslims said that the United States favors Israel
over the Palestinians. Even a plurality (47%) of Israelis agreed that U.S. policy favors
them, with 38% characterizing U.S. policy as balanced, 11% saying it favors the
Palestinians, and 4% unsure.22 Not surprisingly, Muslim views of the West in general
and the United States in particular were even more negative after the invasion of Iraq
in 2003.
158 CHAPTER 5 Globalism: The Alternative Orientation

Americans also held a negative mirror image of

Muslims. Only 24% of the Americans polled held a
favorable opinion of Muslim countries, while 41%
expressed an unfavorable view. The poll also found
that most Americans have little respect for Muslim
culture, with about two-thirds of Americans saying
Muslim countries would be better off if they adopted
U.S. and Western values.23 In another mirror image, as
depicted in Figure 3.3 on page 71, most Americans
felt threatened by Muslims and most Muslims felt
threatened by Americans.

Islamic Sectarianism
Religion is not always a source of Islamic unity; sec-
tarian splits within Islam have sometimes caused
conflict. The most important division separates the
majority Sunnis and the Shiite minority. The issues
between the two sects involve doctrinal matters
beyond our scope of inquiry. What is important here
is that the sometimes quiescent Sunni-Shiite rivalry
was reignited in 1979 when the Ayatollah Ruhollah
Khomeini led fundamentalist Shiites to power in
Iran. One result was Iran’s grueling war with Iraq
(1980–1988). There were territorial and other nation-
alistic causes behind the war, but Khomeini’s deter-
mination to overthrow the Sunni-dominated regime
of Saddam Hussein was also a factor.
Sunni-Shiite strife has also spelled continuing
tragedy for Afghanistan. For example, there have
been frequent charges that Iran is supporting the
Shiite Hazara ethnonational group’s resistance to
One factor in the widespread anger among Muslims toward the West is the control of the Sunni-dominated central govern-
the feeling that Americans, Europeans, and others do not respect Islam. ment in Kabul. Even more pointedly, events in Iraq
These young Muslim women are outside the Danish consulate in New show the interrelationship of sectarian and national
York City protesting a cartoon published in a Danish newspaper. It forces. The downfall of Saddam Hussein, a Sunni,
depicted the prophet Muhammad wearing a bomb-shaped keffiyeh has opened the way for the country’s majority Shiites
(Muslim men’s headdress) with an ignited fuse.
to dominate the new government. Many Sunnis fear
that change, and what was primarily an insurgency
against the U.S. presence in Iraq increasingly in 2005 and after became a civil war
with Sunnis and Shiites ethnically cleansing areas they controlled and committing
daily atrocities against one another. There are also worries that Shiite-dominated Iran
might try to gain influence in Iraq through its Shiite majority. Yet the possibility of that
happening is severely constrained by the fact that Iraqis are Arab, Iranians are Persians,
and historically the two groups have often clashed. Symbolic of this, Saddam Hussein
warned Iraqis to continue to fight the Persians as he stood on the gallows in 2007.
Adding to the complexity, most Iraqi Kurds are Sunnis, but they have their own
variations on Islam that differ from Iraq’s Arab Sunnis.
The tensions in Iraq are also being felt regionally as Saudi Arabia, Jordan, and
some other predominantly Sunni countries have become uneasy with what they see as
the growing influence of Shiite Iran. For example the Jordanian newspaper Ad-Dustour
ran a story in 2007 warning of a conspiracy to spread Shiism from India to Egypt by,
 Transnationalism 159

among other things, assassinating “prominent Sunni figures.” Some Arabs see the Web Link
sectarian split as “the most dangerous problem now in the region.” Others dismiss To learn more about the complex
it as only marginal, and there is also considerable sentiment that its existence is part religious makeup of Iraq, visit the
of an outside effort to divide and defeat Islam. When reporters asked one Egyptian “Muslim, Islam, and Iraq” site
at a tea stand about the split, his reply was, “There’s a proverb that says, ‘Divide and created by Professor Alan Godlas
of the University of Georgia at
conquer.’ Sunnis and Shiites—they’re not both Muslims? . . . In whose interest is it to
www.uga.edu/islam/iraq.html.
divide them?” The answer he supplied to his own question: “It’s in the West’s interest.
And at the head of it is America and Israel.”24

Islamic Traditionalism and Secularism

A second point of division within Islam separates Muslim traditionalists and secu-
larists. Traditionalist (fundamentalist) Muslims want to preserve or, in some cases,
resurrect their cultural traditions. Many of these, such as banning alcohol and hav-
ing women cover their faces in public, have been weakened under the influence of
Western culture. Fundamentalists also want to establish legal systems based on the
shari’ah (the law of the Koran) rather than on Western legal precepts. Some tradi-
tionalists even want to reestablish the ummah by creating a unified political commu-
nity of Muslims governed by Islamic law. Secularists, by comparison, believe that
within Islam there can be many Muslim states and that religious and secular law
should be kept separate.
Whatever may be theologically correct, the fact is that since the early 1990s tradi-
tionalist Muslim movements have gained strength in many Muslim countries. One rea-
son this may be occurring is that Muslims are especially worried about spreading
mostly Western culture. An indication is that 80% of people in mostly Muslim coun-
tries feel that their culture needs protection, compared to 62 percent of people globally
(see Figure 5.7, p. 145). This sense of cultural threat makes many Muslims welcome
the influence of Islam and its traditional values, as Figure 5.11 shows. Yet that does not
mean that most Muslims favor the triumph of traditionalism, as the figure also shows.
What does all this mean about the possible exis-
tence of a “green peril,” a term that relates to the tra-
ditional association of the color green with Muslims? FIGURE 5.11 Muslim Views
The first answer is that it is equally wrong to ignore on Religion and Politics
the role of religion in politics and to make dire and Unsure Unsure Fundamentalists
misleading predictions based on the false assumption 8% 11% 25%
of pan-Muslim solidarity. For example, it is probable
that much of the strong sense of Muslim solidarity
Small/ Large
that exists is a defensive reaction prompted by the no role role
perception of many Muslims that their religion is 35% Modernizers
57%
64%
being threatened. People who feel threatened by a
common enemy often unite in opposition to that How much of a role should Do you identify more with
antagonist. In particular, there are numerous indica- Islam play in the political the modernizers or
tions that the issue of the Palestinians and the U.S. life of your country? fundamentalists in your country?
support of Israel is a key element in the opinion of
Muslims, especially Arabs, toward the United States. Polls show that most Muslims welcome significant religious influence
Given that, a peaceful solution that addresses the in their country’s politics, as the left pie chart shows. That does not
necessarily mean that most Muslims would welcome dominance by
needs and rights of both Jews and Arabs in the
religious traditionalists in their country. Of those Muslims who believe
region will benefit not only those two groups, but that there is a struggle between secular modernizers and religious
the United States and the rest of the world as well. fundamentalists in their country, almost two-thirds identify more closely
Perhaps the best lesson to draw is that religion is a with the modernizers, as shown in the right pie chart.
significant factor in international relations. Like any Data source: Pew Research Center, “Views of a Changing World” (2003) for the left
set of coherent ideas, religion helps define who is on pie chart and “Conflicting Views in a Divided World” (2006) for the right pie chart.
160 CHAPTER 5 Globalism: The Alternative Orientation

which side and thus often plays a powerful role in shaping the perceptions of politi-
cal leaders and the actions of the countries they command.

Transnational Movements
A wide range of transnational movements focus on one or another general aspect of
the human condition. They can even influence people’s political identity, although
they do not carry the possibility of people abandoning their national loyalties in the
same way that regional and some other forms of transnationalism do. Some of these
movements focus on specific issues, such as the transnational environmental move-
ment. Others are organized around demographic groups. Representing this latter
type, the women’s movement provides an excellent case study of the organization
and operation of transnational movements.

Women in the World

Women worldwide have had and continue to have fewer economic, political, and
social opportunities than men. Progress has been made, but no country has yet to
achieve socioeconomic or political gender equality. The map below shows the current
state of affairs, and the most obvious variable is that the gap between men and
women is generally greater in less developed countries (LDCs) than in economically
developed countries (EDCs). Culture also plays a role, with many of the countries
with the most inequality in the predominantly Muslim areas stretching from the
Northwest coast of Africa east through Pakistan.

The Gender Gap: Inequalities in Education and Employment

The Female/Male Inequality

Gap in the Monied Workforce
and in Secondary Education
Least inequality
Less inequality
Average inequality
More inequality
Most inequality
No data

0 1000 2000 Miles

0 1000 2000 3000 Kilometers

The day may come when one end of a scale of male/female equality is labeled “equal.” That time
has not arrived yet. This map classifies countries on a scale of relative inequality, ranging from least
inequality to most inequality. All societies are held back by legally or socially restricting the educational
and work opportunities of females, who make up half the population. While every country does this, the
less developed countries, those that need “people power” the most, tend to be the most restrictive and
to waste more of the talents of their women.
 Transnationalism 161

The status of women is detailed in chapter 14’s section on human rights, but
for now consider the following barrage of facts: Women constitute 70% of the
world’s poor and 64% of the world’s illiterate adults. They occupy only about 1 in 7
of the world’s managerial and administrative jobs and constitute less than 40% of
the world’s professional and technical workers. Worldwide, women are much less
likely to have access to paid employment, and the average woman who does have
a job earns only about half of what the average man does. As noted earlier, women
are much more likely than men to be refugees, the victims of domestic violence, and
the targets of organized sexual assault during conflicts. A recent survey of 35 cities
globally found that 2.2% of the women reported having been the victim of a sexual
assault.25 With such crimes often going unreported, the real percentage is almost
surely substantially higher.
Such economic, social, and political deprivations of women are not new. What
has changed is the ability of women around the world to see their common status www
through transnational communication and transportation. Also new is the increased
determination of women and the men who support the cause of gender equality
MAP
to work together through transnational NGOs to address these issues. As one UN The Gender Gap:
report points out, “Moving toward gender equality is not a technocratic goal—it is Inequalities in Education
a political process.”26 The global women’s movement is the driving force in this and Employment
political process.

Goals of the Transnational Women’s Movement

Transformation is a term that captures the goals of the transnational women’s move-
ment. Chapter 6 takes up the role of women as national leaders, but we can say here
that despite making up half the world population, women are only a small minority of
the world’s heads of government, national cabinet ministers, and national legislators.
International organizations are no less gender skewed. No woman has ever headed
the UN, the International Monetary Fund (IMF), the World Trade Organization (WTO),
or the World Bank; and women occupy only about 15% of the senior management
positions in the leading IGOs. Like male political leaders, some females have been
successful in office; others have not. Yet, as the longtime (1980–1996) president of
Iceland, Vigdis Finnbogadottir, has remarked, the stereotype remains that “women
are not competitive enough or women do not understand economics.” “If you do
something wrong,” she warned other women at a conference, “you will be attacked
with the strongest weapon—mockery.”27
Advocates of women’s political activism see their goal as more than simply a
drive for power. For them, increased power for women is also a way to change policy
based on their view that, overall, women have different values than men on a variety of
issues. While history demonstrates that women leaders can and have used military
force, it is also the case, as discussed in chapter 3, that women have been generally less
inclined than men to advocate force. Research also indicates that countries with higher
percentages of women in their national legislatures are less likely than more male-
dominated states to commit human rights abuses (Melander, 2005). Furthermore, there
is evidence that women place more emphasis on international social and economic
programs than do men, who are apt to stress international security programs.28
The transnational women’s movement additionally addresses the normative issue
of how to improve the lot of women—and everyone else—in the international system.
As such, the concern extends beyond sexism’s deleterious effect on women to include
the impact of discrimination on the entire society. Feminists point out correctly that
keeping women illiterate retards the entire economic and social development of a
society. It is not a coincidence, for example, that the percentage of women in the paid
162 CHAPTER 5 Globalism: The Alternative Orientation

workforce is lowest in those countries where the gap between male and female literacy
is the highest. Educating these illiterate women would increase the number of ways
that they could contribute to their countries’ economic and social growth. Beyond
this, there is a correlation between the educational level of women and their per-
centage of the wage-earning workforce, on the one hand, and restrained population
growth, on the other. In other words, one good path to population control is creating a
society of fully educated men and women who are employed equally in wage-earning
occupations.

Organization of the Transnational Women’s Movement

Web Link Women have been and are politically active in a large number of organizations that
One excellent site related to the focus all or in part on women’s issues. These organizations and their members inter-
global women’s movement is act transnationally at many levels ranging from the Internet through global confer-
the UN’s WomenWatch at ences. For instance, women can now find out more about their common concerns
www.un.org / womenwatch/. through the Internet. Collectively, women are now frequently gathering in such
global forums as the UN Conference on Population and Development (UNCPD) held
in Cairo (1994), the World Conference on Women (WCW) in Beijing (1995), and
the Beijing 5 Conference that convened in New York City (2000). Beyond the sub-
stantive proceedings, such conferences also facilitate transnational contacts among
women. Parma Khastgir, a Supreme Court justice in India and a delegate to the 1995
WCW, stressed this contribution, noting that “what appealed to me most [about the
WCW] was that people overcame their ethnic barriers and were able to discuss uni-
versal problems. They showed solidarity.”29 Even more importantly, women draw
on their contacts and experiences through NGOs to promote and influence national
and international policy ( Jutta, 2003). A good example is Shirin Ebadi, an Iranian
woman who has applied her energy and legal skills to bettering the rights of women
and children in her country and globally. These efforts earned Ebadi the Nobel Peace
Prize in 2003. Her work to empower Iranian women, one study concludes, has in-
creased their “support for the international norms . . . , as well as their desire to
change archaic Islamic laws, [which] will nudge . . . [Iran] along the path of global-
ization more so than ever before” (Monshipouri, 2004:11).
It is difficult to measure the precise impact that transnational communications
among women is having through individual interactions, world and regional confer-
ences, and the mass media (Shaheed, 1999). There is evidence, however, that cultural
differences among women relating to their roles are
narrowing (Inglehart & Norris, 2003). To a signifi-
FIGURE 5.12 Women Legislators cant degree, for example, the “feminist revolution”
Women’s share of national legislative seats 17.0% that began in the United States, Canada, and Western
Europe in the 1960s and 1970s affected women
12.0% not only in those countries, but also as Figure 5.12
10.9%
11.6%
shows, seems to have spread to and influenced
7.5% women in more traditional countries. Overall, then,
8.1%
3.0%
it is possible to say the process of globalization is
having a positive impact on the status of women
(Gray, Kittilson, & Sandholtz, 2006).
1945 1955 1965 1975 1985 1995 2006
Advances of Women in Politics
One indication that the feminist movement has made strides globally is Another standard by which to judge the impact of the
the increase in the percentage of seats that women hold in the world’s transnational feminist movement is the advancement
national legislatures. of women in politics. “Never before have so many
Data source: Inter-Parliamentary Union. women held so much power,” writes one scholar.
 Transnationalism 163

“The growing participation and representation of

women in politics is one of the most remarkable de-
velopments of the late-twentieth century” ( Jaquette,
1997:23).
Both these statements are certainly factual, but
it is also the case that progress is slow, and that
women remain a political minority part of both
national and international governance. The changes
within national governments, which are detailed in
chapter 6, parallel the uphill climb of women to
political power in international organizations. The
UN Charter pledges equal opportunity for men and
women. The reality a half century after the charter
was adopted is that women remain seriously under-
represented among the UN’s professional staff posi-
tions, its top leadership posts, and the ambassadors
who head their countries’ delegation. “We are a col- Women have assumed top leadership positions in many international
lection of all the world’s chauvinisms,” one UN staff organizations as well as national governments. The woman at the
member has commented bluntly.30 Still, progress center of this photograph is Asha-Rose Migiro, who was then serving
as Tanzanian foreign affairs minister. Well-wishers are cheering her
is being made. Most notably at the UN, Canadian in early 2007 soon after the announcement that newly named UN
diplomat Louise Fréchette served as deputy secretary- Secretary-General Ban Ki-moon had appointed her deputy secretary-
general (1998–2006), and she was followed in 2007 general, the second highest UN post.
by Asha-Rose Migiro, former foreign affairs minister
of Tanzania. Migiro and six other women make up one-third of the 32 members of
the UN’s Senior Management Group, the secretary-general’s Cabinet. Thus, things are
changing, although 33% of the senior managers is not half. Former UN executive
Nafis Sadik has recalled that in the 1970s when she first came to work at the UN,
“Western men saw me as an Asian woman; very decorative, but I couldn’t possibly
have any ideas.”31 When she retired in 2000 after 13 years as head of UNFPA, no one
any longer saw Executive Director Sadik as an adornment.
The accomplishments of these women have been, of course, personal. Many of
the other advances of women have been made through national efforts. It is also the
www
case, however, that the progress of women almost everywhere has been facilitated
ANALYZE THE ISSUE
by and, in turn, has contributed to the transnational feminist movement. Women
UN Women Watch:
have begun to think of themselves politically not as only American, or Canadian, or Transnational Women’s
Zimbabwean women, but as women with a transnational identity and ties. This is Movements and the Case
both transforming national politics and weakening the hold of nationalism. of Gender Mainstreaming

The Future of Transnationalism

It is impossible to predict how far transnationalism will progress. It is not inconceiv-
able that a century from now humans will share a common culture and perhaps even
a common government. That is, however, far from certain. There are those who
doubt that the trend of today toward transculturalism will continue into the future.
Some analysts believe, for example, that English will cease to be the common lan-
guage of the Internet as more and more non-English-speaking people gain access.
“Be careful of turning astute observations about the current state of the Web into
implications for the future,” one observer cautions wisely.32
Moreover, nationalism is proving to be a very resilient barrier to globalization and
to transnational movements. For example, it is true to some degree that a trans-
national identity has evolved among Europeans in connection with the EU. Yet those
164 CHAPTER 5 Globalism: The Alternative Orientation

with that new political identity remain a small minority that is dwarfed by the per-
centage of people living in the EU countries who retain their traditional loyalty to the
nation-state.
Thus we can say that the world is changing and even that it has been changing
during recent decades at a rapid pace relative to the normal rate of change through-
out history. If anyone 50 or 60 years ago had predicted that globalization and
transnationalism would progress as far as they have by the middle of the first decade
of the 21st century, critics would have called that person hopelessly befuddled. So what
has occurred is remarkable. That does not mean, however, that the transnational
trend will continue.

CHAPTER SUMMARY

GLOBALISM 6. Evidence of the recent advance of transnationalism

1. Globalism is the view that the world is more than is provided by the rapid growth, in number and
just the sum of its parts, and it focuses on the com- range of activities, of transnational nongovern-
mon heritage that all humans share regardless of mental organizations.
the part of the world they come from. It is an an- 7. Regional transnationalism, so far evident only in
cient viewpoint, evident in ancient Greece, and Europe, could lead to the growth of political iden-
expressed by philosophers and thinkers through tification with regions, rather than nation-states.
the ages. 8. Many observers believe that cultural transnation-
alism will lead to greater harmony in the world.
GLOBALIZATION There are other analysts, however, who think that
2. Globalization is the process of the integration we are not moving toward a common culture but,
of communications and transportation, national instead, toward a future in which people will iden-
economies, and human cultures across national tify with and politically organize themselves around
boundaries. Transnationalism includes a range of one or another of several antagonistic cultures or
loyalties, activities, and other phenomena that con- so-called civilizations.
nect humans across nations and national bound- 9. Most religions have a strong transnational element.
aries. This chapter explores the bases and evidence Some religions assert universalistic claims; other
of how globalization has furthered transnationalism religions create an urge to unite all the members of
in the world. that religion across countries.
3. Globalization is an ancient process but has speeded 10. Religion has played many roles in world politics,
up considerably due to government policies that both positive and negative. The current rise in reli-
promote it and due to technological change. gious fundamentalism in many areas of the world
4. The world has become much more interdependent is worrisome.
and interconnected through transportation and 11. To understand the role of religion in world politics,
communications globalization, economic global- a case study of Islam discusses the global impact of
ization, and cultural globalization. This globaliza- a transnational religion.
tion has spurred transnationalism. 12. An important modern trend in international rela-
tions is the growth of transnational movements and
TRANSNATIONALISM organizations that are concerned with global issues.
5. The lineage of transnational thought extends in This includes the transnational women’s movement
Western culture back to the Stoics of ancient and its associated organizations.
Greece and Rome and to Buddhism in Eastern 13. Although women’s attitudes and emphases may
culture. Transnational thought is evident today in vary, the transnational women’s movement shares
many aspects of postmodernism, constructivism, a similar philosophy and goals. These center on
and feminism. the idea that women around the world should
 Key Terms 165

cooperate to promote gender equality and to trans- Women and its follow-up Beijing 5 Conference
form the way we think about and conduct politics are examples of activity in this area.
at every level, including the international level. 15. For all the transnational change that has taken
14. Feminists, both women and the men who support place, there is resistance to it. Nationalism remains
gender equity, are pursuing numerous projects and a powerful, resilient force, and it still dominates
making progress. The fourth World Conference on people’s political identification.

For simulations, debates, and other interactive activities, a chapter quiz, Web links,
and much more, visit www.mhhe.com/rourke12/ and go to chapter 5. Or, while
accessing the site, click on Course-Related Headlines and view recent international
relations articles in the New York Times.

KEY TERMS

Beijing 5 foreign portfolio merchandise trade services trade

Conference investment (FPI) multinational transnational advocacy
civil society fundamentalism corporations (MNCs) networks (TANs)
clash of civilizations globalism nongovernmental transnationalism
foreign direct globalization organizations (NGOs) World Conference on
investment (FDI) interdependence political identity Women (WCW)
C H A P T E R

6
National States:
The Traditional THE NATURE AND PURPOSE OF THE STATE
The State Defined
Sovereignty

Structure Territory
Population
Diplomatic Recognition
Internal Organization
For the whole state, I would put mine armour on. Domestic Support
—William Shakespeare, Coriolanus States and Semistates
Purposes of the State
Something is rotten in the state of Denmark. HOW STATES ARE GOVERNED
—William Shakespeare, Hamlet Authoritarian Government
Democratic Government
Process versus Outcome
Degree of Participation
THE FUTURE OF DEMOCRACY
The Possibilities of Spreading Democracy
Democracy and Economic Development
Attitudes about Democracy
Exporting Democracy
Policy Impacts of Democracy
Democracy and Foreign Policy Success
Democracy and International Security
Democracy and Domestic Security
STATES AND THE FUTURE
The State: Changing Status
Limits to State Governance
The Weakening of State Sovereignty
The State: The Indictment
States Are Obsolete
States Are Destructive
The State: The Defense
The State: The Verdict
CHAPTER SUMMARY

These three jovial fellows may look like everyday tourists, but in fact they
are leaders of three of the world’s most powerful states at an international
meeting in Hanoi, Vietnam. The men, from left to right, are China’s President
Hu Jintao, Russian President Vladimir Putin, and U.S. President George
Bush. This chapter takes up the political nature and role of the state,
the traditional and still most important political actor on the world stage.
 National States: The Traditional Structure 167

H
OW WE SHOULD GOVERN ourselves is the subject of this and the next chapter.
Each examines one way we can politically organize the world stage. This chap-
ter focuses on the traditional path that we have been following for several cen-
turies. Organizationally, it features the state (nation-state, national state) as the over-
whelmingly dominant political actor. In particular, this chapter looks at the nature of
the state as a political unit, and the implications of its past, present, and possible fu-
ture as the central actor in the international system.
For all their importance, states have not always existed (Opello & Rosow, 2004).
Humans have organized themselves in cities, leagues, empires, and other political www
structures at various times in history. In fact the state is actually a relatively recent
organizational innovation. As chapter 2 discusses, states began to emerge late in the
MAP
Middle Ages (ca. 500–1350). One part of that evolution occurred when European Sovereign States:
rulers expanded their political authority by breaking away from the secular domination Duration of Independence
of the Holy Roman Empire and the theological authority of the pope. The second phase
occurred as kings subjugated feudal estates and other small entities within their realms.
Indeed, as evident in the accompanying map, most current states are less than 100 years
old. These facts—that the state as a form of governance has a beginning and that most
states are relatively young—are important because they underscore the possibility that
we may not always govern ourselves exclusively through states. Hard as it is to imagine,
there are other ways of politically organizing ourselves and our world.
If we choose not to continue to govern ourselves through states or, more likely,
if the role of the state diminishes, then what? Chapter 7 provides possible answers
by taking up the United Nations, the European Union, and other global and regional
organizations as alternatives to the sovereign state or as co-governors with the state
in an increasingly globalized world.

Sovereign States: Duration of Independence

Sovereign States, 2006

Uninterrupted independence*
since:
Before 1800
1800 – 1914
1915 – 1939
1940 – 1959
1960 – 1989
1990 – 2006
Territories
* Excluding military occupation directly
before, during, or directly after World
War II

0 1000 2000 Miles

Scale: 1 to 180,000,000
0 1000 2000 3000 Kilometers

This map gives you an opportunity to see the geographic dimensions of the recent rapid growth in the
number of countries. Notice that Asia and Africa have seen the most change. Most of the countries
that now exist on those continents were colonies of a European country in 1940.
168 CHAPTER 6 National States: The Traditional Structure

THE NATURE AND PURPOSE OF THE STATE

Countries dominate our governance so completely that we seldom question their

status. That is a mistake, because to evaluate states it is vital to know what they are
and what they are meant to do.

The State Defined

States are units of governance that exercise legal authority over specific territory
and the people in it and that recognize no legitimate external higher authority. As
chapter 4 on nationalism notes, states are also at the center of the political identity of
most people. When Olympic champions step atop the ceremonial stand to receive
their gold medal, their country’s flag is raised and its national anthem is played. Fur-
thermore, states are the most powerful of all political actors. Some huge companies
approach or even exceed the wealth of some poorer countries, but no individual,
company, group, or international organization has anywhere near the coercive power
wielded by most states. Whatever their other individual differences, states share all or
most of six characteristics: sovereignty, territory, population, diplomatic recognition,
internal organization, and domestic support.

Sovereignty
The most important political characteristic of a state is sovereignty, which means
having supreme legal authority. Applied to states it means that they have the exclusive
legal right to govern the territory and people within their borders and do not recognize
the legal legitimacy of any outside authority. Sovereignty also denotes legal equality
among states. One important application of this principle is evident in the UN General
Assembly and many other international assemblies, where each member-state has one
vote. Are all states really equal, though? Compare San Marino and China in Table 6.1.
San Marino lies entirely within Italy and is the world’s oldest republic, dating back to the
fourth century A.D. After years of self-imposed nonparticipation, the San Marinese
in 1992 sought and were granted membership in the UN with the same representa-
tion in the General Assembly as China and every other sovereign state. “The fact of
sitting around the table with the most important states in the world is a reaffirmation
of sovereignty,” explained the country’s foreign minister.1
It is important to note that sovereignty, a legal and theoretical term, differs from
independence, a political and applied term. Independence means freedom from outside

The legal concept of sovereign

equality is evident in the equal
TABLE 6.1 San Marino and China: Sovereign Equals
votes of San Marino and China
San Marino China Ratio
in the UN General Assembly.
Very different are the more Territory (sq. mi.) 24 3,705,400 1:154,392
tangible measures of equality, Population 29,251 1,313,973,713 1:44,921
such as the two countries’
Gross domestic product (US$ millions) 880 2,455,900 1:2,790
territories, populations,
economic production, and Military personnel 0 2,225,000 1:∞
military personnel. Vote in UN General Assembly 1 1 1:1

Note: ∞ infinity
Data sources: World Bank (2007), CIA (2007).
 The Nature and Purpose of the State 169

control, and in an ideal, law-abiding world, sovereignty and independence would be Web Link
synonymous. In the real world, however, where power is important, independence Maps of the world’s individual
is not absolute. Sometimes a small country is so dominated by a powerful neighbor countries and other territorial
that its independence is dubious at best. Especially in terms of their foreign and units are available at
defense policies, legally sovereign countries such as Bhutan (dominated by India), http://www.theodora.com /maps/.
the Marshall Islands (dominated by the United States), and Monaco (dominated by
France) can be described as having only circumscribed independence.

Territory
A second characteristic of a state is territory. It would seem obvious that a state must
have physical boundaries, and most states do. On closer examination, though, the
question of territory becomes more complex. There are numerous international dis-
putes over borders; territorial boundaries can expand, contract, or shift dramatically;
and it is even possible to have a state without territory. Many states recognize what
they call Palestine as sovereign, and the Palestinians do exercise varying degrees of
autonomous control over Gaza (a region between Israel and Egypt) and parts of the
West Bank (a region between Israel and Jordan). Nevertheless, these areas can hardly
be construed as territory over which the Palestinians exercise sovereign authority.
Pakistan provides an example of another limit on the idea of a state’s territorial au-
thority. Northwestern Pakistan is controlled by Pashtuns, an ethnonational group that
is also the largest group in neighboring Afghanistan. Pakistan’s Punjabi-dominated
government exercises only limited authority over the border region and its well-
armed Pashtuns, and that is one reason that Osama bin Laden has been able to hide
there since 2001 and that the Taliban, Pashtun Muslim fundamentalists who governed
Afghanistan until overthrown by U.S. troops in 2001, have recently been able to stage
a campaign to regain control of that country.

Population
People are an obvious requirement for any state, but populations vary greatly from
Did You Know That:
the 932 inhabitants of the Holy See (the Vatican) to China’s approximately 1.3 billion
The United States allows dual
people. Increasingly less clear in the shifting loyalties of the evolving international
citizenship. The estimated
system is exactly where the population of a country begins and ends. Citizenship number of Americans with
has become a bit more fluid than it was not long ago. For example, a citizen of one dual citizenship varies greatly
European Union (EU) country who resides in another EU country can now vote in from 500,000 to 5.5 million.
local elections and even hold local office in the country in which he or she resides. Also
a growing number of countries, now more than 90, recognize dual citizenship, being
a citizen of two countries. For example, Mexico recently amended its laws to allow
Mexicans who have emigrated to the United States and have become U.S. citizens to
retain their Mexican citizenship, vote in that country’s presidential election, and even
have their children who are born in the United States claim dual citizenship.

Diplomatic Recognition
Statehood rests on both a claim to that status and its recognition by existing states.
How many countries must grant recognition before statehood is achieved is a more
difficult matter. When Israel declared its independence in 1948, the United States and
the Soviet Union quickly recognized the country. Its Arab neighbors did not extend
recognition and instead attacked what they considered to be Zionist invaders. Was
Israel a state at that point? It certainly seems so, because which countries, as well as
how many of them, extend recognition is important.
Yet a lack of recognition, even by a majority of other countries, does not neces-
sarily mean a state does not exist. Most countries’ diplomatic recognition of the
170 CHAPTER 6 National States: The Traditional Structure

GET INVOLVED
The Future of Tibet
Tibet is almost twice the size of Texas and sits 15,000 feet high and prosperity in the impoverished state, Tibetans fear that the
in the Himalayas. There are about 2.5 million Tibetans in their accessibility is yet another threat to their unique culture, mak-
homeland, and nearly as many in adjacent areas in China and ing it easier for China to assert control over Tibet.
northern India. The spiritual leader of Tibetan Buddhism and The Dalai Lama is a charismatic figure who is Tibet’s chief
the former secular leader of Tibet is the fourteenth Dalai Lama, diplomat. He tirelessly campaigns for his people’s political
who was born Lhamo Dhondrub and enthroned in 1940 when rights, while opposing violence to achieve them. These traits
he was just five years old. Tibet was independent from the 800s have earned the Dalai Lama access to world leaders and
to the 1300s. It then came under Mongol rule for over 300 widespread support by many individuals, including such celebri-
years, but exercised considerable autonomy under its theo- ties as actor Richard Gere. Not even the Dalai Lama, however,
cratic leader, who in 1577 was designated as the Dalai Lama has been able to win support from any of the world’s govern-
(lama of all within the seas) by the Mongols. That autonomy ments for Tibetan autonomy, much less independence. Thus
ended when the Chinese emperor launched an invasion and in for now, China has the upper hand. Certainly the attitudes of
1751 established his suzerainty over Tibet. A new era of inde- other states reflect China’s growing power, but it is also true
pendence began when imperial China collapsed in 1911 until that no country established relations with Tibet between 1911
Chinese forces again seized control in 1950. At first, the Dalai and 1959, when China was much weaker.
Lama remained in Tibet and exercised some authority. Then in
1959 the Tibetans revolted against China. They were crushed, Be Active!
and the Dalai Lama and his supporters fled south to India. While near-term change in Tibet’s status is unlikely, nothing is
Now the status of Tibet is disputed. China claims it is a certain. So get involved if you support the Tibetan cause. There
province. Most Tibetans and many others maintain that their are numerous groups on college campuses and elsewhere that
homeland is an occupied state. The Chinese government has would welcome your support. A starting place is to visit the
offered its ethnic Chinese population various incentives to move Web site of the Tibet government in exile at www.tibet.com/.
to Tibet in an attempt to dilute the Tibetan-heritage population There, the “How You Can Help Tibet” hyperlink offers sug-
and bring Tibet culturally closer to other Chinese provinces. gestions and also provides further links to supportive groups
As part of this effort, in 2006 China opened its newest rail such as Students for a Free Tibet (www.studentsforafreetibet
line connecting Lhasa, the capital of Tibet, to China’s Qinghai .org /). No known citizen groups support Beijing’s position,
Province. The high-tech engineering feat, the world’s highest but you can find out more about it and establish contacts
rail line, crosses the “roof of the world” at altitudes reaching if you wish through the China Tibet Information Center at
16,640 feet. Although China claims the link will promote trade http://en.tibet.cn/.

communist government of Mao Zedong in China came slowly after it took power in
1949. U.S. recognition was withheld until 1979. Did that mean that the rechristened
People’s Republic of China did not exist for a time? Clearly the answer is no because
the political stand that the legitimate government of China was the defeated nation-
alists who had fled to Taiwan was an obvious fiction from the beginning.
The issue of recognition remains a matter of serious international concern. Taiwan
is for all practical purposes an independent country, with more than two dozen coun-
tries recognizing it as such. Yet Taiwan itself does not claim independence from China,
and thus is a de facto (in fact) but not de jure (in law) state. Tibet provides another
example in the region of what might be called a state-in-waiting, as the participation
box “The Future of Tibet” explains above.
Another contemporary issue involves the Palestinians. Almost 100 countries
including China and India recognize the Palestinian National Authority (PNA) as the
government of the Palestinian nation. The PNA is also a member or an observer in
several international organizations, including the United Nations. The UN Security
Council passed a resolution in 2002 calling for a separate Palestinian state, and the
 The Nature and Purpose of the State 171

United States and many other countries now also support the eventual creation of a
Palestinian state as part of an overall Israeli-Palestinian agreement. Moreover, U.S.
interest in that goal increased in 2007 because of Washington’s view that resolving
the Palestine issue increased the chances for a successful end to the U.S. intervention
in Iraq. This hope led to Secretary of State Condoleezza Rice calling on Israeli and
Palestinian leaders to meet with her to “accelerate the . . . move to a Palestinian
state.”2 Yet amid all the diplomatic maneuvering, it is clear that an independent
Palestine does not exist and that any claim that the PNA is the government of a sov-
ereign state is more a matter of legal nuance than practical reality.
While the connection between statehood and diplomatic recognition is impre-
cise, it is an important factor for several reasons. One is that only states can fully
participate in the international system. For example, the PNA holds a seat in the UN
General Assembly but cannot vote. This is roughly analogous to Puerto Rico having
only a nonvoting member of the U.S. House of Representatives. External recognition
is also important because states are generally the only entities that can legally do
such things as sell government bonds and buy heavy weapons internationally. Israel’s
chances of survival in 1948 were enhanced when recognition allowed the Israelis to
raise money and purchase armaments in Europe, the United States, and elsewhere.
Also, it would be difficult for any aspirant to statehood to survive for long without
recognition. Economic problems resulting from the inability to establish trade relations
are just one example of the difficulties that would arise. Taiwan’s prosperity shows
that survival while in diplomatic limbo is not impossible, but it is such an oddity that
it does not disprove the general rule.

Internal Organization
States must normally have some level of political and
economic structure. Most states have a government,
but statehood continues during periods of severe
turmoil, even anarchy. Afghanistan, Liberia, Sierra
Leone, Somalia, and some other existing states have
dissolved into chaos during the last decade or so.
Yet none of these chaotic states has ceased to exist
legally. Each, for instance, continued to sit as a sov-
ereign equal, with an equal vote, in the UN General
Assembly. Some of these disordered states have been
restored to a modicum of order, but not all of them.
For example, Somalia has not had a functioning
government since the early 1990s. For most of the
time the Transitional Federal Government (TFG)
of Somalia was located in Kenya because it lacked
the power to meet in safety in Mogadishu, the coun-
try’s capital. Meanwhile, real control of Somalia was
divided among various warring clans. They, in turn,
were defeated by fundamentalist Muslims called
the Islamic Courts in 2006. Then in early 2007, the
forlorn TFG staged an assisted comeback when
Some countries lack one or more of the characteristics that define a
Ethiopian troops, supported by U.S. air strikes, drove
state. Internal organization is one such characteristic, and Somalia is
the fundamentalists from power. Defeating the fun- among the existing countries that have little or no internal structure
damentalists did not, however, mean empowering or cohesion. This 2007 photo of an armed insurgent in the Somali
the TFG, and most observers gave it little chance of capital, Mogadishu, depicts the disarray. The anarchy sometimes
taking effective control of the country. forces the Somali government to flee to neighboring Kenya.
172 CHAPTER 6 National States: The Traditional Structure

The Breakup of Yugoslavia Domestic Support

The final characteristic of a state is domestic support. In its most
AUSTRIA positive form, a state’s population is loyal to it and grants it legit-
HUNGARY
imacy: the willing acceptance of the authority to govern. At its
SLOVENIA
ROMANIA most passive, the population grudgingly accepts the reality of a
CROATIA government’s power to govern. For all the coercive power that
states usually possess, it is difficult for any state to survive with-
BOSNIA- out at least the passive acquiescence of its people. The dissolution
HERZEGOVINA SERBIA
of Czechoslovakia, the Soviet Union, and Yugoslavia are illustra-
tions of multinational states collapsing in the face of the sepa-

BULGARIA
Ad MONTENEGRO ratist impulses of disaffected nationalities. One of the challenges
ri Kosovo
at facing postwar Iraq is whether it will be possible to create suffi-
ic
Se cient domestic support for any government among the badly di-
ITALY a MACEDONIA
vided Shiites, Sunnis, and Kurds, all of whom, in turn, have their
0 50 100 Miles ALBANIA own internal divisions.
0 50 100 Kilometers GREECE
States and Semistates
The earlier, multinational state of Yugoslavia collapsed As is evident from the foregoing discussion of the characteris-
because it did not command the internal loyalty of tics of a state, what is or is not a state is not an absolute. Be-
most of its people. Yugoslavia atomized into six cause a state’s existence is more a political than a legal matter,
countries, and many Kosovars want to secede and
there is a significant gray area. Thus there are political entities
establish a seventh country.
that well meet all the criteria and are indisputably states. Brazil,
Canada, China, France, Egypt, and most of the existing 193
countries serve as examples. It is also clear though, that in the gray area there are
a number of what might be termed semistates, those that have many but not
indisputably all the characteristics of a state. Semistates can be divided into two
groups.
Embryonic states constitute the first group. Such political entities have many
or even most of the characteristics of a state, yet they are not generally accorded the
status of a full-fledged state. No country truly imagines that the Palestinians control
a sovereign state, yet many countries recognize it as such for political reasons. By the
same political token, Taiwan functions in most ways like a state, but China’s power
keeps it in a legal limbo. And no matter what the Tibetans and their Dalai Lama
say and no matter what anyone’s sympathies may be, Tibet is not and has never been
recognized as a sovereign state by any government.
Failed states make up the second group. These are existing states, but they have
lost one or more of the characteristics that define a state. They remain legally sovereign
entities by default because nothing else can be easily done with them and because
other states are reluctant to acknowledge that a state can die due to such causes as
lack of internal support; absent or incompetent internal organization; or the lack of
real independence, as distinct from legal sovereignty.
One gauge of the number of failed states and states under stress is available in a
study conducted by a research institute in 2007. They evaluated 175 countries for
stability using 12 criteria and rating each country from 1 (very stabilizing) to 10 (very
destabilizing). With a possible range from 12 (absolutely stable) to 120 (absolutely
chaotic), 12 countries led by Sudan (113.7) scored 100 or above and might reasonable
constitute the failed state category. Another 20 scored in the exceptionally stressed
90s. Scoring 17.1, Norway was the most stable country, with the United States at
a fairly stable 33.6. Categories of the rankings of states throughout the world are
presented in the map on page 173.
 The Nature and Purpose of the State 173

Degree of State Stability

State Instability Rating

100 and up Most unstable
90–99
80–89
70–79
60–69
50–59
40–49
30–39
29 and less Most stable

0 1000 2000 Miles

0 1000 2000 3000 Kilometers

States range widely in their degree of stability. This map categorizes states according to the stability
score of each for 2007. The scores reflect 12 social, economic, and political indicators calculated for
each country by the Fund for Peace. About 18% of the countries fall into the very unstable 100 and
90–99 categories, about 15 are very stable and score under 40, and the rest of the countries fall in
between, with the median score at 76.

Purposes of the State

Have you ever stopped to think about why we humans organize ourselves into polit-
ical units with governments? After all, governments are expensive and they tell us
what we must and must not do. Yet, despite this, humans have subjected themselves
to governance as far back in history as we can see.
Although political philosophers have disagreed over why humans create soci-
eties and establish governments, individual betterment is a common theme among
them (Baradat, 2003). For example, this theme is evident in the writing of such clas-
sical theorists as Thomas Hobbes (1588–1679) and John Locke (1632–1704). Each
contended that people had once lived as individuals or in family groups in a state of
nature. Communities of unrelated individuals did not exist, and people possessed
individual sovereignty, that is, they did not grant authority (legitimate power) to any-
one or anything (a government) beyond their families to regulate their behavior.
They also argued that people eventually found this highly decentralized existence
unsatisfactory. Therefore, the theory continues, it was the desire to improve their lives
that prompted individuals and families to join together in societies, to surrender
much of their sovereignty, and to create governments to conduct the society’s affairs.
All this was based on an implicit understanding called a social contract that specified
the purposes of governments and the limitations on them.
Hobbes and Locke disagreed about what persuaded people to abandon the state
of nature and merge into societies. Hobbes said it was fear, arguing that life without
government was so dangerous that people created strong governments to provide
174 CHAPTER 6 National States: The Traditional Structure

protection. Taking a more positive view, Locke contended that people joined together
in societies because they realized that they could improve their lives more easily
through cooperation than by individual effort alone.
Among other places, the ideas of Hobbes and Locke are clearly evident in the
fundamental documents of the American Revolution and the United States. The idea
in the Declaration of Independence that people had a right to “life, liberty, and the
pursuit of happiness,” and “that to secure these rights, governments are instituted
among men,” is drawn closely from Locke. And the preamble to the U.S. Constitution
combines Hobbes’s emphasis on protection and Locke’s focus on individual advance-
ment in its words that the purpose of the new government is to “insure domestic
tranquility, provide for the common defense, [and] promote the general welfare.”
The key point about Hobbes and Locke is that they agreed that political units
and their governments were instruments created for a utilitarian purpose and that
governments were legitimate and should survive only as long as they fulfilled their
practical mission and did not abuse their power under the social contract. This
approach is called the instrumental theory of government. The idea, as President
Woodrow Wilson put it, is that “government should not be made an end in itself; it
is a means only. . . . The state exists for the sake of society, not society for the sake of
the state.”3
How does this discussion of the purpose of government relate to world politics?
The connection is that having a sense of what states and their governments are meant
to do is necessary in order to evaluate how well they are operating. Being able to
judge how well states are working will help you analyze the arguments at the end of
this chapter about whether we should continue to govern ourselves principally
through states.

HOW STATES ARE GOVERNED

Having explored the nature and purpose of states, our next task is to look at the state
as our primary political organization. Chapter 1 points out that the quasi-anarchical
nature of the international system stems from the fact that the sovereign state is the
key actor in the system. Chapter 3 examines how states make foreign policy. Here we
explore differing theories of governance and discuss national interests.
How states are governed has a number of ramifications for world politics. These
implications relate to such questions as whether some types of government are more
warlike than others, whether some are more successful in their foreign policies than
others, and whether it is wise to promote a specific form of governance, much as the
United States is pledged to foster democracy around the world.
We can begin to address these questions by dividing theories of governance into
www two broad categories. One includes authoritarian governments, those that allow little
or no participation in decision making by individuals and groups outside the upper
reaches of the government. The second category includes democratic governments,
MAP
Political Systems those that allow citizens to broadly and meaningfully participate in the political
process. As with many things we discuss, the line between authoritarian and democratic
is not precise. Instead, using broad and meaningful participation as the standard,
there is a scale that runs from one-person rule to full, direct democracy (or even,
according to some, to anarchism). The map on the facing page provides one way to
order types of government, with the countries in shades of green being generally
democratic and the countries in other colors being generally authoritarian.
 How States Are Governed 175

Political Systems

Political Systems
Democratic government,
established multiparty system
Democratic government, recently
established multiparty system
One-party system
Military government
Monarchy or theocracy
Constitutional monarchy
Transitional
Disordered state

0 1000 2000 Miles

0 1000 2000 3000 Kilometers

The democratization of the world’s countries, which began symbolically with the American (1776) and
French (1789) Revolutions, progressed slowly for 150 years, then accelerated after World War II. Now,
as this map indicates, the majority of countries are full-fledged or quasi-democracies. Because of
different criteria, this map takes a narrower view of what a “failed” or “disordered” state is than does
the previous map depicting state stability.

Authoritarian Government
Throughout history, the most common form of governance was for an individual or
group to exercise control over people with little or no concern about whether they
consented to it or agreed with the ruler’s policies. This approach has included many
garden-variety dictatorships that sprang from an urge to power by an individual or a
group rather than from any overarching theory of how societies are best governed.
Yet there are a number of rationales supporting authoritarianism, rule from above.
One of the oldest forms of nondemocratic governance is theocracy, rule by spir-
itual leaders. Today, it has virtually disappeared, and the Holy See (the Vatican) is the www
world’s only pure theocracy. Additionally, theocratic elements remain in the popular,
if not the legal, status of Japan’s emperor, Thailand’s king, and (most strongly) Tibet’s
ANALYZE THE ISSUE
exiled Dalai Lama. Iran’s government is also partly theocratic. Moreover, Islamic Measuring Freedom
religious law (the shari’ah) plays a strong role along with secular law in a number of
Muslim countries. Furthermore, the increased strength of religious fundamentalism
in many places means that it is not unthinkable that a rejuvenation of theocracy
might occur.
Arguments for secular authoritarianism are also ancient. For example, the Greek
philosopher Plato (ca. 428 B.C.–347 B.C.), in his famous work, Republic, dismissed
democracy as “full of . . . disorder and dispensing a sort of quality of equals and
unequals alike.” He contended that the common citizenry trying to direct the state
would be analogous to sailors on a ship “quarrelling over the control of the helm;
each thinks he ought to be steering the vessel, though he has never learned
176 CHAPTER 6 National States: The Traditional Structure

navigation . . . ; what is more, they assert that navi-

gation is a thing that cannot be taught at all, and are
ready to tear in pieces anyone who says it can.” Plato’s
conclusion was that ships needed strong captains
and crews that took orders and that “all those who
need to be governed should seek out the man who can
govern them.”
Monarchism is one form of secular authoritarian-
ism, although the theory that God had granted kings
the divine right to govern contained a touch of theoc-
racy. This system of governance through hereditary
rulers has declined considerably. There are only a few
strong monarchs (such as Saudi Arabia’s king) scat-
tered among a larger number of constitutional monar-
chies that severely restrict the monarch’s power.
Communism as applied by Vladimir Lenin and
his successors in the USSR, by Mao Zedong in China,
and by other Communist leaders elsewhere, also falls
There are few theocracies, religious-based governments, in the world within the spectrum of authoritarian governance.
today, but Iran is close to being one. Many key decisions must be Karl Marx expected a “dictatorship of the proletariat”
approved by the country’s religious leader, Ayatollah Sayyid Ali
over the bourgeoisie during a transitional socialist
Khamenei. The realities of political power in Iran are caught in this
photograph of Iran’s President Mahmoud Ahmadinejad kissing the period between capitalism and communism. Lenin
hand of the ayatollah during the president’s inauguration ceremony institutionalized this view by centralizing power in
in Tehran. the hands of the Communist Party, which in turn
was dominated by the Politburo and its head. Party
control over all aspects of society became so strong that its critics labeled it totalitar-
ianism. Communism peaked in the later part of the 20th century when communist
governments controlled the Soviet Union, China, the countries of Eastern Europe,
and other countries whose combined populations equaled about 30% of the world
population. Since then it has faltered badly, remaining the system of government only
in China, Cuba, North Korea, and Vietnam. Nevertheless, Communist parties remain
active in many countries and have been the dominant party in Moldova since 2001.
Communists also played a substantial role in the recent overthrow of Nepal’s king,
and party members made up 25% of the interim parliament seated in early 2007
pending national elections.
Yet another authoritarian political philosophy is fascism. The term is often used
incorrectly to describe almost anyone far to the right. More accurately, the tenets of
fascism espoused by Benito Mussolini of Italy, Adolf Hitler of Germany, and other fas-
cists include (1) rejecting rationality and relying on emotion to govern; (2) believing
(especially for Nazis) in the superiority of some groups and the inferiority of others;
(3) subjugating countries of “inferior” people; (4) rejecting individual rights in favor
of a “corporatist” view that people are “workers” in the state; (5) demanding that
economic activity support the corporatist state; (6) viewing the state as a living thing
(the organic state theory); (7) believing that the individual’s highest expression is in
the people (volk in German); and (8) believing that the highest expression of the volk
(and, by extension, the individual) is in the leader (fürhrer in German, duce in Italian),
who rules as a totalitarian dictator.
Fascism is of contemporary interest because it is again astir in a variety of coun-
tries (Ignazi & Kesselman, 2004). The term fascist is so tainted by history that few
admit to being fascist. That does not, however, diminish the worry, expressed by an
official of the UN Commission on Human Rights, that “neo-fascism and neo-Nazism
 How States Are Governed 177

are gaining ground in many countries—especially in Europe.”4 There neofascist par-

ties have won seats, sometimes several of them, in many national parliaments and in
that of the European Union. No fascist has become a head of government, but in the
2002 French presidential elections, Jean-Marie Le Pen, leader of the ultra–right wing
National Front Party, received 17% of the vote and finished second among 16 candi-
dates. Le Pen advocates xenophobic, anti-immigrant policies and has dismissed the
extermination of 6 million Jews and others in the Holocaust as a mere “detail of his-
tory.”5 In the 2007 elections, Le Pen’s support sagged somewhat, but he did receive
10% of the popular vote.
Xenophobia and other traits of fascism have received a particular boost from
concerns about terrorism and an associated negative focus on Muslims, who make
up a significant part of the population in several European countries. Typical of
this view, the leader of Belgium’s Vlaams Belang (Flemish Interest Party) asserts,
“We can’t allow that [Muslims] come to our country, that they come to Europe, and
they keep their own culture, their own religion—Islamic religion—which is not
always compatible with our way of life, our culture.”6 In usually liberal Denmark,
Islamists and Nativists was the best-selling book in late 2006. Its thrust, according to
its authors, is to “compare Islamism to Nazism and communism because they are all
three of them a totalitarian ideology.” In a third of many possible examples, in-
creased right-wing violence in Germany prompted its government in 2007 to launch
a $25 million program, “Youth for Diversity, Tolerance, Democracy—Against Right-
Wing Extremism, Racism and Anti-Semitism,” meant according to a senior official to
send a “clear signal to extremists who want to undermine the values of our society.”7
Thus, in the early 21st century, it is possible to give only a mixed report on the
prospects for the end of authoritarian government. The number of authoritarian
governments has declined considerably, yet retrograde political philosophies are far
from extinct.

Democratic Government
Democracies (from the Greek word demos, meaning “citizenry”) date back to about
500 B.C. and the ancient Greek city-states. For more than 2,000 years, however,
democracy existed only sporadically and usually
in isolated locations. The gradual rise of English FIGURE 6.1 The Spread
democracy, then the American and French Revolu- of Democracy
tions in the late 18th century, changed democracy Percentage of countries that are:
from a mere curiosity to an important national 50
and transnational political idea. Still, the spread of 46% 46%
democracy continued slowly. Then during the past Not Free

few decades, the pace of democratization picked up 40

considerably, as Figure 6.1 shows. Free 30%

Democracy, at minimum, is a system of govern- 29%
30
ment that extends two types of rights to citizens. The Partly Free 24%
first type is a range of political rights, such as voting 25%
20
freely and frequently for competitive candidates who
1973 1983 1993 2006
have different policy views and who, if elected, will
have an important impact on policy making. The The worldwide spread of democracy is evident in the upward trend
second is a range of civil liberties, such as freedom of from 29% of all countries being free, as Freedom House terms it, in
expression and association and equality before the 1973 to 46% being free in 2006. Meanwhile the percentage of not free
law, that are important to free government. Note that countries in 2006 was about half of what it was 33 years earlier.
our definition of democracy contained the words “at Data source: Freedom House.
178 CHAPTER 6 National States: The Traditional Structure

minimum.” This caveat reflects the fact that there is debate over some of the attri-
butes of democracy and over the precise line between which countries are and are not
democracies. In particular it is important to see that there are no ideal, 100% democra-
cies. Even those countries that by consensus are classified as democratic could be more
democratic.

Process versus Outcome

One dimension of the debate over how complete any country’s democracy is relates
to the relative importance of process versus outcome. Almost everyone agrees that
democracy requires a free process. If citizens have free speech, periodically get to
choose among competing candidates, and follow other such procedures, then by this
standard there is a procedural democracy. Stressing procedure to evaluate the extent
of democracy is particularly evident in Western thought.
More controversial is the belief that a free process is only part of what defines a
democracy, and that real democracy is also characterized by substantive fairness and
equality. This notion is called substantive democracy. Proponents of this standard
contend that a country is not fully democratic if, despite meeting procedural requisites,
it produces a perpetual socioeconomic underclass based on race, ethnicity, gender,
or some other factor. Such a system, they contend,
has two flaws. First, it denies the most important ele-
ment of democracy—the substantive human right to
equality—even if the government adheres to the pro-
cedural motions of democracy. Second, the contest
is not fair. Any system in which citizens have vastly
different economic circumstances is inherently un-
democratic because wealthy individuals, groups, and
corporations can spend much more than the poor to
influence the political process in their favor.

Degree of Participation
Breadth and depth of participation are other standards
by which to judge a democracy. Political participation
should be open to virtually all citizens, although some
limits, such as a minimum voting age, are accept-
able. Societal barriers that limit participation must
be taken into account, because these can be as im-
portant as legal restrictions. There are many groups
that could be used to illustrate legal and societal
limits, but women will serve to make the point.
Full participation for women is one aspect of
democracy that has lagged during its evolution. They
did not win the right to vote in national elections
until 1893 in New Zealand. Now, almost all coun-
tries allow women to vote, although there are some
exceptions such as Saudi Arabia. Access to polit-
Democracy is a relative term, and how democratic a country is rests ical office for women has come even more slowly.
partly on the degree to which all its citizens can participate equally in
It has only been a century since the world’s first
politics. One advance of democracy in recent decades has been the
slow but steady advance of women in terms of both their presence in
elected female national legislators took their seats in
government and the positions they hold. Representing this progress is Finland’s parliament in 1907. Other than monarchs,
Germany’s first woman leader, Chancellor Angela Merkel, seen here no woman served as the head of her country until
reviewing troops during her visit to China in 2006. the middle of the 20th century. As former Norwegian
 How States Are Governed 179

FIGURE 6.2 Women Legislators by Region

41%
Share of national legislative seats held by women

22%

17% 17% 17% 16%

14%

9%

Scandinavia Americas Europe* Sub-Saharan World Asia Pacific Arab

Africa Region States

Since the first women took their seats in a national parliament in Finland in 1907, the percentage
of national legislative seats held by women has progressed slowly to 17% in late 2006. At that time,
women held the largest share of seats, 48%, in Sweden. Kyrgyzstan and 11 other countries had
no women in their parliaments. The United States fell below the world average with women
comprising 16.1% of the 109th Congress (2005–2007) and 16.3% of the 110th Congress
(2007–2009).
*Europe excluding Scandinavia.
Data source: Inter-Parliamentary Union.

prime minister Gro Harlem Brundtland commented dryly, “I was the first woman in
1,000 years [to head Norway’s government]. Things are evolving gradually.”8 Giving
truth to that observation, women in early 2007 were only about 5% of the world’s
heads of government (presidents or prime ministers of their countries), 8% of all cab- Did You Know That:
inet ministers, 9% of all judges, and 17% of the national legislators. Such numbers In 1920 the United States
became the 28th country out
represent progress compared, for example, to the 3% of the national legislative seats
of about 60 in existence at
held by women in 1945. Yet even 17% falls far short of equal—50%. Moreover, the that time to guarantee
overall figures do not reveal that women have an even smaller political presence in women the right to vote.
some regions, as Figure 6.2 indicates.
By implication, the figure also indicates that since (a) most of the legal barriers
to women being elected to parliaments have ended, but (b) that women are still
vastly underrepresented, that (c) barriers continue to exist but are mostly societal.
Perhaps the most important of these is the chauvinism that exists widely just below
the surface. One glimpse of this came in 2006 after a joint press conference held by
Russia’s President Vladimir Putin and Israel’s Prime Minister Ehud Olmert. Not real-
izing the microphone was still on, Putin told Olmert that Israeli President Moshe
Katsav, who had been accused of sexual assault, had “turned out to be quite a pow-
erful man. He raped 10 women. I never expected it from him. He surprised all of us. Did You Know That:
We all envy him.”9 U.S. Secretary of State
Whatever the cause, the proportionate representation for women or any other Condoleezza Rice, an avid
demographic group is important to the democratic process because underrepresented fan of the Cleveland Browns
of the National Football
groups, such as women, often have opinions on issues that differ from overrepre- League, says her “dream
sented groups, such as men. As noted in chapter 3, for example, statistics show that job” is NFL commissioner.
women around the world are usually less bellicose than are men of their country.
180 CHAPTER 6 National States: The Traditional Structure

Given this, some analysts believe that increased female participation through a more
inclusive democratic model could reduce global conflict.

THE FUTURE OF DEMOCRACY

Web Link Many observers have heralded the steady increase in freedom evident in Figure 6.1,
One place to get involved in pro- p. 177, as portending the coming of a democratic age (Diamond, 2003). Indeed,
moting democracy is through the Francis Fukuyama has suggested in “The End of History?” (1989:3) that we may
Carter Center, whose Web site is have come to the end of political evolution, with “the universalization of Western
located at www.cartercenter.org.
liberal democracy as the final form of government.” Others are less optimistic
about democracy’s strength or its continued spread (Inglehart, 2003). Such views
raise issues about the possibility of spreading democracy and about the impact of
democracy. Thus one question is whether democracy will continue to spread until
ultimately all countries are free and none are even only partly free, much less not
free. The second and related question is whether to passively allow the future
spread—or perhaps retreat—of democracy within countries to take its own course
or to actively try to promote democracy where it does not exist and to protect it
where it does.
If the active approach is chosen, then a number
of subsidiary issues arise. One is whether democracy
FIGURE 6.3 Prosperity and Democracy is always possible, at least in the short term.
87%
Share of countries that are Free
Partly free
The Possibilities
73% Not free
of Spreading Democracy
One issue related to the spread of democracy is
whether, at least in the short term, it is always pos-
49%
sible. In most of the West, where democracy has
existed the longest and seems the most stable, it
38% 38% 37% has evolved slowly and often fitfully over centuries.
More recently, other parts of the world have experi-
24% enced increased degrees of democratization, but the
16%
likelihood that any single country can or will adopt
14% democratic values and practices may be limited by
10% 11%
internal factors, such as the country’s educational
3%
and economic level and the attitudes its people have
High income Upper middle Lower middle Low income about democracy.
income income
Democracy and Economic Development
Economic development and democracy are related as evident in this
figure, which divides countries into economic groups based on per
It is clear that there is a strong relationship between
capita GDP and indicates the percentage of each group that is politically democracy and economic development. This is evi-
free, partly free, or not free. Notice that the greatest percentage of free dent in Figure 6.3, which shows that the wealthier a
countries and the lowest percentages of partly free and not free country is, the more likely it is to be a democracy,
countries are in the high-income countries. Moreover, all the partly free and the poorer a country is, the more likely it is to be
or not free high-income countries are Arab oil states. Without these, authoritarian. The issue is something of a chicken-
100% of the high-income countries would be free.
and-egg argument. If democracy promotes devel-
Note: The income groups are from the World Bank for 2005: high income: $10,066 or opment, then it is wise to press poor countries to
more; upper middle income: $3,256–$10,065; lower middle income: $826–$3,255;
low income: $825 or less. Political classifications by Freedom House. democratize. Among those who take this view, the
Data sources: Freedom House (2006), World Bank (2007). Calculations by author. recipient of the 1998 Nobel Prize in economics
 The Future of Democracy 181

contends that democracy promotes economic growth by pressing leaders to invest

their countries’ capital in education, consumer products, and other areas that will
build economic strength and stimulate production, instead of in military spending
and other less productive economic paths (Sen, 1999).
Others believe that economic development is a necessary precursor for democ-
racy, contending that people need to have a certain sense of economic well-being
before they can spare the energy to participate in a democratic system. Leaders of
economically disadvantaged countries often argue that their struggle to feed, clothe,
and otherwise attend to the needs of their people does not allow the “luxury” of
Western-style democracy, with its incessant political bickering and its attention to
the individual.
Proponents of the development-first approach also note that educational levels
parallel development and that an educated populace is necessary for a strong democ-
racy. From this perspective, attempting to promote full-fledged democracy in coun-
tries with poor economic and educational conditions may be doomed to failure.
Doing so may even prove counterproductive by destabilizing a country to the point
that it collapses into violence and loses any ground it has gained toward both democ-
racy and economic development. From this perspective, in one scholar’s succinct
phraseology, “Democracy can be bad for you” (Hobsbawm, 2001:25).

Attitudes about Democracy

To have a democracy, it is also necessary for most of a country’s people to want one.
When people around the world are asked in the abstract whether they favor having a
democracy, majorities almost everywhere say that they do. This is even true among
Muslims, even though some commentators argue that Islam and democracy are
incompatible. A survey of Muslims in nine countries found that 62% said democ-
racy could work in their country, compared to 30% who rejected democracy as a
“Western idea,” and 8% who were unsure.10 Yet there
are also many indications that democratic principles
FIGURE 6.4 Support for Democracy
are not firmly held by people in many countries.
Unsure Unsure
For example, as Figure 6.4 illustrates, support for 5% 5%
democracy ebbs from its abstract levels if you ask
people whether they would prefer having a democ-
racy or a strong economy or whether a democracy or
a strong leader is best suited to solve their county’s
Prosperity Democracy Leader Democracy
problems. Such responses lead one scholar to con- 37%
46% 49% 58%
clude that while “today almost everyone gives lip
service to democracy . . . when one probes deeper,
one finds disturbing evidence that mass support is
not as nearly solid [as one would hope]” (Inglehart,
2003:52). Would you prefer democracy Is democracy or a strong leader
or a strong economy? best to solve problems?
Exporting Democracy
According to a poll of people in over 40 countries, strong majorities favor
Another error would be to assume that the United
democracy for their country almost everywhere. However, other types
States or any other country can easily or consistently of questions, as shown in the two pie charts, find lower levels of support
export democracy successfully to other countries. for democracy. The left pie indicates that if they had to choose, almost
Certainly, there are reasons to promote democracy. as many people would rather have their country prosperous than a
Altruism is one. Freedom is better than repres- democracy. The right pie shows that a substantial minority of people
sion. Spreading democracy may also have more think a strong leader can address their country’s problems better than
applied benefits. In the next section we will take up a democratic form of government.
democratic peace theory, whose argument is that Data source: Pew Research Center (2003).
182 CHAPTER 6 National States: The Traditional Structure

democratic countries seldom if ever go to war with one another. If that is true, then
www a fully democratic world would be a peaceful one.
There are also problems with the idea of promoting democracy. One is that some
low-income countries may not be ready to adopt democracy and may even have their
WEB POLL
McDonald’s or Democracy? economic development hindered, according to some analysts. A second problem is
that, as we noted earlier, there are different standards of democracy. Those emphasized
by Americans, the British, and others tend to favor individualism and procedural
democracy. Others disagree and take a more communitarian and substantive view of
democracy. Arguing this view in a speech, President Hugo Chávez of Venezuela drew
strong applause in the UN General Assembly during a 2006 speech when, referring
to Americans, he charged, “They say they want to impose a democratic model. But
that’s their democratic model. It’s the false democracy of elites.”11 Further supporting
this perspective, a survey taken in 16 countries found that 50% of all respondents
did not like American-style democracy, compared to 41% who liked it and 9% who
were uncertain.12 Additionally, trying to export democracy, particularly by force, can
cause people in the target country to resist (Bueno de Mesquita & Downs, 2006).
Studies do not find a high rate of success when a country tries to democratize
another by military force, and only somewhat better results when UN forces are
involved (Pickering & Peceny, 2006).
A third limitation on democratizing other countries can be the willingness of
people in the exporting country to support the endeavor. About 90% of Americans
think that spreading democracy should be at least a somewhat important U.S. foreign
policy goal, but most are willing to go only so far to accomplish that. A poll in 2005
found that to promote democracy a majority of Americans were willing to support
projects such as giving technical and educational help, sending election monitors,
and extending economic aid to countries striving to achieve democracy. But a major-
ity opposed channeling funds to dissidents in authoritarian countries or imposing
economic sanctions or sending troops to install or preserve a democratic govern-
ment. Additionally, 68% of Americans preferred working through the UN to promote
democracy, compared to 25% who favored unilateral U.S. efforts.13

Policy Impacts of Democracy

The spread of democracy to date and the prospect of it becoming the global standard
of acceptable governance lead to questions about what that does and what that would
mean for world politics. To address this, we can examine the connection between
democracy and foreign policy success, the impact of a greater role for women in for-
eign policy as a result of democratization, and what the spread of democracy por-
tends for both international and domestic security.

Democracy and Foreign Policy Success

There is a long-standing debate over whether one form or another of government is
more successful in foreign affairs, especially war. The noted French observer Alexis
de Tocqueville argued in Democracy in America (1835) that “it is most especially
in the conduct of foreign relations that democratic governments appear to me to be
decidedly inferior to governments carried on upon different principles.” The draw-
backs, Tocqueville wrote, are that democracies tend “to obey the impulse of passion
rather than the suggestions of prudence” and also that “a democratic people is less
capable of sustained effort than another.”
Recent scholarship disputes this view. In fact, some studies find that democra-
cies are more successful than autocracies, at least in war (Ajin, 2004; Biddle & Long,
 The Future of Democracy 183

2004). One study found that democracies have won about 75% of the wars they have
fought since 1815 and concluded, “It appears that democratic nations not only might
enjoy the good life of peace, prosperity, and freedom; they can also defend themselves
against outside threats from tyrants and despots” (Reiter & Stam, 2002:2). Yet other
research finds that those wars that democracies do initiate are “uniformly shorter and
less costly than wars initiated by nondemocracies” (Filson & Werner, 2004:296).

Democracy and International Security

Another compelling connection between democracy and world politics relates to
democratic peace theory (Owen, 2004). It is associated with German philosopher
Immanuel Kant, who argued in Perpetual Peace (1795) that the spread of democracy
to all countries would eliminate war. Kant reasoned that a democratic peace would
occur because “if the consent of the citizens is required in order to decide that war
should be declared . . . , nothing is more natural than that they would be very cau-
tious in commencing such a poor game, decreeing for themselves all the calamities of
war.” Modern scholarship tends to confirm the idea that democracies seldom if ever
take up arms against one another (Doyle, 2005; Kinsella, 2005; Halperin, Siegle, &
Weinstein, 2004). Indeed, this view is accepted by many scholars “as ‘the closest
thing to an empirical law’ in world politics” that exists (Henderson, 1999:482).
Several caveats about democratic peace theory should be noted. First, democra-
cies do go to war, although only with autocracies. The easy example is the United
States, which is both a leading democracy and the country that has most often been at
war since 1945. Second, not all scholars agree with democratic peace theory (Rosato,
2005). For example, some analysts are skeptical that the absence of war between
democracies is anything more than a historical anomaly that may not persist in the
future (Henderson, 2002). Future history may prove democratic peace theory wrong.
For now, though, there is broad, albeit not complete, agreement among scholars
that democracies have more peaceful relations with each other than do democracies
with authoritarian states or authoritarian states with one another. From this per-
spective, even if a world in which all coun-
tries were democratic did not produce per-
petual peace, as Kant thought it would,
it might produce preponderant peace and,
thus, should be promoted.
This theory debate has serious implica-
tions for day-to-day world politics. Presi-
dent Bush has asserted, and some scholars
agree, that increasing democracy in the
Middle East would make that region less
conflict-prone and would ease terrorism
(Hafez, 2004). Another matter of great cur-
rent concern is whether democracy will
survive in Russia. President Putin has insti-
tuted numerous changes in recent years
that have alarmed many as threats to the
continuance of Russian democracy (Fish,
2005; Herspring, 2004). If Moscow does
Many observers fear, as this cartoon indicates, that President Vladimir Putin is
sink once again into authoritarianism, and dismantling democracy in Russia. If that is true, and if democratic peace theory
if democratic peace theory is correct, then is also valid, then the end of democracy in Russia could mean a revival of hos-
the potential for conflict between Russia tility with the United States and with the democratic countries of Europe and
and the democratic West will increase. elsewhere.
184 CHAPTER 6 National States: The Traditional Structure

Democracy and Domestic Security

Views on the impact of democracy on a country’s domestic policy range widely. Some
research has found little impact on, for example, reducing child mortality and other
measures of domestic welfare and safety (Ross, 2006). Other observers contend that
the transition from authoritarian to democratic government can produce very nega-
tive domestic side effects. It can unleash previously suppressed domestic intergroup
hatreds (Mann, 2004). Furthermore, this domestic conflict can spill over into the in-
ternational sphere. It is possible to argue, for example, that the turmoil that engulfed
what was once Yugoslavia was a result of the end of the authoritarian control of the
communist government. Once that control was relaxed, the multiple ethnonational
rivalries that had been dormant soon erupted into bloody conflict. Similar patterns
can be seen in several African countries, in the former Soviet Union, and else-
where in cases where independence or the coming of democracy has unleashed
bloody ethnic clashes.
To this contention, supporters of global democratization respond that in the long
run democracies commit less violence against their citizens than do authoritarian
governments (Davenport, 2004). Another counterargument is that any bloodshed that
the transition to democracy brings pales when compared to the brutality inflicted by
authoritarian regimes. One study of “democide,” the killing of unarmed residents by
governments, demonstrates that the degree to which a government is totalitarian
“largely accounts for the magnitude and intensity of genocide and mass murder”
committed by that government. Therefore, the study reasons, “the best assurances
against democide are democratic openness, political competition, leaders responsible
to their people and limited government. In other words, power kills, and absolute
power kills absolutely” (Rummel, 1995:25).

STATES AND THE FUTURE

Because sovereign, territorially defined states have not always existed, as chapter 2
details, it is only logical that they will not necessarily persist in the future. It is un-
likely that states will vanish as important political actors in the foreseeable future,
but it is also unlikely that states will dominate governance in the future as much as
they have for the past five centuries. The question then is what role they will and
should play. The future of the state is one of the most hotly debated topics among
scholars of international relations. As one analyst explains, “Central to [our] future
is the uncertain degree to which the sovereign state can adapt its behavior and role to
a series of deterritorializing forces associated with markets, transnational social forces,
cyberspace, demographic and environmental pressures, and urbanism” (Falk, 1999:35).
As you ponder your verdict about states, recall the discussion above about the pur-
pose of government and apply your own conclusions about what governments
should do to your evaluation of the success or failure of the state as the continued
dominant model of governance.

The State: Changing Status

In many ways, states remain alive and well on the world stage. One sign of health
is their increasing number. As Figure 6.5 depicts, there are now more than twice
as many countries as there were in the middle of the 20th century. Additionally,
and as noted frequently, states remain the most important and powerful type of
 States and the Future 185

international actor. Some of them, especially the FIGURE 6.5 The Increasing
United States, are truly formidable. Much of what Number of States
underpins states, such as nationalism, also remains
193
strong. Yet all is not well for the preeminent position Number of sovereign states
166
of states. This is evident in the rise of rivals to the 158
state’s dominance of governance and in the weaken- 134

ing of the doctrine of sovereignty. 91

84
57 69
Limits to State Governance
Chapter 1’s introduction of the cast of actors in the 23

global drama notes that joining states on the stage

is an increasing number of intergovernmental orga- 1800 1900 1940 1950 1960 1970 1980 1990 2007
nizations (IGOs) such as the United Nations and
World Trade Organization (WTO) at the global level This figure charts the rapid growth in the number of countries. From
and the European Union (EU) and Organization of the beginning of the sovereign state system about 500 years ago, it
American States (OAS) at the regional level. There are took until 1940 for there to be 69 states. In less than 70 years since
then, the number of states has nearly tripled.
now eight times as many of these NGOs as there were
a century ago. Some of them, like the UN, have a
wide range of functions. Others, including the WTO, are more specialized. One link
among many NGOs is that to some degree they help govern the international system.
All the countries that have joined an NGO agree to support certain principles and to
act in certain ways. To some extent, some IGOs also have the ability to enact new rules
that members are legally obliged to follow. When there are disputes over whether
members are living up to their obligations, some IGOs have judicial-like processes to
resolve the dispute. Trade disagreements are now much more likely to be fought with
lawyers during a hearing at the WTO than with gunboats.
Another phenomenon that grew rapidly in number during the last century was
multilateral treaties, some of which have been ratified by nearly all the world’s countries.
For instance, 185 of the world’s 193 countries have legally agreed to abide by the Con-
vention on the Elimination of All Forms of Discrimination against Women (CEDAW,
1980). Most of the multilateral treaties are lawmaking treaties that bind ratifying coun-
tries to follow the pacts’ clauses. Some of these treaties even arguably bind states that
have not ratified them. For one, a series of multilateral treaties dating as far back as 1864
and collectively called the Geneva Conventions govern many aspects of the conduct of
war. Those who commit war crimes in violations of these treaties may well find them-
selves answerable to the International Criminal Court or some other international
tribunal whether or not the accused’s country is a party to the conventions.
It would be naïve to imagine that IGOs can wield the authority that is at the
command of most states or that multilateral treaties and other aspects of interna-
tional law are not only often ignored but violated with impunity by states. But it
would also be missing an important change in the way that the world is governed to
imagine that IGOs and multilateral treaties are not an increasingly important factor
in determining the conduct of states and even private organizations and individuals.
This shift in governance is detailed in the chapters on the alternative approach to
world politics, especially chapter 7 on IGOs and chapter 9 on international law.

The Weakening of State Sovereignty

A second key change in the status of countries is the weakening of the doctrine of
state sovereignty. The long-standing notion that a state is answerable to no other
authority higher than itself is on the wane. One aspect of this, as noted, is that ever
so slowly, countries are taking on obligations to conduct themselves internationally
186 CHAPTER 6 National States: The Traditional Structure

by the rules and decisions of the WTO and other IGOs and the terms of the Geneva
Conventions and other treaties.
Even what countries do within their own borders is no longer beyond interna-
www tional oversight. For example, the world community is beginning to reject sovereignty
as a defense of a government’s mistreatment of its citizens. During the early 1990s,
global condemnation coupled with economic and other forms of sanctions forced
JOIN THE DEBATE
Casting the Actors for the the Eurowhite-dominated government of South Africa to end the apartheid system
World Stage: Has the Recent that oppressed its non-European-heritage citizens, especially its blacks. The UN also
War in Iraq Reinforced rejected the sovereignty defense when in 1994 it condemned the military overthrow of
the Sovereign Rights democracy in Haiti and authorized UN members to form a multinational force to top-
of the Nation-State?
ple the military junta. Soon thereafter, a U.S.-led force sent the generals packing into
exile. The international community in the late 1990s demanded that the Yugoslav
[now Serbian] government cease its brutal attacks on rebellious Albanians in Kosovo,
even though that province is clearly part of Yugoslavia. When diplomacy and sanctions
failed, NATO warplanes went into action. The Serbs were driven from Kosovo, and the
province was occupied by a multinational force. Two years later, more recently, the
UN authorized the use of force to topple the government of Afghanistan when it
did not comply with demands that it surrender accused al Qaeda terrorists. Even
more recently, the UN Security Council has demanded that Sudan halt the killing of
people in Darfur by Janjaweed militia and that it turn over
war criminals to the International Criminal Court (ICC)
in The Hague, the Netherlands. Sudan’s parliament has
condemned the UN resolution, which it said was devoid
of “any basis for justice and objectivity and violates the
principle of national sovereignty.”14 Expressing the oppo-
site and prevailing global view, the UN secretary-general
praised the resolution as lifting “the veil of impunity that
has allowed human rights crimes in Darfur to continue
unchecked.”15
A related and dramatic demonstration of the diminu-
tion of sovereignty is the trial of two presidents for inter-
national crimes. One was Slobodan Milosevic, the former
president (1989–2000) of Yugoslavia who was tried by a
UN-authorized tribunal located in the Netherlands for war
crimes he allegedly abetted during the 1990s in Bosnia,
Croatia, and Kosovo. Given the evidence, Milosevic would
have almost certainly been convicted and sentenced to life
in prison had he not died of heart failure in 2006. Similarly,
Charles Taylor is currently on trial by another special tri-
bunal, also located in the Netherlands, for international
crimes he committed before and during his time as presi-
dent of Liberia (1997–2003).
What should we make of these restraints on internal
sovereignty in South Africa, Haiti, Yugoslavia, Afghanistan,
and Sudan? It would be naïve to imagine they mean that in
These Sudanese are protesting in their capital, Khartoum, the foreseeable future the world community will regularly
against the international pressure on their government to allow ignore sovereignty to take a stand against racism or author-
a strong UN peacekeeping force to enter the war-torn Sudanese
itarianism whenever and wherever they occur. It would be
region of Darfur. They claim this would constitute a violation of
Sudan’s sovereignty. Most of the international community
equally wrong, however, not to recognize that the actions
disagreed that sovereignty could serve to shield Sudan from against racial oppression, military coups, ethnic cleansing,
outside intervention, and in 2007 Khartoum agreed to the entry and neofascism were important steps away from the doc-
of an enhanced UN force. trine of unlimited state sovereignty.
 States and the Future 187

The State: The Indictment

Some people view the diminution of sovereignty and other indications that states are
weakening as a good thing. They contend that states are obsolete and/or destructive.
Others contend that states are an appropriate and viable focus of governance and
reject attacks on the state as unwise and even unpatriotic. You would be wise as you
consider the arguments for and against the state to be wary of being overly influenced
by your loyalty to your country and letting that lead you to reject the antistate points
out of hand. Remember that states, like all units of government, should be considered
utilitarian objects meant to protect and promote the common good. If states are not
doing that, it is not treason to seek change. As the Declaration of Independence
counseled, “Governments are instituted among men” to promote their “life, liberty,
and pursuit of happiness,” and, “Whenever any form of government becomes de-
structive [or incapable] of these ends, it is the right of the people to alter or to abolish
it, and to institute a new government” in a form that “to them shall seem mostly
likely to effect their safety and happiness.”

States Are Obsolete

The argument that states are obsolete begins with the premise that they were created
as a form of government hundreds of years ago to meet security, economic, and other
specific utilitarian needs and to replace the feudal system and other forms of political
organization that no longer worked effectively. Critics charge that states are obsolete
because, first, they no longer meet their utilitarian responsibilities very well and,
second, because states often pursue foreign policies that do not reflect the interest or
wishes or their citizens.

States Are No Longer Utilitarian Those who believe

that states will and/or should play a diminished role
FIGURE 6.6 Arizona
in the future point to a number of areas where they
and World Countries
say countries are not adequately performing the tasks
they were created to do. This charge is leveled against 9%
Percentage of Arizona
all states, but it is particularly applied to the many countries that are:
41%
states created in the past half century that have some or Larger than 54%
all of the following limitations: small territories, small Arizona
Arizona
populations, and few prospects for economic viability. Smaller than
Arizona 91%
Timor-Leste, a recently independent country (2002), Arizona
provides an example. Its population (about 950,000) 59%
46%
is similar to that of Montana, the 44th least populous
U.S. state, and Timor’s territory (5,794 sq. mi.) is larger
than only three U.S. states: Connecticut, Delaware,
Territory Population Wealth
and Rhode Island. “Impoverished” understates Timor’s
economic distress. Its $570 per capita GNP, one of the Arizona’s viability as an independent country would be questionable,
lowest in the world, is 1/73rd of the U.S. per capita yet that U.S. state has a territory that is larger than 59% of the
GNP. Most Americans would smile at the thought world’s countries and a population larger than 46% of them. Although
of, say, an independent Arizona joining the ranks of not especially wealthy by U.S. standards, Arizona’s per capita
sovereign states on the world stage. Yet it or any other income compared to the per capita national incomes of the world’s
countries would make Arizonans wealthier than the people in 91%
U.S. state would be a more viable state than East Timor
of all countries. The small size, population, and economic base
is. That country is something of an extreme case, but (and sometimes all three) of many world countries casts doubt
on a broader basis, an independent Arizona would on the future of the sovereign state as the central actor in the
be well into the middle ranks of countries in terms international system.
of population and territory and would be a leader in Data sources: CIA (2007), World Bank (2007), U.S. Bureau of Economic Analysis
terms of its economic size, as Figure 6.6 shows. (2007).
188 CHAPTER 6 National States: The Traditional Structure

Providing physical safety is one key role of states. Yet their ability to protect their
citizens is limited, and it has been getting worse since the signing of the Treaty of
Westphalia (1648), the symbolic beginning of the state system. From then to now,
almost 600 wars have occurred, killing over 140 million people. Moreover, the num-
ber of victims has risen rapidly through the centuries as we have “improved” our
ability to kill one another. Indeed, 75% of all the people killed in wars during the last
500 years died in the 20th century. What is worse, science and technology have now
created nuclear, chemical, radiological, and biological weapons of mass destruction
(WMDs), against which there is little or no defense. Such weapons are possessed by
states, but in time terrorists will also acquire at least some forms of rudimentary
WMDs. Therefore, the question is: Can states provide their people with reasonable
safety in a world beset by WMDs and terrorists?
Providing economic prosperity is a second key role that states are supposed to play.
The same type of questions asked about safety apply to the economic functions of a
state. The tidal wave of trade and capital that moves across national borders means
that states are increasingly less able to provide for the prosperity of their residents.
For example, jobs are won or lost depending on a variety of factors, such as where
transnational corporations decide to set up manufacturing, choices over which
national governments have little or no control.
Providing for the general welfare is a third key role of states. Health is one such
Did You Know That:
concern, and states as independent entities are finding themselves increasingly
Within a few months, the
unable to contain the spread of disease in an era when people and products that
Spanish flu pandemic of
1918 killed at least 20 mil- may carry the threat of disease with them move quickly and in massive numbers
lion people worldwide, around the globe. AIDS is the most obvious example, and in the past few decades
including about 600,000 it has spread around the world and has killed about 28 million people. Other
Americans. Given population epidemics loom menacingly. Currently there is great concern that avian flu, which
growth, a similar pandemic
has killed some people in Asia, could rapidly spread globally with disastrous conse-
today would kill more than
60 million people globally quences. The World Health Organization (WHO) estimates that avian flu could
and 1.6 million Americans. infect as much as 30 percent of the world’s population. One WHO official estimates
that conservatively such a pandemic would kill between 2 million and 7 million
people, and, “The maximum range is more . . . maybe 20 [million] to 50 million
people.”16
Whether it is AIDS, avian flu, or another microbial enemy, the reality, according
to a U.S. physician, is that “today, in 30 hours, you can literally travel to the other
side of the world. And likewise, while you are there, you can pick up a germ or a
microorganism that may not exist on this side of the globe and within 30 hours you
can have that back in the United States.”17 National borders provide increasingly
scant protection against these globally transportable diseases, which, if they are to be
contained, must be attacked through an international effort.

States Do Not Pursue the Interests of Their People Most states are huge enterprises
that have authority over many millions of people and in two cases (China and India)
over more than a billion of them. The issue is whether such mega-organizations are
closely connected enough to their people to operate in their interests. This criticism
touches on domestic as well as foreign policy, but for our purposes we will concen-
trate on national interest in world politics.
Critics of national interest as a guide for foreign policy advance a number of
objections. One is that there is no such thing as an objective national interest. Crit-
ics say that what is in the national interest is totally subjective and defining it
tends to be the province of every country’s dominant political class, its power elite,
rather than its citizens. This accounts for the frequent policy differences between
 States and the Future 189

what a country’s leaders and its common citizens FIGURE 6.7 Opinion on U.S.
support, as detailed in chapter 3’s discussion of the Troop Surge in Iraq
leader-citizen opinion gap. It is also the case that a
determined individual leader can decide that a course Americans’ views on President Unsure 2%
Bush’s plan to send more
of action is in the national interest even when an U.S. troops to Iraq in 2007
overwhelming majority of the country’s citizens dis- Strongly
agree. As evident in Figure 6.7, that is what occurred favor
19%
in 2007 when President Bush decided to send more Strongly
Moderately
troops to Iraq. favor oppose
A second objection is that using national inter- 13% 50%
est as a basis of policy incorrectly assumes that there Moderately
is a common interest. The contention here is that oppose
16%
every society is a collection of diverse subgroups,
many of which have differing interests. Further-
more, the concept of national interest inherently President Bush announced in January 2007 that he was dispatching
includes the assumption that if a collective interest additional troops to Iraq. A poll the next day found that two-thirds of
can be determined, then that interest supersedes the Americans opposed the idea, with half of all respondents adamantly
against it. Most members of Congress also opposed the plan. Yet there
interests of subgroups and individuals. Writing from
was only one person whose view of the national interest counted in this
the feminist perspective, for example, one scholar case, and that was President Bush. Such instances raise questions
has noted that “the presumption of a similarity of about the suitability of countries as representatives of the interests of
interests between the sexes is an assumption” that their citizens.
cannot be taken for granted because “a growing Data source: CNN poll, January 11, 2007; data provided by The Roper Center for
body of scholarly work argues that . . . the political Public Opinion Research, University of Connecticut.
attitudes of men and women differ significantly”
(Brandes, 1994:21).
Critics of the state system argue it would be far better to explore other ways of
defining interests. Global interests are one alternative to national interest. Proponents of
this standard do not reject national interest as such. Instead, they say that in the long
run, a more enlightened view of interests is that all states will be more secure and more
prosperous if the more fortunate ones help the others to also achieve peace and pros-
perity. That is essentially the point that Han Seung-soo, president of the UN General
Assembly, made when he commented that particularly “in the wake of September 11”
it is imperative to recognize “that development, peace, and security are inseparable,”
because the poorest countries are “the breeding ground for violence and despair.”18
Individual interests are another alternative to national interest. Virtually all indi-
viduals are rightly concerned with their own welfare. In his inaugural address, Pres-
ident John F. Kennedy called on Americans to “ask not what your country can do for
you—ask what you can do for your country.” Maybe Kennedy had it backwards. Your
country is arguably there to serve you, not the other way around, and what is good
for your country or your nation may not be what is good for you. Considering your
individual interests might seem very narrow-minded, but it also can be liberating be-
cause it can free you from attaching your policy preference to what is good for a col-
lective (your nation) or an organization (your state). It is appropriate to ask, then,
whether your individual interests, your nation’s interests, your country’s interests,
and your world’s interests are the same, mutually exclusive, or a mixed bag of con-
gruencies and divergences. Only you, of course, can determine where your interests
lie and what policies you support or oppose.

States Are Destructive

Pursuing the national interest is the essence of what a sovereign state does and what
its citizens expect it to do. Critics castigate this emphasis on the national interest as
190 CHAPTER 6 National States: The Traditional Structure

inherently self-serving and inevitably leading to conflict and inequity. As France’s

foreign minister observed recently, the world should no longer act as if “we are . . . in
prehistoric times when whoever had the biggest club would try to knock the other
guy out so he could steal his mammoth skin.”19 The logic is simple. If countries pur-
sue their national interests and those objectives are incompatible, then one likely
possibility is that they will clash. Another possibility is that the interest of whichever
state is the more powerful will prevail. That is, power, not justice, will win. Certainly,
countries often negotiate and compromise. But in an anarchical international sys-
tem that emphasizes self-interest and self-help, the chances of a peaceful and equi-
table resolution are less than in a hierarchical domestic system that restrains the
contending actors and offers institutions (such as courts) that can decide disputes
if negotiation fails.
Critics of the state system further contend that whatever the wins and losses are
for states, the most likely losers are average citizens. Much more than leaders, the
citizenry bear the brunt of war, economic sanctions, and other diplomatic tools states
use in conflict with one another. To make matters worse, states often inflict violence
and otherwise abuse the human rights of the very people they are supposed to pro-
tect. Estimates vary considerably about the number of people killed by governments
oppressing their own people, but at least 80 million people died as a result of tyranny
and genocide. At least another 50 million people perished from famine caused by the
politically inspired programs of their government, with deaths in two communist
states, the USSR and China, leading the list. What is clear is that more people died
from such domestic causes than died during international and traditional civil wars
combined.
A third argument is that states are destructive because they are unstable. As de-
tailed in chapter 4, most states are a mélange of ethnonational groups rather than
ideal nation-states. This ethnonational mix leads to conflict between groups that can
drag outside countries into the fighting. Instability in other states comes from their
grinding poverty. Whatever the cause, the result is numerous weak and even failed
states, and these are the source of many of the problems the world faces (Fearon &
Laitin, 2004; Fukuyama, 2004).

The State: The Defense

While those who predict or advocate the diminishment or demise of the state as a
primary political organization make a strong argument, it is hardly an open-and-shut
case against the state (Paul, Ikenberry, & Hall, 2004). First, as noted, nationalism
has proven resilient, and its political vehicle, the state, still has many resources at its
disposal. Moreover, the number of states has increased significantly. These facts un-
dermine the assertion about the substantial weakening, much less the disappearance,
of states as sovereign actors (Lentner, 2004). It is also the case, one scholar argues,
that while globalization is decreasing the importance of borders as information,
money, goods, services, and people flow increasing across them, “States are respond-
ing to globalization by attempting to restore meaning to national borders, not as
barriers to entry, but as boundaries demarcating distinct political communities”
(Goff, 2000:533).
Second, states may be able to adjust to the new realities by learning to cooperate
and live in peace with other countries. Analysts who hold this view point to the in-
creasing creation of and membership in numerous IGOs, like the WTO, as evidence
that states are willing to give up some of their sovereignty in return for the benefits
provided by free trade and other transnational interactions.
 States and the Future 191

Third, states are arguably being strengthened FIGURE 6.8 National Taxation
as increasingly complex domestic and international
Taxes as percent of the GDP of
systems create new demands for services. “Empirical economically developed countries 36.6% 36.3%
evidence demonstrates that the roles of the state are 35.1%
changing rather than diminishing,” according to two 34.2%
scholars. “The state remains crucially involved in a 32.9%
wide range of problems,” they continue, and “in each
of these areas, specific initiatives may make state
29.7%
policies more efficient . . . as the roles of the nation-
state continue to evolve” (Turner & Corbacho,
2000:118–119). One indication that states are not
withering on the vine is found in Figure 6.8, which 1975 1985 1990 1995 2000 2005

shows that in recent decades states have increased The view that states have become less important and will decline
their importance in the world economy. further is arguably contradicted by their continued and in some
Fourth, sovereignty has always been a relative, ways increasing status as the world’s most significant economic
not an absolute, principle and a dynamic, rather organizations. This figure shows tax revenues collected by
than static, concept. States and their leaders have governments of the mostly industrialized countries in the
long violated the principle when it suited their Organization of Economic Cooperation and Development (OECD).
From 1975 through 2000, government taxes (and, not shown,
interests. Most of the examples of diminished sov- government expenditures) accounted for a steadily increasing share
ereignty have occurred when stronger states or coali- of the GDPs of the OECD countries. Although the chart seems to
tions of states imposed their will on weaker states. indicate that a decline began in 2000, that is misleading. The
For this reason smaller states are often suspicious downturn lasted only through 2003 (35.8%) before increasing from
that interventions, even those sponsored by the UN, that point in 2004 and again in 2005. As a point of reference, each
are an imperialist wolf dressed in humanitarian 0.1% increase in the OECD tax rate equals about $31.5 billion in
sheep’s clothing. More powerful states, the con- revenue. Total OECD tax revenues in 2005 were about $11.4 trillion.
tention continues, retain all their sovereignty or Data source: OECD (2007).
can and sometimes do withdraw from agreements
to follow the decisions of IGOs. The United States, for instance, has refused to sur-
render any of its sovereign authority by joining the International Criminal Court
(ICC), which would allow U.S. troops and citizens to be potentially prosecuted
for war crimes by the international tribunal. This stance was also evident after
the International Court of Justice (ICJ) ruled against the United States in a case
involving its treatment of foreign nationals accused of crimes within the country.
In response, the White House announced in 2005 that the United States was
withdrawing from the part of the ICJ treaty giving that court jurisdiction over such
disputes.
Fifth, sovereign states may prove to be better than the other forms of politi-
cal organization. States do provide some level of defense, and some states have
been relatively effective at shielding their citizens from the ravages of war. Some-
times that is a matter of power, as is true for the United States. But in other cases,
it is related to geography, diplomatic skill, or a simple resolution not to take sides
under almost any circumstances. Sweden and Switzerland, for example, managed
to avoid becoming involved in any war, including either world war, during the
20th century.
Sixth, it is yet to be proven that IGOs provide an effective alternative to the state.
Peacekeeping by the United Nations and other IGOs has had successes, but also no-
table failures. The WTO and other economic IGOs are under attack for benefiting
rich countries, corporations, and individuals at the expense of less developed coun-
tries, small businesses, and workers. It may well be, as we will discuss in the next
chapter, that IGOs can prove to be more effective and just instruments of governance
as they evolve. That remains an open question, though.
192 CHAPTER 6 National States: The Traditional Structure

Seventh, realists doubt that self-interest and conflict

can ever be substantially eliminated from the system and
support the state as a necessary guardian of the national
interest. Former U.S. Secretary of State Henry Kissinger
(1994:37), for one, warns against what he sees as Americans’
“distrust of [U.S.] power, a preference for multilateral
solutions and a reluctance to think in terms of national
interest. All these impulses,” Kissinger believes, “inhibit
a realistic response to a world of multiple power centers
and diverse conflicts.”20 Realpolitik nationalists further
contend that we live in a Darwinian political world, where
people who do not promote their own interests will fall
prey to those who do. Nationalists further worry about
alternative schemes of global governance. One such critic
of globalism notes that in intellectual circles “anyone who
is skeptical about international commitments today is apt
to be dismissed as an isolationist crank.” Nevertheless,
he continues, globalization should be approached with
great caution because “it holds out the prospect of an
even more chaotic set of authorities, presiding over an
even more chaotic world, at a greater remove from the
issues that concern us here in the United States” (Rabkin,
1994:41, 47).

The State: The Verdict

The state as the central unit of human governance has For now, the jury is still out on whether states will and
proven very resilient, despite all its shortcomings. States should continue to dominate the political system and be
remain the most powerful political actors globally, and they the principal focus of political identity. States continue to
are still the focus of most people’s political loyalties. Thisexercise great political strength and most of them retain
strength and focus is captured in this image of Turkish army
the loyalty of most of their citizens. Yet it is also true that
helicopters with flags flying and special forces soldiers
dangling from ropes during the country’s Republic Day
the state exists in a rapidly changing political environment
parade, October 29. that is creating great pressures, whether they are those of
Barber’s (1995) tribalism or McWorld. The only certainty
is that it would be an error to assume that the state-based
system is invulnerable to change. There is wisdom in the observation, “History sides
with no one. . . . [The] lesson to be drawn [from the rise and evolution of states] is
that all institutions are susceptible to challenges.” Therefore, the sustainability of
states depends in substantial part on whether they provide “efficient responses to
such challenges” (Spruyt, 1994:185).
Where does this leave the future of sovereign states in the early 21st cen-
www tury? Most political scientists take a middle ground, recognizing the decline in
the importance of states, but not predicting their demise in the foreseeable future
SIMULATION
(Holsti, 2004; Sørensen, 2004). As one puts it, “Although the system of sover-
The Future of the State: eign states is likely to continue [for now] as the dominant structure in world
Will Nationalism Survive? politics, the content of world politics is changing” (Keohane & Nye, 1999:118).
A policy choice for all of us is how much we want it to change and in what direc-
tion: further along the alternative path or back along the traditional path of world
politics.
 Key Terms 193

CHAPTER SUMMARY

THE NATURE AND PURPOSE OF THE STATE 6. Economic development, the attitudes of the peo-
1. States are the most important political actors. ple in the potential democratizing country, and the
States as political organizations have these defining pros and cons of trying to export democracy all
characteristics: sovereignty, territory, population, play a role in determining whether democracy can
diplomatic recognition, internal organization, and be promoted.
domestic support. 7. The numerous possible policy implications for
2. There are various theories about why humans democratization include whether democracy is
formed themselves into political units with gov- well suited for successful foreign policy, whether
ernments. These theories give insight into what democracies wage war on one another, and whether
the purpose of these units is and, therefore, what democracies are less likely than authoritarian gov-
people should expect from them. ernment to victimize their own citizens.

HOW STATES ARE GOVERNED STATES AND THE FUTURE

3. Monarchism, theocracy, communism applied po- 8. The future of the state is a hotly debated topic
litically, and fascism are four forms of authoritar- among scholars of international relations.
ian governance. The percentage of countries ruled 9. Some analysts predict the demise of states as prin-
by authoritarian regimes has declined, but dictato- cipal actors, claiming that states are obsolete and
rial governments are still common. destructive.
4. Democracy is a complex concept. Different sets of 10. Other analysts of nationalism contend that the
standards serve as a basis to determine the degree state is durable and has many resources at its dis-
to which a political system is democratic. posal. These analysts doubt that states will weaken
substantially or disappear as sovereign actors.
THE FUTURE OF DEMOCRACY 11. The final verdict among many scholars is that states
5. There are disputes over when it is possible or will continue to exist but they will play a diminish-
advisable to press all countries to quickly adopt ing role in the future.
democratic forms of government.

For simulations, debates, and other interactive activities, a chapter quiz, Web links,
and much more, visit www.mhhe.com/rourke12/ and go to chapter 6. Or, while
accessing the site, click on Course-Related Headlines and view recent international
relations articles in the New York Times.

KEY TERMS

authoritarianism fascism national interest sovereignty

communism instrumental theory of power elite state of nature
democracy government procedural democracy substantive democracy
democratic peace theory monarchism social contract theocracy
C H A P T E R

7
Intergovernmental AN OVERVIEW OF INTERGOVERNMENTAL
ORGANIZATIONS

Organizations: A History of IGOs

Theories of IGO Formation
The Growth of IGOs
Reasons for Growth

Alternative Governance Roles That IGOs Play

Interactive Arena
Center of Cooperation
Friendly counsel cuts off many foes. Independent International Actor
Supranational Organization
—William Shakespeare, Henry VI, Part 1
GLOBAL IGOs: FOCUS ON THE UNITED NATIONS
You peers, continue this united league. Membership and Voting
—William Shakespeare, King Richard III Membership Issues
Voting Issues
Leadership
The Selection of IGO Leaders
The Role of IGO Leaders
Administration and Finance
Administration
Finance
Activities of the UN and Other IGOs
Activities Promoting Peace and Security
Social, Economic, Environmental, and
Other Activities
Evaluating Global IGOs
REGIONAL IGOs: FOCUS ON THE
EUROPEAN UNION
The Origins and Evolution of the European Union
Economic Integration
Political Integration
Governance of the European Union
Political Leadership
Bureaucracy
Oversight Agencies
Legislature
Judiciary
The Future of the EU
Campaign for a Constitution
Reflecting on the EU’s Future
CHAPTER SUMMARY

International organizations provide an alternative to

governance, a role traditionally reserved exclusively
for the sovereign state. UN Secretary-General
Ban Ki-moon in the foreground and European
Commission President José Manuel Barroso
symbolize the authority of the global and regional
IGOs that are the focus of this chapter.
 An Overview of Intergovernmental Organizations 195

LTHOUGH THE STATE IS and has long been the primary actor in the international

A system, it is not the only one. Intergovernmental organizations (IGOs) are

another type of international actor. This type of international organization has
countries as its members. Thus IGOs are distinct from the private-membership non-
governmental organizations (NGOs) detailed in chapter 5. More importantly, IGOs
provide an alternative to some of the traditional authority of sovereign states to gov-
ern themselves domestically and to determine the course of events in the state-based
system. Critics of this system say that it is inadequate to meet the challenges of a
globalizing world, and it is violence-prone because of its emphasis on self-interested
states operating in an anarchical international system. From this perspective, a better
approach would be to pay heed to Shakespeare’s counsel, in Henry VI, Part 3, to “Now
join your hands, and with your hands your hearts” by empowering IGOs to increas-
ingly regulate the behavior of states in an effort to reduce violence and provide a
platform to address world problems. To assess this possibility, this chapter focuses on
two IGOs, the United Nations (UN) and the European Union (EU). Before taking
them up, though, an overview of IGOs is in order.

AN OVERVIEW OF INTERGOVERNMENTAL
ORGANIZATIONS

There is considerable diversity among IGOs. Some of them, such as the UN, have
many members; others, like Africa’s Economic Community of the Great Lakes Coun-
tries, with three members, are quite small. Another way to classify IGOs is by func-
tion. There are multipurpose IGOs such as the UN and EU that address a wide range
of issues, and more specialized IGOs like the Arab Monetary Fund with very limited
functions. Additionally, there are both global IGOs like the World Bank and regional
IGOs like the African Union. Table 7.1 on page 196 presents a range of IGOs.

A History of IGOs
Examples of IGOs may be found far back in history. What was arguably the first
rudimentary IGO was established in 478 B.C. when the Greek city-states established www
the Delian League to create a unified response to the threat from Persia. Although
mostly an alliance, the League had two IGO characteristics. First, it was permanent MAP
and supposed to last until “ingots of iron, thrown into the sea, rose again.” Second, Post–Cold War
the League had an assembly of representatives appointed by the city-states to decide International Alliances
policy. Although Athens dominated, the assembly was a precursor of such current
structures as the UN General Assembly.

Theories of IGO Formation

The intellectual roots of IGOs extend back into history and include the early globalist
concept of a common humanity discussed in chapter 5. One stream of this view
focused on establishing IGOs to promote peace. Early examples include the proposal
of French official Pierre Dubois in The Recovery of the Holy Land (1306) for the cre-
ation of a “league of universal peace” to settle disputes among members; Le Nouveau
Cynée (1623) in which French writer Émeric Crucé called for creating permanent
courts of arbitration to settle international disputes; and German philosopher Immanuel
Kant’s advocacy in Perpetual Peace (1795) of founding a “league of peace . . . to make
an end of all wars forever.”
196 CHAPTER 7 Intergovernmental Organizations: Alternative Governance

TABLE 7.1 Select Intergovernmental Organizations

Organization Mission Members Headquarters Chief Officer

League of Arab States Political, cultural, and economic 22 Egypt Egyptian

cooperation
Association of Southeast Asian Economic and other forms of 10 Indonesia Singaporean
Nations cooperation
European Union Multipurpose 25 Belgium Portuguese
International Atomic Energy Agency Peaceful use of nuclear energy 143 Austria Egyptian
International Cocoa Organization Cocoa production and trade 40 Great Britain Dutch
International Criminal Police Investigation of global crime 186 France American
Organization
International Monetary Fund Currency cooperation and stability 184 United States Spanish
International Whaling Commission Regulation of whaling 72 Great Britain American
North Atlantic Treaty Organization Military security 26 Belgium Dutch
Office International des Epizooties Animal health 167 France French
Organization of Petroleum Oil production and prices 12 Austria Libyan
Exporting Countries
United Nations Multipurpose 192 United States South Korean
World Bank Economic development 185 United States American
World Trade Organization Free economic interchange 150 Switzerland French

There are nearly 300 intergovernmental organizations (IGOs), and they perform a wide variety of func-
tions. Some sense of the range of IGO activities and their global, regional, or specialized membership
basis can be gained from this selection. As you can see, membership ranges from near universal to
only a few countries, and the functions of IGOs range from the UN’s broad range of missions to the
single purpose of the International Cocoa Organization.

Similar visions have also prompted calls for regional organizations. In a glim-
mer of what would eventually be the European Union, the Abbé de Saint-Pierre’s
Projet de paix perpetuelle (Project for Perpetual Peace, 1713) proposed establishing a
league of European countries to not only ensure peace but also prosperity through
economic integration (Bohas, 2003). Expanding on such ideas in 1943, French
diplomat Jean Monnet, who was a driving force during the early days of European
integration in the 1950s, declared, “There will be no peace in Europe if the states
rebuild themselves [after World War II] on the basis of national sovereignty,
with its implications of prestige politics and economic protection.” Furthermore,
Monnet argued, “The countries of Europe are not strong enough individually to be
able to guarantee prosperity and social development for their peoples. The states
of Europe must . . . form a federation or a European entity that would make them
into a common economic unit.”1 Such thoughts of regional unity have not been
confined to Europe. To cite just one example, Simón Bolívar, the liberator of much
of South America from Spanish colonialism, envisioned a South and Central
American federation and initiated the first hemispheric conference, the Congress of
Panama (1826), to try to further that goal. Whether thinking globally or regionally,
the common bond that unites these visionaries is their belief that IGOs could be
a force for peace and other positive goals. However, on the question of how to best
achieve their goal, those who promote IGO formation are split into two schools
of thought.
 An Overview of Intergovernmental Organizations 197

One of these, functionalism, springs from the idea

that the way to global cooperation is through a “bottom-
up,” evolutionary approach that begins with limited,
pragmatic cooperation on narrow, nonpolitical issues.
One such issue was how to deliver the mail internation-
ally. To solve that problem, countries cooperated to found
the Universal Postal Union in 1874. Plato’s description
of “necessity” as “the mother of invention” in The Republic
(ca. 380 B.C.) might well serve as a motto for modern
functionalists.
Functionalists support their view about how global
cooperation is being achieved by pointing to the thou-
sands of IGOs, multilateral treaties, NGOs, and other
vehicles that have been pragmatically put in place to deal
with specific international concerns. Functionalists fur-
ther hold that by cooperating in specific, usually non-
political areas like delivering mail, countries and people
can learn to trust one another in disarmament and other
such politically sensitive areas. Each such instance of
cooperation serves as a building block to achieve broader
cooperation on more and more politically sensitive issues
along the path to comprehensive cooperation or even
global government.
Neofunctionalism is the second school of thought.
This “top-down” approach to solving world problems Functionalist theory argues that each successful example of
rejects the idea that global cooperation and the IGOs that cooperation in an international governmental organization (IGO)
go with it necessarily need to evolve from cooperation serves as a building block, giving countries confidence to
through IGOs that deal with functional issues, like deliv- further expand the authority of IGOs to address even more
ering mail, and progressively build up to cooperation and complex and sensitive world problems.
IGOs related to security and other critical political issues.
Instead, neofunctionalists believe that if you create IGOs and give them the re-
sources and the authority they need to address central global problems, then in time
countries and their people will learn to trust and govern through these IGOs and
possibly even shift their primary sense of political identity and allegiance to them
(Schmitter, 2005). In a sense, neofunctionalism was a theme in the 1989 Kevin
Costner movie, Field of Dreams. Its mantra, “If you build it, he will come,” urged
Ray Kinsella (Costner) not wait to build a baseball park in Iowa until it was needed.
Instead, it told Kinsella to build a stadium, and his father and others would come
to it. It is not that neofunctionalists do not recognize or value IGOs that serve a
functional role. Rather, neofunctionalists are skeptical about the functionalist belief
that nonpolitical cooperation can, by itself, lead eventually to full political coopera-
tion and to the elimination of international conflict and self-interested state action.
Among other things, neofunctionalists also worry that the functionalists’ evolution-
ary approach will not move quickly enough to head off many of the world’s looming
problems.

The Growth of IGOs

Whatever the theory about IGO formation, and despite such occasional examples as
the Delian League, IGOs are primarily a modern phenomenon. By the 1800s, a few
IGOs were beginning to come into existence to deal with specific transnational
matters. The six-member Central Commission for the Navigation of the Rhine,
198 CHAPTER 7 Intergovernmental Organizations: Alternative Governance

established in 1815, is the oldest surviving IGO, and the International Telegraphic
(now Telecommunications) Union (1865) is the oldest surviving IGO with global
membership. Still, there were only six IGOs established during the 1800s.
The rate of IGO creation began to grow slowly during the first part of the 1900s.
The turn of the century saw the formation of the Hague system, the first IGO dedi-
cated to curbing warfare. It was named for two conferences held at The Hague, the
Netherlands, in 1899 and 1907. The goals were to limit weapons, to establish proce-
dures to arbitrate and mediate international disputes, and to otherwise avoid or mit-
igate warfare. The second of these was more comprehensive, with 44 European,
North American, and Latin American states participating. Organizationally, it in-
cluded a limited general assembly and a judicial system. A third Hague Conference
was scheduled to meet in 1915, but it never took place because of the outbreak of
World War I (1914–1918).
After the war, the Versailles Peace Conference (1919) sought to establish a post-
war order by, among other things, creating the League of Nations. It had a more de-
veloped organizational structure than that of the Hague system. Although intended
mainly as a peacekeeping organization, the League also had some elements aimed at
social and economic cooperation. Once again, unfortunately, peace did not prevail,
and the League died in the rubble of World War II (1939–1945).
However the core idea behind the Hague system and the League of Nations did
not perish, and more than 50 countries met at the end of the war and established the
United Nations (UN) in 1945. Like the League, the UN was founded mainly to main-
tain peace, but it was also charged with improving humankind’s social and economic
situation. Abiding by this mandate, the UN has increasingly become involved in a
broad range of issues that encompasses almost all the world’s concerns. The years
surrounding the formation of the UN also saw a rapid growth in the number of all
types of IGOs. The pace was especially fast in the 1960s and 1970s when there was
rapid decolonization. The many new countries of Africa and Asia and other regions,
joined by already independent countries seeking to
FIGURE 7.1 IGO Growth improve conditions and their leverage in the interna-
50 tional system, created an array of new, most com-
Number of new IGOs established monly regional IGOs. Since then, the rate at which
new IGOs are being created has declined, although it
44
37 is still faster than at any time since before the 1960s.
This growth pattern is evident in Figure 7.1. Not ev-
ident in that figure is the overall number of IGOs,
26 31 which peaked at 365 in 1984 after the growth spate
in the 1960s and 1970s and has since declined to
17 246 in 2005. Almost all of the IGOs that were dis-
10
banded or fell into disuse were regional and proved
to be duplicative of other existing or new IGOs.
4 3
1
Reasons for Growth
1900s 1910s 1920s 1930s 1940s 1950s 1960s 1970s 1980s 1990s Both functionalist and neofunctionalist concepts
have played an important role in IGO growth. What-
ever the immediate impetus for founding an IGO,
The growing presence of intergovernmental organizations (IGOs) in the
they have all been created because states have realized
international system is evident in the increased number of new IGOs
founded during each decade of the 20th century. that through IGOs, countries “are able to achieve
goals that they cannot accomplish [alone]” (Abbot
Note: Data includes only the UIA’s “conventional IGOs,” those with at least three
member-countries and a permanent, functioning organizational structure. & Snidal, 1998:29). We can note six causes for this
Data source: Union of International Associations. expansion.
 An Overview of Intergovernmental Organizations 199

1. Increased international contact. The revolutions in communications and

transportation technologies have brought the states of the world into much www
closer contact. These interchanges need organizational structures in order to
become routine and regulated. The International Telegraphic Union, founded
MAP
over a century ago, has been joined in more modern times by the International Transportation Patterns
Mobile Satellite Organization (IMMARSAT, 1979) and many others.
2. Increased global interdependence. The International Monetary Fund (IMF)
and the World Bank are just two examples of IGOs that have been created
to address international economic issues that are beyond the control of
individual countries. Regional trade and monetary organizations, cartels,
and, to a degree, multinational corporations are other examples.
3. The expansion of transnational problems. Some issues that affect many states Web Link
require solutions that are increasingly beyond the resources of any single The Web site of the International
state to address. One such issue (and its associated IGO) is transnational Criminal Police Organization, or
crime (International Criminal Police Organization, Interpol). Continuing INTERPOL, is at www.interpol.int /.
global problems in health, food, human rights, and other areas have also
spurred the organization of IGOs.
4. The failure of the current state-centered system to provide security. This factor
in IGO expansion is not only about the failure to prevent recurrent wars,
including World Wars I and II. The inability of the traditional approach to
provide security is also evident in its general failure to restrain the development
and use of weapons capable of killing more and more people quickly. The first
Hague Convention worried about such (then modern) horrors as explosive
projectiles dropped from balloons. Fifteen years later, World War I was
under way. Machine guns, tanks, warplanes, and poison gas first came into
general and widespread use, leaving almost 9 million dead. Two decades
later, World War II and its even more terrible weapons claimed the lives of
58 million soldiers and civilians from military action and another 10 million
or more civilians during the Holocaust and other atrocities. Then in 1945
the atomic age dawned with the prospect of the death toll reaching the
millions in minutes rather than years. The twin realities of continued
warfare and ever more lethal weapons convinced many that peace is not
safe in the hands of nation-states. The United Nations is the latest attempt
to organize globally for the preservation of peace, but many regional
organizations such as the African Union are also involved in mediation
and other forms of crisis intervention and in fielding peacekeeping forces.
5. The efforts of small states to gain strength through joint action. The concentration
of military and economic power in a handful of countries has led less powerful
actors to cooperate in an attempt to influence events. For example, less
developed countries (LDCs) have formed such IGOs as the 116-member
Nonaligned Movement (NAM) and the Group of 77 (G-77), now with 131
member-countries, to promote economic development. One of their strategies
is to use their “joint negotiating capacity” to press the economically developed
countries (EDCs) to increase development aid, reduce barriers to LDC exports,
and take other steps favorable to the LDCs.2 This factor was a key reason for
the sharp increase in the number of IGOs founded in the 1960s and 1970s.
6. The successes of IGOs. The sixth reason for IGO expansion is that as coun-
tries have learned that they can sometimes work together internationally,
they have created additional IGOs to help address an ever greater range of
transnational issues.
200 CHAPTER 7 Intergovernmental Organizations: Alternative Governance

Roles That IGOs Play

Given the expanding number of IGOs, we should consider what they do and what we
want them to do (Muldoon, 2003). It is possible to arrange the current and potential
future roles of IGOs along a scale that measures how close each is along the contin-
uum ranging from the traditional approach to the alternative approach to world pol-
itics. Starting at the traditional end of the scale and moving toward the alternative
end, the four possible roles are: interactive arena, creator and center of cooperation,
independent international actor, and supranational organization.

Interactive Arena
The most common function of IGOs is to provide an interactive arena in which
member-states pursue their individual national interests. This approach is rarely stated
openly, but it is obvious in the struggles within the UN and other IGOs, where coun-
tries and blocs of countries vigorously wage political struggles (Thompson, 2006;
Foot, MacFarlane, & Mastanudo, 2003). The view that the UN should be an arena for
countries to advance their interests was expressed recently by the chairman of the U.S.
Senate Committee on Foreign Relations, who asserted that the “core diplomatic mis-
sion” of the new U.S. ambassador to the UN should be “securing greater international
support for the national security and foreign policy objectives of the United States.”3
Of course, that view is also held by other countries and can lead them to oppose
www U.S. initiatives for similar self-interested reasons (Voeten, 2004). For example, during
the maneuvering in the UN Security Council in 2003 over Iraq, France and Russia
SIMULATION
(both of which have a veto in the Security Council) along with Germany were at the
Searching for International forefront of resisting the U.S. efforts to win UN support for military action against
Organizations: Roles and Iraq. In addition to their views on Iraq as such, these countries also used the crisis
Resources to demonstrate their diplomatic independence and to try to rein in what they saw
as an arrogant, overly aggressive United States. This was evident in the comment of
French President Jacques Chirac, “France considers itself one of the friends of the
Americans, not necessarily one of its sycophants. And when we have something to
say, we say it.”4 Similarly, a Russian analyst noted that his country’s leaders “do not
want to see the United Nations downgraded or the advent of a world order based on
U.S. hegemony.”5
The use of IGOs as an interactive arena does,
however, also have advantages. One is based on the
theory that international integration can advance
even when IGOs are the arena for self-interested
national interaction. The reasoning is that even when
realpolitik is the starting point, the process that
occurs in an IGO fosters the habit of cooperation and

One role of the UN and other IGOs is to serve as an interactive

arena in which countries promote their interests. This
photograph shows diplomats negotiating before a Security
Council meeting in 2007 to vote on sanctions against Iran. The
British Ambassador to the UN, Emyr Jones Parry, left, speaks
on a telephone while U.S. Ambassador Alejandro Daniel Wolff,
right, and Chinese Ambassador Wang Guangya, second from
right, negotiate with French Ambassador Jean-Marc de la
Sablière. The United States and Great Britain have been much
more willing to press for strong sanctions against Iran than
either France or, especially, China.
 An Overview of Intergovernmental Organizations 201

compromise. Another advantage is that it is sometimes politically easier to take action

if an IGO has authorized it. For example, there was considerable consensus behind
military action against Iraq in 1991 (unlike what occurred in 2003), and taking
action under UN auspices in the earlier conflict made it easier for Muslim countries and
some others to participate in an invasion conducted primarily by Christian-heritage
powers (the United States, Great Britain, and France). Third, debate and diplomatic
maneuvering may even provide a forum for diplomatic struggle, which, as an alter-
native to the battlefield, helps promote the resolution of disputes without violence.
As Winston Churchill put it once, “To jaw-jaw is better than to war-war.”6

Center of Cooperation
A second IGO role is to promote and facilitate cooperation among states and other
international actors. Secretary-General Kofi Annan observed correctly that the UN’s
“member-states face a wide range of new and unprecedented threats and challenges.
Many of these transcend borders and are beyond the power of any single nation
to address on its own.”7 Therefore, countries have found it increasingly necessary to
cooperate to address physical security, the environment, the economy, and a range of
other concerns. The Council of the Baltic Sea States, the International Civil Aviation
Organization, and a host of other IGOs were all established to address specific needs
and, through their operations, to promote further cooperation.
When cooperation develops in a number of related areas, then regime theory
argues that the specific points of cooperation become connected with one another
in more complex forms of interdependence called an international regime. This term
is not a single organization. Instead, regime is a collective noun that designates a
complex of norms, rules, processes, and organizations that, in sum, have evolved to
help to govern the behavior of states and other international actors in an area of
international concern.
One such area is the use and protection of international bodies of water and
the corresponding regime that has evolved for oceans and seas (Heasley, 2003).
Figure 7.2 depicts this regime’s array of organizations, rules, and norms that promote
international cooperation in a broad area of maritime regulation, including navigation,
pollution, seabed mining, and fisheries. The UN Convention on the Law of the Sea
(1994) proclaims that the oceans and seabed are a “common heritage of mankind,” to
be shared according to “a just and equitable economic order.” To that end, the treaty
provides increased international regulation of mining and other uses of the oceans’
floors and empowers the International Seabed Authority to help advance the treaty’s
goals. On a related front, the International Maritime Organization has helped create
safeguards against oil spills in the seas, which have declined dramatically since the
early 1970s. The International Whaling Commission, the Convention on the Preserva-
tion and Protection of Fur Seals, and other efforts have begun the process of protect-
ing marine life and conserving resources. The Montreal Guidelines on Land-Based
Pollution suggest ways to prevent fertilizer and other land-based pollutants from
running off into rivers and bays and then into the oceans. Countries have expanded
their conservation zones to regulate fishing. The South Pacific Forum has limited the
use of drift nets that indiscriminately catch and kill marine life. NGOs such as Green-
peace have pressed to protect the world seas. Dolphins are killed less frequently be-
cause many consumers buy only those cans of tuna that display the “dolphin safe”
logo. It is not necessary to extend this list of multilateral law-making treaties, IGOs,
NGOs, national efforts, and other programs that regulate the use of the seas to make
the point that in combination they are part of an expanding network that constitutes
a developing regime of the oceans and seas.
202 CHAPTER 7 Intergovernmental Organizations: Alternative Governance

FIGURE 7.2 Regimes for Oceans and Seas

International laws and norms Treaties
Concept of international waters Convention on the Law of the Sea
Freedom of the seas Convention on Fishing and Conservation
Maritime rules of the road International Convention on the Continental Shelf
Fisheries conservation laws and norms Anti-Dumping Convention
Pollution prevention Convention on the Preservation
Endangered species protection and Protection of Fur Seals
Convention for the Prevention
of Pollution from Ships

International
organizations Treaties

International organizations Other regime contributors

International Seabed Authority Consumers demanding dolphin-safe tuna
International Whaling Commission Public outrage at the killing of whales,
Commission for the Conservation Other regime baby seals, and other marine life
of Antarctic Marine Living Resources contributors National laws to prevent pollution
International Maritime Organization National courts enforcing established
International Court of Justice (deciding cases) international law
International Maritime Satellite Organization
Greenpeace

The concept of an international regime represents the nexus of a range of rules, actors, and other
contributors that regulate a particular area of concern. This figure shows some of the elements of the
expanding regime for oceans and seas.
Note: Entries are only a sample of all possibilities.

Independent International Actor

The third IGO role is that of an independent international actor (Haftel & Thompson,
2006; Barnett & Finnemore, 2004). This role is located toward the alternative end of
the traditional–alternative scale of IGO activities. Technically, what any IGO does is
controlled by the wishes and votes of its members. In reality, many IGOs develop
strong, relatively permanent administrative staffs.
These individuals often identify with the organization and try to increase its
authority and role. Global expectations—such as “the UN should do something”—
add to the authority and reach of IGOs. As a result, one scholar contends, IGOs have
a “strong measure of autonomy from their member-states,” and are “especially likely
to act on their own initiative if states are indifferent to a situation.” Indeed, IGOs
“may act, at least obliquely, against the perceived interests of member-states, even
against the interests of important states” (Ferguson, 2005:332). Thus, an IGO may
be a force unto itself, more than the sum of its (member-country) parts. Sometimes
this independence is controversial, as we shall see in the discussions of the UN and
EU that follow. In other cases, a degree of organizational independence is intended
and established in the charters of various IGOs, such as the International Court of
Justice (ICJ).

Supranational Organization
Some people believe that the world is moving and should continue to move toward
a more established form of international government (Tabb, 2004). “The very com-
plexity of the current international scene,” one scholar writes, “makes a fair and
effective system of world governance more necessary than ever” (Hoffmann, 2003:27).
 An Overview of Intergovernmental Organizations 203

This model envisions a fourth role for IGOs, that of a supranational organization
with legal authority that overrides the sovereignty of its members.
Some IGOs already possess a degree of limited supranationalism in specialized
areas because many states in practice accept some IGO authority in the realm of
“everyday global governance” (Slaughter, 2003:83). For example, countries now
regularly give way when the World Trade Organization (WTO) rules that one of their
laws or policies contravene the WTO’s underlying treaty, the General Agreement on
Tariffs and Trade (GATT). Even greater supranational authority is exercised on a
regional level by the European Union. It not only has most of the structure of a full-
scale government, but it makes policy, has courts, receives taxes, and in many other,
if still limited, ways functions like a government of Europe.
A major question for the future is whether and how far to extend the supranational
authority of IGOs and how to structure such powerful new actors. On the dimension
of governance, supranational IGOs could range from single-purpose IGOs that govern
one narrow area, through multipurpose IGOs that exercise authority in a number of
related areas, to general-purpose IGOs that exercise power in a broad range of areas.
Geographically, the possibilities range from regional IGOs, to multicontinental IGOs
with members from many regions, to global IGOs with most or all of the world’s states
as members.
Ultimately limited supranationalism might evolve into regional governments
or a world government. The powers of any such global or regional government also
range along a scale based on the degree of power-sharing between the central govern-
ment and the subunits, as depicted in Figure 7.3. Unitary government is at the end
of the scale where the central government has all or most of the power and the sub-
ordinate units have little or none. In such a system, countries would be nonsovereign
subunits that serve only administrative purposes. A less centralized alternative
would be a federation, or federal government, one in which the central authority and
the member-units each have substantial authority. The United States and Canada are
both federal structures, with Canada’s 10 provinces having greater authority than the
50 U.S. states. A confederation is the least centralized of the three arrangements. In

FIGURE 7.3 Power-Sharing Models of Governance

50-50 Power split
central and subordinate units
Unitary
League Confederation Federation government
Highly Highly
decentralized centralized
British Commonwealth European Union Canada Germany United States Russia France China
League of Nations United Nations

Weaker Central authority Stronger

Stronger Territorial authority Weaker

Whether at the national, regional, or global level, governments share power between the central
government and territorial government in a variety of ways. In countries, territorial units are commonly
termed states or provinces. In a global or regional government, countries would be the territorial unit.
This figure shows the scale of possible power-sharing relationships. At one end of the scale, a league,
the central government has little more than symbolic authority, and most power remains with the
territorial units. At the other end of the scale, a unitary government, the central government monopolizes
power and the territorial units perform only administrative functions. The most centralized international
government organization today, the European Union, is a confederation.
204 CHAPTER 7 Intergovernmental Organizations: Alternative Governance

a confederal government, the central government has quite limited powers, while the
members retain all or most of their sovereign authority. The least centralized model,
and one that borders on not being a government at all, is a league, an arrangement in
which the centralized government is mostly symbolic and has little if any functional
authority.

Arguments for Expanding Supranational Authority The arguments for greater

global government begin with the criticism of the current state-based system detailed
in chapter 6 (Volgy & Bailin, 2003; Wendt, 2004). The World Federalist Movement
(WFM), for one, argues, “Ours is a planet in crisis, suffering grave problems unable
to be managed by nations acting separately in an ungoverned world.” Given this per-
spective, the WFM calls for founding “world institutions . . . [with] actual and suffi-
cient authority to make and enforce law in their given jurisdictions.”8 It should be
noted that the WFM and most others who favor greater global governance do not
advocate the abolition of state sovereignty and the creation of an all-powerful world
government. More common are calls for a federal structure, with countries retaining
sovereignty over their internal affairs.

Web Link Arguments against Expanding Supranational Authority Critics of greater global
The Web site of the World governance raise numerous objections (Coates, 2005). First, they argue that there are
Federalist Movement is practical barriers. Their assumption is that nationalism has too strong a hold and that
www.wfm.org/. neither political leaders nor masses would be willing to surrender substantial sover-
eignty to a universal body. Are we ready to “pledge allegiance to the United States
of the World”? Second, critics of the world government movement pose political
objections. They worry about the concentration of power that would be necessary to
enforce international law and to address the world’s monumental economic and social
problems. A third doubt is whether any such government, even given unprecedented
power, could succeed in solving world problems any better
than states can. Fourth, some skeptics further argue that
centralization would inevitably diminish desirable cultural
diversity and political experimentation in the world. A
fifth criticism of the world government worries about pre-
serving democracy. With power concentrated in a central
international government and little countervailing power
left to countries, the seizure of the world government by
authoritative forces might, in a stroke, roll back hundreds
of years of democratic evolution.
The idea of regional government answers some of the
objections to global government. Regions would still have
to bring heterogeneous peoples together and overcome na-
tionalism, but that would be an easier task than addressing
even greater global heterogeneity. Moreover, regional gov-
ernments would allow for greater cultural diversity and
political experimentation than would a global government.
To this skeptics reply that at best regional government is
Historically our primary political loyalty has slowly shifted from the lesser of two evils compared to global government.
smaller units such as tribes and village to larger units,
Opponents also contend that creating regional govern-
especially countries. Some people believe this trend should
continue and that a world government should be established.
ments would simply shift the axis of conflict from among
This image of children pledging allegiance to the flag of the states to among regions. Indeed, in the novel Nineteen
United States of the World may seem strange, but a global Eighty-Four, George Orwell predicted in 1949 that the
government is not inconceivable. future would find world political control exercised by
 Global IGOs: Focus on the United Nations 205

three regional governments (Oceania, Eurasia, and Eastasia) all perpetually at war Web Link
with one another. Making matters worse, democracy was a memory. Oceania was For more on the view that U.S.
ruled by the totalitarian iron hand of “Big Brother,” and the other two megaregions sovereignty is at risk, visit the
were also presumably subject to authoritarian discipline. It is not hard to project the Web site of U.S. Representative
EU as the core of Eurasia, a U.S.-centered Oceania, and an Eastasia built around Ron Paul (R-TX) at http://www.
house.gov/paul/ and browse the
China. So while Orwell’s vision did not come to pass by 1984, opponents of regional
index of his weekly column,
or global government might contend that perhaps he should have entitled the book “Texas Straight Talk.”
Twenty Eighty-Four.

GLOBAL IGOs:
FOCUS ON THE UNITED NATIONS

Of the growing range and importance of activities of IGOs at the global level, the
United Nations’ activities are by far the most notable. Therefore, this section focuses
on the UN as a generalized study of the operation of IGOs and as a specific study of
that key institution. We look at issues related to membership and voting in the UN,
its executive leadership, its administration and finance, and its activities. Figure 7.4
provides an overview of the UN’s structure.

Membership and Voting

At root, every IGO is an international organization whose membership is made up
of two or more countries. Therefore, one key determinant of how an IGO operates
is how its membership is structured, who is or is not a member and why, and how
various organizational factors and voting procedures help determine the influence
of each member in the organization. It is, for example, impossible to grasp how the

FIGURE 7.4 The Structure of the United Nations

International
General Assembly Court of Justice
All 192 UN members 15 judges
One vote per member serve 9-year terms

Security Council Economic and

15 members Social Council
5 permanent, 10 serve 54 members
2-year terms serve 3-year terms
Veto power for permanent UNITED NATIONS One vote per member
members

Associated Agencies
17 intergovernmental
organizations such as
Secretariat
World Health Organization, Trusteeship Council
Headed by
World Bank, Food and Task completed
secretary-general,
Agriculture Organization No longer meets
serves 5-year terms

The United Nations is a complex organization. It has six major organs and 17 associated agencies.
206 CHAPTER 7 Intergovernmental Organizations: Alternative Governance

FIGURE 7.5 UN Membership, UN works without being aware that 5 of its members
1945–2007 possess a veto in the Security Council and the other
187 do not.
97% 99%
95% 96%
88%
93% Membership Issues
UN members as percentage There is a range of membership issues related to
68% of total countries
192
IGOs. Some concern membership in the overall
185
organization and others concern membership in the
159
144 various substructures within IGOs.
Number of countries in UN
118
General Membership Issues Theoretically, mem-
76 bership in the UN and most other IGOs is open to
51
any state that is both within the geographic and
functional scope of that organization and also sub-
1945 1955 1965 1975 1985 1995 2007 scribes to its principles and practices. In reality, pol-
itics is sometimes an additional standard. Today with
Membership in the UN has almost quadrupled since 1945. The the exception of the Holy See (the Vatican), the UN
primary reason has been the creation of new states, but there has has universal membership, as Figure 7.5 shows, but
also been a growing expectation that the UN should have universal that was not always the case.
membership.
Standards for admitting new members are a point
Data sources: UN at www.un.org/overview/unmember.html. Various historical sources of occasional controversy. One instance occurred in
for number of states.
1998 when the General Assembly voted overwhelm-
ingly to give Palestinians what amounts to an infor-
mal associate membership. They cannot vote, but they can take part in debates in the
UN and perform other functions undertaken by states.
Successor state status can also sometimes be a political issue. When the UN rec-
ognized Russia as the successor state to the Soviet Union, it meant, among other
things, that Russia inherited the USSR’s permanent seat and veto on the Security
Council. Taking the opposite approach, the UN in 1992 refused to recognize the
Serbian-dominated government in Belgrade as the successor to Yugoslavia once that
country broke apart. Instead, the General Assembly required Yugoslavia to (re)apply
for admission, which was finally (re)granted in 2000.
Withdrawal, suspension, or expulsion is another membership issue. Nationalist
Did You Know That:
China (Taiwan) was, in effect, ejected from the UN when the “China seat” was trans-
The country most recently
admitted to the UN was
ferred to the mainland. In a move close to expulsion, the General Assembly refused
Montenegro in 2006. between 1974 and 1991 to seat South Africa’s delegate because that country’s
apartheid policies violated the UN Charter. The refusal to recognize Yugoslavia as a
successor state in 1992 began what was, in effect, an expulsion that lasted eight years
until a less oppressive government gained power.

Membership Issues in IGO Substructures Not every internal decision-making struc-

ture in an IGO necessarily has representatives from each member-country. At the
core of the UN and other IGOs there is usually a plenary representative body that
includes all members. The UN General Assembly (UNGA) is the UN’s plenary
organ. Such assemblies normally have broad authority within their organizations
and are supposedly the most powerful elements of their organizations. In practice,
however, the assembly may be secondary to the administrative structure or some
other part of the organization. A second type of representative body is a limited
membership council. Based on the theory that smaller groups can operate more effi-
ciently than large assemblies, there are many councils that have representatives only
from some parent organization’s membership. For example, the UN’s Economic
 Global IGOs: Focus on the United Nations 207

and Social Council (ECOSOC) has representatives from 54 members, elected by the
General Assembly for three-year terms based on a plan of geographical representa-
tion. Membership is also sometimes limited on the theory that some members have
a greater concern or capacity in a particular area. The UN Security Council (UNSC)
has five permanent members (the P5: China, France, Russia, the United Kingdom,
and the United States). These five were the leading victorious powers at the end of
World War II and were thought to have a special peacekeeping role to play. Addi-
tionally, with the idea of keeping membership limited to improve efficiency, the total
UNSC membership was set at 15, with the 10 nonpermanent members chosen by the
UNGA for two-year terms. The emphasis on the powerful role of the P5 on the Secu-
rity Council should not be read as meaning that the other 10 seats have little con-
sequence. While secondary to the P5, the rotating seats are important and much
sought after. Not only do these nonpermanent members share the limelight in a key
decision-making body, but some of them receive increased foreign aid and other
incentives from the United States and perhaps other big powers in order to win their
cooperation (Kuziemko & Werker, 2006). Also indicative of the importance of the
10 nonpermanent seats, the maneuvering in 2006 to elect 5 new members including
the “Latin American” seat being vacated by Argentina turned into a struggle between
the United States, which backed Guatemala, and Venezuela, whose president is a
persistent critic of the United States. After 47 votes in the UNGA, neither side could
prevail, and in a compromise, Panama was named the region’s new representative
on the Council.

Controversy over Membership on the Security Council The combination of the P5’s
permanent Security Council membership and veto is a simmering issue in the UN.
There are several sources of discontent. Lack of democracy is one line of criticism.
Expressing this view, Zambia’s president argued that the council “can no longer be
maintained like the sanctuary of the Holy of Holies with only the original mem-
bers acting as high priests, deciding on issues for the rest of the world who cannot
be admitted.”9 Geographic and demographic imbalance is another source of discon-
tent. Geographically, Europe and North America have four of five permanent seats,
and those four permanent members are also countries of predominantly Eurowhite
and Christian heritage. Yet other critics charge that the permanent members are an
inaccurate reflection of power realities. As the German mission to the UN puts it,
“The Security Council as it stands does not reflect today’s world which has changed
dramatically since 1945.”10 From this perspective, Germany, India, Japan, and some
other powerful countries have begun to press for permanent seats for themselves.
In recent years there have been a number of proposals to expand the member-
ship of the UNSC and, in some cases, to increase the number of permanent members. www
Some reform proposals have sought to give the new members a veto; even more pro-
posals have called for the elimination of the veto power of the permanent members.
JOIN THE DEBATE
Most countries in the UN favor reform, yet none has been possible because of the Changing Permanent
two nearly insurmountable hurdles to amending the UN Charter and altering the Membership and the
composition of the UNSC. First, Charter amendments require the endorsement of Almighty Veto Power in the
two-thirds of the Security Council, and the P5 are not especially open to diluting Security Council: How Can
their influence by adding more permanent members, by giving new permanent mem- Reform Strengthen the UN
Security Council?
bers a veto, and, least of all, by eliminating the veto altogether. Specific rivalries
also influence the P5. China, for instance, would be reluctant to see either of its two
great Asian power rivals, Japan or India, get a permanent seat. Beijing also complains
that Japan has not apologized adequately for its aggression and atrocities during
World War II. The second hurdle for a Charter revision is to also get a two-thirds vote
208 CHAPTER 7 Intergovernmental Organizations: Alternative Governance

FIGURE 7.6 IGO Voting Formulas of the UNGA. There, agreement on any new voting
formula would be difficult, given the sensitivities of
85
192 UN votes the 192 countries. For example, the proposal that
India have a permanent seat alarms Pakistan, whose
Number of votes in UN according to three formulas
UN representative has characterized the idea as “an
Canada
undisguised grab for power and privilege.”11
China
Germany
Voting Issues
India 39 One of the difficult issues that any IGO faces is its
Japan 33 formula for allocating votes. Three formulas used in
Nigeria at least one of the major IGOs are majority voting,
United States 21 weighted voting, and unanimity voting. The impli-
10 12 cations of various voting formulas are evident in
9
4 4 4 3
Figure 7.6.
1 1 1 1 1 1 1 1 2 1
Majority voting is the most common formula
Equal vote Population-based Wealth-based used in IGOs. This system has two main components:
(1) Each member casts one equal vote based on the
To see the impact of various voting formulas, imagine that the UN
allocated the 192 votes in the General Assembly based on equality,
concept of sovereign equality, and (2) the issue is car-
population, and wealth. Voting power would vary widely. Compare the ried by a simple majority (50% plus one vote), reflect-
United States and China, for example. Equality would give both one ing the democratic notion that the will of the majority
vote. In a population-based system, China would have 39 of 192 votes; should prevail. The UNGA and most other UN bodies
the United States would have 9. A system based on wealth—gross operate on this principle. A variation is supermajority
national product—would have 85 U.S. votes and only 10 votes for voting. This requires more than a simple majority to
China. Are any of these formulas fair? What would be a fair formula?
pass measures. A two-thirds vote is most common,
Data sources: World Bank online and author’s calculations. and some of the supermajority formulas, like the one
used by the Council of the European Union, can be
quite complex.
The objection to equal voting power is that it does not reflect some standards
of reality. Should Costa Rica, with no army, cast an equal vote with the powerful
United States? Should San Marino, with a population of thousands, cast the same
vote as China, with its more than 1.3 billion people? It might be noted, for exam-
ple, that in the UNGA, two-thirds of the votes are wielded by 128 states whose
combined populations are less than 15% of the world’s population. By contrast,
the 11 countries with populations over 100 million combine for 61% of the
world’s population, yet they have just 6% of the available votes in the General
Assembly.
Weighted voting allocates unequal voting power on the basis of a formula. Two
www possible criteria are population and wealth. As detailed later, the European Parlia-
ment provides an example of an international representative body based in part on
WEB POLL
population. Voting in the World Bank and the International Monetary Fund is based
The Place of Democratic on member contributions. The United States alone commands about 17% of the
Governance in International votes in the IMF, and it and a handful of other top economically developed countries
Organizations (EDCs) have majority control, yet combine for little more than 10% of the world
population. By contrast, China and India, which combined have 37% of the world’s
population, together have less than 6% of the IMF votes. This “wealth-weighted” vot-
ing is especially offensive to LDCs, which contend that it perpetuates the system of
imperial domination by the industrialized countries.
Unanimity voting constitutes a fourth scheme. It requires unanimous consent,
although sometimes an abstention does not block agreement. The Organization for
Economic Cooperation and Development (OECD) and some other IGOs operate on
that principle. Unanimity preserves the concept of sovereignty but can easily lead to
 Global IGOs: Focus on the United Nations 209

stalemate. In a related formula, as noted, the rules of FIGURE 7.7 UN Security Council Vetoes
the UNSC allow any of the five permanent members
to veto proposals. Taking exception to this arrange- 90
ment, a Venezuelan diplomat described the veto as “an Vetos cast in the UN Security Council by:
80
antidemocratic practice . . . not in accordance with China
the principle of the sovereign equality of states.”12 France
70 Great Britain
Vetoes were cast frequently during the cold war, USSR/Russia
mostly by the Soviet Union, as Figure 7.7 shows. 60
United States
More recently, the number of vetoes has dropped Combined

sharply, with the United States casting 71% of them 50

between 1996 and 2007.
Although the use of the veto has declined dra- 40
matically, the power remains important. First, vetoes
are still sometimes cast. In 2006, for example, the 30
United States vetoed a resolution calling on Israeli
20
forces to withdraw from Gaza on the grounds that
the resolution ignored the provocation—the kidnap-
10
ping of two Israeli soldiers. Second and more com-
monly, the threat of a veto can persuade countries 0
not to press an initiative. For example, the United 1946– 1956– 1966– 1976– 1986– 1996–
States and Great Britain did not push for Security 1955 1965 1975 1985 1995 2007
Council authorization to take military action against
Iraq in 2003 because it was clear that even if major- The use of the veto in the UN Security Council has changed over the
ity support could be gathered, France and Russia years. In the first two decades of the cold war, Russia cast the vast
would exercise their veto power. In 2006, the race majority of vetoes, and accounts for 47% of the 261 vetoes in UN
for secretary-general was finally decided in an infor- history. In more recent years, U.S. vetoes have become more common,
but the overall number of vetoes has declined sharply.
mal vote in the Security Council. Voting was anony-
mous, but the votes of the P5 were coded distinctly, Source: Global Policy Forum.
and every candidate but Ban Ki-moon received at
least one “discourage” vote from a member with a
veto. Recognizing reality, the other candidates all withdrew, and the Council soon
nominated Ban. The veto can also be a diplomatic tool. The United States, for instance,
has successfully pressured the UN to exempt U.S. troops serving as UN peacekeepers
from the jurisdiction of the International Criminal Court by threatening to veto all
UN peacekeeping operations.

Leadership
It is difficult for any organization to function without a single administrative leader,
and virtually all IGOs have a chief executive officer (CEO). The UN’s administra-
tive structure is called the Secretariat, and the secretary-general is the CEO. The UN
secretary-general and the heads of many other IGOs are more than mere administra-
tors; they are important diplomatic figures in their own right.

The Selection of IGO Leaders

One indication that IGOs are important players on the world stage is the often intense
struggle among member-countries over who will head various IGOs. Clearly, the selec-
tion process would not engender so much sound and fury if it were not important.

Selecting the UN Secretary-General Formally the process of selecting a secretary-

general involves the Security Council nominating one or more candidates for the post
210 CHAPTER 7 Intergovernmental Organizations: Alternative Governance

One sign of the importance of the UN and other IGOs is the spirited contest that
countries wage over who will lead these IGOs. South Korea’s Ban Ki-moon
became the UN’s new secretary-general in 2007, but only after prevailing over
several other candidates. The contest was marked by multiple ballots and
considerable negotiations among Security Council members. Finishing second
was a UN diplomat from India, Under-Secretary-General for Communications
and Public Information Shashi Tharoor, seen here addressing an audience at the
UN in 2007. He was reportedly opposed by the United States as too liberal and
by China, which did not want to see someone from regional rival India holding
the prestigious position.

and the General Assembly then electing that official for a five-year
term. Reality is less democratic than theory. In practice the Secu-
rity Council controls the choice by submitting only one name to
the General Assembly. Moreover, each of the permanent members,
the P5, can and does veto candidates, and still other possible contenders do not even
bother to seek the office because of known opposition from one or more of the P5. The
selection of Secretary-General Ban Ki-moon in 2006 seemed somewhat less contentious
than that of his immediate predecessors, but there was still considerably maneuvering,
most of it behind tightly shut diplomatic doors. Initially, there were seven candidates
for the position. By tradition the name of each had been put forward by his or her
home country, although a number of them, such as Undersecretary-General for Com-
munications and Public Information Shashi Tharoor of India, were self-activated
candidates who had lobbied their country’s government for support. Six of the seven
candidates were from Asia (Afghanistan, Jordan, India, South Korea, Thailand,
Sri Lanka). The seventh, Vaira Vike-Freiberga of Latvia, the only woman in the race,
had no real chance because of the informal rotation of the secretary-generalship among
regions. It had been 25 years since the last Asian secretary-general, U Thant of Burma,
had served, making it time for an Asian to once again take up that post.
The campaigning of the various candidates involved their meeting diplomatic
representatives of various influential countries, members of the Security Council,
and especially the P5. At least some of the home governments also seemed to have
tried to advance their national’s interests. Stories surfaced, for example, that South
Korea was trying to win the support of Security Council member Tanzania for Ban by
increasing its aid to Africa, including a new grant of $18 million for an educational
program in Tanzania. Ban also sought to improve his chances by meeting France’s in-
formal requirement that a secretary-general must speak French. He took a crash
course in French during his candidacy and despite only modest progress, seemed to
have earned a pass from France after reportedly promising to continue his lessons.
Ban seemed to admit both to his poor French and to his commitment to improve
when, after being asked a question in French at a news conference, he replied, “I have
taken French lessons over the last few months. I . . . will continue to study it. [Today,
though], I would prefer to speak in English.”13
After several months of indecisive straw polls in the Security Council, Ban and
Tharoor finally emerged as the front-runners. Then Ban won the day in a final straw
vote in October when he received 14 “encourage” votes, zero “discourage” votes, and
1 “no opinion” vote. Critically, he was the only candidate who did not receive a
“discourage” vote from a P5 member, the equivalent of a veto. Runner-up Tharoor had
10 encourage votes, 2 no opinion votes, and 3 discourage votes, one of which was
fatally from a P5 member. Most speculation about which country had vetoed Tharoor
focused on the United States and its reported concern about his somewhat leftist
 Global IGOs: Focus on the United Nations 211

political leanings. But there were also those who thought China had cast the veto be-
cause it did not want to see Asian rival India receive the prestige of having one of
its citizens serve as secretary-general. In the end, Ban won more because he did
not evoke opposition than because he engendered strong support. That may not be
the optimum standard for appointing the head of the world’s leading IGO. As one
commentary put it, “It would help if the next secretary-general was a brilliant, com-
pelling leader. But to actually be chosen for the job, the candidate must be a person
who offends no one.”14

Selecting CEOs of other IGOs Sharp struggles over who will lead an IGO are not
confined to the UN. For example, there have been spirited contests during changes
in leadership at the WTO. In 1999 the focus was a determined effort by the LDCs to
break the EDC’s monopoly on the top jobs in the leading financial IGOs. The result
was a compromise: An EDC national, Mike Moore of New Zealand, was selected with
the understanding that in 2002 he would step down in favor of Thailand’s Supachai
Panitchpakdi, who would serve until 2005. By contrast, the selection of the WTO’s
current (2005–2009) director-general, Pascal Lamy of France, was relatively smooth.
Like the earlier WTO selection, the LDC challenge was also evident in the selection
of the IMF head, when many non-Western countries backed Egyptian Mohamed
El-Erian. Eventually the unbroken tradition of a European holding that position was
preserved with the selection of Rodrigo de Rato y Figaredo of Spain, but it was one
more instance of what promises to be an ongoing struggle of non-Western countries
to play a greater role in the direction of IGOs and, indeed, the course of world politics.
The basic point is that the jostling among countries, blocs, and regions to appoint
one of their own or someone of their liking to the top jobs indicates how important
these IGOs are.

The Role of IGO Leaders

An issue that swirls around IGO executives is their proper role. The role orientations
of the UN secretary-general and other IGO leaders can range from activism to restraint
(Kille & Scully, 2003). For the most part, the documents that established IGOs
anticipated a restrained role. In the UN Charter, for example, the Secretariat is the last
major organ discussed. That placement indicates the document’s drafters intended a
limited, largely administrative role for the secretary-general. That has not, however,
been the history of the office.

Former UN Secretaries-General Whatever was intended, the first two secretaries-

general, Trygve Lie of Norway (1946–1953) and Dag Hammarskjöld of Sweden
(1953–1961), were activists who steadily expanded the role of their office.
Hammarskjöld argued that he had a “responsibility” to act to uphold the peace “irre-
spective of the views and wishes of the various member governments” (Archer,
1983:148). Hammarskjöld’s approach was epitomized during the civil war that fol-
lowed the independence of the Belgian Congo in 1960. The secretary-general aggres-
sively used UN military forces to try to restore peace. It is somehow sadly fitting that
he died in the area when his plane crashed after reportedly being shot down by one
of the warring factions.
The Soviets were so upset at the activist and what they saw as a pro-Western
stance of Hammarskjöld that they pressed for successors with more restrained con-
ceptions of the role of secretary-general. Over time, however, secretaries-general
have once again tended toward activism. The sixth secretary-general, Egypt’s Boutros
Boutros-Ghali (1992–1996), believed that “if one word above all is to characterize
212 CHAPTER 7 Intergovernmental Organizations: Alternative Governance

the role of the secretary-general, it is independence. The holder of this office must
never be seen as acting out of fear or in an attempt to curry favor with one state or
groups of states.”15 Just as Hammarskjöld’s activism had led him into disfavor, so too
did Boutros-Ghali’s views, and his bid for a second term was denied by a U.S. veto.
Since most secretaries-general have served two terms, Africans argued it was still
their turn, and sub-Saharan Africans were particularly intent on having one of their
number recognized. After extensive maneuvering, the final choice was Kofi Annan, a
career UN diplomat from Ghana. He had a reputation as a capable and moderate
diplomat and administrator, and his personal history (a B.A. degree in economics
from Macalaster College in St. Paul, Minnesota, an M.A. in management from MIT)
helped assuage Washington’s concern that a secretary-general from black Africa
might prove too radical.
During his first term, Annan proved himself more assertive than many predicted
the career bureaucrat would be, but his smoothly diplomatic approach avoided con-
frontations with Washington and other major capitals, and he was easily reappointed
for a second term beginning in 2002. His second term was more contentious, how-
ever, with Iraq becoming a major point of contention between his leadership at the
UN and the Bush administration in Washington. Annan angered the White House
by condemning the U.S. invasion of Iraq as “a fundamental challenge to the princi-
ples on which, however imperfectly, world peace and stability have rested for the last
58 years.”16
Toward the end of what most consider a laudable tenure as secretary-general,
Annan’s stewardship was marred by revelations of corruption in the oil-for-food
program for Iraq that operated from 1996 to 2003. Established to allow Iraq to sell oil
and use the receipts to buy food, medicine, and other humanitarian supplies under
UN supervision, the program became corrupt, with the UN’s program administrator
getting bribes from firms for allowing them to purchase Iraq’s oil and for ignoring
Iraqi diversion of billions of dollars in receipts to prohibited uses. As for suspicions
about Annan himself, a UN investigation headed by Paul Volcker, former head of
the U.S. Federal Reserve Board, concluded, “There is no evidence . . . [that the pro-
gram] was subject to any . . . improper influence of the secretary-general.”17 Annan
was also dogged, as other recent secretaries-general have been, by criticism of the
UN bureaucracy, an issue taken up below.

The Current UN Secretary-General Ban Ki-moon took office as the eighth UN

secretary-general on January 1, 2007. At the time he was chosen, the 62-year-old Ban
was South Korea’s minister of foreign affairs and trade. Among his numerous con-
nections with the United States, Ban served in South Korea’s embassy in Washington,
D.C., and in 1985 he earned a master’s degree in public administration from Harvard
University. Indeed, Ban recalls a pivotal event that “helped to inspire a life of public
service” occurred “in 1962, [when] as an 18-year-old boy from rural Korea, I came to
Washington for the first time . . . [and] was one of a group of lucky teenagers invited
to the White House to meet President Kennedy.”18
Like his two immediate predecessors, Ban was selected in part because of his rep-
utation as a quiet diplomat, one not expected to assertively promote the role of the UN
as an autonomous force in world politics. However, neither Boutros Boutros-Ghali nor
Kofi Annan complied with that expectation. What Ban’s record will be in the long run
remains unclear. He says of himself, “I may look soft from the outside, but I have
inner strength when it’s really necessary.”19
The United States especially wants Ban to do two things. One is to reform the
UN’s administration, as discussed below. Ban has pledged to do that. As one diplomat
 Global IGOs: Focus on the United Nations 213

put it, the new secretary-general wants “to make the [UN] hum like an electronics
factory in Seoul. There are worse fates for the place than to be like Daewoo, I sup-
pose.”20 Washington also hopes that Ban will be more accommodating to U.S. desires
than were Boutros-Ghali or Annan. It remains too early to tell, but Washington will
be disappointed once again if Ban’s start is any indication. Two weeks after taking
office, he traveled to Washington to meet with the president and other top officials.
At the top of their agenda was persuading Ban to support greater UN involvement in
Iraq, thereby relieving some of the pressure on the Bush administration. As Annan
had, Ban rejected this proposal on the grounds that the United States could not make
a mess in violation of UN procedures and then expect the UN to help clean things up.
Ban also renewed his predecessor’s call for the United States to live up to its treaty
obligations and reverse its unilateral reduction of funding for the UN. To add to
Washington’s dismay, he also called on it to close the prison on the U.S. naval base at
Guantánamo Bay, Cuba, where alleged terrorists have been held since 2001.
However Ban’s leadership at the UN develops, the debate over the proper role of Web Link
top officials in other IGOs will continue. The controversy is part of a struggle between If your college does not have
the traditional approach versus the alternative approach to world politics. Tradition- one, you can help start a model
ally, national states have sought to control IGOs and their leaders. As IGOs and their UN program. Information is
leaders have grown stronger, however, they have more often struck out indepen- available on the Web site of the
UN’s Model UN Headquarters at
dently down the alternative path. As Kofi Annan commented, all secretaries-general
www.un.org/cyberschoolbus/
have carried out their traditional duties as chief administrative officer, but they modelun/links_6.asp.
have also to one degree or another assumed another, alternative role, one that Kofi
Annan described as “an instrument of the larger interest, beyond national rivalries
and regional concerns.”21 Presidents and prime ministers have found, as a U.S. diplo-
mat comments, that “you can’t put the secretary-general back in the closet when it’s
inconvenient.”22

Administration and Finance

No organization can be successful unless it is well organized and efficient and also
receives the staffing and budget resources it needs to accomplish its missions. So it is
with the UN, and such matters as staff and finances are important to the function of
the UN and other IGOs, even if they do not often capture the headlines.

Administration
The secretary-general appoints the other principal officials of the Secretariat. How-
ever, in doing so, he must be sensitive to the desires of the dominant powers and also
must pay attention to the geographic and, increasingly, to the gender composition of
the Secretariat staff. Controversies have occasionally arisen over these distributions,
but in recent years the focus of criticism has been the size and effectiveness of the
staffs of the UN headquarters in New York and its regional offices (Geneva, Nairobi,
and Vienna). In this way, the UN is like many other IGOs and, indeed, national gov-
ernments, with allegedly bloated, inefficient, and unresponsive bureaucracies that
have made them a lightning rod for discontent with member-governments.

Administrative Reform Over its existence, critics of the United Nations, especially
those in the United States, have regularly charged that it cost too much, employed too
many people, and managed its affairs poorly. Defenders of the UN reply that many of
these charges reflect animus toward the UN rather than a balanced evaluation. As a
commentary in the Asia Times put it recently, “unrelenting conservative attacks on
the UN were never about ‘mismanagement, waste and corruption’ . . . [They were]
214 CHAPTER 7 Intergovernmental Organizations: Alternative Governance

always about policies and the temerity of the organization and its officials in defiantly
holding onto policies that differed from Washington’s.”23 There is an element of truth
to this accusation, but even defenders of the UN have agreed that the operation of
the organization needed to be improved. Soon after he became secretary-general,
Annan reported to the General Assembly that, to a degree, “over the course of the past
half century certain . . . [UN] organizational features have . . . become fragmented,
duplicative, and rigid.”24 To address these issues, many administrative changes were
instituted, the UN’s regular budget increases have been modest, and the UN’s staff
member numbers have remained static despite significantly increased peacekeeping
operations. There remains, however, considerable discontent in the U.S. government
and elsewhere over the administrative efficiency of the UN, and, as noted, part of the
support of the United States and some other countries for the appointment of Secretary-
General Ban was based on his pledge to continue to reshape the UN administrative
structures and processes.
Gender diversification has been another notable reform. The UN has a relatively
good record compared to most countries for increasing the percentage of manage-
ment positions held by women. They now occupy more than 40% of the professional
posts, up 11% since 1991. And among the most senior UN positions, women fill a third
of the jobs.

Putting Charges of Maladministration in Perspective As with almost any govern-

ment bureaucracy, it is possible to find horror stories about the size and activities of
IGO staffs. The oil-for-food program scandal and the evidence of sexual abuse of
supposedly protected persons by UN peacekeeping troops and personnel that swept
over the UN like a tsunami in 2004 are recent and particularly disturbing examples
(Pilch, 2005). But the charges that the UN and its associated agencies are corrupt and
a bureaucratic swamp need to be put in perspective.
One way to gain insight about the size of the UN staff is to compare it to govern-
ment employment in the United States. Between 1997 and 2007, there was nearly
identical growth in the number of UN employees ( 11.3%) and the U.S. federal, state,
and local government workforce ( 10.8%). The Secretariat’s staff (16,324), which
deals with a world population of 6.4 billion people, is about the same as the staff of
San Antonio, Texas, which has 1.9 million people. The entire staff (57,988, exclud-
ing peacekeeping forces) of the UN and its associated agencies is only slightly larger
than the number (52,200) of municipal employees of Los Angeles, California.
When evaluating UN administration it is important to acknowledge its flaws.
There have been times of poor leadership and scandal at UN headquarters and in
its various agencies. In the most recent of these, Secretary-General Annan was at
least naïve in not ensuring better oversight of the oil-for-food program. Similarly, it
is possible to find instances of ineptitude, wasted money, overstaffing, and other
problems in the UN bureaucracy. However, it also important to recognize that all
these problems occur in national governments, including the U.S. government.
The basic point is that the standards one applies to the leaders of countries and
those of IGOs should not differ. Nor should reactions to bureaucratic blundering.
Within countries, problems may lead to the abolition of a particular agency, but the
thrust is reform, not destruction of the entire government. From this perspective,
it is more reasonable to address problems at the UN through reform rather than
disbanding it.
In the same vein, it is important to see that reforming any large organization is
difficult and usually a slow process. But the task is especially difficult in the UN where
the secretary-general has 192 bosses, each with self-interested views of bureaucratic
 Global IGOs: Focus on the United Nations 215

arrangements and all squabbling among themselves as to what is superfluous

and what is vital. In 2006, for instance, the secretary-general proposed a plan to
create several panels of countries to oversee UN finances, rather than leaving that
task to the large, often unwieldy General Assembly. Many poor countries sus-
pected, with some reason, that the proposal was meant to give additional financial
control to the wealthier countries that contribute most of the UN’s budget.
“We should always remember that we are all equal partners in this organization,
regardless of . . . how much we contribute to the budget of the organization,”
Egypt’s ambassador asserted. With poor countries forming an overwhelming major-
ity in the General Assembly, the proposal never moved forward, a fate that the
British ambassador termed “destructive, a setback for the reform effort.”25 Reflect-
ing such roadblocks, the U.S. General Accountability Office found that 70% of the
reforms that the secretary-general had initiated and could implement on his own
authority had proceeded, but only 44% of 32 reforms needing member-country
approval had made significant progress.26 The implication of this data is that when
members complain about the UN’s operation, they might look to themselves as
barriers to change.

Finance
All IGOs face the problem of obtaining sufficient funds to conduct their operations.
National governments must also address this issue, but they have the power to impose
and legally collect taxes. By contrast, IGOs have very little authority to compel member-
countries to support them.
The United Nations budget system is complex. For the UN in its narrowest
organizational sense, there are two budgets: the regular budget for operating the
UN’s headquarters, its organs, and major administrative units, and the peacekeeping
budget to meet those expenses. Looking at the UN system in a broader sense also
includes the specialized agencies budgets and the voluntary contributions budgets
of the agencies and various other UN associated programs. The agencies raise some
funds based on assessments on members, but they and some other UN programs
rely for most of their funding on voluntary contributions of countries and pri-
vate groups and individuals. UN spending through these budgets has increased
considerably, but as evident in Figure 7.8, the lion’s share of that increase has been
caused by a sharp increase in funds for peacekeeping operations and money going
to various UN socioeconomic programs, rather than to the central administration,
as is sometimes charged. These four budgets and some special budget categories,
such as funding international tribunals, brought the total UN budget for 2006 to
$19.8 billion.
To pay for its regular and peacekeeping operations, the UN depends almost
entirely on assessments it levies on member-countries. By ratifying the UN Charter
and joining the UN, members accept a legal obligation to pay these assessments and
may have their voting privilege in the General Assembly suspended if they fall be-
hind by more than a year. The amount each country is supposed to pay is determined
by a complicated equation formulated by the General Assembly based on national
wealth. As a result, nine countries each have assessments of 2% or more of the bud-
get. They and their percentages of the regular budget are: the United States (22.0%),
Japan (19.5%), Germany (8.7%), Great Britain (6.1%), France (6.0%), Italy (4.9%),
Canada (2.8%), Spain (2.5%), and China (2.1%). At the other end of the financial
scale, about 25% of UN members are assessed at the minimum level, 0.001%. The
assessment level for the specialized agencies is the same as for the regular budget.
Because of their special responsibility (and their special privilege, the veto), permanent
216 CHAPTER 7 Intergovernmental Organizations: Alternative Governance

FIGURE 7.8 UN System Budgets

UN system budgets
($ billions) $5.5

$2.1
Voluntary contributions
$4.8
$3.0

Specialized
agencies
$1.0 Peacekeeping $1.9
$0.2
$0.7 Regular

1986 1991 1996 2001 2006

Total UN budgets Regular $0.7 $1.0 $1.2 $1.1 $1.9

(US$ billions) Peacekeeping 0.2 0.5 1.4 2.7 4.8
Agencies 1.0 1.4 1.9 1.8 2.1
Total assessed $1.9 $2.9 $4.5 $5.6 $8.8
Voluntary 3.0 5.8 6.8 6.8 5.5
Grand total $4.9 $8.7 $11.3 $12.4 $14.3

At the core of the UN financial system are the UN assessed regular and peacekeeping budgets.
To these can be added the assessed contributions that countries incur when they join one of the
12 autonomous specialized agencies, such as the World Health Organization. Yet another layer
could be the voluntary contributions made to the specialized agencies and to numerous other UN
programs, such as the UN Children’s Fund. Notice that the regular, mostly administrative budget
has grown relatively slowly. By contrast, the bulk in the increased funding of the UN and its
specialized agencies has been programmatic: going either to peacekeeping or to socioeconomic
programs.
Data sources: Global Policy Forum online; budgets of UN and agencies.

UNSC members pay a somewhat higher assessment for peacekeeping, with the U.S.
share at 25%. The assessment scheme is criticized by some on the grounds that while
the 9 countries with assessments of 2% or higher collectively pay almost 75% of the
UN budget, they cast just 5% of the votes in the UNGA.
Such numbers are something of a fiction, however, because some countries do
not pay their assessment. Member-states were in arrears on the regular and peace-
keeping budgets by $3.3 billion in late 2006. As a result, the UN’s financial situation
is always precarious at the very time it is being asked to do more and more to provide
protection and help meet other humanitarian and social needs. “It is,” a frustrated
Boutros-Ghali observed, “as though the town fire department were being dispatched
to put out fires raging in several places at once while a collection was being taken
to raise money for the fire-fighting equipment.”27 The analogy between the UN’s
budget and firefighting is hardly hyperbole. During 2006, the public safety (police
and fire departments) budget of New York City was larger than the UN peacekeeping
budget.
Just as it determines many things in this world, U.S. policy toward the UN’s budget
is a key to its financial stability. Some Americans think that their country overpays;
 Global IGOs: Focus on the United Nations 217

DEBATE THE POLICY SCRIPT

Santa or Scrooge? The United States and the UN Budget
From one perspective, Americans may feel like Santa Claus for assessments from 25% to 22% for the core budget and from
their support of the United Nations. After all, the United States 30% to 25% for the peacekeeping budget.
is just 1 of 192 UN members, yet it is assessed 22% of the Most Americans think that their government should pay
UN’s core budget and 25% of its peacekeeping budget. The its debt. A 2002 poll that asked them whether they favored
United States also contributes to the budgets of the UN special- or opposed U.S. payment of its UN debt found 58% in favor,
ized agencies. For 2005 U.S. funding was about $530 million 32% opposed, and 10% unsure.1 As for the annual pay-
for the core budget, about $550 million for the peacekeeping ments, a 2003 survey found that 11% of Americans wanted
budget, and about $900 million for the agencies, for a total just to increase UN funding, 50% wanted to keep it the same,
under $2 billion. 37% wanted to decrease it, and 2% were uncertain.2 How
Two billion dollars sounds like a lot, but it is less extravagant Americans would feel today about funding is unclear. On
from other perspectives. One is that total U.S. funding came the one hand, the oil-for-food scandal and other frustrations
to only about $10.26 per American. That is about 4% of what have undercut American support of the UN. A 2005 poll
the average American spends each year going to the movies. showed considerable disenchantment among Americans
In another context, only $1 out of every $1,200 dollars in the with the UN. Yet the same survey recorded only 13% of its
U.S. budget ($2.4 trillion) for 2005 went to supporting the respondents as favoring a U.S. withdrawal from the UN, and
UN. Focusing on security, Washington spends more every almost 65% saying that the UN plays “a necessary role in
15 hours on its military forces than it did for the entire year on the world today.”3
UN peacekeeping.
Ratcheting down the image of Santa Claus even more, and What Do You Think?
perhaps even casting Americans as Scrooge, is the fact that How would you rewrite the script for the U.S. approach to
the United States is also the UN’s biggest debtor. In early the UN budget? Would you quickly pay off the U.S. debt or
2005, Washington owed $1.4 billion to the UN, accounting for ignore it? How about the level of funding—should Santa Claus
37% of all UN arrearages. This debt persists even after the give less? Should Scrooge give more? Or is U.S. funding of the
United States in 2002 pressured the UN into reducing the U.S. UN about right?

others see the United States as a penurious piker. The debate box, “Santa or Scrooge?
The United States and the UN Budget” asks you to sort out this controversy and decide
the future of U.S. funding of the United Nations.

Activities of the UN and Other IGOs

The most important aspects of any international organization are what it does, how
well this corresponds to the functions we wish it to perform, and how well it is per-
forming its roles. The following pages will begin to explore these aspects by examining
the scope of IGO activity, with emphasis on the UN. Much of this discussion will only
begin to touch on these activities, which receive more attention in other chapters.

Activities Promoting Peace and Security

The opening words of the UN Charter dedicate the organization to saving “succeed-
ing generations from the scourge of war, which . . . has brought untold sorrow to
Web Link
mankind.” The UN attempts to fulfill this goal in numerous ways.
Creating norms against violence is one. Countries that sign the charter pledge to You can watch a wide range of
UN activities, such as press
accept the principle “that armed force shall not be used, save in the common interest”
conferences and Security
and further agree to “refrain in their international relations from the threat or the Council meetings, at the UN
use of force except in self-defense.” Reaffirming the charter’s ideas, the UN (and Webcast site at http://www.un
other IGOs) condemned Iraq’s invasion of Kuwait in 1990, Serbian aggression .org/webcast/index.asp.
218 CHAPTER 7 Intergovernmental Organizations: Alternative Governance

against its neighbors, and other such actions. These denunciations and the slowly
developing norm against aggression have not halted violence, but they have created
an increasing onus on countries that strike the first blow. When, for example, the
United States acted unilaterally in 1989 to depose the regime of Panama’s strongman
General Manuel Noriega, the UN and the OAS condemned Washington’s action. Five
years later, when the United States toppled the regime in Haiti, Washington took care
to win UN support for its action. Of course, norms do not always restrain countries,
as the U.S.-led invasion of Iraq in 2003 demonstrates. Yet the efforts of U.S. and
British diplomats to get a supportive UN resolution underlined the existence of the
norm. Moreover, the angry reaction in many parts of the globe to the Anglo-American
preemptive action and the postwar difficulties during the occupation may, in the long
run, actually serve to reinforce the norm.
Providing a debate alternative is a second peace-enhancing role for the UN and
www some other IGOs. Research shows that membership in IGOs tends to lessen interstate
military conflict (Chan, 2004). One reason is that IGOs serve as a forum in which
SIMULATION
members publicly air their points of view and privately negotiate their differences. The
The Work of UN thus acts like a safety valve, or perhaps a soundstage where the world drama can
the United Nations be played out without the dire consequences that could occur if another “shooting
locale” were chosen. This grand-debate approach to peace involves denouncing your
opponents, defending your actions, trying to influence world opinion, and winning
symbolic victories.
Intervening diplomatically to assist and encourage countries to settle their dis-
putes peacefully is another security role that IGOs play. IGOs engage in such steps as
providing a neutral setting for opposing parties to negotiate, mediating to broker a
settlement between opposing parties, and even deciding issues between disputants in
such forums as the International Court of Justice.
Promoting arms control and disarmament is another IGO security function. The In-
ternational Atomic Energy Agency, a specialized agency, focuses on the nonprolifera-
tion of nuclear weapons. The UN also sponsors numerous conferences on weapons
and conflict and has also played an important role in the genesis of the Chemical
Weapons Convention and other arms control agreements.
Imposing sanctions is a more forceful step to pressure countries that have attacked
their neighbors or otherwise violated international law. As we will see in chapter 12,
sanctions are controversial and often do not work, but they are also sometimes effective
and they additionally serve as an important symbol of the views of the international
community.
Peacekeeping is the best-known way that the UN
and some other IGOs promote peace and security.
FIGURE 7.9 UN Peacekeeping Operations This function is extensively covered in chapter 11, but
16
a few preliminary facts are appropriate here. Through
Number of UN peacekeeping
operations under way 13 early 2007, the United Nations had mounted 61
11
10 peacekeeping operations, and they have utilized mili-
5 5
7 tary and police personnel from most of the world’s
4 Cold war
2 2 3
ends
countries. These operations ranged from very lightly
armed observer missions, through police forces, to
1950 1955 1960 1970 1975 1980 1985 1990 1995 2000 2007
full-fledged military forces. Never before have inter-
national forces been so active as they are now. The
The end of the cold war standoff between the United States and Soviet number of UN peacekeeping operations has risen
Union in the Security Council has freed the UN to conduct many more markedly in the post–cold war era, as shown in
peacekeeping operations since then. Figure 7.9. As of December 2006 there were 16 UN
Data source: UN Department of Peacekeeping. peacekeeping forces of varying sizes in the field at
 Global IGOs: Focus on the United Nations 219

locations throughout the world, with about 81,000 troops and police from 114 coun-
tries deployed. Fortunately, UN peacekeeping forces have suffered relatively few
casualties, but almost 2,300 have died in world service. For these sacrifices and con-
tributions to world order, the UN peacekeeping forces were awarded the 1988 Nobel
Peace Prize.

Social, Economic, Environmental, and Other Activities

In addition to maintaining and restoring the peace, IGOs engage in a wide variety of
other activities. During its early years, the UN’s emphasis was on security, a concern
that has not abated but has been joined by social, economic, environmental, and
other nonmilitary security issues. This shift has been a result of the ebb and eventual
end of the cold war, the growing number of LDCs since the 1960s, realization
that the environment is in danger, and changing global values that have brought
an increased focus on human and political rights. “Peacekeeping operations claim
the headlines,” Secretary-General Annan observed astutely, “but by far the lion’s share
of our budget and personnel are devoted to the lower-profile work of . . . helping
countries to create jobs and raise standards of living; delivering relief aid to victims of
famine, war, and natural disasters; protecting refugees; promoting literacy; and fight-
ing disease. To most people around the world, this is the face of the United Nations.”28
Recent examples of this effort include the UN program to supply emergency relief to
people in the embattled region of Darfur in Sudan and the refugees from there who
have fled to neighboring countries.
It would be impossible to list here, much less fully describe, the broad range of
endeavors in which the UN and other IGOs are involved. Suffice it to say that they
cover most of the issues that humans address at all levels of government. Many of these
activities will be highlighted in subsequent chapters, so this discussion is limited to
a few of the programs and successes of the UN and other IGOs.
Promoting economic development is an important role, with the United Nations
Development Programme (UNDP), the World Bank, and a significant number of
other global and regional IGOs working to improve the economic well-being of those
who are deprived because of their location in an LDC, their gender, or some other
cause. The UNDP alone has a budget of about $1 billion and is the conduit of about
another $3 billion in foreign aid from individual countries in support of thousands
of projects globally. The UN Development Fund for Women (UNIFEM) focuses on
improving the lives of women in LDCs.
Advocating human rights is a closely related IGO function. Beginning with the
Universal Declaration of Human Rights in 1948, the UN has actively promoted dozens
of agreements on political, civil, economic, social, and cultural rights. The UN Com-
mission on Human Rights has used its power of investigation and its ability to issue
reports to expose abuses of human rights and to create pressure on the abusers by
highlighting and condemning their transgressions. In an associated area, the Inter-
national Labour Organization (ILO) leads the global effort to free the estimated
250 million children who are forced to work instead of being sent to school, to end the
sexual predation of children that is big business in some parts of the world, and to
eliminate other abuses that debase the meaning of childhood.
Advancing international law and norms is another important role of the UN and
other IGOs (Coate & Fomerand, 2004). For example, international courts associated
with IGOs help establish legal precedent. IGOs also sponsor multinational treaties,
which may establish the assumption of law. Over 300 such treaties have been negotiated
through the UN’s auspices. As one scholar sees the norm-building function of IGOs,
“The procedures and rules of international institutions create information structures.
220 CHAPTER 7 Intergovernmental Organizations: Alternative Governance

Peacekeeping is the best-known UN activity, but the UN also addresses a broad

range of other needs of the world. One is providing food to starving and dislocated
persons, a mission in evidence in this photograph of two men in the Darfur region
of Sudan with a World Food Program grain sack.

They determine what principles are acceptable as a basis for reduc-

ing conflicts and whether governmental actions are legitimate or
illegitimate. Consequently, they help shape actors’ expectations”
(Keohane, 1998:91).
Improving the quality of human existence has many aspects.
More than 30 million refugees from war, famine, and other dangers
have been fed, given shelter, and otherwise assisted through the
UN High Commissioner for Refugees. A wide variety of IGOs also
devote their energies to such concerns as health, nutrition, and liter-
acy. For example, UNICEF, WHO, and other agencies have under-
taken a $150 million program to develop a multi-immunization
vaccine. This vaccine program is designed to double the estimated
2 million children who now annually survive because of such
international medical assistance. The Food and Agriculture Organi-
zation (FAO) has launched a program to identify, preserve, and
strengthen through new genetic techniques those domestic ani-
mals that might prove especially beneficial to LDCs. Western
breeds of pigs, for example, usually produce only about 10 piglets
per litter; the Taihu pig of China manages 15 to 20. The FAO hopes
to use the latter and other appropriate animals to increase protein
availability in the LDCs.
Guarding the environment is one of the newer roles of IGOs.
Beginning with the UN Conference on Environment and Develop-
ment (dubbed the Earth Summit) in 1992, the UN has sponsored
several global meetings on the environment. These have resulted
in the initiation of programs that will slow down, stop, or begin to
reverse the degradation of the environment. IGOs are increasingly also requiring that
environmental impact statements accompany requests for economic development
aid and in some cases are refusing to finance projects that have unacceptable negative
impacts on the biosphere.
Encouraging independence through self-determination has long been a role
of IGOs. The UN Trusteeship Council once monitored numerous colonial depen-
dencies, but the wave of independence in recent decades steadily lessened its
number of charges. When in October 1994 Palau gained its independence from
the United States, the last trust territory was free. Therefore, the Trusteeship
Council’s mission was fulfilled and, while it continues to exist technically, it no
longer meets.

Evaluating Global IGOs

The UN has existed for only a little more than 60 years. Most other IGOs are even
younger. Have they succeeded? There are good and dubious standards to use when
evaluating an IGO.
Fulfillment of ultimate goals is one dubious standard. Article 1 of the UN Charter
sets out lofty goals such as maintaining peace and security and solving economic,
 Global IGOs: Focus on the United Nations 221

social, cultural, and humanitarian problems. Clearly, the world is still beset by
violent conflicts and by ongoing economic and social misery. Thus, from the per-
spective of meeting ultimate goals, it is easy to be skeptical about what the UN
and other IGOs have accomplished. One has to ask, however, whether the meeting
of ultimate goals is a reasonable standard. There is, according to one diplomat, a
sense that “failure was built into [the UN] by an extraordinary orgy of exaggerated
expectations.”29
Acquiescence to your goals is another dubious standard. The United Nations
is decidedly not meant to consistently help advance the policy goals of any indi-
vidual country, especially if those goals clash with others. As the world’s domi-
nant power and the UN’s largest contributor, the United States has been frequently
frustrated with its inability to bend the UN to its wishes. President Bush was
especially harsh after the UN refused to support the invasion of Iraq in 2003.
Acknowledging the UN’s stress with the United States, Secretary-General Ban
traveled to Washington soon after taking office to try to mend fences. “But,” he
told an audience, “let me be clear: a constructive partnership between the U.S.
and the UN . . . should not advance at the expense of others. Every one of our
member-states has the right to be heard, whatever the size of its population or
its pocketbook.” Moroever, Ban continued, people around the world “in whose
name the United Nations was founded, have the right to expect a UN which serves
the needs of people everywhere. That is, after all, the only kind of UN they will
respect.”30
What is possible is a better standard by which to evaluate the UN and other IGOs.
Insofar as the UN does not meet our expectations, we need to ask whether it is a flaw
of the organization or the product of the unwillingness of member-states to live up to
the standards that countries accept when they ratify the charter.
Just as President Bush and others castigated the UN for not supporting the war
with Iraq, others berated the UN for not stopping the U.S. invasion. Reflecting on his
decade as secretary-general, Kofi Annan told an audience, “The worst moment, of
course, was the Iraq war, which, as an organization, we couldn’t stop. I really did
everything I could to try to see if we could stop it.”31 But of course, there was nothing
he could do given UN resources. At a less dramatic level, simply paying their assess-
ments regularly and on time is another thing more countries could do. In the end, the
UN will also work better if countries try to make it effective. It is a truism, as Kofi
Annan put it, that there is a “troubling asymmetry between what the member-states
want of the [UN] and what they actually allow it to be.”32
Progress is a second reasonable standard by which to evaluate the UN and other
IGOs. Is the world better off for their presence? That is the standard Kofi Annan
appealed for when he urged, “Judge us rightly . . . by the relief and refuge that we
provide to the poor, to the hungry, the sick and threatened: the peoples of the world
whom the United Nations exists to serve.”33 Between its 50th and 60th anniver-
saries, the United Nations surpassed all previous marks in terms of numbers of
simultaneous peacekeeping missions, peacekeeping troops deployed, and other in-
ternational security efforts. The Millennium Development Goals (MDGs) that the
members of the UN unanimously adopted in 2000 for attainment by 2015 “have
become the principal global scorecard for development,” and the record shows that
while much remains to be done, much has been accomplished by the UN to address
the world’s social, economic, and environmental problems. The UN kicked off the
21st century by sponsoring a series of global conferences on issues such as racism
(Durban, 2001), aging (Madrid, 2002), sustainable development ( Johannesburg,
2002), financing for development (Monterrey, 2002), small islands (Mauritius, 2005),
222 CHAPTER 7 Intergovernmental Organizations: Alternative Governance

FIGURE 7.10 Global and the information society (Tunis, 2005). Such con-
Opinion of the UN ferences and other planning efforts have not been
all talk and no action. One MDG goal was to reduce
Germany 87% 6% 7% the child (under age 5) mortality rate in the LDCs
Spain 78% 12% 10% by two-thirds by 2015, from its 1990 level (10.3%).
Philippines 77% 5% 18% By 2004, that rate was down to 8.6%, good progress
Indonesia 77% 14% 9% toward the 2015 goal of 6.9%.
Great Britain 75% 5% 20% World opinion is a third good standard. There
Australia 74% 9% 17% is an old saw about not being able to fool all the
Canada 72% 6% 22% people all of the time, and the UN earns good marks
Mexico 71% 24% 5% from the average person around the world. One
China 69% 13% 18% survey of people in 43 countries found that 67%
South Africa 64% 10% 26% said the UN was having a good impact on their
Average 64% 16% 20% country. Only 20% saw a negative impact, with 13%
Japan 64% 33% 3% unsure. A related question to test attitudes is to ask
Poland 61% 28% 11% whether people want the UN to play an even more
Brazil 60% 18% 22% prominent role than it does. Another survey did
United States 59% 4% 37% that, and it showed, as detailed in Figure 7.10, most
Italy 58% 9% 33% people do.
Lebanon 58% 24% 18% Whether alternatives exist is a fourth solid
Russia 57% 32% 11% standard by which to evaluate the UN and other
South Korea 56% 6% 38% IGOs. John Bolton, the U.S. ambassador to the
India 55% 22% 23% UN (2005–2006), once caustically commented that
France 54% 9% 37% if 10 of the UN headquarter’s 38 floors were elimi-
Chile 54% 29% 17% nated “it wouldn’t make a bit of difference.”34 Even
Argentina 44% 34% 22% if Bolton’s opinion that “there’s no such thing” as a
Turkey 40% 36% 24% well-functioning UN was correct, one must ask, If
Good Unsure Bad not the UN and other international organizations,
Would a more powerful UN be a then what? Can the warring, uncaring world con-
mostly good or mostly bad thing? tinue unchanged in the face of nuclear weapons, per-
sistent poverty, an exploding population, periodic
One indication of the generally favorable attitudes toward the United
Nations worldwide was evident in a survey in 23 countries that asked mass starvation, continued widespread human rights
people whether they thought it would be “mainly positive or mainly violations, resource depletion, and environmental
negative” for the UN to become “significantly more powerful in world degradation? Somehow the world has survived these
affairs.” A majority in all but two countries saw the possibility as a plagues, but one of the realities that this book hopes
good thing. to make clear is that we are hurtling toward our des-
Data source: BBC World Service Poll, March 2005; data supplied by the Program on tiny at an ever-increasing, now exponential speed.
International Policy Attitudes. In a rapidly changing system, doing things the old
way may be inadequate and may even take us down
a road that, although familiar, will lead the world to cataclysm. At the very least, as
Secretary of State Madeleine Albright noted, “The United Nations gives the good
guys—the peace-makers, the freedom fighters, the people who believe in human
rights, those committed to human development—an organized vehicle for achieving
gains.”35
This returns us to the question, If not the UN, then what? There may be consid-
erable truth in the view of the British ambassador to the UN that “it’s the UN, with all
its warts, or it’s the law of the jungle.”36 It is through this jungle that the road more
familiar has passed, and following it into the future may bring what Shakespeare was
perhaps imagining when he wrote in Hamlet of a tale that would “harrow up thy soul,
[and] freeze thy young blood.”
 Regional IGOs: Focus on the European Union 223

REGIONAL IGOs:
FOCUS ON THE EUROPEAN UNION

Even more than has been true for global IGOs, the growth of regional IGOs has been
striking. Prior to World War II there were no prominent regional IGOs. Now there
are many, and they comprise about 75% of all IGOs. Most are specialized, with re-
gional economic IGOs, such as the Arab Cooperation Council, the most numerous.
Other regional IGOs are general purpose and deal with a range of issues. Examples
are the African Union (AU, formerly the Organization of African Unity, OAU) and
the Organization of American States (OAS).
Another noteworthy development regarding regional IGOs is that some of them
are transitioning from specialized to general-purpose organizations. The Association
of Southeast Asian Nations (ASEAN) was founded in 1967 to promote regional eco-
nomic cooperation. More recently, though, ASEAN has begun to take on a greater
political tinge, and, in particular, may serve as a political and defensive counterweight
to China in the region. The Economic Community of West African States (ECOWAS)
has also expanded its roles. It was created in 1975 to facilitate economic interchange,
but it has since established a parliament and a human rights court. ECOWAS has also
taken on regional security responsibilities and intervened in civil wars raging in the
Ivory Coast, Liberia, and Sierra Leone. Beyond any of these examples of regional
IGOs, the best example of regionalism is Europe. There, the European Union, with its
27 member-countries, has not only moved toward full economic integration, it has
also achieved considerable political cooperation.

The Origins and Evolution of the European Union

The European Union (EU) has evolved through several stages and names. “What’s in
a name?” you might ask, echoing Shakespeare’s heroine in Romeo and Juliet. As she
discovered, the names Capulet and Montague proved important. So too, the name
changes leading up to the current EU are important in the tale they tell.

Economic Integration
The EU’s genesis began in 1952 when Belgium, France, (West) Germany, Italy,
Luxembourg, and the Netherlands created a common market for coal, iron, and steel
products, called the European Coal and Steel Community (ECSC). Its success prompted
the six countries to sign the Treaty of Rome on March 25, 1957, which established the
European Economic Community (EEC) to facilitate trade in many additional areas
and the European Atomic Energy Community (EURATOM) to coordinate matters in
that realm (Dinan, 2004).
Continued economic success led the six countries to found an overarching orga-
nization, the European Communities (EC), in 1967. Each of the three preexisting
organizations became subordinate parts of the EC. Then in 1993 a new name, the
European Union, was adopted to denote both the existing advanced degree of inte-
gration and the EU’s goal of becoming a single economic entity.
Even more significant was the adoption of a single currency, the euro, by most of
the EU’s members in 2002 (Martin & Ross, 2004). As the financial transactions
among the EU’s countries rapidly grew, it became clear that continually converting
currencies from one to another made little sense. Therefore in the early 1990s, the
EU agreed to move toward a common currency. Once the new currency was ready for
224 CHAPTER 7 Intergovernmental Organizations: Alternative Governance

launch, only those countries that met certain criteria for sound governmental finan-
cial management (such as limited inflation and budget deficits) could adopt the euro.
With a few exceptions, all countries are required to move toward that point and to
adopt the euro. In 2002 it went into general circulation in countries using it, while
their traditional currencies ceased to be legal tender. As of the EU’s 50th birthday in
2007, 13 of the EU countries were using the euro, and a number of small, non-EU
countries, such as Monaco, had also adopted it. Of the older EU members, Great
Britain, Denmark, and Sweden still do not use the euro for various reasons. Of the
countries that have joined the EU since 2004, Slovenia already uses the euro, and
the rest of the newer members are slated to transition to the euro once they achieve the
required benchmarks of financial stability.
Creating the euro was important both economically and politically. Economi-
cally, it has tied the EU members even closer together by eliminating one of the hall-
marks of an independent economy, a national currency. Adding to the economic
importance of adopting a common currency that may well one day overspread an
entire continent, there is great political symbolism in the replacement of Germany’s
Deutsche Mark, France’s franc, Italy’s lira, and other countries’ national currencies
with a common currency.
Adding to the EU’s momentum provided by its new currency, 10 new members
joined it in 2004 and 2 more in 2007, bringing the total to 27, as detailed in Figure 7.11.

FIGURE 7.11 The European Union

European Union
Finland
Executive Political Leadership Norway
Council of the European Union
Bureaucracy Sweden Estonia
European Commission Denmark Latvia
European Central Bank Ireland Great
Netherlands Lithuania
Britain
Oversight Agencies
European Ombudsman
Court of Auditors Belgium Poland
Germany
Luxembourg Czech
Legislature Republic
European Parliament Slovakia
France Austria
Judicial Hungary
Switzerland Slovenia Romania
Court of Justice Croatia
Portugal
Spain Italy Bulgaria
Macedonia
Original EU members (1967)
Greece Turkey
Members joining 1973–1995 Applicants for EU membership

Members joining 2004–2007 Have rejected EU membership Malta

Cyprus

The world’s most integrated regional organization is the European Union. It has expanded from the six
original countries that established the European Economic Community in 1958 to 27 countries today.
The EU’s focus is primarily economic, but it has become increasingly integrated on matters of the
environment, human rights, and other policy areas.
 Regional IGOs: Focus on the European Union 225

Three more countries have applied for EU membership, and the eventual, if not quite
stated, goal of the EU is to encompass all the region’s countries (Poole & Baun, 2004).
In the words of one top EU official, “There will be no such things as ‘in countries’ and
‘out countries’; rather there will be ‘ins’ and ‘pre-ins.’”37
For about 30 years, European integration focused on economics. Members of the
EC grew ever more interdependent as economic barriers were eliminated. Over the
years, the EC members moved toward economic integration and empowering the EC
by such steps as abolishing all tariffs on manufactured goods among themselves,
establishing a common external tariff, bargaining collectively through the EC with other
countries in trade negotiations, and creating a revenue source for the EC by giving
it a share of each country’s value-added tax (VAT, similar to a sales tax) and money
raised by tariffs on imported goods. Making official what was already under way, the
EC members agreed to the Single European Act (SEA) of 1987, which committed
the EC to becoming a fully integrated economic unit.

Political Integration
There comes a point where economic integration cannot continue without also taking
steps toward political integration. This occurs because it is impossible to reach full
economic integration among sovereign states whose domestic and foreign political
policies are sometimes in conflict. Moreover, as the people unite economically, it is
easier to think of becoming one politically.
Having reached this point by the 1990s, the EC’s members moved forward by
agreeing to the far-reaching Treaty on European Union (1993). Also known as the
Maastricht Treaty, it laid the foundation for increased political integration. As one
step in that direction, European citizenship was expanded. People can now travel
on either an EU or a national passport, and citizens of any EU country can vote in
local and European Parliament elections in another EU country in which they live.
The Maastricht Treaty called for the EU to act increasingly as a political unit by even-
tually creating a common foreign and defense policy and a common internal policy
relating to such issues as crime, terrorism, and immigration. Gradually, such ideas
have moved toward reality. For example, the EU and the United States exchange
ambassadors. Moving even further, the Treaty of Amsterdam (1999) strengthened EU
political integration by such steps as enhancing the powers of the president of the EU
Commission and the European Parliament (EP). Four years later, the Treaty of Nice
(2003) set the stage for further expansion of the EU’s membership by detailing polit-
ical arrangements—such as the distribution of seats or votes in the EP—that would
occur as new member-countries join the EU.
The EU has also taken on the symbols of a state. It has a flag and has adopted Web Link
the European Anthem. The anthem has no words in recognition of the EU’s linguistic You can hear the European
diversity. However, its melody, the “Ode to Joy” movement of Ludwig van Beethoven’s Anthem at: http://europa.eu./
Ninth Symphony (1823), was chosen because it refers to Friedrich von Schiller’s abc/symbols/anthem/index
poem, “Ode to Joy” (1785), which expresses hope for a time when “All men become _en.htm.
brothers.” This view is also evident in the EU’s motto, “United in diversity.” Adding
substance to symbolism, the EU has also voted to create a European constitution, an
undertaking that we will explore in a later section (Cowles & Dinan, 2004).

Governance of the European Union

The EU’s organizational structure is complex, but a brief look at it helps illustrate the
extent to which a regional government exists. As an IGO, the governance structure
of the EU is not exactly a government, but it is arguably moving in that direction and
226 CHAPTER 7 Intergovernmental Organizations: Alternative Governance

it shares most of the institutional characteristics of a government. Moreover, like a

government, the structure and the authority of the various EU units play an impor-
tant part in determining how policy is made (Meunier, 2000). Figure 7.11 gives a
brief overview of this structure. The EU’s government can be divided for analysis into
its political leadership, bureaucracy, legislature, judiciary, and other review agencies.

Political Leadership
Political decision making is centered in the Council of the European Union, formerly
called the Council of Ministers. It meets often with ministers of member-countries
(such as finance ministers) in attendance. The Council meets twice a year as a gather-
ing of the prime ministers and other heads of government, and on its own authority,
or along with the European Parliament, it decides on the most important policy direc-
tions for the EU, including the direction of its Common Foreign and Security Pol-
icy. Assisting the Council is an administrative staff called the General Secretariat
headed by the Secretary-General of the Council. This post has become increasingly
important in recent years, with its incumbent (Spain’s Javier Solana since 2004)
speaking for the Council in international relations and exercising other visible and
key roles.
Most Council sessions are held in Brussels, Belgium, the principal site of the EU
administrative element. Decisions are made by three voting plans. Routine procedural
decisions require a majority vote. A weighted-vote plan termed a qualified majority vote
is used for most decisions. Under this plan, there are 345 votes, with four countries
(France, Germany, Great Britain, and Italy) each having 29 votes, and the votes of the
other 23 members ranging from 27 (Spain and Poland) to 3 (Malta). Voting procedures
are complex, but a qualified majority means meeting three standards: (a) a majority
(14) of countries, (b) 255 or more votes, and (c) the votes of countries that represent
at least 62% of the EU’s population. A third voting plan, a unanimous vote, is required
for votes on taxation, defense, foreign affairs, and a few other matters. The advantage
of the voting rules is that the qualified majority and unanimous vote plans require a
high degree of consensus in Europe before the EU can adopt policies that one or more
of its members oppose. This check has made moving forward along the economic
and political integration tracks easier because the sense of sovereignty that EU mem-
bers retain seems less threatened. The downside of the Council of Ministers’ voting
rules is that the supermajorities required for most votes make it very difficult to move
forward on controversial issues and promotes stalemate.

Bureaucracy
The EU’s bureaucracy is organized under the European Commission, which adminis-
ters policy adopted by the Council and the Parliament and can also propose legislation
to those branches. There are 27 commissioners, one from each country, who serve five-
year terms and act as a cabinet for the EU. One of the commissioners is selected by
the Council of the European Union to be President of the Commission. This official
serves as the EU’s administrative head and is the overall director of the EU bureaucracy
headquartered in Brussels. Each of the remaining 26 commissioners head a ministry
overseeing one or another functional areas. This practice of having a minister from
each country has arguably led to an overly large commission and a fragmented bu-
reaucratic structure, including a ministry of multilingualism, as the number of EU
members has grown.
Counterbalancing the commission’s fragmentation, the post of president has
evolved into one of the most significant in the EU. A great deal of that evolution can
also be attributed to Jacques Delors, a French national who served as president from
 Regional IGOs: Focus on the European Union 227

1985 through 1994 and who became known as “Mr. Europe” because of his strong
advocacy of European integration. Delors and his staff created a core structure, infor-
mally referred to as “Eurocracy,” which has a European point of view, rather than a
national orientation. As of 2007, the Commission’s president was José Manuel Barroso
of Portugal.
One of many indications of the importance of the Commission, as well as the
political integration of Europe, is the emergence of an ever larger, more active, and
more powerful EU infrastructure. The EU’s administrative staff has about quadrupled
since 1970 to about 25,000 today. The annual number of EU regulations, decisions,
and directives from one or the other EU body has risen from 345 in 1970 to over 600.
The EU’s 2007 budget was about $164 billion. About 70% of this comes from member-
countries contributing 0.73% of their respective gross national products (GNP, also
called gross national income), with the remaining 30% coming about evenly from
EU tariff revenues and the value added tax (VAT), a type of sales tax.
As occurs in the United States and every other country, the bureaucracy in the
EU is a lightning rod for much of any dissatisfaction that exists with the govern-
ment. Typical of the criticism, the British newspaper Daily Mail charged in 2007 that
“Brussels bureaucrats have produced so many [regulations]—many of them completely
unnecessary—that the paperwork weighs more than a ton, the same as a whale or
rhinoceros,” and if laid out in a line “would be over 120 miles long.”38 Commenting
further on the reported 667,000 pages of administrative regulations instituted since
1957, the newspaper derisively noted, among other things, a requirement that teach-
ers “assess how noisy school children can be”; a “Working at Height Directive” that
made it so difficult to use ladders on a job that “one priest had to pay an expert
£1,300 [about $2,500] to change a light bulb in his church”; a “50-page-long direc-
tive on the use of condoms”; and a 24-page directive on work boot safety.

Some sense of the importance

of the EU in the lives of
Europeans is captured in
this photograph of farmers
demonstrating in Brussels, the
EU’s “capital,” about a plan by
the EU to cut price supports
for sugar. The SOS banner
on top reads, “The European
Commission exterminates us.”
The name on the cuff of the
fist is that of Franz Fischler,
the EU commissioner of
agriculture. The plant on the
Spanish flag is a sugar beet.
228 CHAPTER 7 Intergovernmental Organizations: Alternative Governance

Oversight Agencies
The EU has two unusual regulatory oversight structures. One of these is the European
Ombudsman, who is appointed by the European Parliament. EU residents or organi-
zations who believe they are being treated unfairly by EU authorities can ask the
office of the ombudsman to investigate. If it feels that an injustice has been done, the
office can recommend remedial action to EU agencies and can also make recommen-
dations to the European Parliament for legislative action.
Did You Know That:
A second oversight institution is the Court of Auditors. Each member-country
The 2007 EU budget ($164 has one member on the Court, which directs a staff that oversees the EU budget to
billion) is larger than the
budgets of all but 16 of the
ensure that it is legally implemented, adheres to established policy, and is soundly
world’s countries. managed. The Court has no independent corrective authority, but it can make recom-
mendations to the Council and the Parliament.

Legislature
The European Parliament (EP) serves as the EU’s legislative branch and meets in
Strasbourg, France. It has 785 members who are elected to five-year terms, apportioned
among the EU’s 27 countries on a modified population basis. The most populous coun-
try (Germany) has 99 seats; the least populous country (Malta) has 5 seats. Delegates
to the assemblies of most IGOs are appointed by their government, but members of the
EP are elected by voters in their respective countries (Scully & Farrell, 2003). Further-
more, instead of organizing themselves within the EP by country, the representatives
have tended to group themselves by political persuasion. As it stood in early 2007,
the center-right coalition, the European People’s Party, was the largest of 8 blocs with
35% of the seats, followed by the mildly left Socialists Group with 27% of the seats. The
remaining seats were divided among six other groups, ranging from the centrist
Alliance of Liberals and Democrats (14%) to far-left and far-right blocs, each with
approximately 5% of the seats. Reflecting Europe’s propensity to elect more women to
office than any other world region (see chapter 5), females made up a third of the EP
membership.
The EP’s role began as a mostly advisory authority, but it has grown. It now has
Did You Know That:
“co-decision” legislative authority with the Council of the European Union on the EU
Alessandra Mussolini,
budget and a significant range of other policy matters. Parliamentarians also confirm
granddaughter of Italian
dictator Benito Mussolini, is the members of the European Commission and its president. Demonstrating the
a member of the European import of that authority, the EP refused to confirm any of the list of commissioners
Parliament’s far-right bloc, submitted in 2004 by the new President of the Commission, José Manuel Barroso, until
the Identity, Tradition, and he replaced Italy’s Rocco Buttiglione as the EU’s Commissioner for Justice, Freedom, and
Sovereignty Group.
Security. Legislators objected to his comments that homosexuality is a “sin” and that
the purpose of families is “to allow women to have children and to have the protection
of a male who takes care of them.”39 The EP also can veto some regulations issued by
it (Maurer, 2003). In one recent example, members voted nearly unanimously to block
a rule that would have made it easier to patent software. The commission claimed the
rules would better protect innovations; the parliamentarians believed that the rules
would have blocked new innovators from entering the software field.

Judiciary
The Court of Justice is the main element of the judicial branch of the EU. The 27-judge
court—one justice from each EU county—sits in Luxembourg and hears cases brought
by member-states or other EU institutions and sometimes acts as a court of appeals
for decisions of lower EU courts. Only rarely does the full court hear a case. Instead,
almost 90% of the cases are heard by 3- or 5-judge panels. This allows the court to
deal with a much higher number of cases (400 to 500 a year) than the U.S. Supreme
Court (about 75 cases a year).
 Regional IGOs: Focus on the European Union 229

The combined treaties of the EU are often considered its collective “constitution”
in lieu of a formal constitution. Like the EU’s other institutions, the courts have gained www
authority over time. They can strike down both EU laws and regulations and those of
member-countries that violate the basic EU treaties. In 2006, for example, the Court
ANALYZE THE ISSUE
invalidated an EU-U.S. agreement made soon after 9/11 by which the EU was giving The Future Direction of the
American officials 34 items of personal information about any passenger leaving on a European Union
flight to the United States. The European Parliament had objected that the EU Com-
mission lacked a legal basis to make such an agreement, and the court agreed. Another
bit of evidence of the mounting influence of the court is that its workload became so
heavy that in 1989 the EU created a new, lower court, the Court of First Instance,
which hears cases related to the EU brought by corporations and individuals.

The Future of the EU

Part of the story of the EU is its rapid evolution, beginning with the formation of the
ECSC in 1952. Within just a few decades, much of Europe had been transformed
from a continent marked by perpetual rivalry and frequent war to a continent largely
at peace, with a high degree of economic integration, and with the beginning of
significant political integration as well. In the grand sweep of human history, the
approximately 50 years in which all this happened was a proverbial blink of the eye.
Heartened by their unbroken string of successes moving European integration for-
ward, EU leaders turned their focus to taking the next logical integrative step, writing
and adopting an EU constitution.

Campaign for a Constitution

Drafting the constitution began in 2002 when a convention chaired by former
French President Valery Giscard d’Estaing met to write it. The resulting document
was completed in 2004. Its details are complex, but it was designed to considerably
strengthen the EU institutions, to give the EU greater authority in areas such as
immigration, to extend the rights of EU citizens, to make passing of laws easier for
the Council, and to create some new posts, such as a fixed-term (instead of rotating)
president of the Council of the Europe Union and a foreign minister in order to
strengthen the EU’s executive branch. In sum, it would have moved the EU further
toward the centralization of authority on the scale of the division of power in
Figure 7.3 on page 203.
To take effect, however, the constitution required ratification by the member-states,
with each able to decide its own ratification process (Gilbert, 2004; Calleo, 2003).
Fifteen members opted to have their parliaments alone consider the issue. The other
10 states chose either a binding or nonbinding referendum as part of that process.
Initially, prospects for the adoption of the constitution seemed good. It enjoyed Did You Know That:
strong support among the most established leaders in Europe. Not only did the heads People generally dismissed
of every EU country sign it, but in January 2005 the EP endorsed it by a vote of 500 the prediction of the great
to 137, with 40 abstentions. Moreover, early polls also indicated solid public support, novelist Victor Hugo in 1849
that, “A day will come when
including a proconstitution majority in every country except Great Britain. The rati- you, France; you, Russia; you,
fication process also began smoothly in November 2004 when Lithuania’s parlia- Italy; you, England; you,
ment consented to the constitution by a lopsided 84 votes in favor and a mere 4 Germany; you, all nations of
against. Parliaments in eight other countries added their ratifications by equally one- the continent; without losing
sided votes in the months that followed. And in the first referendum test, 77% of your distinctive qualities and
glorious individuality, will be
Spanish voters approved the document. merged within a superior
However, as the dates for referendums in a number of countries drew closer and unit.”
as the debate over the constitution heated up and put the issues in sharper focus,
230 CHAPTER 7 Intergovernmental Organizations: Alternative Governance

opinion in some countries began to turn negative. France was es-

pecially worrisome because of its size and importance to the EU
and because French voters had approved the Maastricht Treaty by
only a slim 2% margin in 1994. President Jacques Chirac went on
television to urge a yes vote, but his appeal was unsuccessful, and
55% of French voters cast a no ballot. A few days later, the Dutch
also defeated ratification, with 62% voting against it. No single factor
could be attributed to the French or Dutch rejection votes (Brouard
& Tiberj, 2006; Milner, 2006; Stefanova, 2006).
A postreferendum poll in France found that among those who
voted no, about half voiced an economic concern, such as fear that
jobs would be lost to new, lower-wage member-countries in Eastern
Europe, or to workers from those countries traveling to France.
Another common reason among no voters was seeing their vote as
a rejection of President Chirac’s leadership. Much less common
were objections to the basic idea of the EU or further integration,
such as opposition to Turkey’s potential membership, loss of sover-
eignty, oppositions to the EU per se, and opposition to “a United
States of Europe.”40 Dutch no voters were much more diverse in
what caused their decision. The most common answers were lack of
information (32%), loss of sovereignty, and voting no to reject the
The possibility of predominantly Muslim Turkey
current Dutch government. In contrast to France, economic concern
becoming a member of the European Union was one seemed to play only a minor role.41
factor that led voters in France and the Netherlands Some of the negative sentiment had to do with domestic discon-
to reject the EU’s constitution. Now Turkey’s hopes of tent with the French and Dutch governments that were supporting
joining the EU are even dimmer than before. ratification. Still, the votes also signaled popular discontent with the
simultaneous “wide and deep” pace of EU evolution. Voters were un-
settled with the rapid pace of wider expansion in the number of EU member-countries
at the same time the constitution called for even deeper EU political integration. For ex-
ample, EU economic growth has lagged in recent years, unemployment is much higher
than in the United States or Japan, and Western European workers worried that they
would be competing for jobs. Polls also showed discontent with what voters saw as the
EU burgeoning bureaucracy and budget and concerns that they were losing control of
their country to the EU. Among other points, voters were worried that EU rules would
force them to accept increased numbers of immigrants from North Africa and else-
where. The strong anti-immigrant tide in Europe, increased anti-Muslim sentiments,
and the prospect of Muslim Turkey joining the EU also added to the no vote.

Reflecting on the EU’s Future

In the aftermath of the double body blow to the EU constitution, some supportive
leaders put on a brave front and urged the process to go on with France, Holland, and
any other country that said no being given a second chance to say yes. But reality
soon set in, and EU leaders suspended the adoption process for a “period of reflec-
tion” (Hooghe & Marks, 2006). When that period ends is uncertain, but there are
signs that Europe’s leaders will once again try to convince the citizenry to endorse
greater integration through an EU constitution. In 2007, for example, German
Chancellor Angela Merkel declared in a speech to the European Parliament that,
“It is in the interest of Europe, its member-states and its citizens to bring this process
[adoption of a constitution] to a successful conclusion. A collapse in that process
would be a historic failure. We must give a soul to Europe.”42 In addition to their
belief that the EU has promoted peace and prosperity in Europe, many of the conti-
nent’s leaders also are intent on reviving the growth and integration of the EU
 Regional IGOs: Focus on the European Union 231

because of the looming shadow of a hegemonic United States (Hassler, 2004).

Expressing that sentiment in 2005, President Chirac urged French voters to ratify
the EU constitution as a way of avoiding an “Anglo-Saxon, Atlanticist Europe . . .
dominated by America.” Chirac warned, “We [cannot] defend our interests alone.
We can only defend them collectively, and if Europe is united. . . . Otherwise, we’ll be
swept away.”43
Whether Chancellor Merkel and others who favor further integration and expan-
sion of the EU can persuade the EU public to follow them remains unclear. Most
Europeans have a positive view of the EU and in the abstract believe that its expan-
sion has been positive. However, a majority of Europeans also worry that further
expansion will hurt their country’s employment situation. Moreover, while Merkel
and many European leaders believe in a neofunctionalist, top-down approach that
will increase European integration by creating constitutions and institutions that tie
Europeans together, the public tends to be more functionalist, favoring a bottom-up
approach that stresses creating common economic and cultural conditions before
taking legal steps. This sense is evident in Figure 7.12.
Each step toward integration encounters increasingly tougher barriers as political
sovereignty and other traditional orientations are lessened (Gilbert, 2003). Making the
change in people’s minds from being German, French, or some other nationality toward
increasingly identifying as European is crucial. Yet it has only just begun and must
overcome many centuries of tradition, therefore facing an uncertain future (Hermann,
Risse, & Brewer, 2004). It could be that Europe’s leaders will be able to ease the concerns
of voters over such matters as loss of sovereignty, jobs, and immigration and quickly
move the EU further. That seems improbable in the current climate in Europe, but
then the rapid growth and integration of the EU to date once seemed improbable and

FIGURE 7.12 Opinion on the EU’s Future

Common language 22%
3 Bottom-up
functionalist Common currency 26%
replies
Common living standards 51%

Well-defined border 19%

3 Top-down
neofunctionalist Common army 9%
replies
EU constitution 25%

Other 11%

What would help the EU future most?

The drive to expand the European Union and increase its economic and political integration has been
accomplished by European leaders often using a top-down, neofunctionalist approach of creating
institutions and laws with the belief that social and other forms of integration would follow. The resistance
of the EU public to this approach alone was evident in the rejection of the EU constitution in 2005. This
figure shows that when asked what one or two things would help the EU’s future most, the public is more
likely to favor the bottom-up approach (achieving a common language, having the euro be the common
currency throughout the EU, and achieving a common standard of living) than the top-down approach
(establishing a well-defined border, creating a common EU army, and adopting an EU constitution).
Note: Respondents could give up to two answers, and averaged 1.6, so percentages exceed 100.
Data source: EU Barometer, The Future of Europe, May 2006.
232 CHAPTER 7 Intergovernmental Organizations: Alternative Governance

it happened. It could be that Valéry Giscard d’Estaing will be proven correct in his pre-
diction that rejection of the constitution might mean “the gradual falling apart of the
European Union.”44 But that seems improbable also. Perhaps what is most likely, then,
is that an extended period of “settling” will be required after rather rapid change in the
EU before the public will be comfortable with once again moving forward boldly. All
that is certain, though, about the future of the EU is that the stakes are high, and
progress of the EU toward true federation will be difficult.
At a much more preliminary level, the questions, issues, and factors regarding the
future of the EU are either the same or similar to those that related to how we will gov-
ern the international system at large in the decades and centuries to come. In this way,
the evolution of the EU is noteworthy beyond the immediate issue of Europe’s future.
The EU also serves as something of a test case to see if humans who have found that
the way they had been conducting themselves politically for centuries is not working
well can overcome tradition and inertia and establish a new form of governance at a
regional or perhaps even global level. Whatever the choices Europeans and everyone
make in the future about their governance, there is wisdom in Shakespeare’s Julius
Caesar that is worth pondering. The playwright counsels us:
There is a tide in the affairs of men
Which, taken at the flood, leads on to fortune;
Omitted, all the voyage of their life
Is bound in shallows and in miseries.

CHAPTER SUMMARY

AN OVERVIEW OF INTERGOVERNMENTAL successful IGOs providing role models for new

ORGANIZATIONS organizations.
1. One sign of the changing international system is 4. There are significant differences among views on
the rapid rise over the last century in the number the best role for international organizations. Four
of intergovernmental organizations (IGOs). There existing and possible roles of IGOs are: providing an
are many classifications of international organiza- interactive arena, acting as a center for cooperation
tions, including global, regional, and specialized among states, evolving into an independent national
IGOs. actor, and becoming a supranational organization.
2. Current international organization is the product 5. Some observers argue that international organiza-
of three lines of development: the idea that hu- tions are best suited to promoting cooperation
mans should live in peace and mutual support, the among states rather than trying to replace the
idea that the big powers have a special responsi- state-centered system. Still others contend that
bility for maintaining order, and the growth of international organizations should concentrate on
specialized international organizations to deal with performing limited functional activities with the
narrow nonpolitical issues. hope of building a habit of cooperation and trust
3. The rapid growth of all types of international that can later be built upon. Finally, many view
organizations stems from increased international international organizations as vehicles that should
contact among states and people, increased eco- be manipulated to gain national political goals.
nomic interdependence, the growing importance 6. Some observers favor moving toward a system of
of transnational issues and political movements, supranational organization, in which some form
the inadequacy of the state-centered system for of world government, or perhaps regional govern-
dealing with world problems, small states at- ments, would replace or substantially modify the
tempting to gain strength by joining together, and present state-centered system.
 Key Terms 233

GLOBAL IGOs: FOCUS ON THE UNITED NATIONS international law, promote arms control, better the
7. The United Nations provides an example of the human condition, promote self-government, and
development, structure, and roles of a global IGO. further international cooperation.
8. There are several important issues related to the 13. However one defines the best purpose of interna-
structure of international organizations. One group tional organization, it is important to have realistic
of questions relates to membership and criteria for standards of evaluation. The most fruitful stan-
membership. dard is judging an organization by what is possi-
9. Voting schemes to be used in such bodies are an- ble, rather than setting inevitably frustrating ideal
other important issue. Current international organi- goals.
zations use a variety of voting schemes that include
majority voting, weighted voting, and unanimity REGIONAL IGOs: FOCUS ON THE EUROPEAN UNION
voting. 14. The EU provides an example of the development,
10. Another group of questions concerns the adminis- structure, and roles of a regional IGO. The EU has
tration of international organizations, including evolved considerably along the path of economic
the role of the political leaders and the size and integration and is by far the most integrated
efficiency of IGO bureaucracies. The source of IGO regional organization.
revenue and the size of IGO budgets are a related 15. The movement toward political integration is more
concern. recent and is proving more difficult than economic
11. International organizations have many roles. Peace- integration. The French and Dutch rejections of
keeping is one important role. Others include the proposed EU constitution were a significant
creating norms against violence, providing a de- setback in the process of EU expansion and inte-
bate alternative, intervening diplomatically, im- gration. It is unclear, though, whether the negative
posing sanctions, and promoting arms control and votes would only cause a pause in EU progress
disarmament. toward becoming a United States of Europe or
12. The UN and other international organizations augured a stalling or even reversal of the trend of
perform other, varied functions: they promote recent decades toward integration.

For simulations, debates, and other interactive activities, a chapter quiz, Web links,
and much more, visit www.mhhe.com/rourke12/ and go to chapter 7. Or, while
accessing the site, click on Course-Related Headlines and view recent international
relations articles in the New York Times.

KEY TERMS

confederation European Parliament (EP) Maastricht Treaty supranational organization

Council of the European European Union (EU) majority voting UN General Assembly
Union federation neofunctionalism (UNGA)
Court of Auditors functionalism plenary representative UN Security Council
Court of Justice Hague system body (UNSC)
European Commission Intergovernmental President of the unanimity voting
European Communities organizations (IGOs) Commission unitary government
(EC) league regime United Nations (UN)
European Economic League of Nations regional government veto
Community (EEC) limited membership Secretariat weighted voting
European Ombudsman council supermajority voting world government
C H A P T E R
THE COMPLEX NATURE OF POWER

8
Characteristics of Power
Power as an Asset and Goal
Hard and Soft Power
Absolute and Relative Power
Power as Capacity and Will
Objective and Subjective Power
Situational Power
Measuring Power
Quantification Difficulties

National Power Power Dynamics

THE FOUNDATION OF NATIONAL POWER
National Geography

and Statecraft:The People

Population
Age Distribution
Education

Traditional Approach Health

Attitudes
Government
National Infrastructure
Then, everything includes itself in power, MILITARY POWER
Power into will, will into appetite. Measuring Military Power
Military Spending
—William Shakespeare, Troilus and Cressida
Weapons
Bid me discourse, I will enchant thine ear. Personnel
Military Power: Debating How Much
—William Shakespeare, “Venus and Adonis”
ECONOMIC POWER
Financial Position
Natural Resources
Industrial Output
Agricultural Output
THE MILITARY INSTRUMENT
Applying Force from Intimidation to Attack
The Effectiveness of Force
Measurement
Conditions for Success
THE ECONOMIC INSTRUMENT
Economic Incentives
Economic Sanctions
The Effectiveness of Sanctions
The Drawbacks of Sanctions
THE DIPLOMATIC INSTRUMENT
The Context of Diplomacy
Multilateral Diplomacy
Leader-to-Leader Diplomacy
Democratized Diplomacy
Parliamentary Diplomacy
Open Diplomacy
Diplomacy as a Communications Process
Power is a multifaceted concept. This photograph taken in Shanghai, China, Conducting Diplomacy
displays the exhortation, “Strengthen National Power, Build a Solid National General Rules of Effective Diplomacy
Direct or Indirect Negotiations
Defense.” You will find in this chapter that a country’s power and its
High-Level or Low-Level Diplomacy
diplomatic success do not just grow out of the barrel of a gun. Indeed, some
Using Coercion or Rewards
argue that military power is increasingly less significant as a factor that
Being Precise or Intentionally Vague
determines a country’s national power and foreign policy success.
Communicating by Word or Deed
Linking Issues or Treating Them Separately
Maximizing or Minimizing a Dispute
THE INFORMATIONAL INSTRUMENT
CHAPTER SUMMARY
 The Complex Nature of Power 235

RADITIONALLY, THE STATE has been at the center of the international system,

T and each state’s pursuit of its self-defined national interests has been the central
dynamic of world politics. This process, how states pursue their national interests,
is the focus of this chapter.
National capabilities are the first thing we will explore. Each state’s ability to
achieve its goals is based in substantial part on a range of capabilities. These are
particularly important when the goals of two or more states clash, and the story line
of the global drama is often about whose interests prevail and whose do not. But
capabilities, such as the ability to skillfully articulate goals and persuade others
that the goals are mutually beneficial, are even important in noncompetitive situa-
tions. Power is the term we will use here to represent the sum of a country’s capa-
bilities. Because power in common usage carries the connotation of “hit-over-the
head” or “make you” capabilities, it is very important to stress that power as used
here is more than that. As we will explore later in the following pages, power can
be based on positive persuasion as well as negative coercion. Indeed, power has
many forms. Military muscle, wealth, and some others are fairly obvious and tangi-
ble. Others such as national will power and diplomatic skills are much less obvious
and intangible.
Applying national capabilities in the pursuit of the national interest is our second
topic. Foreign policy includes not just the international goals that a country has, but
how countries use their national capabilities to achieve those goals. A great deal of
discussion in chapter 3 focuses on how foreign policy is made. Here the emphasis
will be on how it is carried out. Statecraft is the term often used to encapsulate how
a country applies its national capabilities to achieve its foreign policy goals. As one
scholar has defined it, statecraft:
refers to the use of policy instruments to satisfy the core objectives of nation-states
in the international system. . . . Statecraft is most usefully thought of in broad and
multidimensional terms. It involves the application and interplay of multiple
instruments—military, economic, diplomatic, and informational—to achieve the
multiple objectives of states, including national security, economic prosperity, and
political prestige and influence. (Mastanduno, 1988:826)

Before moving on to our exploration of power and the implementation of foreign

policy, note that in the context of this book’s theme—the traditional and alternative
approaches to world politics—this chapter looks at the traditional ways of establish-
ing which policies will prevail in the world. Usually that is determined by which
country or coalition has the greater capabilities. The alternative approach, discussed
in chapter 9, involves the establishment of international law and norms of justice to
regulate the conduct of international relations. Chapter 9 also examines the role of
international courts in trying to ensure that the rule of law limits destructive behav-
ior by states and individuals. That way who is right, rather than who is mightiest, has
a better chance of prevailing.

THE COMPLEX NATURE OF POWER

Power is an elusive concept. Its multifaceted characteristics make it hard to precisely

describe or measure. As former Harvard University dean and top U.S. national secu-
rity official Joseph Nye (2000:55) puts it, power “is like the weather. Everyone talks
about it, but few understand it.”
236 CHAPTER 8 National Power and Statecraft: The Traditional Approach

Characteristics of Power
One of the many reasons that it is so challenging to get a handle on power is that it
has many characteristics, some of which seem almost contradictory. It is both an
asset and a goal, hard and soft, absolute and relative, objective and subjective, and a
function of both capabilities and will. Additionally, power is situational.

Power as an Asset and Goal

One source of confusion in discussions about power is that it is both an asset and a
goal. Our discussion of power so far has generally treated it as an asset that can be
applied to help countries achieve goals. In this sense, power is akin to money as a
sort of political currency that can be used to acquire things. Money buys things;
power causes things to happen. There are, of course, differences between money and
power. One is that political power is less liquid than money; it is harder to convert
into things that you want. A second difference is that power, unlike money, has no
standard measurement. Therefore it is much harder to be precise about how much
power any country has, as we shall see in our section on measuring power.
Power is also a goal because in a world of often conflicting goals among countries
it is only prudent to seek, acquire, or preserve sufficient power to pursue your national
goals. Here again, the analogy between power and money has merit. We all expend
money as an asset, yet we also seek to acquire money and to build up a reserve
against both anticipated needs and contingencies.
The duality of power as an asset and goal creates a debate over whether more is
always better. Some people believe that countries can become fixated on acquiring
power, especially military power, beyond what is prudently needed to meet possible
exigencies. This, critics say, is unwise because power is expensive, it creates a temp-
tation to use it, and it spawns insecurity in others. Critics of recent U.S. foreign policy
see its massive arms spending and its misadventure in Iraq as a case in point.
To such charges, realists warn that not being willing to pay the price today to
guard against future and unknown dangers leaves states vulnerable (Schweller,
2004). Realists also dismiss the concern about having too much power and say that
the real danger is unwise use of the power you have by wasting it on marginal goals.
A third realist caution is against a country being too reluctant to expend its power to
advance its national interests. Former Secretary of State Henry Kissinger, for one,
portrays Americans as sometimes too-reluctant warriors and believes that “American
leadership [needs] to articulate for their public a concept of the national interest and
explain how that interest is served . . . by the maintenance of the balance of power”
through a forceful U.S. presence on the world stage.1

Hard and Soft Power

As noted earlier, the most common image of power involves the ability to make
someone else do something or suffer the consequences. Often called hard power,
this type of power rests on negative incentives (threats, “sticks”) and on positive
incentives (inducements, “carrots”). There is also soft power, the ability to persuade
others to follow your lead by being an attractive example. As one scholar puts it, “A
country may obtain the outcome it wants in world politics because other countries—
admiring its values, emulating its example, aspiring to its level of prosperity and
openness—want to follow it” (Nye, 2004:5).
The value of these two forms of power is the source of much debate. Hard power
is easier to appreciate because it is easier to see that certain coercive measures or
positive incentives have been used and to observe the result. Realists are also apt to
 The Complex Nature of Power 237

dismiss the concept of soft power, arguing that coun- FIGURE 8.1 U.S. Soft Power and Iraq
tries follow other countries’ lead if they share the
59% 59%
same interests, not out of altruistic sentiments such
53%
as admiration. 50% 50%
47%
Rebutting this, those who believe that soft power
can be potent point, as an example, to the negative 39% 40%
37%
impact they say the Iraq War has had on U.S. soft 40%
35%
power by greatly diminishing the U.S. image abroad. Opinion of U.S. is favorable
31% Unfavorable
Citing poll results, such as those in Figure 8.1, show- Unsure
ing that opinion about the United States has plum- Pre-Iraq Post-Iraq 15%
meted almost everywhere in the past several years,
10% 10%
one analyst worries that “the United States’ soft 14% 7%
4%
power—its ability to attract others by the legitimacy
of U.S. policies and the values that underlie them—
is in decline as a result” (Nye, 2004a:16). One reason 2000 2002 2003 2004 2005 2006
this is a concern, according to this view, is because the
Polls in six countries indicate that after the U.S. invasion of Iraq in
United States needs the cooperation of other coun- March 2003 there was an increase in the share of people who viewed
tries to combat terrorism and many other problems, the United States unfavorably and a similar decline in the U.S. favorable
but “When the United States becomes so unpopular rating. The shifts between 2000 and 2002 may be related to the fact
that being pro-American is a kiss of death in other that by the summer of 2002 when the poll was taken, there were
countries’ domestic politics, foreign political leaders already strong reports of a U.S. readiness to act against Iraq. This
are unlikely to make helpful concessions, reducing decline in U.S. prestige arguably undercut U.S. “soft power” and the
willingness of other governments to cooperate with Washington.
U.S. leverage in international affairs.” To such com-
mentary, those who are skeptical of the importance of Note: The question was, “Please tell me if you have a very favorable, somewhat
favorable, somewhat unfavorable or very unfavorable opinion of the United States.” The
soft power might echo the words of President Bush, six countries were France, Germany, Great Britain, Pakistan, Turkey, and Russia. Pew
who professed his “respect [for] the values, judgment, reported the favorable data only for 2000; the two other data points for that year are
estimated.
and interests of our friends and partners,” but also Data source: Pew Research Center for the People and the Press (2000, 2003, 2006).
asserted, “We will be prepared to act apart” if neces-
sary and “will not allow . . . disagreements [with
allies] to obscure our determination to secure . . .
our fundamental interests and values.”2

Absolute and Relative Power

By one standard, power that indisputably exists and can be potentially used is absolute
power. An example is the approximately 5,000 nuclear warheads and bombs that are
deployed on about 1,000 U.S. missiles and bombers. They indisputably exist, will
have a specific impact if used, and in theory can be used by a president without any
legal check on the ability to authorize their deployment.
Whatever the theory may be, however, power does not usually exist in a vac-
uum. Since power is about the ability to persuade or make another actor do or not do
something, calculating power is of limited use except to measure it against the power
of the other side. When assessing capabilities, then, relative power, or the compara-
tive power of national actors, must be considered. We cannot, for example, say that
China is powerful unless we specify in comparison to whom. Whatever Beijing’s
power resources may be, China’s relative power compared to another major power, Web Link
such as Japan, is less than is China’s relative power compared to a smaller neighbor, You can play a zero-sum game
such as Vietnam. and a variety of other political
strategy games such as “Free
A related issue is whether power is a zero-sum game. If a gain in power of one
Rider” and “Prisoner’s Dilemma”
actor inevitably means a loss of power for other actors, the game is zero-sum. If an online at www.egwald.com/
actor can gain power without the power of other actors being diminished, then the operationsresearch/
game is non-zero-sum. Realists tend to see power as zero-sum; idealists usually portray gameintroduction.php.
238 CHAPTER 8 National Power and Statecraft: The Traditional Approach

it as non-zero-sum, that is, gains do not necessarily come at the expense of others.
Without delving too far into this controversy, we can say that the relative nature of
power implies that sometimes, especially between antagonists, power approaches zero-
sum. When China’s Asian rival India tested nuclear weapons in 1998, it decreased
China’s relative power compared to India and arguably reduced China’s influence in
the countries to its southwest. More broadly, though, only the most cynical would see
power as absolutely zero-sum. As some of the world’s less developed countries (LDCs)
have moved from the low-income category to lower-middle- or even upper-middle-
income status, their economic strength has increased. Yet it would be hard to make
the case that this decreased the economic strength of the economically developed
countries (EDCs). Indeed, the progress of the LDCs has arguably benefited the EDCs
by, for instance, providing new investment opportunities and new markets.

Power as Capacity and Will

Every country’s power is determined substantially by its power assets: its military
and economic strength, its leadership, the size and talents of its population, and
numerous other factors. Together these make up a country’s power capacity, its
potential for exercising international power. By themselves, though, substantial power
assets are not enough to create a powerful global presence. They give a country the
capacity to exercise power, but to be effective they must be supplemented by a will
to power. This is a country’s willingness to use its
capacity, to turn potential power into applied power.
Japan offers a current example.
Economically Japan is the world’s second most
powerful country, with an annual GNP that is second
only to that of the United States and larger than that
of China, France, and Great Britain combined. Japan’s
127 million well-trained people are also a significant
asset. With little fanfare, Japan has also amassed a
very well-equipped military force supported by an
annual military budget of over $41 billion. Yet for
all of this, Japan’s global influence has been limited
by its post–World War II reluctance to assert itself.
Symbolically, the Japanese constitution forbids the
“use of force as a means of settling international dis-
putes.” More importantly, the Japanese have been
unwilling to take an assertive stand, much less use
their forces, to promote their views.
This attitude has begun to change (Szechenyi,
2006). Polls show a growing sense of national pride
in Japan, and recent prime ministers have found it
politically wise to annually visit the Yasukuni Shrine,
which honors Japan’s troops killed in World War II.
Japan has also very slowly begun to deploy military
units abroad. They now participate in UN peace-
Having the will to use the power you possess is an important power keeping missions, and Tokyo deployed 600 noncom-
factor. Japan has a strong military force but its people have been
batant troops (engineering and medical units) to Iraq
unwilling to use it because of their experience in World War II. This
reluctance to use force is beginning to change, and Japan has taken a
in 2003. Additionally, the Japanese navy is ready-
number of tentative steps toward a more assertive foreign policy. It has ing its first helicopter-carrier ship and intensifying
deployed its troops, including this Japanese soldier in Iraq, to support commando training, both moves that will add to
the U.S.-led mission there. the country’s ability to project its power further from
 The Complex Nature of Power 239

its shores. This worries some of Japan’s neighbors, especially when combined with
recent renewed claims by Japan to islands and territorial waters lost to or in dispute
with China, Russia, and South Korea since World War II. Yet another sign of grow-
ing Japanese assertiveness is the country’s campaign for a permanent seat on the UN
Security Council. “Japan is changing,” the U.S. ambassador there recently commented.
“I think Japan has decided, ‘We’re a great, big country, we’re the second-largest econ-
omy in the world, and we probably have the second-largest navy in the Pacific. We
want a seat on the Security Council. We want a role to play in the international
arena.’ I think all those changes are at work and will continue.” Confirming that
impression, Japan’s foreign minister told reporters, “There are expectations that Japan
play a greater role in dealing with international conflicts. And I believe that Japan must
do so.”3 All this portends a Japan that will increasingly convert its power capacity into
applied power and play a stronger role.

Objective and Subjective Power

Just as a country’s power is influenced by its willingness to use its assets, so too
it is influenced by what other countries perceive to be those assets and the intent
to use them. Objective power consists of assets that you possess and that you are
willing to use. As such, objective power is a major factor in determining whose
interests prevail, as Iraq found out in 2003 in its war with the U.S.-led coalition
forces.
Subjective power is also important. A common assertion is that a country will
damage its reputation for strength and tempt future aggression if it does not display
unity, abandons a commitment, or backs down in a crisis (Foster, 2006). One aspect
of this that has been an issue for the United States in recent decades relates to the
belief that, as one French general put it, Americans want “zero-dead wars.”4 The view
that American public opinion will not tolerate many U.S. casualties was formed amid
the U.S. reluctance to commit ground forces in the aftermath of the frustrating Vietnam
War and has been intensified in the mind of some by the U.S. withdrawal in the face
of relatively minor casualties in Lebanon (1983) and Somalia (1993), and the U.S.
decision to use air power exclusively, but not troops, to defeat Yugoslavia during the
Kosovo crisis in 1999 (Koch & Gartner, 2005; Smith, 2005; Vasquez, 2005). Those
who doubt American resolve in the face of casualties also point to the reaction to
approximately 3,200 U.S. troops that died in the first four years of the Iraq War and
occupation. While every death in every war is sad, it is also the case that in the over-
all history of military actions, U.S. casualties in Iraq have been relatively light. By
one measure, far more Americans were killed on a single day at Pearl Harbor (4,498)
in 1941 or on D-Day (4,900) in 1944. By another standard, the 3,200 death toll in
Iraq pales beside the more than 67,000 Americans who died at the hands of drunk
drivers during the same period. Yet this slaughter draws much less attention than
does Iraq.
Because it is difficult to measure reputation, judging its impact is challenging.
Some scholars conclude that concern over reputation is overdrawn, but that does
not negate the case that a country’s power is to a degree based on others’ percep-
tions of its current or potential power or its reputation for being willing (or not
willing) to use it and that the perception that a country is not currently powerful
can tempt another country. It is arguable, for example, that Saddam Hussein’s
willingness in 1991 and 2003 to risk war with the United States was based in part
on his perception that Americans would not tolerate the cost and casualties neces-
sary to invade Iraq and topple him. As Saddam put it prior to the first war, “The
nature of American society makes it impossible for the United States to bear tens of
240 CHAPTER 8 National Power and Statecraft: The Traditional Approach

FIGURE 8.2 Casualties and Support for Iraq War

100%

Oppose/unsure about war

42% 43% 46%
51%
50% 58% 57% 59%
54% 49% 65%
41% 77%
Support war 35%
23%
0%
Anti/pro-war 100 500 1,000 5,000 5,000+ Unlimited
Projected U.S. troops killed

Before the Iraq War began in 2003, one poll asked Americans if they would support a decision by the
president to launch a ground attack against Saddam Hussein. Most (58%) said yes; 35% said no, and
7% were unsure. Remember that in 2003, most Americans thought Iraq had weapons of mass destruction
and was cooperating with terrorists. The poll then presented war supporters with a range of potential
U.S. casualties. As this figure shows, American support for an attack went down as the possible U.S.
deaths went up. By 1,000 deaths, support had dropped below 50%. Does this show a prudent public
or a weak public unwilling to accept military casualties to achieve U.S. policy goals?
Data source: Los Angeles Times poll, December 2002; data provided by The Roper Center for Public Opinion Research,
University of Connecticut.

thousands of casualties.”5 Figure 8.2 examines U.S. support for the 2003 Iraq War
in light of projected mounting casualties and asks what you think the data says
about Americans.

Situational Power
A country’s power varies according to the situation, or context, in which it is being
applied. A country’s situational power is often less than the total inventory of its
capabilities. Military power provides a good example. During the last weeks of March
and first weeks of April 2003, American and British forces faced those of Iraq in a
classic conventional war situation. In that context, the conflict was one-sided with
the U.S./U.K. forces quickly destroying and dispersing those of Iraq. During the post-
war period, the conflict situation changed when forces opposed to the U.S./U.K. pres-
ence in the country began to use guerrilla warfare and terrorist tactics. Soon, more U.S.
soldiers had died in the “postwar” period than during the war, and U.S. policy was in
considerable disarray even though the American forces in Iraq were as numerous as
the ones that had so easily toppled the regime of Saddam Hussein. The difference was
that in the very different situation after “victory,” a great deal of the U.S. high-tech
weapons inventory, its heavy armored vehicles, and its air power were of no use in
countering the resistance tactics in Iraq.
www
Measuring Power
SIMULATION
It would be a very good thing if it were possible to measure power precisely. One
Winning Wars Isn’t Simple
reason is that countries sometimes wind up in wars because they miscalculate their
own power or that of their opponent. To a degree that is what happened to the United
States following its invasion of Iraq in 2003. The equation of comparing U.S. military
power to Iraqi military power was relatively easy. The United States was immensely
more powerful, and that was demonstrated by the ease with which U.S. forces
 The Complex Nature of Power 241

Most aspects of national power

are relevant in only some
situations. During the invasion
of Iraq in 2003, U.S. tanks
helped rout Iraq’s poorly
equipped military. In the
subsequent occupation
phase that featured terrorist
attacks and guerrilla fighting,
often in urban areas filled with
noncombatants, this column
of U.S. tanks and other
weapons systems had very
limited relevance to the
struggle.

defeated Iraq’s armed forces. That was only part of the equation, though, and U.S.
leaders miscalculated both the strength of the long-term resistance to U.S. occupa-
tion forces and the power of existing U.S. forces in Iraq to deal with those attacks.
Unfortunately, power is very difficult to measure, both because of the difficulty in
quantifying many of its aspects and because it is highly changeable.

Quantification Difficulties
At a general level, it is possible to measure or at least estimate power. There can be Web Link
no doubt, for example, that China is more powerful than Mongolia. Beyond such View an online version of a
broad judgments, there is no widely accepted formula for measuring power. It is easy recent attempt to measure
enough to measure such tangible factors as per capita GNP or number of soldiers. national power at www.rand.org/
But it is harder to assign weights to each to establish their relative importance to one publications/MR/MR1110/.
another when constructing a power formula. Even harder is measuring and giving
relative weights to intangible factors such as the diplomatic skill of a country’s leaders
or its soft-power ability to lead by example. These difficulties were illustrated by a
study that reviewed four attempts by various scholars to devise formulas to measure
national power during the cold war (Taber, 1989). The four often came to dramati-
cally different conclusions because of different methods of measuring power. Two
studies rated the Soviet Union the most powerful. One each rated the United States
and China most powerful. One ranked China only seventh. Brazil ranked number
three in one study, and India ranked number four in another study; yet two studies
did not place either country in the top ten. The list need not go on to make the point
that different formulas for measuring power yielded very different results.

Power Dynamics www

Power is also difficult to measure because it is in constant flux. Economies pros-
per or lag, arms are modernized or become outmoded, resources are discovered ANALYZE THE ISSUE
or are depleted, and populations rally behind or lose faith in their governments. Measuring a Country’s Power
242 CHAPTER 8 National Power and Statecraft: The Traditional Approach

No superpower from Rome, through imperial Britain, to the Soviet Union has main-
tained its status permanently. Each eventually declined and some even vanished, as
did the USSR. To take their place, other countries have risen from humble beginnings
to the rank of major power, as did the United States. Still others, like China today, may
reemerge from a period of eclipse and strive to recapture their lost status (Tammen
et al., 2002).
There are numerous reasons why power is so fluid. One theory of system-level
analysis is that power cycles occur over a period of a few decades, or even as much as
a century (Tessman & Chan, 2004). The cycles are demarcated by great-power or
“systemic” wars, such as the two world wars, that reflect strains or power shifts
within the system and act as political earthquakes, altering the system by destroying
the major power status of declining powers and elevating rising powers to pole sta-
tus. Then the process of power decay and formation begins anew. Balance-of-power
politics is another system-level cause of change as countries form alliances and take
other actions to avoid being dominated.
From a state-level-of-analysis perspective, several factors account for the rise or
www fall of a country’s power. One involves the sources of power. The advent of nuclear
weapons some 60 years ago instantly elevated the status of countries that possess them.
Internal conditions also affect an actor’s power. The Soviet Union collapsed in part
SIMULATION
Creating Your Own because it no longer commanded the loyalty of most of its citizens. Most Americans
International Power Index are patriotic, but the country cannot remain a superpower if its people are unwilling
to bear the cost of being a leader in the international system. That does not mean the
United States should lead, only that it cannot remain dominant unless it accepts the
burdens, as well as the benefits of leadership.

THE FOUNDATION OF NATIONAL POWER

Although it is common to think of national power in terms of military might and

wealth, those elements of power rest substantially on a more basic foundation. The
elements of that foundation include national geography, the quality of the popula-
tion, the quality of the government, and the country’s technological infrastructure. In
the following sections, we will analyze these basic elements. The first element focuses
on the core of the national state. That core can be roughly divided into three parts:
national geography, people, and government.

National Geography
Shakespeare’s King Henry VI proclaimed:
Let us be backed with God and with the seas
Which He hath given for fence impregnable, . . .
In them and in ourselves our safety lies.

Whether or not God has ever aided England, King Henry’s soliloquy reminds us
that the English Channel has helped save Great Britain from Napoleon, Hitler, and
every other threat from Europe for nine centuries. Geography counts.
Location can be an advantage or a disadvantage. Spain was able to avoid involve-
ment in either world war partly because of its relative isolation from the rest of Europe.
Poland, sandwiched between Germany and Russia, and Korea, stuck between China
and Japan, each has a distinctly unfortunate location. The Israelis would almost cer-
tainly be better off if their promised land were somewhere—almost anywhere—else.
 The Foundation of National Power 243

And the Kuwaitis probably would not mind moving either, provided they could take
Did You Know That:
their oil fields with them. Location also impacts relative power. The weight of China’s
Mexico’s President Porfirio
army as a power factor is different in Beijing’s relations with the United States and
Díaz (1886–1911) once
Russia because Russia and China share a border, while the vast Pacific Ocean sepa- lamented, “Poor Mexico, so
rates China and the United States. far from God, so close to the
Topography—a country’s mountains, rivers, and plains—is also important. The Alps United States.”
form a barrier that has helped protect Switzerland from its larger European neighbors
and spared the Swiss the ravages of both world wars. Throughout history, Afghanistan’s
rugged mountains have bedeviled invaders, including since 2001 U.S. and other NATO
troops trying to eliminate al Qaeda and Taliban forces. Topography can also work against
a country. For example, the southern and eastern two-thirds of Iraq is a broad plain that
provided a relatively easy invasion avenue for the mechanized U.S. and British forces in
2003. The Tigris and Euphrates river systems and the associated swampy areas provided
some topographical defenses, but too few to make a difference.
Size is an important geographic factor. Bigger is often better. The immense expanse
of Russia, for example, has repeatedly saved it from conquest. Although sometimes
overwhelmed at first, the Russian armies have been able to retreat into the interior
and buy time in exchange for geography while regrouping. By contrast, Israel’s small
size gives it no room to retreat.
Climate can also play a power role. The tropical climate of Vietnam, with its
monsoon rains and its dense vegetation, made it difficult for the Americans to use
much of their superior weaponry. At the other extreme, the bone-chilling Russian
winter has allied itself with Russia’s geographic size to form a formidable defensive
force that decimated Napoleon’s soldiers in the winter of 1812–1813 and the German
army during World War II. In fact the Russian winter has proved so formidable that
Czar Nicholas I commented, “Russia has two generals we can trust, General January
and General February.”

People
A second element of the national core is a country’s human characteristics. Tangible
demographic subcategories include number of people, age distribution, and such
quantitative factors as health and education. There are also intangible population
factors such as morale.

Population
As is true for geographic size, the size of a country’s population can be a positive or a
negative factor. Because a large population supplies military personnel and industrial
workers, sheer numbers of people are a positive power factor. It is unlikely, for
instance, that Tonga (pop. 115,000) will ever achieve great-power status. A large
population may be disadvantageous, however, if it is not in balance with resources.
India, with 1.1 billion people, has the world’s second-largest population, yet because
of the country’s poverty ($720 per capita GNP), it must spend much of its energy and
resources merely feeding its people.

Age Distribution Web Link

It is an advantage for a country to have a large percentage of its population in the You can find the current and
economically productive years (15–64 by international reporting standards). Some projected age distribution (popu-
lation pyramid) of countries and
countries with booming populations have a heavy percentage of children who must
territories around the world on
be supported. In other countries with limited life expectancy, many people die before the U.S. Census Bureau Web
they complete their productive years. Finally, some countries are “aging,” with a geriatric site at www.census.gov/ipc/www/
population segment that consumes more resources than it produces (Longman, 2004). idbpyr.html.
244 CHAPTER 8 National Power and Statecraft: The Traditional Approach

FIGURE 8.3 Age Distribution and Dependency Ratios

28% 50%

*Dependency Dependency
6.5%
7% ratio ratio
65% 2% 1.1:1
1.9:1
48%

World Uganda

19% 14%
72% Dependency 66% Dependency
9% ratio 20% ratio
2.6:1 2.0:1

South Korea Italy

Age 0–14 15–64 65+

Most less developed countries (LDCs), like Uganda, are disadvantaged because their population has a
high percentage of children. These children consume resources for their education and general care
that they will only begin to “repay” the system in terms of productivity and taxes when they become
adults. A high percentage of senior citizens, as in Italy, is also economically suboptimal. South Korea
has good age distribution with 72% in the “working years.”
*Dependency ratio is a World Bank calculation of the ratio of the working-age population (ages 15–64) to the dependent
population (age 14 and younger plus age 65 and older). Generally, the higher the ratio, the more economically advantaged a
country is.
Data source: CIA online.

Worldwide, 28% of Earth’s population was less than 15 years old in 2006; 7%
www was 65 or over; 65% was in the working-age years (15–64). Figure 8.3 shows the age
distributions of several countries, which you should compare. The figure also shows
MAP
the dependency ratio of young and old people combined compared to the working-
Employment by age population. Many analysts would contend that South Korea is relatively advan-
Economic Activity taged by its large working-age population, while Uganda, with numerous children,
and Italy, with a high percentage of senior citizens, are relatively disadvantaged.
Whereas growing populations and high ratios of children were once the main
population worries, there is now growing concern in some places about low birthrates,
zero or even a negative population growth, and demographic graying, that is, a grow-
ing proportion of the population is of retirement age. A negative aspect is that a rela-
tively large retirement-age population slows down per capita GDP growth because of a
relative scarcity of workers. A growing geriatric population also challenges a country’s
ability to pay the cost of providing pensions and other services to retired citizens. De-
mographic graying is already pronounced in the economically developed countries
and is projected to increase. By 2050, for instance, 33% of Japan’s population and
30% of Europe’s will be age 65 and older. The U.S. age distribution is still relatively
 The Foundation of National Power 245

DEBATE THE POLICY SCRIPT

Is Immigration a Solution to Demographic Graying?
Japan and Europe are facing a problem that could undermine Immigrants help keep the percentage of the U.S. working-
their economic vitality and international power. They are gray- age population higher than in most other EDCs. Currently, 59%
ing demographically, with a growing percentage of their popu- of all foreign-born Americans are between ages 25 and 54,
lations aged 65 or older. Increased longevity is one cause. Life whereas only 42% of native-born Americans are in that age
expectancy in the EDCs is now 78 years, up 9% since 1975. group. Immigrants are also the reason that the U.S. fertility rate
Decreased fertility rates (the average number of children a (2.1) is actually up since 1980 (1.8). Whites (2.0) and African
woman will have) are the second cause of graying. In Western Americans (2.1) are at about the replacement rate, but Asian
Europe and Japan, the rate is now 1.4, far below the replace- Americans (2.3) and Hispanics (2.9) are above it. Thus it is
ment rate (about 2.1) needed to keep the population from de- these groups that are disproportionately producing the chil-
clining and to produce younger adults to offset the older adults dren of today and the adult workers of tomorrow.
reaching retirement age. Another thing many EDCs share is a heated debate about
A graying population is a double-barreled problem. One immigration policy. A 2005 survey of Americans found that
threat is that with relatively fewer children being born, the sup- 41% agreed with the statement, “Immigration adds to our
ply of future adults is waning. A relatively smaller workforce will character and strengthens the United States because it brings
cause labor shortages, a dropoff in consumer spending, and diversity, new workers, and new creative talent to this country.”
other problems that will harm economic growth. The second But 48% differed, saying, “Immigration detracts from our char-
threat is that governments will struggle to pay for retirement, acter and weakens the United States because it puts too many
health care, and other programs that support senior citizens. burdens on government services, causes language barriers,
The United States is graying also, but less markedly than and creates housing problems.” Another 10% said “both” or
most EDCs. Whereas 30% of the population in Europe will be “it depends,” and 1% were unsure.1 Reflecting this division,
65 or older in 2050, only 21% of Americans will be 65 by another poll found that 33% of its respondents wanted to keep
mid-century. Immigration is the most important reason for the immigration at its current level, 14% wanted to increase it,
relative U.S. advantage. U.S. immigration has risen substan- 49% wanted to decrease it, and 4% were unsure.2
tially and now averages about 1 million immigrants a year. The
share of the U.S. population that is foreign-born grew from 6% What Do You Think?
in 1980 to 11% in 2000. Europe once provided most immi- Should immigration continue at its current level, be increased,
grants. Now most come from Latin America and Asia. or be cut? If you favor an increase or decrease, by how much?

good: 0–14 (20%), 15–64 (67%), and 65 (13%). But Americans are also graying,
and the retirement-age population is projected to rise to 21% in 2050.
So far, demographic graying is mostly confined to the EDCs, but it is beginning to
also affect LDCs, especially China. Its one-child-per-couple policy instituted to re-
strain population growth coupled with increasing longevity means that senior citizens
will rapidly increase as a share of China’s population from 8% now to 25% by 2050.
Graying will steadily increase the daunting costs of providing health care, housing,
and other social services for the elderly. Furthermore, as global aging progresses, a
smaller percentage of the population will be between 15 and 64 “doing the work,
paying the taxes, saving for the future, and raising the next generation” (Peterson, www
2001:3). How to address this problem is a major policy challenge for the United
States and other EDCs, and one possible solution is presented for your consideration JOIN THE DEBATE
in the decision box, “Is Immigration a Solution to Demographic Graying?” The Foreign Student Program
in the United States:
Education Does It Serve U.S.
An educated population is important to national power. Quantity of education is National Interests?
one factor, and it is a source of weakness for the LDCs, especially the poorest ones.
Although education has improved substantially in low-income countries over the
last 15 years or so, with the primary school completion rate up 9%, it is still only
246 CHAPTER 8 National Power and Statecraft: The Traditional Approach

FIGURE 8.4 Comparative 75%. In the United States it is 93%. Beyond primary
Educational Achievement school, the data become progressively worse. Less
than half of children in low-income countries go to
Japan 629 high school, and only about 9% get any post-
secondary technical or college education and can
South 624 serve as the nucleus of the educated workforce a
Korea
modern economy needs. Moreover, in a circular
Finland 620
problem, the lack of opportunity in many of the
Australia 589 poorest LDCs creates a “brain drain,” as its profes-
sionals emigrate to seek a better life.
Average 500 Quality of education is also important. For exam-
ple, 84% of Americans over age 24 have graduated
United
496 high school, 27% have a college degree. Furthermore,
States
the country spends a greater percentage of its wealth
Poland 432
on education than all but a handful of countries. Yet
Portugal 383
there is evidence that the U.S. educational system is
not adequately preparing students to meet the re-
Greece 382 quirements of the modern world. It may be that the
basic 3 Rs—reading, ’riting, and ’rithmetic—that
Mexico 283 Achievement level once served to train a workforce will no longer suf-
fice in the 21st century. Instead, the requirements
National power rests in part on a well-educated populace. For will be more like the 3 Cs—computers, calculus,
Americans, this is something of a concern. The data in this figure and communications. Another problem may be that
is drawn from the overall scores amassed by 15-year-old students American students during their four years of high
in 26 mostly developed countries for skills in reading, mathematics,
school spend an average of only about half as much
and science. The results here are for the four countries with the
highest and lowest scores, the United States, and the average of the
time on core subjects as do students in Japan, France,
26 countries. As evident, American students finished below average, and Germany. An additional difficulty may be disci-
well below the leading countries, and not that far ahead of some pline in American schools. Students in the United
relatively poor countries, such as Poland. States, for instance, are six times more likely to en-
Note: The actual scores were reduced by 1000 to better highlight comparative data. counter discipline problems in the classroom than
That is, for example, the score for Japan was actually 1629. Japanese students.6 Whatever the cause, a recent
Data source: Organization for Economic Development and Cooperation, Education at
a Glance, 2005.
study in 26 mostly developed countries measuring the
mathematic, scientific, and reading skills of 15-year-
olds showed that American students finished 14th overall and below average in each
of the three areas of study. Figure 8.4 depicts some of the results.
Yet another way to break down general educational statistics is to see how well a
country trains various segments of its population. Most countries limit their power
potential by underutilizing major elements of their population. For example, sexism
limits the possible contribution of women in virtually all countries. In Bangladesh,
for instance, a male teenager is almost twice as likely as a female teenager to be en-
rolled in secondary school. Racial, ethnic, and other bases of discrimination add to
this failure to maximize a population’s potential. The fact that among adults over age
24 in the United States just 18% of African Americans and 13% of Latinos, compared
to 30% of whites, have completed college means that the potential of a significant
number of these disadvantaged people has been lost to the country.

Health
Web Link
Poor health can also sap a country’s power. Providing an example, Russia is experienc-
Health-related data for countries
can be found on the World
ing a health crisis among its men due to widespread alcoholism and smoking. Drug
Health Organization Web site addiction is also on the rise. Two-thirds of all adult Russian males smoke (2.5 times
at www.who.int/countries/en/. the U.S. rate), and the lung cancer death rate is twice that of the United States. To make
 The Foundation of National Power 247

matters worse, about 60% of all Russian men are

alcohol abusers, with the average Russian male drink-
ing a quart of vodka every two days, supplemented
by other alcohol. “Sobriety is no longer the moral
norm in Russia,” says one health official there.7
The effect is lethal. Longevity for Russian males
has declined to less than 59 years (compared to
73 years for Russian women). Widespread bootleg-
ging adds to the problem, with 17,000 Russians dying
in 2006 from unsafe homemade vodka and other spir-
its. Alcoholism threatens Russia’s national strength in
several ways. If current trends continue, the country’s
population could drop by a third in the next two
decades. There are also immense economic conse-
quences, including lost productivity and the costs of
providing medical treatment and supporting aban-
doned families. Another issue relates to Russia’s mili-
tary strength. Officers complain that most potential
military recruits are so wasted from alcohol and drugs
that they cannot withstand basic training. Overall,
the internal health crisis has replaced any possible
external enemy as “the clearest possible threat to na-
tional security,” according to one Russian study.8

Attitudes
The beliefs and orientations of a country’s population
on a number of dimensions affect national power.
For example, countries such as the United States,
China, and Japan whose people have a reasonably
unified national identity are in a stronger position
than are countries with deep ethnonational divi-
sions, as chapter 4 details. Similarly, countries in
which morale is low because of economic or other Russia’s power is being undermined by epidemic alcoholism, especially
difficulties are disadvantaged. Low national morale among its men. The health crisis in Russia is presented with irony in
can lead to civil unrest and even topple govern- this image of an inebriated Russian holding himself upright only by
ments. The end of the USSR in 1991 provides an grasping the statue of a drunken man in the city of Krasnoyarsk.
example of the impact of both ethnonational divi-
sion and low morale. As the country’s economic system went from bad to worse,
the populace was increasingly disheartened. By 1990, 90% believed that the coun-
try’s economic situation was dire, and 57% had no confidence in the future. This
profound pessimism led to an almost total collapse of support for the government
Did You Know That:
of Soviet President Mikhail Gorbachev and, indeed, the country’s political system.
Accelerating Soviet difficulties, the ethnonational identities of Ukrainians, Kazaks, Vodka has long undermined
Russia’s power. In 1373 the
Latvians, and the other nationalities reasserted themselves. Soon the Soviet Union Russians lost a battle to the
imploded amid a vacuum of public support. Tartars reportedly because
the czar’s forces were too
inebriated to fight. The de-
Government feated Russians were thrown
into a nearby river, which
A third power element associated with the national core is the quality of the govern- was then dubbed the Reka
ment. Administrative effectiveness is one aspect. It involves whether a state has a well- Pianaya, the Drunk River.
organized and effective administrative structure to utilize its power potential fully.
248 CHAPTER 8 National Power and Statecraft: The Traditional Approach

For example, U.S. power has been undoubtedly undermined by problems in the
country’s intelligence agencies. Intelligence failures led, among other things, to the
expenditure of vast amounts of U.S. power in a war with and occupation of Iraq,
launched primarily to destroy weapons of mass destruction that in fact did not exist.
Reflecting that, a presidential commission bemoaned what it called “one of the
most . . . damaging intelligence failures in recent American history.” As for the cause
of the catastrophe, the commission concluded:
This failure was in large part the result of analytical shortcomings; intelligence analysts
were too wedded to their assumptions about Saddam’s intentions. But it was also a
failure on the part of [the intelligence agencies]. . . . [They] collected precious little
intelligence for the analysts to analyze, and much of what they did collect was either
worthless or misleading.9

Leadership ability is a second aspect of government that adds or detracts from a

country’s power. As chapter 3 indicates, leadership is a mix of administrative, politi-
cal, and public relations skills. Like other intangible power assets, leadership capa-
bilities are hard to measure, yet they clearly make a difference. Table 3.1, p. 84,
provides an estimate of the foreign policy leadership of recent U.S. presidents.

National Infrastructure
National power also rests on a country’s infrastructure, which might be roughly
equated with the skeleton of a human body or to a building’s foundation and its fram-
ing or girders. To examine the infrastructure of the state as an element of national
power, the following sections will discuss technological sophistication, transportation
systems, and information and communications capabilities. Each of these factors is
related to a country’s power capacity.
Overall technological availability and sophistication is at the heart of this element
of power. Think about how monumentally wrong Charles H. Duell, commissioner of
the U.S. Office of Patents, was when he declared in 1899, “Everything that can be
invented has been invented.” To the contrary, most of the technology that undergirds
a great deal of contemporary national power has been invented since Duell’s short-
sighted assessment. Air conditioning modifies the impact of weather, computers
revolutionize business and education, robotics speed industry, synthetic fertilizers
expand agriculture, new drilling techniques allow for undersea oil exploration,
microwaves speed information, and lasers bring the military to the edge of the Star
Wars era. Thus, technology is an overarching factor and will be discussed as part of
the tangible elements of power.
One source of U.S. strength is the considerable money that its government, cor-
porations, and universities spend on research and development (R&D). Indeed, invest-
ment in basic research is an essential element in “the scientific balance of power.”10
During 2005 the United States was the global leader, spending $285 billion, far ahead
of the three next largest spenders on R&D: Japan ($114 billion), China ($85 billion),
and Germany ($57 billion). Another good measure of technological sophistication
and capability is computing capacity. Needless to say, business, education, science, and
other key elements of national power depend on computers, and, as Figure 8.5 shows,
there is a vast disparity in national capabilities.
Transportation systems are a second and more specific part of the national infra-
structure. The ability to move people, raw materials, finished products, and sometimes
the military throughout its territory is another part of a country’s power equation
and is heavily dependent on technology. For example, one of the major hurdles that
Russia must overcome to invigorate its economy is its relatively limited and decrepit
 Military Power 249

FIGURE 8.5 Computing Capacity

749
Computers per 1,000 people

587
561

132 130
108 105
41
7

U.S. Japan Germany Russia World Mexico Brazil China Nigeria

Computer capacity is an indication of the strength of a country’s technological infrastructure. As evident

here, there is a huge gap, called the “global digital divide,” among countries in computing power.
Data source: World Bank online.

transportation systems. As one standard, for every 1,000 square miles of its land ter-
ritory, the United States has 14 times as many miles of paved roads and four times as
many miles of railroad track than does Russia. Inadequate transportation systems are
also a problem for LDCs.
Information and communications systems are yet another part of the national
technological infrastructure, and capabilities in these areas are becoming increas-
ingly important to national power. Satellites and computers have accelerated the rev-
olution begun with radio and television. Photocopying machines, then fax machines,
and now the Internet have dramatically changed communications. Enhanced com-
munications technology increases the ability of a society to communicate within
itself and remain cohesive. It also increases efficiency and effectiveness in industry,
finance, and the military. Here again, the gaps among countries are wide. For example,
U.S. annual per capita expenditures on information and communications ($3,595)
are more than 54 times that of China ($66). On a per capita basis, there are 2.3 times
more cell phone subscribers and 8.6 times more people with access to the Internet in
the United States than in China.

MILITARY POWER

For good or ill, military power is an asset that sometimes determines whether a coun-
try will prevail or not in its pursuit of its foreign policy goals. Therefore, it is appro-
priate to consider the nature of military power that provides the sword for policy
makers to wield.

Measuring Military Power

Some aspects of military power, such as numbers of weapons and troops, are easy to
count. Other factors, including training, equipment quality, and military morale, are
much harder to quantify. A third set of factors, such as military and civilian leader-
ship, are almost impossible to measure precisely.
250 CHAPTER 8 National Power and Statecraft: The Traditional Approach

FIGURE 8.6 U.S. and China’s Military Spending

U.S. U.S.
$498 $498
billion billion

China
$155
China billion
$41
billion

Unadjusted Adjusted for purchasing power parity

Measuring defense spending by amount is tricky. The left pie chart shows that in unadjusted spending,
the United States annually spends over 12 times as much on its military than does China. When
spending is adjusted for the relative cost of living in the two countries (purchasing power parity: PPP),
however, the spending gap shrinks from about 12:1 to about 3:1. Neither measure is satisfactory by
itself. For instance, using PPP helps adjust for the relative cost of pay and other personnel costs. But
PPP is less relevant for fuel costs, since both U.S. and Chinese forces depend in part on imported
petroleum, which costs both countries the same.
Note: Chinese military spending official reports are understated. The figures here are the author’s estimates based on the
sources listed below.
Data sources: CIA, SIPRI, and the ISSI, all online.

Military Spending
Defense spending is one of the largest categories in most countries’ budgets, and
there can be little doubt that the level of spending has some impact on military ca-
pabilities. U.S. expenditures ($498 billion in 2006) far exceed those of any other
country, and there are relatively few scenarios in which the armed forces of any other
country could defeat U.S. forces in a conventional war.
Yet none of the ways defense spending is commonly reported is wholly satis-
www factory. Amount, either total spending or on a per capita basis, can be misleading
because of what the money can buy in different countries. An entry-level American
soldier’s monthly base pay is $1,300 a month; a similar Chinese soldier makes $40.
SIMULATION
What Would You Spend Figure 8.6 compares the military spending of China and the United States in unad-
for Security? justed currencies and in terms of the purchasing power parity (PPP), an adjustment
for the different cost of living in the two countries. Economic burden—defense spend-
ing as a percentage of a country’s GNP—can also be deceptive. Israel spends about
9% of its GNP on defense, much higher than the world average of 2.5%, but Israel’s
expenditures must also be analyzed in terms of the monumental threats it faces.

Weapons
Web Link Comparison of two countries’ or alliances’ military might are often focused on number
The Federation of American of weapons. Quantity is certainly an important consideration. Knowing that the United
Scientists maintains an excellent States had 16,000 tanks and Iraq had 1,900 tanks prior to their war in 2003 is one in-
site with details about American dication of the relative power of the two countries’ armored forces. Had the potential
military weaponry at www.fas.org/
combatants been the United States and Russia or China, Moscow’s 21,000 tanks or
man/index.html. Other countries’
systems can be explored by
Beijing’s 11,000 tanks would have made for a much different military situation.
keying “rest of world” in the Numbers are only part of the military weapons equation, however, with quality at
Search function. least equally important. Even if the U.S. and Iraqi tank forces had had equal numbers,
 Military Power 251

Iraq’s aging Soviet-export tanks would have been no match for U.S. main battle tanks,
which are capable of maneuvering at nearly highway speeds, using thermal sights
and computerized targeting, firing shells coated with depleted uranium that can de-
stroy almost any armored opponent, and clad in depleted uranium armor capable of
repelling the shells fired by Iraqi tanks.
For all the advantages of sophisticated weapons, there are drawbacks. An F-22,
one of the newest U.S. fighters, is a technological marvel that can defeat any other
fighter. Each costs $150 million, though, compared to a less excellent, but still good
Russian-built SU-30 fighter, which is available for export at $37 million each. Second,
high-tech weapons are often also more difficult to operate and repair. Third, the effec-
tiveness of military hardware is very situational. Therefore, a country’s military systems
need to be appropriate to the challenges they will face. American tanks were very
effective during the short conventional warfare phase of the Iraq war; U.S. tanks were
only marginally relevant to fighting the insurgency that followed.

Personnel
As with weapons, a number of quantitative and qualitative factors determine the
capabilities of a country’s military personnel. Number of troops, both total and com- www
pared to an opponent, is one factor. Generally, size matters. For example, China
(2.3 million troops), India (1.7 million), the United States (1.5 million) and Russia MAP
(1.0 million) all have enough troops to play a major regional and even global role. By Size of Armed Forces
contrast, Belize, with about 1,000 troops, has very little military muscle to use as a
diplomatic asset. Like spending, though, sheer numbers of troops must be measured
against the scope of their deployments and reasonable estimates of their potential use.
For example, the large U.S. force becomes less dominant when its global commit-
ments are considered. Indeed, U.S. forces have been stretched thin by their deployment
in Iraq, requiring an extensive, long-term call-up of reserve units.
Recruit quality is a second factor impacting personnel. To build a good military,
Did You Know That:
a country must be able to recruit intelligent, healthy, reliable enlisted troops and
The world’s smallest army is
officers. Standards for U.S. recruits have traditionally been high, but the strain of the
the Vatican’s 110-man Swiss
Iraq War created some cause for concern. The U.S. Army has experienced problems in Guard. The original force was
recruiting enough soldiers, falling 17% below the target of 80,000 recruits in 2005. To a formed from Swiss merce-
degree shortfalls have been overcome by lowering the educational and moral standards naries who had defended
for recruits. Between 2003 and 2006, for example, the number of waivers given for a Pope Clement VII during the
sacking of Rome in 1527 by,
criminal background jumped 65%, and reached 11% of all Army recruits in 2006.
oddly, Charles V, the Holy
Training is a third personnel factor. Good training significantly improves the Roman Emperor.
quality of a country’s military force. This is especially true given the complicated
nature of many of today’s high-tech weapons. For instance, considerable flight time
is critical for fighter pilots because of the complex weapons systems they use. Yet
providing practice is costly, and significant differences in training exist. The coun-
tries of the North Atlantic Treaty Organization (NATO) generally meet the alliance’s
standard of providing fighter pilots with 180 to 200 hours of inflight training annu-
ally. Because of Russia’s struggling economy, its pilots reportedly receive only about
20 hours a year in the air to hone their skills.
Morale is a fourth variable in measuring military personnel. Russian soldiers fought
with amazing valor amid horrific conditions during World War II. Yet in more recent
times, the morale of Russia’s soldiers has been sapped by poor pay, housing, equipment,
and training and by the widespread image of corruption and incompetence among
officers (Hespring, 2006). In the aftermath of the collapse of Iraq’s army in 2003, some
Russian military experts were worried that a similar fate might await Russia’s army in
a war. “Go on the street and ask who is ready to defend the motherland, and you will
252 CHAPTER 8 National Power and Statecraft: The Traditional Approach

immediately see unpleasant parallels,” fretted one Russian military expert. “The out-
come of a war depends on the army’s morale.”11
Leadership is a fifth personnel variable. U.S. and British forces would have surely
defeated the Iraqi military in 2003, but Saddam Hussein’s practice of placing those
most loyal to him, rather than the best officers, in command of his country’s armed
forces accelerated the rapid collapse of Iraq’s army. Saddam did this, according to one
Iraqi colonel, because “he was afraid the regular army might rise up against him.”
However, when war came, another Iraqi officer explained, the result was, “there was
no coordination between [the generals]—they hate[d] each other.”12

Military Power: Debating How Much

Given the importance of military power as an instrument of foreign policy, a common
assumption is that more is better. This is not necessarily so because there are dangers
associated with overemphasizing military power. These perils include insecurity,
temptation, and expense.
Military power creates insecurity. One result of amassing power is the “spiral of
insecurity.” Efforts by one country to increase its power to achieve security are fre-
quently perceived by other states as a threat. They then seek to balance power, which
the first country sees as threatening, causing it to acquire even more power, and so
on ad infinitum, in an escalating spiral. As chapter 11’s discussion of disarmament
details, arms races are not automatic. Still, the interaction of one country’s power and
other countries’ insecurity is an important factor in world politics.
Military power creates temptation. A second peril of amassing excess military
power is the temptation to use it in a situation that is peripheral to the national
interest (Fordham, 2004). The United States went to war in Vietnam despite the
fact that President Lyndon Johnson derided it as a “raggedy-ass fourth-rate country.”
One reason Americans intervened in Vietnam was because of a so-called arrogance of
power. Had U.S. military power been more modest, the United States might have
emphasized diplomacy or maybe even acquiesced to the reunification of North and
South Vietnam. One can never be sure, but it is certain that it is hard to shoot some-
one if you do not own a gun.
Military power is expensive. A third problem with amassing military power is that
it is very expensive. In addition to short-term budget pressure, there is a longer-range
concern related to high military spending. Some analysts argue that it saps national
economic strength. One scholar who studied the decline of great powers between
1500 and the 1980s formulated an imperial overstretch thesis to explain their de-
generation (Kennedy, 1988). He argued the former superpowers spent so much on
military power that, ironically, they weakened their strength by siphoning off resources
that should have been devoted to maintaining and improving the country’s infrastruc-
ture. Kennedy’s study did not include the Soviet Union, but it is arguable that the col-
This drawing of Uncle Sam lapse of the USSR followed the pattern of overspending on the military while starving
reaching beyond his grasp the country’s economic core. Declinists warn that the United States is similarly guilty
illustrates the view that U.S. of imperial overstretch and could go the way of other great powers that rose, domi-
power is declining because of nated, then declined. “America is marching in the well-trod footsteps of virtually all of
“imperial overstretch,” whereby the imperial powers of the modern age,” one such analyst writes (Snyder, 2002:2).
a country spends so much on
The imperial overstretch thesis has many critics (Levey & Brown, 2005). Some
military power that it neglects
other important aspects of
argue that far more danger is posed by a “lax Americana” than by any effort to create
power such as education, a “pax Americana.” The reasoning, as detailed in chapter 3, is that a U.S. failure to
health, and renewing its exercise leadership as the hegemon puts the international system in danger of falling
infrastructure. into disorder.13 Similarly, critics of the declinist thesis warn that cuts in U.S. defense
 Economic Power 253

FIGURE 8.7 U.S. Defense and Human Resources Spending

16%
Human resources spending 12.8%
12%

8% 5% Percent of GDP

4%
5.2% Defense spending 5%
0%
1950 1955 1960 1965 1970 1975 1980 1985 1990 1995 2000 2007

Some argue that U.S. defense spending is too high and saps the national economy by diverting funds
that could be better spent to strengthen the national infrastructure. Those who dispute this point out
that defense spending has generally declined as a share of the U.S. GDP since the early cold war years,
and that despite the upturn under President Bush in recent years, it was at the same level in 2007 as
in 1950. These analysts contend that the real problem with the U.S. budget is increased outlays on
human resources, such as health and income security, which grew from 5.2% of the GDP in 1950
to 12.8% in 2007.
Notes: Human resource spending includes education, health, Medicare, income security, Social Security, and veterans’
benefits. In 2007, education and veterans’ benefits combined were less than 1% of human resource spending. The author
added 0.08% of GDP to defense spending for 2007 to reflect the Bush administration’s supplemental budget requests for Iraq
and Afghanistan not included in the regular budget.
Data sources: U.S. Budget, FY2008 and author’s calculations.

spending are shortsighted. One study that reviewed the sharp cuts in U.S. military
spending at various points since World War II concluded, “In each case the savings
proved only temporary, as declining defense budgets eroded military readiness and
necessitated a rush to rearm in the face of new dangers abroad” (Thies, 1998:176).
Finally, those who disagree with the declinists point out that U.S. defense spend-
ing measured in terms of U.S. wealth is not at a dangerous level and in fact has
declined during the decades the United States has been a superpower. Indeed, some
advance a social overstretch thesis, arguing that it is out of control social spending,
not military spending, that saps national economies. According to one such view,
“Whether in the form of bread and circuses in the ancient world or medical care for
the lower classes and social security for the aged in the modern world,” it is social
welfare spending that has undermined national economies (Gilpin, 1981:164).
Figure 8.7 compares U.S. defense and social welfare spending.

ECONOMIC POWER

Countries not only adopt foreign policies to increase their economic strength, they
also use their economic power to pursue a wide range of both economic and noneco-
nomic foreign policy goals. The determinants of national power include financial
position, natural resources, industrial output, and agricultural output.

Financial Position
The center of any country’s economic power is its basic financial position. Numerous
factors make up a country’s financial position, and we can analyze these and how
they add or detract from economic power by examining the United States.
254 CHAPTER 8 National Power and Statecraft: The Traditional Approach

FIGURE 8.8 U.S. Foreign Debt Overall size of the economy is one factor, and big-
ger is better. At almost $13 trillion, the U.S. GNP is
44.2%
Percentage of federal public
immense: the world’s largest, twice the size of the
debt held by foreigners next largest country ( Japan), and equal to 29% of the
world’s combined GDP. Per capita size of the economy
31.0%
is also important. China has the world’s fourth largest
GNP overall but ranks 110th among countries on a
per capita GNP basis. Exports of goods and services,
18.1% 22.2%
16.7% which bring in earnings, also contribute to financial
18.3% strength. Here again the U.S. position is good, with
17.1%
its over $1.2 trillion in annual exports slightly more
4.7% than the next largest country (Germany) and equal to
5.0% almost 11% of all exports. International investments,
which also bring in revenue, are a third positive area,
1965 1970 1975 1980 1985 1990 1995 2000 2006 with Americans having more than $10 trillion in for-
eign investments, far more than any other country.
To finance its budget deficits, the U.S. government borrows money,
partly by selling bonds. The debt owed to those holding U.S. bonds Yet despite its size, the U.S. economy, like the
grew from $261 billion in 1965 to $4.8 trillion in 2006. Increasingly, as biblical Goliath, has worrisome vulnerabilities. Most
this figure shows, that debt is held abroad, creating vulnerabilities for of the U.S. weaknesses are associated with lack of
the U.S. economy. One is that the U.S. government paid $83 billion in financial discipline. Budget deficits are one weakness.
interest to its foreign debt holders in 2006. The U.S. government had a budget deficit for 50 of
Data source: U.S. Federal Budget, FY2007. the 58 years during the period FY1950–FY2008. One
result of chronic deficit spending is that the U.S.
government has had to increasingly borrow money from foreigners to finance the
debt, as Figure 8.8 shows. This leaves the country vulnerable to external financial
pressure. Net trade is a second weakness and indication of lack of financial discipline.
Americans import far more than they export, and have rung up a net trade (exports
minus imports) deficit during all but two years since 1971. The $764 billion trade
deficit for 2006 was the largest ever, and far bigger than any other country’s. Balance
of payments is a third U.S. problem area. The enormous net trade deficit and other
flows of money out of the country have made for a huge U.S. deficit in its balance of
payments for current accounts, a measure that represents the entire flow of money
Web Link into and out of a country’s economy except funds for investments. Since its last sur-
An excellent source for details plus in 1989, the United States has amassed ever-larger balance-of-payments deficits,
of the current U.S. balance of both in dollars and as a percentage of the country’s GNP. The $791 billion deficit
payments and other data on the
in 2005 equaled a very worrisome 5.7% of the U.S. GNP. Thus far, the immense
U.S. position in the international
economy is the Web site of the
U.S. economy has been able to absorb these negative trends in U.S. budget, trade, and
U.S. Bureau of Economic balance-of-payments deficits, but even the financially mightiest of countries must
Analysis at www.bea.gov/. eventually balance its accounts or face severe financial problems.

Natural Resources
The possession, or lack, of energy, mineral, and other natural resources has become an
increasingly important power factor as industrialization and technology have ad-
vanced. Natural resources affect power in three related ways: (1) The greater a coun-
try’s self-sufficiency in vital natural resources, the greater its power. (2) Conversely,
Did You Know That:
the greater a country’s dependency on foreign sources for vital natural resources, the
Americans, who make up less its power. (3) The greater a country’s surplus (over domestic use) of vital resources
about 5% of the world
population, consume about
needed by other countries, the greater its power.
25% of its petroleum. The key here is not just how much of a given resource a country has and how much
it extracts for use each year; it is production compared to consumption. Oil is the most
obvious example, and is illustrated in Figure 8.9. For countries with large reserves,
 Economic Power 255

FIGURE 8.9 Petroleum Resources and Use

24.6%
Share of world petroleum Reserves
22.0%
Production
19.1%
Consumption

13.5%
11.5% 12.1%

8.5% 8.0%
6.2% 6.2% 6.4%
5.1%
4.6%
3.4%
2.3% 2.0% 2.4%
1.3% 1.5%
0% 0%

Saudi Arabia Iran Russia China United States European Union Japan

Every country’s power is affected by how much of various economically vital natural resources it has
(reserves), how much of each it produces, and how much of each it consumes. Oil is a vital resource,
and of the countries here, Saudi Arabia, Iran, and Russia are in relatively powerful positions because
each has large reserves and uses much less than it produces. China, the United States, the European
Union, and Japan are relatively vulnerable because each has small or no reserves of oil and consumes
far more than it produces.
Note: Data on reserves does not include deposits in tar sands and oil shale.
Data sources: BP, Statistical Review of World Energy 2006, online, and author’s calculations for the EU.

high production, and low consumption, the so-called black gold has been a major
source of revenue. For example, Saudi Arabia’s oil exports totaled about $206 billion
during 2006. Oil has also increased the global political power and significance of
Saudi Arabia and other such oil-surplus countries. By contrast, the United States has
only limited reserves and despite pumping them at a high rate still uses far more
petroleum than it produces. The resulting need for
vast quantities of imported petroleum makes the FIGURE 8.10 Vehicle Production
country vulnerable to disruptions in the flow of oil that
it needs to maintain prosperity and fuel its military. Share of
world vehicle
Second, when international instability or other factors production
drive up energy prices, as has happened in recent Rest of
world European
years, the cost to Americans increases, the economy 21% Union
can lag, and the trade deficit goes up. During 2006 24%

alone, the United States imported about $325 billion South

Korea 5%
in oil, an amount roughly half that year’s trade deficit.
China
9% NAFTA
Industrial Output Japan
25%

16%
Even if a country is bountifully supplied with natural
resources, its power is limited unless it can convert
those assets into industrial goods. On a global basis,
industrial production is highly concentrated. For
Global industry is highly concentrated. The countries of the North
instance, just five countries (China, Japan, Russia, the American Free Trade Association (NAFTA: Canada, Mexico, and the
United States, and South Korea) produce a majority United States) and the European Union each produce about a fourth
of the world’s steel. Vehicle production is another of the world’s cars, trucks, and buses each year, and along with Japan,
indication of industrial concentration, as indicated China, and South Korea make four out of every five vehicles. The United
in Figure 8.10. It shows that in 2004 the three States (18%) is the largest producer in NAFTA; Germany (9%) is the
biggest vehicle manufacturers (Germany, Japan, and largest in the EU. About 66.5 million vehicles were produced in 2006.
the United States) made 44% of the global total. Data source: International Organization of Motor Vehicle Manufacturers.
256 CHAPTER 8 National Power and Statecraft: The Traditional Approach

Those 3 plus the other 7 countries that make up the top 10 vehicle producers ac-
counted for 78% of world production. About 85% of the world’s countries (including
all those in Africa) produce no, or only a negligible number of, vehicles.

Agricultural Output
A country’s agricultural capacity adds or detracts from its economic power. Self-
sufficiency varies widely in the world. The United States not only meets its own needs,
it also earns money from agricultural exports. With agricultural exports exceeding
imports by about a 10-to-1 ratio in 2006, the U.S. net trade surplus came to approxi-
mately $50 billion. Other countries are less fortunate. Some have to use their economic
resources to import food. Sub-Saharan Africa is in particularly desperate shape. Senegal,
for one, needs to import machinery, fuel, and other products necessary to diversify and in-
dustrialize its economy, yet it must spend 28% of its limited import funds to buy food.
Another significant agricultural factor is the percentage of its economic re-
sources that a country must expend to feed its people. Countries are relatively disad-
vantaged if they have larger percentages of their workforce engaged in agriculture,
and thus not available for the manufacturing and service sectors. For example, over
half of China’s workforce is in agriculture compared to only 2% of all U.S. workers.
A country is also challenged if it has to spend a significant part of its economic effort
(measured as a percentage of GDP) to feed its people. Here again, China is relatively
disadvantaged by having to devote 15% of its GDP to farming, compared to just 2%
for the United States. A major problem for China and similar countries is that they
are inefficient because they have so little farm machinery. As one measure, Americans
have almost three times the number of tractors per square mile of farmland than do
the Chinese.
Now that we have explored national capabilities, we can turn to foreign policy
implementation, to how countries seek to utilize their resources, skills, and other
capabilities to promote their national interests. A first step is to reiterate that power is
a very sophisticated concept, including but also extending well beyond military might
and wealth. As we shall see presently, these two factors often have little or nothing to
do with whether a country succeeds or fails in advancing its foreign policy goals.
The second step in this introduction to implementing foreign policy is to take up
statecraft by identifying the instruments of foreign policy, the tools that countries
use to implement their policy. There are four instruments: military, economic, diplo-
matic, and informational.

THE MILITARY INSTRUMENT

War is sometimes a spasm of violence begun by an irrational leader or set off by

an emotional reaction. Normally, however, a country’s military assets are part of its
overall power that can be used directly or indirectly to help the country achieve
its diplomatic goals. As German strategist Carl von Clausewitz argued in On War
(1833): “War is not merely a political act, but also a political instrument, a continu-
ation of political relations, a carrying out of the same by other means.” Used wisely,
force remains a tool of diplomacy. Even UN Secretary-General Kofi Annan had
to concede, “You can do a lot with diplomacy, but of course you can do a lot more
with diplomacy backed up by firmness and force.”14 Chapter 10 includes an
extended examination of the use of violence in the international system, but it is
 The Military Instrument 257

appropriate here to briefly review violence as a national policy instrument. This

mostly involves the military, but it can also involve assassinations and other covert
forms of violence.

Applying Force from Intimidation to Attack

Military power may be applied in several escalating ways. These range from serving
as a diplomatic backdrop, through threats, to using military forces to defeat an op-
ponent (Slantchev, 2005; Cimballa, 2002; Nathan, 2002). It also should be noted that
the options provided by the five levels of violence form a multiple menu. That is, they
are often exercised concurrently.
The very existence of significant military power establishes a diplomatic backdrop
Did You Know That:
that influences other countries. Military strength not only deters opponents, it also
King Frederick the Great of
influences friends and neutrals. One reason the United States has been, and remains,
Prussia (1712–1786), once
a leader of the West is because massive U.S. conventional and nuclear military power commented, “Diplomacy
creates a psychological assumption in others that Washington will play a strong role. without arms is like music
This reality led one U.S. ambassador to China to put a photograph of a U.S. aircraft without instruments.”
carrier on his office wall with the caption, “90,000 tons of diplomacy.”15
Overt threats are the next step up the escalation ladder. That is what President
Bush did in his address on March 17, 2003, when he declared, “Saddam Hussein and
his sons must leave Iraq within 48 hours. Their refusal to do so will result in military
conflict, commenced at a time of our choosing.”
Indirect and covert intervention is a further escalation and includes the use of any
of a number of techniques to apply military power while avoiding a commitment of
your armed forces to direct combat. One example is supplying arms or providing
training and advisers to another government or to a rebel force. Another is conducting
covert operations using special military forces, intelligence agents, or mercenaries in
another country to conduct clandestine operations.
Limited demonstrations are well up the escalatory ladder. These involve overtly
wielding restrained conventional force to intimidate or harass rather than defeat
an opponent. On two occasions (1993 and 1996), for example, the United States
attacked Iraqi military installations with cruise missiles in retaliation for Baghdad’s
attempt to assassinate former President Bush, then to pressure Iraq to end military
operations against the Kurds in the northern part of Iraq.
Direct action is the most violent application of a country’s military assets. It
involves using full-scale force to attempt to defeat an opponent. Within this context,
the level of violence can range from highly constrained conventional conflict, as
occurred in Iraq in 2003, to unrestricted nuclear war.

The Effectiveness of Force

Deciding to use force is the most fateful decision that a country can make. People will
almost certainly die, the cost of war and reconstruction is high, and victory is never
assured. German Chancellor Theobald von Bethmann-Hollweg was wise when he
warned as Europe teetered on the edge of World War I in 1914, “If the iron dice roll,
may God help us.” Given these realities, we should explore the effectiveness of force
by looking at measurements of and conditions for success.

Measurement
Cost/benefit analysis is one way to measure the effectiveness of force. War is very ex-
pensive. There is no accurate count of the deaths in the Iraq War, but in the initial
258 CHAPTER 8 National Power and Statecraft: The Traditional Approach

military invasion and the following occupation through early 2007, 3,400 U.S. and
coalition troops died and 23,400 were wounded. About 90% of these have been
Americans. Between 20,000 and 45,000 Iraqi soldiers and at least 2,500 civilians
died during the invasion, and the estimated number of Iraqis to have died during the
occupation either directly or indirectly from the violence and destruction range from
50,000 to 600,000. As far as financial costs, U.S. spending on the war and subsequent
occupation was approaching the $400 billion mark in early 2007. The cost to Great
Britain and other intervening countries and the destruction in Iraq easily push the
total cost of the war past the $1 trillion mark. Most Americans would say that the
war has not been worth the cost, but what goal would be? Answering that is difficult
because while the decision for war, to trade lives and treasure for a political goal, is
often made, it is impossible to arrive at any objective standards that can equate the
goal sought and the price to be paid even if you could accurately calculate it before
taking action.
Web Link Goal attainment is the second way to judge the effectiveness of force. Generally,
the decision for war is not irrational because leaders usually calculate, accurately or
An up-to-date calculation of the
ongoing cost of the Iraq war and not, their probability of successfully achieving their goals. This calculation is called
occupation for the United States is the “expected utility” of war. By the utilitarian standard, war does sometimes work.
available at http://costofwar.com/. From 1495 to 1991, great powers won 60% of the wars they started (Wang & Ray,
1994). Moreover, the success rate went up from 59% through 1799 to 75% between
1800 and 1991. During the first three centuries (1495–1799), the initiators won
59% of the wars they fought. But during the last two centuries (1800–1991), the
success rate increased, with the initiators winning 75% of the wars. Leaders often
miscalculate, as Saddam Hussein did in 1990 and again in 2003, and start or risk
a war they ultimately lose. Also, it is sometimes hard to evaluate whether goals
were attained. If the U.S. goal in 2003 was to defeat Iraq and topple Saddam
Hussein, it certainly succeeded. However, to the extent the goal was to destroy Iraq’s
weapons of mass destruction (WMDs), the invasion was a failure since they did not
exist. Finally, to the degree that the goal was to bring democracy to Iraq, the verdict
is still out about whether Iraq’s future will be one of democracy or an internal
bloodbath as various religious factions fight for power, but the prospects are grim
at best.

Conditions for Success

The next question, then, is: When does force succeed and when does it fail to
accomplish its goals? There is no precise answer, but it is possible to synthesize
the findings of a variety of studies and the views of military practitioners to arrive
at some rudimentary rules for the successful use of military force, especially in cases
of intervention when a country has not been directly attacked.16 Note that these cri-
teria do not guarantee success. They only improve the chances. With that caveat
in mind, a country improves its chances of success during an intervention when
military force is:
1. Used in areas where it has a clearly defined, preferably long-standing, and
previously demonstrated commitment.
2. Supported firmly and publicly by most of the country’s leaders.
3. Supported strongly by public opinion.
4. Utilized to defeat other military forces, not to control political events.
5. Applied early and decisively, not after extended threatening and slow
escalation.
6. Meant to achieve clear goals and does not change or try to exceed them.
 The Economic Instrument 259

Many analysts believe that

a country’s ability to use
military force successfully is
determined in part by strong
support of the action by public
opinion. The U.S. invasion
and occupation of Iraq were
not very popular among
Americans to begin with, and
public opinion and support
dropped off steadily once U.S.
casualties began to mount.
This further diminishes any
chances of success for the
occupation.

THE ECONOMIC INSTRUMENT

Although economic power cannot be as easily wielded as military power, countries

with considerable economic power have a potent policy instrument in their ability to
use trade, aid, and other economic means to achieve national foreign policy ends.
Chapters 11 and 12 focus on economics and include in-depth discussions of trade,
aid and other aspects of the international political economy. That material supple-
ments the somewhat narrower discussion of incentives and sanctions as economic
instruments for foreign policy.

Economic Incentives
States regularly offer economic incentives to induce other states to act in a desired
way. Incentives include providing foreign aid, giving direct loans or credits, guaran-
teeing loans by commercial sources, reducing tariffs and other trade barriers, selling
or licensing the sale of sensitive technology, and a variety of other techniques. Some-
times incentives are meant to achieve an economic goal, but more often specific of-
fers (as distinct from, say, general foreign aid) are aimed at achieving a political goal.
For example, the efforts by the EU to persuade Iran to give up its alleged nuclear
weapons development program and the similar effort by the United States and other
countries to convince North Korea to give up its program both involve the offer of
energy aid and significant other economic incentives. One study finds incentives
more effective with authoritarian than democratic countries (Lai & Morey, 2006).
Some foreign aid is given multilaterally through the World Bank and other
intergovernmental organizations (IGOs), but the United States and most other aid
donors give funds directly to other countries. About 80% of all U.S. foreign aid is
bilateral. Much of it has a political focus. Indeed, about 40% of U.S. aid is military aid.
260 CHAPTER 8 National Power and Statecraft: The Traditional Approach

Following the 9/11 attacks, the Bush administration focused aid heavily in support
of the war on terror. In 2006, Iraq was the top U.S. aid recipient, with Afghanistan,
Pakistan, and the moderate Arab regimes in Egypt and Jordan also among the top
ten recipients. U.S. concerns about the Islamic extremists in Somalia, Sudan, and
elsewhere in the northeastern African “horn” region also put Ethiopia among the top
ten recipients. That paid off when Ethiopian forces invaded Somalia in late 2006
and ousted the Islamic fundamentalist regime that dominated Mogadishu and most
of the rest of the country. A few other U.S. strategic interests were also evident in
the distribution of aid. Concern about illegal drugs led Colombia to be a top-10 aid
recipient.
It is important to note that the political use of aid is not confined to the United
States. It is somewhat ironic that China, which once loudly criticized aid from the
West to less developed countries (LDCs) as imperialist, became itself subject to that
charge once it began to give limited aid. There has been considerably criticism of
Beijing, for example, because of its aid to and general support of Sudan, despite the
Sudanese government’s horrific ethnic cleansing campaign in Darfur. China claims
it opposes outside interventions in other countries’ domestic affairs, but critics tie
China’s support to its considerable interests in Sudan’s oil fields. Elsewhere in Africa,
China’s aid has been tied to easier access for Chinese goods and other benefits, lead-
ing South Africa’s President Thabo Mbeki to rebuke China for seeking for itself
“a replication of that colonial relationship” that once existed “between Europe and
its African possessions a century ago.”17

Economic Sanctions
Web Link Countries can also use their economic power in a negative way by applying sanc-
Current UN sanctions are tions. The use of economic sanctions dates back to at least 432 B.C. when the city-
available at www.un.org/sc/ state of Athens embargoed all trade with another city-state, Megara, an ally of Sparta,
committees/; current U.S. which was a bitter rival of Athens. Despite being ancient, though, sanctions were
sanctions are listed at www.treas uncommon until fairly recently (Elliot & Oegg, 2002). Increased use has occurred,
.gov/offices/enforcement/ofac/
in part, because countries are more willing to ignore sovereignty and impose penal-
programs/index.shtml.
ties on oppressive governments, because economic interdependence makes target
countries more vulnerable to sanctions, and because they are an alternative to war.
For example, the United States imposed sanctions on Syria in 2004 because of its
alleged support for terrorism, its occupation of Lebanon, and its chemical weapons
program. Overall, in 2006 the U.S. government had economic sanctions ranging
from full economic embargoes (no trade) to more limited restrictions in place against
Belarus, Burma (Myanmar), Cuba, Iran, Ivory Coast, North Korea, Serbia, Sudan,
and Zimbabwe. It should be noted that sanctions can be imposed by international
organizations as well as by individual countries. During its history, the UN has used
sanctions against numerous countries, with restriction in place against 10 countries
in early 2007.

The Effectiveness of Sanctions

Whether imposed unilaterally or multilaterally through the UN or some other IGO,
economic sanctions have two purposes. One is to register symbolic disapproval. This
may not have a practical impact, but there is something to be said about refusing
to have normal economic relations with a country that has committed aggression,
is engaged in ethnic cleansing, or is otherwise morally deficient. The second use of
economic sanctions is to attempt to change a target country’s behavior. In this more
applied use, the effectiveness of sanctions is mixed (Druary & Li, 2006; Marinov,
 The Economic Instrument 261

2005). Sometimes they can be effective. For example, the sanctions first imposed
on Libya in the early 1990s almost certainly played a role in its 2003 agreement to
end its program of building weapons of mass destruction and to allow inspections by
the International Atomic Energy Agency and other international agencies. Usually,
though, sanctions fail to accomplish their goal, with success-rate estimates rang-
ing from 5% to 33% (Elliott & Oegg, 2002). Thus while scholars disagree on the
exact success rate, “something of a conventional wisdom has emerged,” one writes,
“suggesting that, while sanctions may serve domestic political or symbolic purposes,
they are not particularly effective at inducing target states to change their behavior”
(Morgan, 2005:1).
Studies also indicate that sanctions are most likely to be effective in certain cir-
cumstances (Lacy & Niou, 2004). These include instances when (1) there is strong
multilateral cooperation; (2) the target is politically unstable and/or economically
weak; (3) those imposing the sanctions are strong economically; the targeted coun-
try has substantial trade with the targeting countries; (4) sanctions are put into effect
quickly and decisively to maximize psychological impact; and (5) the targeting coun-
tries are not themselves harmed significantly by the cost of maintaining the sanc-
tions. Within this list, it is most important to note the first criterion: multilateral
cooperation. Unilateral sanctions, those imposed by one country against another,
have a very slim chance of success. The United States has had various sanctions in
place against Cuba since 1960 in an effort to topple the leftist regime of Fidel Castro.
Yet as of 2007, Castro was still in power and, indeed, was the world’s longest serving
political leader. Reports of serious ill health make it unlikely that Castro will remain
as president another 48 years, but it is far more likely that time and nature will
remove him from power than will the United States.

The Drawbacks of Sanctions

Countries that apply sanctions must be wary of their potential negative impact on un-
intended victims. One such difficulty is that sanctions may harm economic interests www
other than those of the intended target. The UN sanctions imposed on Iraqi oil exports
between 1991 and 2003 cost Jordan and Turkey many millions of dollars annually
JOIN THE DEBATE
by way of lost revenues. Both countries would have earned revenues for the use of Are Sanctions against Cuba
pipelines that run from Iraq through them and on to ports from which the oil is shipped. Still in the Best Interests
Economic interests in the targeting country can also be harmed. For instance, U.S. of the United States?
sanctions barring trade with other countries reduced American exports by about
$15 billion a year. That is a tiny part of the U.S. economy, but, as one study notes, “the
costs of sanctions are never spread evenly” across the economy. For example, the
analysis continues, “the long-standing U.S. embargo on Cuba arguably has a much
larger impact on Florida than on other states” (Hufbauer & Oegg, 2003:8).
A third criticism of sanctions is that they are often the tool used by EDCs to
continue their dominance of LDCs. Of the 71 incidents of sanctions applied during
the 1970s and 1980s, 49 of the cases (69%) involved EDCs placing sanctions on
LDCs (Rothgeb, 1993). A fourth charge against sanctions is that they may constitute
a rogue action in the view of many countries that do not support them. For the
15th consecutive year and by a vote of 183 to 4, the UN General Assembly in 2006
condemned the unilateral U.S. sanctions against Cuba. A fifth criticism is that
sanctions often harm the innocent. Taking this view, President Fidel Castro of Cuba
has called them “noiseless atomic bombs” that “cause the death of men, women,
and children.”18 Iraq provides a good example of Castro’s point. There, the UN sanc-
tions that remained in place with strong U.S. support between 1991 and 2003 had a
devastating impact on the Iraqi population, especially its children. There is a debate
262 CHAPTER 8 National Power and Statecraft: The Traditional Approach

FIGURE 8.11 Child Mortality Rates

133
Deaths before age 5
130
for each 1,000 children
125

Iraq
Iran
Jordan
85 Kuwait
83 Saudi Arabia
Syria
74 Turkey
65

38
32
34 27
27
16

Sanctions on Iraq begin 12

1980 1985 1990 1995 2000 2004

Throughout the Persian Gulf region, the child mortality rate for Iraq and all its neighbors declined
steadily from 1980 to 1990. Then UN sanctions were placed on Iraq. From that point, the child
mortality rate for Iraq shot upward alarmingly, while the rate for all its neighbors continued to decline.
In 2004, the number of children per 1,000 dying in Iraq before they reached age 5 was 125 (or
12.5%). This was more than three times the rate of the next highest country in the region (Iran, 38),
and 51% higher than Iraq’s own rate in 1980 (83). Such data casts doubt in the minds of some about
the morality of economic sanctions.
Data sources: World Bank online, UNICEF online.

over whether the sanctions themselves should be blamed or whether the fault lies
with Saddam Hussein for diverting funds that should have been spent on food and
medicine for the civilian population. Whatever the resolution of that argument, the
net result, according to various studies by the UN, Harvard University’s School of
Public Health, and others, was that during the sanctions period over 1 million Iraqi
children than would normally be expected were malnourished and upward of
500,000 died. This deleterious effect is evident in Figure 8.11, which compares the
child mortality rate in Iraq to that of its neighbors.

THE DIPLOMATIC INSTRUMENT

National diplomacy is a complex game of maneuvering in which a country tries to

get other countries or international organizations to do what it wants them to do.
While diplomacy is often portrayed by an image of somber negotiations over highly
polished wooden tables in ornate rooms, it is much more than that. Modern diplo-
macy is a far-ranging communications process including many channels in addition
to ambassadors and other such diplomats (Starkey, Boyer, & Wilkenfeld, 2005; Steiner,
2004). Additionally diplomacy is not only about words. Although it is presented here
 The Diplomatic Instrument 263

as an individual instrument of foreign policy, the reality is that diplomacy is con-

Did You Know That:
ducted along the scale of methods ranging from the overt use of economic and mili-
The oldest surviving diplo-
tary muscle, through the argumentation of skilled diplomats who have little power
matic document is a
other than their own abilities to support their country’s goals. Moreover, diplomacy message on a tablet sent
involves building up a reserve of good will and respect, soft power, that can be drawn about 2500 B.C. by Ibubu,
upon in future negotiations or even confrontation to try to maintain allies, help assuage chief minister to the king of
opponents, and otherwise achieve a positive result. Ebla (in modern Lebanon),
to King Zizi of Hamazi (in
modern Iran). Ibubu pledges
The Context of Diplomacy goodwill, relates that he is
sending Zizi a quantity of
Before taking up the conduct of diplomacy, it is important to understand the global rare wood, and urges him to
context in which it operates. Diplomacy is an ancient art, dating back at least to the return the favor by sending
mercenaries to fight for Ebla.
time of the great Babylonian emperor, Hammurabi (1792–1750 B.C.). But while
treaties, ambassadors, and some other parts of modern diplomatic practice also have
long histories, diplomacy has changed dramatically because of the evolving context
of world politics. The early 20th century serves as a benchmark in the transition to
modern-era diplomacy. In this evolving new context, the “old diplomacy” did not
vanish, but it changed substantially. The eclipse of colonialism, advances in travel
and communications, the spread of democracy, and other factors have all played a
role in changing the context of diplomacy.

Multilateral Diplomacy
Although there were a few exceptions, the normal form of negotiation prior to 1900 Web Link
was bilateral diplomacy, direct negotiations between two countries. The use of Interactive historical maps
multilateral diplomacy, conferences involving a number of nations, has expanded representing world power in
greatly since then. More than any event, the founding of the League of Nations in 1920 the early 20th century can be
marked this change, and there are now about 250 permanent world and regional inter- found at http://users.erols.com/
mwhite28/20centry.htm.
governmental organizations (IGOs). Conferences to address specific issues and treaties
are also more apt to be multilateral. Before 1900, the United States attended an average
of one multilateral conference per year. Now, the United States is a member of scores of
international organizations and American diplomats participate daily in multilateral
negotiations. For example, the effort to persuade North Korea to give up its nuclear
weapons program has been conducted through the Six Party talks hosted by China and
also include Japan, North Korea, Russia, South Korea, and the United States.
One reason that multilateral diplomacy has increased is that modern technology
allows faster and more frequent contacts among countries. Second, many global con- www
cerns, such as the environment, cannot be solved by any one country or through
traditional bilateral diplomacy alone. Instead, global cooperation and solutions are SIMULATION
required. Third, diplomacy through multilateral organizations is attractive to smaller An Adventure in Diplomacy
countries as a method of influencing world politics beyond their individual power.
Fourth, there is the growing expectation of multilateralism, the notion that
important international actions, especially those using military force, will be taken
within the framework of a multilateral organization such as the United Nations. The
contrasting approach is unilateralism. This occurs when a single country, perhaps
leading a small coalition of other countries, takes action without the approval of an
IGO. Recent wars against Iraq illustrate the two approaches. Prior to the Persian Gulf
War (1991) the first President Bush secured the authority of the UN to oust Iraq
from Kuwait, and the U.S.-led invasion included military support from 33 countries.
In 2003, President Bush sent troops into Iraq without the UN’s imprimatur and with
substantial military support only from Great Britain and token support from 3 other
countries.
264 CHAPTER 8 National Power and Statecraft: The Traditional Approach

Many political leaders within the United States and internationally have strongly
criticized what they see as the arrogant and heavy-handed unilateralism of the sec-
ond President Bush. Not atypically, one condemnation of Bush’s foreign policy blasts
unilateralism as a “flagrant disregard for . . . cooperation,” and also “foolhardy [be-
cause] it makes of one [country] a clear aggressor, a likely target of retaliation, and
liable to bear the full brunt of paying for the operation, both in personnel and
money” (Seigfried, 2006:20). Others have taken the opposite view, though, arguing
against what is “short-term popular, but long-term unwise. . . . trust[ing] U.S. secu-
rity to the goodwill of international organizations” (Rubin, 2006:3). From a different
perspective, a recent review of the general scholarly commentary against unilateral-
ism argues that it has been mostly based on views of the policies, such as the Iraq
War, themselves and not on the actual process of unilateralism. That review con-
cludes, “Unless and until” better research is done, “scholarly grounds for a general
stance against U.S. unilateralism on the basis of its purported international costs do
not exist” (Brooks & Wohlforth. 2005:524).

Leader-to-Leader Diplomacy
It was once rare for monarchs and other leaders to meet or otherwise communicate
Did You Know That:
directly with one another. Now modern transportation and communications have
Bill Clinton is the most
traveled U.S. president,
made direct exchanges common. President Bush departed on his first foreign visit
having made 54 trips to only 27 days after his inauguration in 2001, and during his first six years made
133 countries and being 36 trips and visited 58 countries. Additionally during that time, he received visits from
abroad for 229 of his 2,190 heads of government or foreign ministers representing 80 countries. Beyond
2,922 days in office. such face-to-face encounters, presidential telephone calls to foreign leaders are a
common occurrence.
There are advantages to face-to-face meetings. Sometimes they have high sym-
bolic value. Richard Nixon’s visit to China in 1972 to meet Chairman Mao Zedong
signaled an epic shift in U.S. policy. Another advantage is that leaders sometimes
make dramatic breakthroughs. The 1978 Camp David Accords, which began the
process of normalizing Egyptian-Israeli relations after decades of hostility and three
wars, were produced after President Jimmy Carter, Egyptian President Anwar Sadat,
and Israeli Prime Minister Menachem Begin isolated themselves at the presidential
retreat in Maryland. A third advantage of leader-to-leader diplomacy is that it can
facilitate communications and smooth relations. The first President Bush believed
that “The best diplomacy starts with getting to know each other” and that “If [another
leader] knows the heartbeat a little bit from talking [with me], there’s less apt to be
misunderstanding.”19
Sometimes personal warmth grows between two leaders that can be helpful.
George W. Bush learned during his friendly conversations with Junichiro Koizumi
that the Japanese prime minister is a huge fan of rock ’n’ roll and especially Elvis
Presley. So when Koizumi visited the United States in 2006, Bush presented him
with a vintage jukebox complete with 1950s and 1960s rock ’n’ roll records and then
escorted him to visit Graceland in Tennessee. There, when Bush urged Koizumi to
sing some of his favorite Elvis tunes, the prime minister warbled a few bars of “Love
Me Tender,” then crooned, “Wise men say, ‘Only fools rush in’,” which is also pretty
good diplomatic advice.
Disadvantages also exist in leader-to-leader diplomacy. One is that there are
numerous instances when leaders have made and reached what each thought was a
mutual agreement, only to find to their dismay that they had misunderstood each
other. A second problem is that while leaders can disavow mistakes made by lower-
ranking officials, a leader’s commitments, even if not wise, cannot be easily retracted.
 The Diplomatic Instrument 265

“When presidents become negotiators no escape routes are left,” former Secretary
of State Henry Kissinger warns (1979:12). “Concessions are irrevocable without dis-
honor.” Additionally, poor personal chemistry can damage relations between leaders.
For example, relations between President G. W. Bush and German Chancellor Gerhard
Schröder turned sour in 2002 over their opposing views, “The personal relationship is
not just damaged, it is broken, and I fear beyond repair,” lamented a German official.
“That is regrettable because personal trust in the negotiating parties is important for
political cooperation.”20

Democratized Diplomacy
Few countries were democracies before the 20th century, and in that context con-
ducting diplomacy and agreeing to treaties and other international obligations were
almost exclusively within the monarch’s realm of authority. “L’état, c’est moi” (I am
the state), Louis XIV supposedly proclaimed with some justification. Executive leaders
still dominate the foreign policy–making process, but it is no longer their exclusive
domain. Instead, democratized diplomacy is the norm, with legislatures, interest
groups, and public opinion all playing a greater role.
Indeed, the importance of domestic politics in foreign policy making has given
rise to two-level game theory. This holds that to be successful a country’s diplomats
must find a solution that is acceptable to both the other country at the international
level and, at the domestic level, to the political actors (legislators, public opinion,
interest groups) in the diplomat’s own country (Tarar, 2005). From this perspective,
the diplomatic setting exists at the domestic as well as at the international level, and
is influenced by the interplay of the two levels when leaders try to pursue policies
that satisfy the actors at both levels. During the several tense times over the future of
Taiwan, for instance, U.S. and Chinese leaders not only have had to find points of
agreement between themselves, they also have had to fend off domestic forces in
their respective countries pushing to escalate the crisis. As China’s president put it,
“Any leader who lets this [Taiwan’s independence] pass would be overthrown.”21

Parliamentary Diplomacy
Another part of the modern diplomatic context is parliamentary diplomacy. This in-
cludes debate and voting in IGOs as a supplement to negotiation and compromise.
The maneuvering involved in parliamentary diplomacy was strongly evident in the
UN during the U.S. campaign to win Security Council approval for an invasion of
Iraq in 2003. That required the backing of 9 of the Council’s 15 members, including
a “yes” vote or an abstention from each of the 5 veto-wielding permanent members.
Washington’s strategy, according to one U.S. diplomat, was to “win backing like you
would in Congress—going after votes one by one by one.” Tactics reportedly included
offering a variety of economic incentives such as access to lucrative contracts to
rebuild postwar Iraq. As one U.S. diplomat conceded, “We’ll put it to them simply:
Do you want to be part of reconstruction and all that means—or leave it to us?”22 In
the end, Washington was certain that France and perhaps Russia would veto the
U.S./U.K. resolution, which probably did not even have 9 votes. To avoid an embar-
rassing defeat, the British ambassador to the UN announced that Washington and
London “have agreed that we will not pursue a vote.”23

Open Diplomacy
Secrecy was once the norm in diplomacy, with negotiations and sometimes even
treaties concluded in secret. Seeking change, Woodrow Wilson called for “open
covenants, openly arrived at” in his Fourteen Points. He got his wish and in the context
266 CHAPTER 8 National Power and Statecraft: The Traditional Approach

of expanded democracy since his time, the norm is open diplomacy, with negotia-
tions and the contents of international agreements widely reported and documented.
While this change is important to the principle of democratic government, it does
have its disadvantages. Public negotiations are difficult. Disclosure of your bargain-
ing strategy compromises your ability to win concessions. Public negotiations are
also more likely to lead diplomats to posture for public consumption. Concessions
may be difficult to make amid popular criticism. Perhaps the most critical negotia-
tions in all history possibly prevented a nuclear war when the United States secretly
agreed to never seek to overthrow Fidel Castro in return for Soviet withdrawal of
their nuclear weapons from Cuba during the 1962 Cuban missile crisis. In sum, it is
difficult to negotiate (or to play chess) with someone kibitzing over your shoulder.
Indeed, domestic opposition to dealing with an adversary may be so intense that it
may be impossible to negotiate at all.

Diplomacy as a Communications Process

As a communications process, diplomacy involves (1) communicating to one or more
countries or other actors what your concerns, general goals, and specific objectives
are, and (2) persuading the other actors to support or comply with your objectives.
Such communications are not carried out solely by designated diplomats, such as
ambassadors. Instead there are multiple channels that range from a country’s presi-
dent or prime minister down through the government structure and sometimes even
involve private citizens. We shall also see that diplomatic communications can include
actions as well as words. Whatever the specifics, the diplomatic communication
process is carried out through negotiation and signaling.
Negotiations occur when two or more parties communicate with one another,
either directly or indirectly through an intermediary. It is very difficult to accomplish
anything unless the different sides are talking directly or at least indirectly through
an intermediary. As U.S. Secretary of State Colin Powell once put it, diplomacy is
about seeking solutions, and “what will get us there are political discussions and the
sooner we can get them the better.”24
Most diplomatic communications are part of an exchange of views, but they can
sometimes be one-sided. When, in 1972, South Vietnam resisted the U.S.-negotiated
settlement with North Vietnam, President Richard Nixon cabled President Nguyen
Van Thieu that “all military and economic aid will be cut off . . . if an agreement is not
reached” and that “I have . . . irrevocably decided to proceed . . . to sign [the agreement].
I will do so, if necessary, alone [and] explain that your government obstructs peace.”
“Brutality is nothing,” Nixon told an aide. “You have never seen it if this son-of-a-bitch
doesn’t go along, believe me” (Kissinger, 1979:1420, 1469). Thieu went along.
Signaling entails saying or doing something with the intent of sending a message
to another government. When leaders make bellicose or conciliatory speeches,
when military forces are deployed or even used, when trade privileges are granted or
sanctions invoked, or when diplomatic recognition is extended or relations are bro-
ken, these actions are, or at least should be, signals of attitude and intent to another
country.
Signals can be quite direct and, indeed, sometimes leaders signal one another
through the open airwaves rather than through diplomatic channels. That is what
was occurring in 2006 when Vice President Richard Cheney publicly warned, “The
Iranian regime needs to know that if it stays on its present course [toward developing
nuclear weapons], the international community is prepared to impose meaningful
consequences.” Adding to the threat, Cheney did not forswear the use of military
 The Diplomatic Instrument 267

force, instead noting, “For our part, the United States is keeping all options on the
table. We will not allow Iran to have a nuclear weapon.”25
Less direct signaling was evident in the U.S. invasion of Afghanistan after the
9/11 terror attacks. Certainly that was meant to attack al Qaeda and the Taliban gov-
ernment, but it was also a signal to others. “Let’s hit them hard,” Bush told the chair-
man of the Joint Chiefs of Staff when he directed the general to send ground troops
as well as warplanes and missiles against Afghanistan. “We want to signal this is a
change from the past,” the president explained. “We want to cause other countries
like Syria and Iran to change their views [about supporting terrorism].”26

Conducting Diplomacy
Skilled diplomacy is more art than science. To be effective, diplomats must tailor Web Link
their approach to the situation and the opponent. Still, there are some basic rules of An online diplomatic game,
good diplomacy, and it is also wise to understand the implications of various choices Diplomatic Pouch, is available
diplomats make about the channel, level, visibility, type of inducement, degree of at www.diplom.org/index.py.
precision, method of communication, and extent of linkage that they will use.

General Rules of Effective Diplomacy

Delineating the methods of diplomatic communications is far easier than utilizing
them effectively. There is no set formula that will ensure success, but unless you are
willing to quickly escalate a conflict, some basic rules of effective diplomacy are:
■ Be realistic. Have goals that match what you can and are willing to do to
achieve them. Getting North Korea to unilaterally give up its nuclear
weapons might have been ideal, but the United States did not have the
power to do that short of a first-strike nuclear attack. Therefore offering
North Korea economic incentives in 2007 in return for beginning to shut
down its capacity to make new weapons was an achievable goal.
■ Be careful about what you say. Many observers feel that North Korea’s deci-
sion to test a nuclear weapon in 2006 may have been a defensive reaction
that can be traced to 2002 when President Bush called North Korea one of
the “axis of evil” countries and 2003 when he ordered the invasion of Iraq,
another of the axis of evil countries.
■ Seek common ground. Focus first on common interests, perhaps avoiding
war, and work toward achieving them. Research indicates, for instance, that
peace treaties reached through common accord are much more durable than
those imposed on one or more belligerents (Werner & Yuen, 2005).
■ Be flexible. Generally be willing to compromise or to give way for an offset-
ting concession on everything other than the most vital points.
■ Understand the other side. Try to find out what your opponents really want
and also appreciate their perspective even if you do not agree with it. There
was good diplomatic advice in the Elvis Presley song, “Walk a Mile in My
Shoes,” which urged in part: “Before you abuse, criticize, and accuse / . . .
walk a mile in my shoes.”
■ Appreciate the other side’s domestic constraints. Remember that they, like you,
have domestic political problems that, again just like you, push them to engage
in two-level diplomacy. It is impossible to be realistic about negotiations in
the Middle East unless you understand that whatever concessions moderate
Palestinian and Israeli leaders might be willing to make are apt to be violently
opposed by each side’s hardliners.
268 CHAPTER 8 National Power and Statecraft: The Traditional Approach

■ Be patient. Being overly anxious may result in unwise concessions or to

deadlines that, if not met, can lead to an escalation of conflict. Throughout
the negotiations with North Korea, which were frustrating and included
many setbacks, the Bush administration wisely avoided time lines.
■ Leave avenues of retreat open. The adage that rats will fight if trapped in a
corner often applies to countries. Therefore, it is usually wise to leave
yourself and your opponent an “out.” Ultimatums, especially public ones,
often lead to war. Whatever its other merits, President Bush’s demand that
in 2002 Saddam Hussein leave Iraq in 24 hours or face war left no room for
him to maneuver. War followed.

Direct or Indirect Negotiations

One issue that diplomats face is whether to negotiate directly with each other or in-
directly through an intermediary. Direct negotiations have the advantage of avoiding
the misinterpretations that an intermediary third party might cause. As in the old
game of “Gossip,” messages can become garbled. Direct negotiations are also quicker.
An additional plus is that they can act as a symbol.
Indirect negotiations may also be advisable. Direct contact symbolizes a level of
legitimacy that a country may not wish to convey. For example, the Bush adminis-
tration has resisted talking directly and bilaterally to Iran because that would have
handed a diplomatic victory to a country that the United States has not recognized
since 1980 when it allowed a mob to seize the U.S. embassy in Tehran and hold
52 American diplomats hostage for 444 days. Yet Washington has not closed the
diplomatic doors completely, and has kept a range of unofficial contacts with Iran
alive. Among these have been recent exchanges through Iran’s UN Ambassador Javad
Zarif. He is considered a moderate by Iranian standards and holds a B.A. and M.A. in
international relations from San Francisco State University and a Ph.D. in interna-
tional law and policy from the Graduate School of International Studies, University
of Denver, the same program where Secretary of State Condoleezza Rice earned her
doctorate.

High-Level or Low-Level Diplomacy

Who should communicate is another important choice in the conduct of diplo-
macy. Should high- or low-level diplomats be sent to a conference, should positions
be announced at a high level, perhaps by the head of government, or by a lower
level official?
High-level diplomacy has its advantages. Verbal and written statements by heads
of government are noted seriously in other capitals. It was major news during the
diplomatic maneuvering over North Korea’s nuclear program in 2003 when President
Bush took the occasion of a trip to Asia for an international conference to declare
publicly, “I’ve said as plainly as I can say that we have no intention of invading North
Korea” and that there might be a way “to say exactly what I said publicly on paper.”27
This move, in turn, caused a shift in North Korea’s position from demanding a formal
treaty to a more flexible willingness to meet with the United States and other coun-
tries to explore the president’s intimated readiness to sign some document pledging
nonaggression.
Low-level diplomacy is a wiser move at other times. Communications at a low
level avoid overreaction and maintain flexibility. Dire threats can be issued as “trial
balloons” by cabinet officers or generals and then, if later thought unwise, disavowed
by higher political officers. During the ongoing tensions over Taiwan, the principal
leaders generally have used lower level officials to make military threats. For example,
 The Diplomatic Instrument 269

China’s military newspaper, Liberation Army Daily, was far enough removed from
official policy makers to warn provocatively that China would “spare no effort in a
blood-soaked battle” if Taiwan declared independence.28 From a position safely distant
from the pinnacle of U.S. authority in the Oval Office, a mid-level Defense Depart-
ment official growled back that China would face “incalculable consequences” if it
attacked Taiwan.29

Using Coercion or Rewards

Yet another diplomatic choice is whether to brandish coercive sticks or proffer tempt-
Did You Know That:
ing carrots. To induce an opponent to react as you wish, is it better to offer rewards
Humorist Will Rogers once
or to threaten punishment? Coercive diplomacy can be effective when you have the defined diplomacy as
power, will, and credibility to back it up (Lake, 2005). At one point when China “Saying ‘Nice doggie’ until
became particularly alarmed about Taiwan’s intentions, Beijing conducted military you can find a rock.”
“training” operations near Taiwan. This demonstration of military might included,
among other things, firing six nuclear warhead–capable missiles into the seas off
Taiwan’s coast. For its part, the United States responded to the implied Chinese
threat by sending a major naval flotilla, centered around the carriers USS Nimitz and
USS Independence, into the waters off Taiwan.
There are also drawbacks to coercive diplomacy. If your threat does not work,
you face an unhappy choice. Not carrying out your threats implies weakness that
may well embolden the opponent and perhaps future opponents in crises to come.
Yet putting one’s military might and money where one’s mouth is costs lives and dol-
lars and is not necessarily successful either. Even if coercion does work, it may entail
a long-term commitment that was not originally planned or desired. The U.S. ensnare-
ment in Iraq after a quick military victory in 2003 serves as a case in point.
There are many times when offers of rewards may be a more powerful inducement
than coercion. One song in the movie Mary Poppins includes the wisdom that “a
spoonful of sugar helps the medicine go down,” and an increase in aid, a trade conces-
sion, or some other tangible or symbolic reward may induce agreement. At the heart of
the 2007 breakthrough in negotiations over North Korea’s nuclear arms program was
an offer by the United States and others to provide Pyongyang with about $400,000
million in fuel and other forms of economic aid.
Often, the best diplomacy mixes carrots and
sticks. As one U.S. State Department official com-
mented, it is difficult to apply a “scientific cookie-
cutter approach” that works consistently. “Sometimes
it’s the carrot, and sometimes it’s the stick,” he said,
adding that the right mixture varies from situation
to situation. “You can slice and dice this any way
you want. Hopefully, you know, the sausage machine
produces something that’s halfway coherent at the
end.”30
Economic sanctions and other diplomatic sticks
helped topple the regime of Slobodan Milosevic in
October 2000. The new government refused, how-
ever, to turn him over for trial by the war crimes
tribunal sitting in The Hague. What seemingly turned It is not clear whether the Filipino editorial artists who drew this image
of North Korean leader Kim Jong Il approved or disapproved of the aid
the trick was proffering an exceptionally attractive package that helped persuade North Korea to halt its nuclear arms
bunch of carrots to Belgrade. In an unspoken program. However, there can be no doubt that economic incentives
but obvious deal, the Yugoslav government extra- were part of the diplomatic maneuvering that moved the Six Party talks
dited Milosevic in June 2001, and within hours the to success.
270 CHAPTER 8 National Power and Statecraft: The Traditional Approach

United States, the European Union, and other donor countries and organizations
(such as the World Bank) that were meeting in Brussels pledged $1.28 billion in aid
to the country.

Being Precise or Intentionally Vague

Most diplomatic experts stress the importance of being precise when communicat-
ing. There are times, however, when purposeful vagueness may be in order. Precision
in both written and verbal communications is usually advantageous because it helps
avoid misunderstandings. Being precise can also indicate true commitment, especially
if it comes from the national leader.
Vagueness may sometimes be a better strategy. Being vague may paper over irrec-
oncilable differences. Lack of precision can also allow a country to retreat if necessary.
A degree of ambiguity was one hallmark of legislation passed by China’s parliament in
2005 that authorized the use of force against Taiwan if “major events” move the island
toward independence or if “possibilities for peaceful reunification are completely
exhausted.” Since China’s leaders do not need permission from the rubber-stamp
parliament, the act was meant as a strong signal to Taiwan. Still, it left the leadership
room to maneuver by not defining what a major event was or what would constitute
the exhaustion of the possibilities for peaceful reunification. Adding to the statute’s
mixed message, Chinese Premier Wen Jiabao held a press conference soon after it was
enacted and focused his remarks on other provisions of the law that call for more
economic and cultural exchanges with Taiwan. “This is a law for advancing peace-
ful reunification. It is not targeted at the people of Taiwan, nor is it a war bill,”
Wen reassured his listeners with one breath, then, with another added a bit more
ominously, “Only by checking and opposing Taiwan’s independence forces will peace
emerge in the Taiwan Strait.”31

Communicating by Word or Deed

Diplomacy utilizes both words and actions to communicate. Oral and written com-
munications, either delivered directly or through public statements, can be good
diplomatic strategy. Washington has repeatedly assured Beijing that U.S. policy does
not favor an independent Taiwan and will not support a unilateral Taiwanese decla-
ration of independence. Such communications have helped ease China’s fears and
thus its reactions to pro-independence leanings in Taiwan’s government. Verbal
threatening signals also have their place. Secretary of State Rice was clearly trying to
put pressure on North Korea to resume talks when during a 2005 trip to South
Korea she told reporters, “We need to resolve this issue. It cannot go on forever” and
that if Pyongyang refused to end its nuclear weapons program through negotiations,
“Then we will have to find other means to do it.”32 What that meant, ranging from
economic sanctions to military force, she left unclear.
Signaling by action is often more dramatic than verbal signaling and it has its
uses. When Secretary of State Rice visited South Korea in 2005, she signaled U.S.
determination to defend that country by becoming the highest-ranking American
official to ever visit Command Post Tango, a bunker built into a mountain that would
serve as the command center during a war with North Korea. There are drawbacks
to such physical signals, though, because it is harder to retreat from them than
from words. When the Soviets threatened to blockade Berlin in 1961, President
John F. Kennedy took the risky step of going there and publicly proclaiming himself
a symbolic citizen of the threatened city. “Ich bin ein Berliner,” Kennedy’s words rang
out. By putting his personal honor on the line, Kennedy persuaded the Soviets to
back down. He also gave Germans on both sides of the Berlin Wall a good chuckle by
 The Diplomatic Instrument 271

making a minor grammatical error. “Ich bin Berliner” (I am a Berliner) is what he

Did You Know That:
meant to say. Inadvertently adding “ein” changed the meaning of Berliner to refer to
Similar to President
a jelly doughnut locally called a berliner. This left the leader of the free world actually
Kennedy’s diplomatic verbal
declaring, “I am a jelly doughnut.”33 faux pas about pastry, Presi-
dent Boris Yeltsin of Russia
Linking Issues or Treating Them Separately once inadvertently greeted
A persistent dispute is whether a country should deal with other countries on an his American counterpart
with a hearty, “Welcome,
issue-by-issue basis or link issues together as a basis for a general orientation toward
Blin Clinton!” Blin means
the other country. Advocates of linking issues argue that it is inappropriate to have pancake in Russian.
normal relations on some matters with regimes that are hostile and repressive. Those
who favor treating issues separately claim that doing so allows progress on some issues
and keeps channels of communications and influence open.
Critics of the Bush administration have charged that its professed commitment
to promoting democracy is hypocritical. Among other things, they point to Bush’s
continued good relations with Russia despite the increased restrictions on democracy
under the Putin government and the brutal campaign against the Chechen indepen-
dence movement. From the administration’s point of view, linking Russia’s internal
policies to U.S. relations with that country on a range of other matters would be fool-
hardy. One top U.S. official explained that while “the issue about the democracy and
freedom agenda is at the center of the president’s foreign policy,” it was also the case
that “there’s a lot more to our relationship with Russia than just this discussion
[about democracy].”34
Cuba has been another matter, though, and the delinkage of issues has not
extended to that country. A number of U.S. measures, including the Helms-Burton
Act (1996), have instituted economic sanctions on Cuba and foreign companies
doing business with Cuba in an attempt to weaken the government of President Fidel
Castro. President Bush increased those in 2004, imposing additional sanctions as a
“strategy that says, ‘We’re not waiting for the day of Cuban freedom, we are working
for the day of freedom in Cuba.’”35 What is unclear is why delinking is good policy
toward Russia and not toward Cuba.

Maximizing or Minimizing a Dispute

Diplomats face a choice over whether to put a confrontation in a broad or narrow
context. Maximizing a dispute by invoking national survival, world peace, or some
other major principle may be advantageous because doing so increases credibility. At
one point, China maximized the stakes of the Taiwan issue when its premier publicly
depicted the matter as a “core principle” involving China’s “territorial integrity.”36 The
drawback of maximizing a dispute is that it makes it very hard to back away from con-
frontation if a settlement is not reached. President Bush maximized the stakes of the
crisis with Iraq. Speaking before the UN General Assembly he declared that the world
was being “challenged . . . by outlaw groups and regimes that accept no law of moral-
ity and have no limit to their violent ambitions,” and he singled out Iraq’s “weapons of
mass murder” as the single greatest global threat.37 By doing so, the president signaled
U.S. resolve, but he also painted himself into something of a corner. Given the dire pic-
ture he painted, he arguably would have appeared weak internationally and also been
politically vulnerable domestically unless the Iraqis totally capitulated to U.S. demands
or were defeated in a war to remove the threat (which, ironically, did not exist).
Minimizing a dispute may work positively to avoid overreactions. In contrast
to its rhetoric about Iraq, the Bush administration sought to cool the atmosphere
regarding North Korea by, among other things, refusing to call it a crisis. Describing
it as the “C-word,” one U.S. official said, “We are not thinking in those terms,” and
272 CHAPTER 8 National Power and Statecraft: The Traditional Approach

the administration labeled the North Korean decision to restart its nuclear facility
as merely “regrettable,” rather than using a more heated term. Some observers
applauded the U.S. restraint, but others criticized it as weakness in the face of a
threat. From this perspective, Bush’s choice of “regrettable” was “the kind of word
you use when the soup isn’t very good before dinner.”38

THE INFORMATIONAL INSTRUMENT

Traditional diplomacy primarily involves interacting on a government-to-government

basis with another country. The information instrument involves communicating
specific information and general images beyond another country’s leaders to a much
wider array of politically important forces, such as public opinion, in an effort to in-
fluence it. Sometimes this information is knowingly false and falls into such categories
as disinformation and propaganda. At other times, the information is highly selective
and reflects the bias of the transmitter. U.S. government–produced images of American
activity in Iraq tend to focus on rebuilding, on the
decimation of civilians by car bombs and other ter-
rorist devices, and other themes that support U.S.
objectives. By contrast, Al-Zawraa TV, which is run
by a former Saddam Hussein official and beamed from
Damascus, Syria, by satellite throughout the Middle
East, concentrates on images of civilians injured by
American military actions, attacks on U.S. forces by
insurgents, and other anti-American scenarios.
Whether false, biased, partly true, or completely true,
the information instrument is part of an effort to win
over “the hearts and minds” of the public, as the
phrase popularized during the Vietnam War goes.
Such efforts are not new. Information and the
ability to convey specific pieces of it and general
images to others has always been a powerful instru-
ment of foreign policy. During the thirteenth century,
for example, the Mongols under Genghis Khan and
his successors followed a policy in which they slaugh-
tered most of the population in cities that refused to
surrender, but spared most of the population in cities
that surrendered without a fight. In either case, some
of the survivors were sent ahead to other cities to
carry the information about the different fates of those
cities that resisted and lost and those that gave way
immediately. Resistance became increasingly rare.
What has changed about informational cam-
paigns is their frequency. This shift has occurred for
two reasons. One is the spread of democracy. As noted
earlier, more and more countries have become democ-
racies. This means that how the media, public opinion,
Public diplomacy, which attempts to reach beyond leaders and influence interest groups, and legislators react to other coun-
public opinion, is the purpose of this billboard in Ulan Bator, the capital tries and to events is much more important than it
of Mongolia. It promotes democracy and U.S.-Mongolian friendship. once was in the foreign policy–making process. The
 The Informational Instrument 273

second reason that it is important to reach beyond other countries’ leaders to try to
Did You Know That:
influence the wider domestic structure is the communications revolution. Radio, then
The International Telecom-
television, and now the Internet place countries, their leaders, and their policies in-
munications Union reports
creasingly on display before the world. The communications revolution also allows that 84% of the world’s
governments to communicate much more easily with a worldwide audience. households now have a
As a result, international relations are also increasingly conducted through television set.
public diplomacy. This is the process of creating an image that enhances a country’s
ability to achieve diplomatic success by increasing its soft power. Highlighting the
idea behind public diplomacy, UN Secretary-General Kofi Annan commented, “If I
can’t get the support of governments, then I’ll get the support of the people. People
move governments.”39
In addition to traditional propaganda, public diplomacy includes shaping what
leaders and other top diplomats say and do to play to public opinion abroad and www
otherwise conducting diplomacy in part as a public relations campaign. One scholar’s
concept of public diplomacy envisions a “theater of power” that is a “metaphor for ANALYZE THE ISSUE
the repertoire of visual and symbolic tools used by statesmen and diplomats.” As Multitrack Diplomacy
players in the theater of power, leaders “must be sensitive to the impression they
make on observers. . . . They surely [are] subject to the same sort of ‘dramatic,’ if not
aesthetic, criticism of other kinds of public performances” (Cohen, 1987:i–ii).
Public diplomacy is practiced in all phases of a country’s foreign policy effort.
When President Bush traveled to Russia in May 2005 to join in ceremonies marking
the 60th anniversary of VE Day (May 8, 1945), the end of World War II in Europe, he
was careful to also schedule visits to two former Soviet republics, Latvia and Georgia,
to demonstrate continued U.S. support of the countries against any outside interfer-
ence, especially by their former overlord, Moscow. Among other things, Bush under-
lined that point by placing a wreath at a monument in Riga honoring those who died
fighting for Latvian independence.
Governments also use a variety of agencies and other organizations to project
their image. The United States, for one, operates or sponsors the Voice of America,
Radio Free Europe/Radio Liberty, and Radio Martí. The U.S. Information Agency also
produces Worldnet, a television service available globally, provides Web sites, and
has other modern communications capabilities. Other efforts are contracted to pri-
vate public relations firms. In one such effort in 2002 and 2003, the United States ran
a $15 million television campaign in several Arab countries. Called “Shared Values,”
the media effort was meant to convince viewers that Americans were tolerant of Mus-
lims and their beliefs and practices. In one spot, an Arab American female school-
teacher explained, “I wear a hijab (head covering) in the classroom where I teach.
I have never had a child who thought it was weird or anything like that.”40 Evidence
surfaced in 2005 that the U.S. government was also paying freelance reporters to
“place” stories favorable to the United States in newspapers in the Middle East and
elsewhere. More broadly, all U.S. diplomats abroad are expected to be part of the
image effort. This was highlighted in a 2006 message from U.S. Undersecretary of
State for Public Diplomacy Karen Hughes to all U.S. diplomatic posts spelling out
“Karen’s Rules” for dealing with the media, including:
Rule #1: Think Advocacy. I want all of you to think of yourselves as advocates for
America’s story each day. . . . I want you out speaking to the press, on television
interviews preparing and executing a media strategy, and providing our points on
issues. As President Bush and Secretary Rice have stated, public diplomacy is the
job of every [diplomat]. We want you out there on television, in the news, and on
the radio a couple of times a week and certainly on major news stations in your
country and region.41
274 CHAPTER 8 National Power and Statecraft: The Traditional Approach

CHAPTER SUMMARY

THE COMPLEX NATURE OF POWER THE MILITARY INSTRUMENT

1. National power is the sum of a country’s capabili- 8. Force can be used in a range of ways that extend
ties to successfully implement its foreign policy, from serving as an unspoken backdrop to negotia-
especially when those policies are opposed by tions to all-out war.
other states or need the cooperation of other states. 9. Measuring the effectiveness of force is easier in
2. Measuring power assets is especially difficult. The terms of goal attainment than on a cost/benefit basis.
efforts to do so have not been very successful, but 10. Using force is always very risky, but there are some
they do help us see many of the complexities of standards that improve the chance of success.
analyzing the characteristics of power. These char-
acteristics include the facts that power is dynamic; THE ECONOMIC INSTRUMENT
both objective and subjective, relative, and situa- 11. Economic power can be applied through a variety
tional; and a country’s will to power expresses its of economic incentives, such as foreign aid, and
determination to apply power assets. economic sanctions, such as trade embargos.

THE FOUNDATION OF NATIONAL POWER THE DIPLOMATIC INSTRUMENT

3. National power rests on a foundation that includes 12. Modern diplomacy occurs in a context including
the country’s geography, people, government, and multilateral diplomacy, parliamentary maneuver-
infrastructure. ing, democratized diplomacy, open diplomacy, and
4. The national infrastructure consists of a country’s leader-to-leader interactions and communications.
technological sophistication, its transportation 13. Diplomacy is a communication process includ-
system, and its information and communications ing transmitting information and intentions and
capabilities. persuasion.
14. There are some general rules for conducting effec-
MILITARY POWER tive diplomacy and also a series of options includ-
5. Military power is both tangible and intangible. ing whether contacts should be direct or indirect,
Tangible elements of power, such as tanks, are what level of contact they should involve, what re-
relatively easy to visualize and measure. Intan- wards or coercion should be offered, how precise
gible elements of military power, such as mo- or vague messages should be, whether to commu-
rale and reputation, are much more difficult to nicate by message or deed, whether issues should
operationalize. be linked or dealt with separately, and the wisdom
6. More military power is not always better. It creates of maximizing or minimizing a dispute.
the temptation to use it, it makes others insecure,
and it is costly. THE INFORMATIONAL INSTRUMENT
15. Conveying information beyond other govern-
ECONOMIC POWER ments to their citizens has become increasingly
7. Economic power is based on financial position, important with the advance of democracy and
natural resources, industrial output, and agricul- rapid communications. Public diplomacy is a
tural output. major part of a country’s foreign policy activity.

For simulations, debates, and other interactive activities, a chapter quiz, Web links,
and much more, visit www.mhhe.com/rourke12/ and go to chapter 8. Or, while
accessing the site, click on Course-Related Headlines and view recent international
relations articles in the New York Times.
 Key Terms 275

KEY TERMS

absolute power hard power non-zero-sum social overstretch thesis

balance of payments for imperial overstretch objective power soft power
current accounts thesis open diplomacy statecraft
bilateral diplomacy instruments of foreign parliamentary diplomacy subjective power
coercive diplomacy policy power two-level game theory
democratized diplomacy leadership capabilities power capacity unilateralism
demographic graying multilateral diplomacy public diplomacy will to power
economic sanctions multilateralism relative power zero-sum game
foreign policy net trade situational power
C H A P T E R

9
International Law
and Justice: An FUNDAMENTALS OF INTERNATIONAL LAW
AND JUSTICE

Alternative Approach The

The
The
Primitive Nature of International Law
Growth of International Law
Practice of International Law
The Fundamentals of International Justice
Which is the wiser here, Justice or Iniquity?
THE INTERNATIONAL LEGAL SYSTEM
—William Shakespeare, Measure for Measure The Philosophical Roots of Law
How International Law Is Made
The law hath not been dead, though it hath slept.
Adherence to the Law
—William Shakespeare, Hamlet Compliance with the Law
Enforcement of the Law
Adjudication of the Law
International Courts
Jurisdiction of International Courts
Effectiveness of International Courts
APPLYING INTERNATIONAL LAW AND JUSTICE
Law and Justice in a Multicultural World
Law and Cultural Perspectives
Standards of Law for States and Individuals
States, War, and International Law
Just Cause of War
Just Conduct of War
Applying International Law and Justice
to Individuals
Post–World War II Tribunals
Current International Tribunals
The International Criminal Court
The Pragmatic Application of Law and Justice
THE FUTURE OF INTERNATIONAL LAW
AND JUSTICE
CHAPTER SUMMARY

It is easy to disparage the idea of international law in a world of violence

where might often means success. As this chapter discusses, however,
the law is gradually playing a greater role. These Bosnian women are
demonstrating outside the International Court of Justice in The Hague, the
Netherlands, where the world court was hearing a case brought against
Serbia. Bosnia accused Serbia of genocide against Bosnian Muslims and
Croats during the implosion of Yugoslavia in the 1990s. Many were
dismayed when in 2007 the ICJ dismissed the case, but it is important
that such cases are beginning to be tried in court.
 Fundamentals of International Law and Justice 277

HIS CHAPTER FOCUSES ON international law and justice in the conduct of world

T politics as an alternative to the power-based diplomatic pursuit of self-interest

discussed in chapter 8. It would be naïve to ignore the reality that most global
actors emphasize their own interests. However, this is also true in domestic systems.
What is different between global and domestic systems is not so much the motives of
the actors as the fact that domestic systems place greater restraints on the pursuit of
self-interest than the international system does (Joyner, 2005).
Legal systems are one thing that restrains the power-based pursuit of self-interest
in a domestic system. Certainly, powerful individuals and groups have advantages in
every domestic system. Rules are broken and the guilty, especially if they can afford
a high-priced attorney, sometimes escape punishment. Still, laws in the United States
cannot overtly discriminate under the “equal protection” clause of the Fourteenth
Amendment to the Constitution; for example, an attorney is provided to indigent
defendants in criminal cases. Thus, the law somewhat evens the playing field.
Justice is a second restraint on power in domestic systems. What is just and what
is legal are not always the same. Justice involves what is “right” here, not just what is
legal. Whether the word is just, moral, ethical, or fair, there is a greater sense in domes-
tic systems than there is in the international system that justice should prevail, that
the ends do not always justify the means, and that those who violate the norms should
suffer penalties. Surely, there is no domestic system in which everyone acts justly
(Amstutz, 2005). Yet the sense of justice that citizens in stable domestic systems have
does influence their behavior.
This means that since it is possible to restrain power politics in the domestic sys-
tem by the creation of legal systems and through a greater emphasis on what is moral
and fair, then it is theoretically possible to use the same standards to curb the unbri-
dled pursuit of interests in the international system. Accomplishing that will require
major changes in attitudes and practices, but it can be done.

FUNDAMENTALS OF INTERNATIONAL
LAW AND JUSTICE

What actors may and may not legitimately do is based in both international and do-
mestic law systems on a combination of expectations, rules, and practices that help
govern behavior. We will explore the fundamentals of these legal systems and moral
codes by looking first at the primitive nature, growth, and current status of interna-
tional law; then by turning to issues of justice.

The Primitive Nature of International Law Web Link

Some anthropologists study
All legal systems, domestic or international, evolve. Each advances from a primitive
the development of law as part
level to more sophisticated levels. As such, any legal system can be placed on an evo- of the evolution of political
lutionary scale ranging from primitive to modern. Note that modern does not mean systems. More on this focus
finished; people in the future may consider our current legal systems to be rudimen- can be found on the Web site
tary. This concept of a primitive but evolving legal system is important to understanding of the Association for Political
and Legal Anthropology
international law.
at www.aaanet.org/apla/.
The current international legal system falls toward the primitive end of the evo-
lutionary scale of legal systems. First, it does not have a formal rule-making (legisla-
tive) process as more sophisticated systems do. Instead, codes of behavior are derived
from custom or from explicit agreements among actors. Second, there is little or
278 CHAPTER 9 International Law and Justice: An Alternative Approach

no established authority to judge or punish violations of

law. Primitive societies, domestic or international, have no
police or courts. They rely on self-help techniques ranging
from negotiation to violence and occasionally on mediation
to resolve disputes. Viewing international law as a primitive
legal system helps us to understand that international law
does exist, even if it is not as developed as we might wish.
Also, we can see that international society and its law may
evolve to a higher order, as have domestic systems.

The Growth of International Law

International law has its beginnings in the origin of states
and their need to regulate their relations. Gradually, ele-
ments of ancient Jewish, Greek, and Roman custom and
practice combined with newer Christian concepts to form
the beginning of an international system of law. A number
of theorists were also important to the genesis of interna-
tional law. The most famous of these was Holland’s Hugo
Grotius (1583–1645), the first scholar of international
law who wrote De Jure Belli et Pacis (On the Law of War
and Peace). Grotius and others advanced ideas about the
sources of international law, its role in regulating the
relations of states, and its application to war and other
The injustices of war and other aspects of international relations specific circumstances. From this base, international law
led the Dutch jurist and statesman Hugo Grotius (1583–1645)
to formulate rules to govern conflict and other interactions
evolved slowly over the intervening centuries, as the inter-
among states. This effort earned him the title “father of actions between the states grew and as the needs and ex-
international law.” pectations of the international community became more
sophisticated.
During the last century or so, concern with international law has grown
rapidly. Globalization has significantly expanded the need for rules to govern func-
tional areas such as trade, finance, travel, and communications. Similarly, our
awareness of our ability to destroy ourselves and our environment, and of the suf-
fering of victims of human rights abuses, has led to lawmaking treaties on such
subjects as genocide, nuclear testing, use of the oceans, and human rights. Even the
Did You Know That:
most political of all activities, war and other aspects of national security, have in-
The phrase international law
creasingly become the subject of international law. Aggressive war, for example, is
was first used by England’s
Jeremy Bentham in outside the pale of the law. The UN’s authorization of sanctions and then force
“Principles of International against Iraq after that country invaded Kuwait in 1990 reflected that. So did the
Law” (1789). A utilitarian UN’s refusal to support what most countries saw as an unjustified U.S.-led invasion
philosopher, Bentham of Iraq in 2003.
argued that sovereigns
should observe international
law because it would be The Practice of International Law
mutually beneficial to do so.
Those who discount international law contend that it exists only in theory, not in
practice. As evidence, they cite war, human rights violations, and other largely un-
punished examples of “lawlessness.” What this argument misses is that international
law is effective in many areas despite many holes in its coverage. There is substantial
evidence in the behavior of states that they “do accept international law as law, and,
even more significant, in the vast majority of instances they . . . obey it” ( Joyner,
2000:243). Furthermore, the fact that the law is not always followed does not disprove
 The International Legal System 279

its existence. There is, after all, a substantial crime rate in the United States and most
other countries, but that does not mean they are lawless.
International law is most effective in governing the rapidly expanding range of
transnational functional relations. These involve “low politics,” a term that designates
such things as trade, diplomatic rules, and communications. International law is least
effective when applied to “high-politics” issues such as national security relations.
When vital interests are involved, governments still regularly bend or even ignore in-
ternational law. Yet it is also the case that the law and standards of justice sometimes
do influence strategic political decisions. Both international law and world values, for
instance, are strongly opposed to states resorting unilaterally to war except in imme-
diate self-defense. Violations such as Iraq’s invasion of Kuwait still occur, but they are
met with mounting global condemnation and even counterforce. Now even countries
as powerful as the United States regularly seek UN authorization to act in cases such
as Afghanistan in 2001 and Iraq in 2003, when not long ago they would have acted on
their own initiative. It is true that the United States and Great Britain ultimately went
ahead in 2003 without UN support, but that does not disprove the existence of the
norm against unilateral war. Indeed, the widespread condemnation of the invasion
shows the norm does exist, and the ability of the United States to ignore the norm
demonstrates that power often continues to trump international law and justice.

The Fundamentals of International Justice

Concepts of just behavior stem from religious beliefs, from secular ideologies or
philosophies, from the standard of equity (what is fair), or from common practice.
We will see in our discussion of roots of international law that what a society con-
siders just behavior sometimes becomes law. At other times, legal standards that are
considered just are gradually adopted by a society. Insofar as just behavior remains an
imperative of conscience rather than law, we can consider justice in a broad sense.
Distinctions can be made between moral, ethical, equitable, and humanitarian stan-
dards and behavior, but the four individually and in sum equate to justice.
It would be wrong—given recurring war, gnawing human deprivation, persis- Web Link
tent human rights violations, and debilitating environmental abuse—to imagine that A good entry point for more
justice is a predominant global force. Yet it would also be erroneous to use these ills information on international
to argue that law and justice do not play a role. Instead, the conduct of most coun- law and international courts
tries is a balance between what is ideal and what is pragmatic. Moreover, there is a is through the UN at
http://www.un.org/law/.
growing body of ethical norms that help determine the nature of the international
system. Progress is slow and inconsistent, but it exists. American and British forces
did not drop nuclear weapons on Iraq in 2003, even though doing so arguably could
have saved time, money, and the lives of American and British troops. Many coun-
tries give foreign aid to less developed countries. National leaders, not just philoso-
phers and clergy, regularly discuss and sometimes even make decisions based on
human rights. Thus the reality is that world politics operates to a degree within the
context of international law and justice.

THE INTERNATIONAL LEGAL SYSTEM

International law, like any legal system, is based on four critical considerations: the
philosophical roots of law, how laws are made, when and why the law is obeyed (ad-
herence), and how legal disputes are decided (adjudication).
280 CHAPTER 9 International Law and Justice: An Alternative Approach

The Philosophical Roots of Law

Where does law originate? There are three major schools of thought. Two of these are
rooted in sources external to the practices of human society. The third holds that the
law reflects the internal desires and conduct of each society. A key implication of law
being external to society is that there exists a standard of law that governs all
humans, whether or not they accept it or abide by it. By contrast, if law is derived
from society and, as is the case, there are many human societies (nations), then there
is (a) no single law and (b) no basis for asserting the moral superiority of one system
of law and values over another.
The first external law view is the ideological/theological school of law, which
holds that law is derived from an overarching ideology or theology. For instance, a
substantial part of contemporary international legal theory can be traced back to
Christian doctrine such as the writings of Saint Augustine and Saint Thomas Aquinas
on the law of war. There are also long-standing elements of law and scholarship in
Islamic, Buddhist, and other religious traditions that serve as a foundation for just
international conduct.
The naturalist school of law advances the other set of ideas about an external
source. This approach contends that humans, by nature, have certain rights and obli-
gations. English philosopher John Locke argued in Two Treatises of Government
(1690) that there is “a law of nature” that “teaches all mankind, who will but consult
it, that all [people] being equal and independent [in the state of nature], no one
ought to harm another in his life, health, liberty, or possessions.” Since countries are
collectives of individuals, and the world community is a collective of states and in-
dividuals, natural law’s rights and obligations also apply to the global stage and form
the basis for international law.
The third view of the roots of law focuses on the customs and practices of society.
This is the positivist school of law, which advocates that law reflects society and the
way people want that society to operate. Therefore, according to positivist principles,
law is and ought to be the product of the codification or formalization of a society’s
standards.
Each of these schools has detractors as well as advocates. Those who reject the
idea of external sources of law contend that standards based on ideology or theology
www are undemocratic because the law is decided and interpreted by either religious
officials or, for ideologies, by dogmatists such as Communist Party officials. As for
natural law, critics charge that it is vague and also puts so much emphasis on indi-
ANALYZE THE ISSUE
Law and Justice: Finding vidualism that it almost precludes any sense of communitarian welfare. For example,
Its Place in the Current Locke argued that people had a right to their property. If it is true that a person’s
International System property is protected by natural law, then, among other things, it is a human rights
violation to take an individual’s property through taxes levied by the government
without the individual’s explicit agreement. Critics condemn the positivist approach
as amoral and sometimes immoral, in that it may legitimize immoral, albeit common,
beliefs and behavior of a society as a whole or of its dominant class. These critics would
say, for instance, that slavery was once widespread and widely accepted, but it was
never moral or lawful, by the standards of either divine principle or natural law.

How International Law Is Made

Countries usually make domestic law through a constitution (constitutional law),
by a legislative body (statutory law), or through statutorily authorized rule making
by government agencies and officials (decrees, regulation). In practice, law is also
 The International Legal System 281

established through judicial decisions (interpretation), which set guidelines (prece-

dent) for later decisions by the courts. Less influential sources of law are custom
(common law) and what is fair (equity). Compared to its domestic equivalent, mod-
ern international lawmaking is much more decentralized. There are, according to the
Statute of the International Court of Justice, four sources of law: international
treaties, international custom, the general principles of law, and judicial decisions
and scholarly legal writing. Some students of international law tentatively add a fifth
source: resolutions and other pronouncements of the UN General Assembly. These
five rely primarily on the positivist approach but, like domestic law, include elements
of both external and internal sources of law.
International treaties are the primary source of international law (Simmons &
Did You Know That:
Hopkins, 2005). A primary advantage of treaties is that they codify, or write down,
The word genocide was
the law. Agreements between states are binding according to the doctrine of pacta coined by Raphael Lemkin
sunt servanda (treaties are to be served/carried out). All treaties are binding on those in Axis Rule in Occupied
countries that are party to them (have signed and ratified or otherwise given their Europe (1944) and is derived
legal consent). Moreover, it is possible to argue that some treaties are also applicable from the Greek word genos
to nonsignatories. When a large number of states agree to a principle, it begins to (race, tribe) and the Latin
suffix cide (to kill).
take on system-wide legitimacy. The Convention on the Prevention and Punishment
of the Crime of Genocide (1948), for example, has been ratified by 140 countries.
Therefore, genocide is arguably a crime under international law, and that standard is
binding on all states whether or not they are party to the treaty. Now people are being
tried, convicted, and sentenced for genocide, whether or not their country ratified
the antigenocide treaty.
International custom is the second most important source of international law.
The old, and now supplanted, rule that territorial waters extend three miles from the
shore grew from the distance a cannon could fire.
If you were outside the range of land-based artillery,
then you were in international waters. Maritime
rules of the road and diplomatic practice are two
other important areas of law that grew out of cus-
tom. Sometimes, long-standing custom is eventually
codified in treaties. An example is the Vienna Con-
vention on Diplomatic Relations of 1961, which
codified many existing rules of diplomatic standing
and practice.
International custom is also found in domestic
legal practices and standards that are common to
most states. Such commonalities help determine
international law and are sometimes applied by a
country’s courts to domestic as well as international
law cases. In one recent example, the U.S. Supreme
Court ruled in Roper v. Simmons (2005) that execut- One source of international law is what is customary among the states.
ing individuals for crimes committed as a juvenile Sometimes, in turn, a country’s courts apply such standards to its own
violated the Constitution’s ban on “cruel and unusual system. This occurred when the U.S. Supreme Court ruled in Roper v.
punishments.” To demonstrate the punishment was Simmons (2005) that executing an individual for crimes committed
“unusual” the court pointed to “the stark reality that as a juvenile violated the Constitution’s ban on “cruel and unusual
the United States is the only country in the world” to punishments.” In the ruling, the justices cited the fact that world
custom did not allow such executions. Many people hailed the
execute people for crimes committed as a child and decision, but others, including the artist who drew this editorial
also noted “the overwhelming weight of interna- cartoon, were appalled that the Supreme Court would be influenced
tional opinion against the juvenile death penalty.” by world opinion and practice. Should U.S. courts look abroad or
Some hailed the court’s decision as an advance for stick strictly to U.S. law and opinions?
282 CHAPTER 9 International Law and Justice: An Alternative Approach

human rights. Others condemned it as a violation of U.S. sovereignty. One such

critique charged that “globalization has [spawned] a variety of ‘global networks,’
including. . . . a transnational class of judicial . . . elites who are increasingly freed
from the constraints of territoriality, national sovereignty, and domestic political con-
stituencies, and whose judicial . . . decisions reflect a deterritorialized, ‘cosmopolitan’
moral sensibility” (Delahunty & Yoo, 2005:329).
General principles of law are a third source of international law. The ancient
Roman concept of jus gentium (the law of peoples) is the basis of these principles,
and the International Court of Justice (ICJ) depicts them as “the general principles of
law recognized by civilized nations.” Such language serves to incorporate “external”
sources of law, such as the idea that freedom from unprovoked attack is an inherent
human right, into international law. More than any other standard, it is for violating
basic human rights principles that former president of Liberia Charles Taylor was
arraigned in 2002 before an international tribunal in the Netherlands. Some charges
against Taylor are for violating specific treaties such as the Geneva Conventions.
But the indictment was also based on jus gentium, including such “crimes against
humanity” as abetting “sexual slavery and any other form of sexual violence” and
“other serious violations of international humanitarian law” including “conscripting
or enlisting children under the age of 15 years into armed forces or groups.”
Judicial decisions and scholarly writing also add to the law. In many domestic sys-
tems, legal interpretations by courts set precedent according to the doctrine of stare
decisis (let the decision stand). This doctrine is specifically rejected in Article 59 of the
Statute of the International Court of Justice, but in practice judges on both domestic
and international courts cite other legal decisions in justifying their own rulings
(Slaughter, 2003). Judicial review, deciding whether a government law or action is
constitutional, is another possible role of international judicial bodies. Many domestic
courts have this authority, and a few international courts also have it. The European
Union’s Court of Justice (commonly called the European Court of Justice, ECJ) can
review decisions of the EU political and bureaucratic decision makers for compliance
with EU law and to a degree can also review decisions of EU member-states by the
same standard. Similarly, the European Court of Human Rights (ECHR), which was
established in 1959 under Europe’s Convention for the Protection of Human Rights and
Fundamental Freedoms (1953) has some judicial review authority over the 46 coun-
tries in Europe that adhere to it. In a recent case, the Salvation Army brought suit
against the city of Moscow, which refused to let the charitable organization operate
on the grounds that its members wore uniforms and had ranks and, therefore, were
members of a “paramilitary organization.” Russian courts upheld the city’s stance, but
the ECHR rejected it in a 2006 decision. Russia’s foreign minister angrily charged,
“We consider some rulings of the European Court to be politicized,” but then added,
“Despite the fact that we do not agree with certain rulings of the court in principle,
we do comply with them.”1
International representative assemblies are arguably a fifth source of international
law. Compared to the generally recognized preceding four sources of international law,
the idea that laws can come from the UN General Assembly or any other international
representative assembly is much more controversial. Clearly, to date, international law
is not statutory. The General Assembly cannot legislate international law the way that
a national legislature does. Yet, UN members are bound by treaty to abide by some of
the decisions of the General Assembly and the Security Council, which makes these
bodies quasi-legislative. Some scholars contend that resolutions approved by over-
whelming majorities of the General Assembly constitute international law because
such votes reflect international custom and/or the general principles of law. We may,
 The International Legal System 283

then, be seeing the beginnings of legislated interna- FIGURE 9.1 Opinions on Torture
tional law, but, at best, it is in its genesis. Certainly,
UN resolutions and mandates often are not followed, Italy 81% 5% 14%
but some would argue that this means that the law is France 75% 6% 19%
being violated rather than that the law does not exist. Australia 75% 3% 22%
Multiple, reinforcing sources, while not a separate Canada 74% 4% 22%
source of law, are perhaps the strongest foundation for United Kingdom 72% 4% 24%
international law. The prohibition of torture provides Germany 71% 8% 21%
an example. There are numerous multilateral treaties South Korea 66% 3% 31%
that bar torture. Among them, the Convention against Spain 65% 19% 16%
Torture and Other Cruel, Inhuman or Degrading Egypt 65% 10% 25%
Treatment or Punishment (1984) has been ratified Chile 62% 16% 22%
by 75% of the world’s countries. Various judicial deci- Turkey 62% 14% 24%
sions have found that torture violates the specific Poland 62% 11% 27%
treaties and the general principles of law, and some Brazil 61% 7% 32%
individuals have been jailed for ordering or tolerating Average 59% 12% 29%
torture. The UN General Assembly has repeatedly United States 58% 6% 36%
and by lopsided margins condemned torture, and, Philippines 56% 4% 40%
as Figure 9.1 indicates, most people in most countries Iraq 55% 3% 42%
oppose torture. Whatever the view of an individual Ukraine 54% 17% 29%
or a country, it is safe to say that torture violates inter- Kenya 53% 9% 38%
national law. Indonesia 51% 9% 40%
Mexico 50% 14% 36%
China 49% 14% 37%
Adherence to the Law Nigeria 49% 12% 39%
Adherence to the law is a third essential element of Israel 48% 9% 43%
any legal system. As Figure 9.2 represents, people Russia 43% 20% 37%
obey the law because of a mixture of voluntary and India 23% 45% 32%
coerced compliance, and they enforce the law through Percent favoring: No torture Unsure Some torture
a mixture of enforcement by central authorities and
enforcement through self-help. World public opinion helps to establish international custom and
general principles of law, which are sources of international law.
Compliance with the Law Whether it is permissible to torture suspected terrorists and others for
information has been widely debated since 9/11. A majority of the
Obedience to the law in any legal system—
people in 18 of the 24 countries shown here and a majority of people
whether it is international or domestic, primitive or overall oppose torture. There was no country in which a majority
sophisticated—is based on a mix of voluntary com- favored torture, and only 29% worldwide did so.
pliance and coercion. Voluntary compliance occurs
Data source: BBC World Service Poll, 2006; data courtesy of World Public Opinion.
when the subjects obey the law because they accept its
legitimacy, that is, people abide by rules because they
accept the political authority that made the rules and/or agree with the rules them-
selves. Coercion is the process of gaining compliance through threats of violence,
imprisonment, economic sanction, or other punishment.
Any society’s legal system can be placed somewhere along the compliance scale
between complete reliance on voluntary compliance and complete reliance on coer-
cion. Voluntary compliance is usually more important, but there are wide variations
among societies. Americans tend to obey the law voluntarily; in Myanmar (Burma)
obedience to the laws of the country’s military junta is primarily a function of force.
Compliance with international law is mostly voluntary rather than based on
coercion. Pragmatic legitimacy is the key to international voluntary compliance.
Countries recognize the need for a system that is made predictable by adherence to
laws. Therefore they follow the law because it is in their interest that other countries
284 CHAPTER 9 International Law and Justice: An Alternative Approach

FIGURE 9.2 Factors in Adherence to the Law follow it (Goldsmith & Posner, 2005; von Stein,
2005). For this reason, functional international law
governing day-to-day relations between states has
Enforcement by central authorities
expanded. Legitimacy based on norms is less well
United States Myanmar established, but it has also grown. Aggression, viola-
(domestic) (domestic) tion of human rights, and other unacceptable prac-
Compliance
Voluntary tices still occur, but they increasingly meet with
through
compliance
coercion widespread condemnation. Unilateral military action
21st century Pre-21st century
world society world society is, for example, becoming ever more difficult for a
country to launch without meeting severe criticism.
Enforcement through self-help Such events continue to occur, as the U.S.-led inva-
sion of Iraq in 2003 indicates. But they occur much
less often than they once did. Moreover, even coun-
Two crucial factors in international law are how the law is enforced and
what encourages compliance. These factors differ over time and for
tries determined to go to war will almost always
different societies. make a concerted effort to gain international autho-
rization, as the diplomacy leading up to the 2003 war
again shows. Also, failure to win support subjects a
country, no matter how just it thinks its cause, to extensive international criticism,
which, as noted, was amply evident in global reactions to the 2003 war against Iraq.
A very powerful country like the United States can ignore international opposition in
the short run, but there may be a price to pay later. Washington found this out after
the war when it mostly failed in its effort to get other countries to share the financial
and military burden of occupying and rebuilding Iraq.

Enforcement of the Law

In all legal systems, enforcement relies on a combination of enforcement through self-help
and enforcement by central authorities. Primitive societies begin by relying primarily
on self-help to enforce laws and norms, then gradually develop central enforcement
authorities. Advanced legal systems, like those found in stable countries, rely mostly
on formal law enforcement organizations (usually the police) and sanctions (fines,
prison) to compel compliance with the law. Still, even advanced legal systems recog-
nize the legitimacy of such self-help doctrines as self-defense.
As a primitive society, the global community continues to focus on self-help for
enforcement, and neither law enforcement organizations nor sanctions are well
developed at the international level. Yet there is observable movement along the evolu-
tionary path toward a more centralized system. For example, war criminals were pun-
ished after World War II. More recently, indictments have been handed down for war
crimes in Bosnia and elsewhere, and some of the accused have been tried, convicted, and
imprisoned. Economic and diplomatic sanctions are becoming more frequent and are
sometimes successful, as discussed in chapter 8. Armed enforcement by central author-
ities is even less common and rudimentary. The UN-authorized military action against
Iraq in 1991 and the NATO intervention in Kosovo in 1999 were more akin to an Old
West sheriff authorizing posses to chase the outlaws than true police actions, but they
did represent a step toward enforcement of international law by central authorities.

Adjudication of the Law

How a political system resolves disputes between its actors is a fourth element along
the primitive-to-modern evolutionary scale. As primitive legal systems develop, the
method of settling disputes evolves from (1) primary reliance on bargaining between
adversaries, through (2) mediation/conciliation by neutral parties, to (3) adjudication
 The International Legal System 285

(and the closely related process of arbitration) by neutral parties. The international
system of law is in the early stages of this developmental process and is just now de-
veloping the institutions and attitudes necessary for adjudication.

International Courts
There are a number of international courts in the world today. Their genesis extends
back less than a century to the Permanent Court of International Arbitration estab- www
lished by the Hague Conference at the turn of the century. In 1922 the Permanent
Court of International Justice (PCIJ) was created as part of the League of Nations, MAP
and in 1946 the current International Court of Justice (ICJ), which is associated with The International Court
the UN, evolved from the PCIJ. The ICJ, or so-called World Court, sits in The Hague, of Justice (ICJ)
the Netherlands, and consists of 15 judges, who are elected to nine-year terms through
a complex voting system in the UN. By tradition, each of the five permanent members
of the UN Security Council has one judge on the ICJ, and the others are elected to
provide regional representation, as is evident in the accompanying map.

The International Court of Justice (ICJ)

J
J
J J J

J
J

J
J
J
J
J

J Countries with judges on the ICJ in 2007: China, France, Germany, Japan, Jordan, Madagascar, Mexico,
Morocco, New Zealand, Russia, Sierra Leone, Slovakia, the United Kingdom, the United States, and Venezuela.

Countries involved in cases brought to, decided by, or pending before the ICJ, 1947–2007.

The International Court of Justice (ICJ), which sits in The Hague, the Netherlands, draws both its judges
and its caseload from around the world. This map shows the home countries of the ICJ’s 15 judges in
2007, and the 84 countries that have been a party in cases before the ICJ between 1947 and 2007.
286 CHAPTER 9 International Law and Justice: An Alternative Approach

In addition to the ICJ, there are a few regional courts of varying authority and
levels of activity: Europe’s Court of Justice (ECJ) and European Court of Human
Rights (ECHR), the Inter-American Court of Human Rights, the Central American
Court of Justice, and the Community Tribunal of the Economic Community of West
African States. None of these has the authority of domestic courts, but like the ICJ,
the regional courts are gaining more credibility.

Jurisdiction of International Courts

Although the creation of international tribunals during this century indicates progress,
the concept of sovereignty remains a potent barrier to adjudication. The authority of
the ICJ extends in theory to all international legal disputes. Cases come before the ICJ
in two ways. One is when states submit legal disputes that arise between them and
other states. The second is when one of the organs or agencies of the UN asks the ICJ
for an advisory opinion.
From 1946 through 2005, the court has averaged only about two new cases annu-
ally. Although this number has increased slightly in recent years, it remains relatively
low, given the ICJ’s broad jurisdiction and the number of issues facing the world and
its countries. More than any other factor, the gap between the court’s theoretical and
actual roles is a matter of the willingness of states to submit to its jurisdiction, to lit-
igate cases before it, and to abide by its decisions. Although all UN member-countries
are technically parties to the ICJ statute, they must also sign the so-called optional
clause agreeing to be subject to the compulsory jurisdiction of the ICJ. About two-
thirds of all countries have not done so, and others that once were adherents to the
optional clause have withdrawn their consent. For example, when Nicaragua filed a
case in 1984 with the ICJ charging that U.S. support of the Contra rebels and its min-
ing of Nicaraguan harbors violated international law, the United States argued that the
charges were political and, therefore, that the court had no jurisdiction. When the ICJ
ruled that it did have jurisdiction in the case, the United States withdrew U.S. consent
to the optional clause.
It should be noted that nonadherence to the optional clause does not entirely
exempt a country from ICJ jurisdiction. It is common for treaties to have a clause that
commits the signatories to submit disputes arising under the treaty to the ICJ. One such
treaty that has brought two suits against the United States in the ICJ in recent years is
the Vienna Convention on Consular Relations (1963). In it the signatories, including
the United States, agree to settle disputes arising from the treaty in the ICJ. The treaty
permits countries to assist their citizens who have been accused of serious crimes in
another country. Mexico in 2003 brought a case to the ICJ contending that various U.S.
states were violating the treaty in several death penalty cases by not allowing German
and Mexican consular officials access to 51 accused or condemned individuals.
The jurisdiction of the regional courts is determined by the charter under which
www each was founded. Of all the regional courts, the ECJ has the broadest jurisdiction. It can
both review a wide range of actions by the EU executive and legislative institutions,
and it can also determine whether the laws and actions of member-countries violate
SIMULATION
The World Court: Creating a EU law. The caseload of the ECJ, shown in Figure 9.3 p. 285, is one mark of its sub-
Trial for the Classroom stantial jurisdiction and growing importance.

Effectiveness of International Courts

There are some important limits on the impact of the ICJ and other international
courts. The jurisdictional limits just discussed are one restraint. Lack of enforcement is a
second impediment to the effectiveness of international courts. All courts rely heavily
on the willingness of those within their jurisdiction to comply voluntarily or, when
that fails, on a powerful executive branch to enforce court decrees. Effective domestic
 The International Legal System 287

courts have these supports. By contrast, countries are FIGURE 9.3 EU Court of Justice Cases
often reluctant to follow the decisions of international
courts, which, unlike the courts in most countries, 504
Average annual number of new cases
are not backed up by an executive branch with pow-
erful enforcement authority. 428
347
The International Court of Justice The ICJ has only
limited effectiveness. The UN Secretariat, which is 152
the ICJ executive branch, does not have the authority 48
20
or power to enforce ICJ rulings. This allows countries
to sometimes ignore ICJ rulings. In United States of
1953– 1960s 1970s 1980s 1990s 2000–
America v. Mexico (2003), for example, the ICJ upheld 1959 2005
Mexico’s claim that the United States was violat-
ing the Vienna Convention on Consular Relations One measure of the importance of the European Court of Justice is its
(1963) by not ensuring that U.S. states allow ar- workload. It has increased steadily as indicated in this figure showing
rested Mexican nationals to contact their country’s the average number of new cases filed annually with the ECJ. The
diplomatic representatives. The ICJ directed the court has jurisdiction over EU legislative and executive actions as well
as over some laws passed by EU member-countries.
United States to do so and to provide relief to the
prisoners who had been denied their treaty rights. Data source: European Court Annual Report, 2005.
The United States had ratified the convention in
1969, but the Bush administration responded to the ICJ ruling by announcing it was
withdrawing U.S. consent to the treaty provision allowing the ICJ to decide cases
under the treaty. Many legal experts doubted whether such presidential authority ex-
isted, but the Supreme Court inferentially upheld it by refusing to hear a case asking
for enforcement on the ICJ decision.
Fortunately for global peace and justice, not all ICJ cases end this way. The ICJ
sometimes does play a valuable role. Its rulings help define and advance interna-
tional law. Furthermore, the court can contribute by giving countries a way, short of
war, to settle a dispute once diplomacy has failed. The current ICJ case filed in 2004 by
Bulgaria against Ukraine over their maritime border in the Black Sea provides a good
example. More important than the details of the dispute is the fact that unlike many

Although the jurisdiction and

impact of the ICJ are limited,
the court still makes an
important contribution by
providing countries with an
alternative other than war to
settle disputes. This picture
shows Nicaraguan troops
getting ready to patrol the San
Juan River area, which is in
dispute with Costa Rica. In the
past, countries might have
used force to settle the issue.
In this case, Costa Rica filed
suit in the ICJ, and the case
will probably be argued in
2007 or 2008.
288 CHAPTER 9 International Law and Justice: An Alternative Approach

disagreements throughout history over land and maritime borders that have resulted
in war, the existence of the ICJ provides Bulgaria and Ukraine a way to come to a
peaceful resolution.
ICJ advisory opinions also help resolve issues between IGOs and may even help
establish general international law. In separate actions, the UN General Assembly
and the World Health Organization each asked the ICJ to rule on the legality of using
nuclear weapons. The court ruled in 1996 that “the threat or use of nuclear weapons
would generally be contrary to the rules of international law applicable in armed
conflict,” except arguably “in an extreme circumstance of self-defense, in which the
very survival of a state would be at stake.” Among other impacts, the ICJ’s ruling puts
any leader considering the use of nuclear weapons except in extremis on notice that
he or she could wind up the defendant in some future war crimes trial.

Regional Courts Like the ICJ, this group of courts has struggled to make an impact.
The two European regional courts, the ECJ and ECHR, have been by far the most
effective of the regional courts.
The ECJ is particularly notable for the number of cases it hears (466 in 2005)
and its authority to make decisions and to have those rulings followed in areas that
were once clearly within the sovereign realm of states. As Figure 9.4 shows, the rul-
ings of the ECJ have tended to promote EU integration by finding for plaintiffs
who argue that the policy of one or another member-country violates EU law. In one
example, the court ruled in 2001 that Germany was discriminating against women
by barring them from serving in combat positions in the military. Soon thereafter,
Germany changed its policy and its armed forces began to train women for combat.
An important pending decision relates to Microsoft Corporation’s appeal of a decision
by the EU Commission fining the software giant $613 million for monopolistic prac-
tices such as bundling Media Player and other programs with its Windows operating
system. That ruling will have a major financial impact on Microsoft and, by exten-
sion, on both the U.S. stock market and possibly the way that software is sold all over
the world.

Evaluating Judicial Effectiveness Given the limita-

FIGURE 9.4 EU Court of Justice Decisions tions on the effectiveness of the ICJ and most regional
courts, it is tempting to write them off as having
Ruled for country little more than symbolic value. Such a judgment
4%
would be in error. Whatever the outcome of a specific
case, there is evidence that countries are gradually
becoming more willing to utilize the ICJ, the ECJ,
and other international courts and to accept their
Ruled against country decisions. The map of the ICJ’s justices and cases
96% on page 285 shows that countries around the world
have justices on the court and almost half are or have
been a party to its cases. Now more than 60 countries,
including Canada, India, and the United Kingdom,
The European Union’s Court of Justice has promoted EU integration by
usually ruling for plaintiffs who bring a case against their home country
adhere to the optional clause giving the ICJ compul-
claiming that one of its laws or policies clashes with EU law. Of 136 sory jurisdiction over their international legal dis-
ECJ rulings in 2005 on complaints that an EU member-country had putes. In sum, it is true that the international judicial
failed to meet its obligations under EU law, the court found for the system is still primitive, but each of the over 160
plaintiff and against the country in 131 cases, dismissing the opinions issued by the PCIJ and the ICJ since 1922
complaint in only 5 cases. is one more than the zero instances of international
Data source: Court of Justice Annual Report, 2006. adjudication in previous centuries.
 Applying International Law and Justice 289

APPLYING INTERNATIONAL LAW

AND JUSTICE

Law and justice are easy to support in the abstract, but it is much more difficult to Web Link
agree on how to apply them. To examine this, we will look at issues of cultural Those interested in a career in
perspective, issues of applying international law and standards of justice equally to international law or other applied
states and individuals, and issues of pragmatism. aspects would do well to check
out the Web site of the American
Society of International Law at
Law and Justice in a Multicultural World www.asil.org/.

As the international legal system evolves and expands to incorporate diverse

peoples, one problem is the “fit” between differing culturally based concepts of law
and justice. Most of international law and many of the prevailing ideas about
justice that influence world politics are based on the concepts and practices of the
West. This is a result of U.S. and European dominance, though, and does not mean
that Western concepts are superior to those held in other parts of the world. Now,
in a changing international system, Africans, Asians, Latin Americans, and other
non-Westerners are questioning and sometimes rejecting law based on Western
culture.

Law and Cultural Perspectives

Western and non-Western precepts of law and justice differ on numerous points. The
Western view of law is based on principles designed to protect the long-dominant
power of this bloc of states. Order is a primary point, as is sovereignty. Closely related
is the theory of property, which holds that individuals (and states) have a “right” to
accumulate and maintain property (wealth). This is a major philosophical under-
pinning of capitalism. Western law also relies heavily on the process and substance
of law rather than on equity. Thus, there is an emphasis on courts and what the
law is rather than on what is fair. One current controversy that touches on both
property rights and “law versus fairness” involves patents held by Western pharma-
ceutical firms and the desire of less developed countries (LDCs) to produce low-cost
generic equivalents. Patent drugs can cost 50 times more than generic equivalents,
and the LDCs argue that it is unfair, whatever patent law may be, for the poor to
suffer untreated because they cannot afford drugs that, in essence, are only available
to wealthy individuals and countries. Additionally, LDCs worry that in the face of a
quickly moving pandemic, the economically developed countries will keep most of
a limited supply of drugs for themselves. One current dispute focuses on Indonesia
and avian influenza. Drug research teams need samples of the latest strains of
bird flu that have occurred to develop drugs to defeat the constantly mutating
virus. Indonesian authorities have been refusing to supply samples, however, until
they receive assurances that they will receive enough vaccine from the EDCs
to fight bird flu if it begins to spread rapidly among humans. Many in the EDCs
condemned Indonesia’s stance, but it struck a positive chord in many LDCs. Com-
mented one official of Thailand’s Ministry of Health, “The Indonesian health minis-
ter is wise, and sending a strong message that, unless developing countries which
are at the epicenter of the pandemic can be assured access to potential pandemic flu
vaccines, they should not cooperate by sending out the viruses to [help develop the
vaccines].”2
The non-Western view of international law is influenced by the different cultural
heritage of non-Western states, by the recent independence of those states, and by
290 CHAPTER 9 International Law and Justice: An Alternative Approach

Much of international law, which is based on Western concepts, sometimes clashes with the views of
justice held elsewhere. In less developed countries many believe that the high prices of U.S. patented
medicines are unjust because they are unaffordable and therefore they should not be protected under
international law. For example, these HIV-positive/AIDS victims in India are demonstrating against a
patent held by U.S.-based Gilead Sciences Inc. for the AIDS drug Tenofovir Disoproxil Fumarate. The
per-patient annual cost is close to $5,000. Gilead asserts that it offers the drug at $208 a year per
patient to poor countries, but Doctors Without Borders claims that few of these countries actually
get the drug.

the history of exploitation their people have often suffered at the hands of the West.
These states claim that since they had little or no role in determining the rules that
govern the international system, they are not necessarily bound by preexisting
agreements, principles, or practices. Instead, they support sovereignty and reject as-
pects of international law that they claim are imperialistic abridgments of that prin-
ciple. They insist on noninterference, which, for example, was one reason that many
LDCs opposed the American and British intervention in Iraq in 2003. Whatever their
sympathies with the plight of the Iraqis under Saddam Hussein, and whatever the
LDCs’ views of whether or not he posed an international danger, they are concerned
that they could be the target of a future intervention. These states are keenly aware
that such interventions are only launched against weaker countries and that the more
powerful economically developed countries are, in effect, exempt from intervention
no matter what the issue (Farer, 2003; Lang, 2003).
The LDCs also reject weighted voting schemes that favor the rich and powerful,
such as those in the UN Security Council, the World Bank, and the International
Monetary Fund. Emphasizing equity over the substance and process of law, for
LDCs, the important standard is justice, especially in terms of what they consider to
be the unjust maldistribution of wealth in the world that leaves a few countries
wealthy and most countries poor. A final note about multiculturalism and its inter-
face with international law and justice is that there are differing cultural perspectives
on human rights. This topic is covered in detail in chapter 14.
 Applying International Law and Justice 291

Standards of Law for States and Individuals FIGURE 9.5 Sovereignty and Intervention
Yet another issue related to the application of inter- Unsure
national law is whether states and individuals should 7%
be judged by the same standards (Erskine, 2003).
Countries have generally not been held accountable
for assassination, massive attacks on noncombatant Yes
18%
civilians, and other acts that would be reprehensible
if committed by individuals. Of course, we recognize No
75%
differences between justifiable and inexcusable ac- If a country seriously
tions, but where do you draw the line? Some have violates human rights,
should its sovereignty
argued that the state cannot be held to individual bar UN intervention?
moral standards. Realist philosopher and statesman
Niccolò Machiavelli wrote in The Prince (1513) that a A large majority of Americans reject the idea that a country that is
ruler “cannot observe all those things which are con- seriously abusing human rights should be able to claim immunity from
sidered good in men, being often obliged, in order to UN intervention on grounds of sovereignty.
maintain the state, to act against faith and charity, Data source: National Opinion Research Center poll, January 2005; data provided by
against humanity, and against religion.” Taking the op- The Roper Center for Public Opinion Research, University of Connecticut.
posite view, then Secretary of State Thomas Jefferson
argued in 1793 that since a society is but a collection
of individuals, “the moral duties which exist between individual and individual” also
form “the duties of that society toward any other; so that between society and society
the same moral duties exist as between the individuals composing them.”
Questions about what principles should guide the foreign policy of countries
are not abstract because countries are increasingly being held accountable for their
actions in the court of international opinion and sometimes even in courts of law.
Sovereignty, while still a powerful concept, is no longer a legal absolute. It is being
eroded by a growing number of law-making treaties that limit states’ actions and by
changing attitudes that no longer see sovereignty as a defense against being called
to account for illegal acts. As Figure 9.5 indicates, there is considerable public
opinion to support UN Secretary-General Kofi Annan’s argument that sovereignty
“was never meant as a license for governments to trample on human rights and
human dignity. Sovereignty implies responsibility, not just power.”3 Views such as
this led, for instance, to international action that ended apartheid in South Africa
(1993) and forced the military junta in Haiti to flee (1994), and to the NATO
bombardment of Yugoslavia until it ceased its ethnic cleansing policy in Kosovo
(1999), and to the international pressure on Sudan to stop the ethnic cleansing in
Darfur. Also, as we will discuss further below, international tribunals are increas-
ingly holding individual leaders responsible for their actions and for those of their
subordinates.
There are numerous policy areas where international law is applicable to the
actions of states. Many of these are covered in other chapters. Chapter 14, for example,
examines the international law of human rights, and Chapter 15 takes up international
law regarding the biosphere. Of all the policy areas, though, the oldest and arguably
still the most critical is the law of war.

States, War, and International Law

Most of the early writing in international law focused on the law of war. This issue
continues to be a primary concern of legal scholarship, but what has changed is that
in addition to issues of traditional state-versus-state warfare, international law now
also attempts to regulate revolutionary and internal warfare and terrorism.
292 CHAPTER 9 International Law and Justice: An Alternative Approach

Illustrating these diverse concerns is the long debate on when and how war
can be justifiably fought. “Just war” theory has two parts: the cause of war and the
conduct of war. Western tradition has believed that jus ad bellum (just cause of
war) exists in cases where the war is (1) a last resort, (2) declared by legitimate
authority, (3) waged in self-defense or to establish/restore justice, and (4) fought
to bring about peace. The same line of thought maintains that jus in bello ( just con-
duct of war) includes the standards of proportionality and discrimination. Propor-
tionality means that the amount of force used must be proportionate to the threat.
Discrimination means that force must not make noncombatants intentional targets
(Rengger, 2002).
As laudable as limitations on warfare are, they present problems. One diffi-
culty is that the standards of when to go to war and how to fight it are rooted in
Western-Christian tradition. The parameters of jus in bello and jus ad bellum extend
back to Aristotle’s Politics (ca. 340 B.C.) and are especially associated with the writ-
ings of Christian theological philosophers Saint Augustine (Aurelius Augustinus,
A.D. 354–430) and Saint Thomas Aquinas (1225–1274). As a doctrine based on
Western culture and religion, not all the restrictions on war are the same as those
derived from some of the other great cultural-religious traditions, including
Buddhism and Islam (Silverman, 2002). Another difficulty with the standards of just
war, even if you try to abide by them, is that they are vague and controversial
(Butler, 2003).

Just Cause of War

The concept of jus ad bellum, the just cause of war, no longer exists only in theory.
www After World War II, the Nuremberg and Tokyo war crimes tribunals held German and
Japanese leaders accountable for, among other things, waging aggressive war. More
recently, UN tribunals have punished those found guilty of war crimes in the Balkans
WEB POLL
Just War? and in Rwanda. Moreover, the treaty that established the International Criminal
Court (ICC) gives it jurisdiction over “the crime of aggression,” which it defines as
acts of war that are not consistent with the UN Charter. It recognizes “the inherent
right of individual or collective self-defense if an armed attack occurs,” but apart
from that contingency requires that members “refrain in their international relations
from the threat or use of force,” and directs that other concerns be taken to the
Security Council, which “shall determine the existence of any threat to the peace . . .
or act of aggression and . . . decide what measures shall be taken.” The Charter also
stresses that every effort at a peaceful settlement should be made before resorting to
force. These clauses closely parallel the traditional standards—that to be just, war
must be the last resort, declared by legitimate authority, waged in self-defense or to
establish/restore justice, and fought to bring about peace.
Because judging right from wrong is usually harder in an applied situation than
in theory, it is worthwhile to examine a specific case, the U.S.-led invasion of Iraq in
2003, to explore the intricacies of jus ad bellum (Rodin, 2005). To find that Washington
and London conducted a just war, the answer must be “yes” to all of the following
questions:
Was the war the last resort? President George W. Bush argued it was. He told
Americans, “For more than a decade, the United States and other nations have pur-
sued patient and honorable efforts to disarm the Iraqi regime without war. . . . Every
measure has been taken to avoid war.”4 President Jacques Chirac of France disagreed.
He told reporters that he believed the “disarmament” of Iraq could “be done in a
peaceful way,” and that “War is always the worst of solutions. It’s always a failure. . . .
Everything should be done to avoid it.”5
 Applying International Law and Justice 293

Was the U.S. action taken under legitimate authority? The United States made
a legal argument that the authority to act did exist from the UN under earlier
Security Council resolutions. As President Bush put it, “the Security Council
did act in the early 1990s. Under Resolutions 678 and 687—both still in effect—
the United States and our allies are authorized to use force in ridding Iraq of
weapons of mass destruction.” Taking an opposing view, Secretary-General Annan
declared just before the war that if “action is taken without the authority of the
Security Council, the legitimacy and support for any such action will be seriously
impaired.”6
Was the war waged in self-defense or to promote justice? Bush argued that the
United States was threatened by the possibility that Iraq might give weapons of mass
destruction (WMDs) to terrorists or someday use them itself. “The danger is clear,”
the president proclaimed, that the “United States has the sovereign authority to use
force in assuring its own national security,” and that “before it is too late to act, this
danger will be removed.” A statement issued by the heads of 60 Christian organizations
disagreed. Explaining the group’s position, Episcopal Bishop John B. Shane argued that
just war theory differentiates between “anticipatory self-defense, which is morally justi-
fied, and preventive war, which is morally prohibited.”
In the case of Iraq, he continued, “I don’t see the threat
from Iraq to the United States as an imminent threat,
so . . . military action against Iraq is inappropriate.”7
Was the war fought to bring about peace? Here
again, President Bush argued “yes.” He told Americans,
“The cause of peace requires all free nations . . . to
work to advance liberty and peace” in the Persian
Gulf region. Taking a very different view of U.S.
motives, one Middle East analyst contended that
the U.S. invasion of Iraq “has to do with oil and to
do with empire—getting control of Iraq’s enormous
oil resources.” The analyst then explained her belief
that the motive was “not just about importing oil
to the United States.” Instead, “The issue is control,
undermining OPEC [Organization of Petroleum-
Exporting Countries], and controlling access to oil
for Germany, Japan, and the rest of Europe. This
would give the United States tremendous political
and economic clout in the rest of the world.”8
When thinking about jus ad bellum and Iraq,
fairness requires that you not apply 20-20 hindsight.
If, in domestic law, a police officer shoots someone,
the issue is not whether the person presented an
immediate risk of injury or death to the officer,
but whether the officer had reasonable cause to feel
threatened. In the same way, the fact that WMDs
were never found is not applicable to determining
whether President Bush reasonably believed that
a significant and imminent threat existed. Rather it
is his intentions at the onset of the war, not the suc- After thinking about the just cause of war and about the circumstances
cess or failure of the postwar occupation of Iraq in of the U.S. invasion of Iraq in 2003, would you agree or disagree with
bringing about justice and peace that is the standard the view of these people in Toulouse, France, that President George W.
to apply. Bush should be considered a war criminal?
294 CHAPTER 9 International Law and Justice: An Alternative Approach

Web Link Just Conduct of War

The U.S. legal case for the Iraq In the realm of jus in bello, there are some clear guidelines about what is unaccept-
war is in a State Department able. The Hague Conferences (1899, 1907) and the Geneva Conventions (1949) set
paper, “Decade of Defiance” down some rules regarding impermissible weapons, the treatment of prisoners, and
(6/12/02), at www.state.gov/p/
other matters. Other treaties have banned the possession and use of biological and
nea/rls/13456.htm. An
Australian government agency chemical weapons, and the ICJ has ruled that in most circumstances the use of nuclear
takes the opposite view, in weapons would be illegal. Most recently, the treaty establishing the International
“‘Disarming’ Iraq under Criminal Court includes an extensive list of war crimes.
International Law” (2/26/03) Still, many uncertainties exist about jus in bello. The treatment of prisoners pro-
at www.aph.gov.au/library/
vides one example. American military personnel and CIA operatives violated just
pubs/cib/2002-03/03cib16.htm.
war standards in their egregious abuse of Iraqi prisoners of war at Abu Ghraib Prison
and elsewhere in Iraq. But there is less clarity about whether the provision of the
Geneva Conventions relating to the treatment of prisoners of war is applicable to the
status of Iraqi insurgents or to Taliban and al Qaeda fighters captured by the United
States in Afghanistan and held at the U.S. naval base at Guantánamo Bay, Cuba. The
U.S. administration eventually took the position that Taliban prisoners were subject
to the Geneva Conventions’ provisions, but that al Qaeda members were “enemy
combatants,” not prisoners of war attached to a national military organization. As
such, the White House reasoned, enemy combatants were not subject to protections
of the Geneva Conventions and, furthermore, could not only be tried, but could be
tried by special military courts (commissions) rather than civilian ones (de Nevers,
2006; Forsythe, 2006).
The Supreme Court ruled in Hamdan v. Rumsfeld (2006) that the president
had no authority to create special military courts and that without such legislative
authority, the legal process for prisoners like Salim Ahmed Hamdan, who had been
Osama bin Laden’s bodyguard, had to conform to existing U.S. law and to the
Geneva Conventions. The controversy then moved to Congress, where there was
a sharp struggle over how to treat enemy combatants. The resulting Military Com-
mission Act of 2006 was largely a victory for the White House. The statute broadly
defines an “unlawful enemy combatant” as anyone who has “purposefully and mate-
rially supported hostilities against the United States” and allows their criminal pros-
ecution by military commissions. These courts can make use of hearsay evidence
and even self-incrimination obtained by coercion falling short of “cruel, inhuman, or
degrading treatment,” and can bar the defendants from seeing evidence obtained
from sensitive intelligence sources. The act does prohibit “grave breaches” of the
Geneva Conventions, but it also gives the president authority to interpret the mean-
ing of the Geneva Conventions and to bar prisoners from legally challenging these
interpretations.
Web Link Another uncertainty about jus in bello involves how to gauge proportionality.
The text of the Military Commis- Almost everyone would agree, for instance, that France, Great Britain, and the
sions Act of 2006 is available at United States would not have been justified in using their nuclear weapons against
www.loc.gov/rr/frd/Military_Law/ Yugoslavia in 1999 to force it to withdraw from Kosovo or against Afghanistan in
pdf/PL-109-366.pdf. 2001 for refusing to surrender the al Qaeda terrorists. But what if Iraq had used
chemical weapons against the forces of those three countries during the Persian
Gulf War in 1991 or against U.S. and British forces in 2003? Would they have been
justified if they had retaliated with nuclear weapons? Some people even argue that
using nuclear weapons under any conditions would violate the rule of discrimination
and would thus be unjust.
The jus in bello standard of discrimination also involves matters of degree rather
than clear lines. There was heavy bombing, some of it in urban areas, during the
 Applying International Law and Justice 295

invasion of Iraq. American officials went to great FIGURE 9.6 Opinions on Civilian Casualties
lengths to give assurances that all efforts were being
made to avoid unnecessary civilian casualties. For Muslim countries 18% 4% 78%
example, Secretary of Defense Donald H. Rumsfeld Non-Muslim
42% 9% 49%
countries
told reporters, “The targeting capabilities and the
United States 82% 4% 14%
care that goes into targeting, to see that the precise
targets are struck and other targets are not struck is In its effort to avoid civilian casualties in Iraq, the U.S. tried:
as impressive as anything anyone could see—the Very hard Unsure Not hard enough
care that goes into it, the humanity that goes into it.”9
Most Americans agree that the U.S. effort to avoid The Bush administration said, and 82% of Americans agreed, that the
United States had tried very hard to avoid casualties to Iraqi civilians
killing civilians was laudable, but some did not, as
during the invasion in 2003. By contrast, 78% of respondents in mostly
detailed in Figure 9.6. As this discussion illustrates, Muslim countries thought the United States had not tried hard enough.
the law and justice of war remain highly controver- Opinions were much more mixed in predominantly non-Muslim
sial. Most observers would support neither of the countries, although a plurality agreed that the U.S. effort had been
two polar views: (1) that the United States could not insufficient.
be held responsible no matter what the level of civil- Note: The mostly Muslim countries were Indonesia, Jordan, Kuwait, Lebanon, Morocco,
ian casualties; (2) that knowingly taking actions that Pakistan, and Turkey. The mostly non-Muslim countries were Australia, Brazil, Canada,
France, Germany, Great Britain, Israel, Italy, Russia, South Korea, and Spain.
would kill any civilians violates the standards of jus Data source: Pew Research Center, “Views of a Changing World,” 2003.
in bello. It is easier, however, to question two extreme
views than to clearly demarcate the dividing line
between what is just and unjust.

Applying International Law and Justice to Individuals

International law has begun to deal with the actions of individuals. It is possible to
divide these developments into three topics: post–World War II tribunals, current
international tribunals, and the International Criminal Court.

Post–World War II Tribunals

The first modern instances of individuals being charged with crimes under interna- Web Link
tional law came in the aftermath of the horrors of World War II. In the Nuremberg Links to documents of the
and Tokyo war crimes trials, German and Japanese military and civilian leaders were Nuremburg trials and to such
tried for waging aggressive war, for war crimes, and for crimes against humanity. related sites as the U.S.
Twelve Germans and seven Japanese were sentenced to death. Many Germans and Holocaust Memorial Museum
are available on Yale University’s
Japanese also went to prison. Three important precedents were established:
Web site at www.yale.edu/
■ Leaders are criminally responsible for war crimes they ordered. lawweb/avalon/imt/imt.htm.
■ Leaders are responsible for war crimes committed by their subordinates
unless the leaders tried to prevent the crimes or punished perpetrators.
■ Obeying orders is not a valid defense for having committed atrocities.

Current International Tribunals

After an absence of nearly 50 years, international tribunals reemerged in the 1990s.
The driving force was the atrocities that occurred in Bosnia and in Rwanda during www
the 1990s. In both places, people on all sides were abused, injured, and killed; in
Bosnia it was the Muslims who were the principal victims and the Serbs who inflicted
ANALYZE THE ISSUE
greater atrocities including death and degradation between 1990 and 1995. In Nuremberg Trials
Rwanda the Hutus were the murderous aggressors in 1994 and the Tutsis the victims
of genocide in a ghastly slaughter that was revisited in the 2004 film Hotel Rwanda
and the 2005 HBO special Sometimes in April.
296 CHAPTER 9 International Law and Justice: An Alternative Approach

The atrocities in Bosnia and Rwanda shocked

the conscience of the world and made it obvious, as
a former UN official put it, that “a person stands a
better chance of being tried and judged for killing
one human being than for killing 100,000.”10 This
jarring reality led to the establishment in 1994 of a
tribunal for Bosnia and another for Rwanda to pros-
ecute those who committed atrocities. The tribunal
for the Balkans sits in The Hague, the Netherlands.
The Rwanda tribunal is located in Arusha, Tanzania.
In 1999, the authority of the Balkans tribunal was
expanded to include war crimes in Kosovo.
The Hague tribunal has indicted over 160 indi-
viduals as war criminals, and 95% of them have been
arrested. Charges have been dropped for about 10%
An advance in international law is that at least some of those accused
of the accused. Of those whose trials were completed
of committing war crimes and crimes against humanity are now
being brought before the international bar of justice. One of those
by mid-2005, 90% have been convicted, have re-
is former Bosnian Serb senior officer Vidoje Blagojevic, here being ceived sentences of up to 40 years in prison, and
guarded during his trial by an international tribunal in The Hague, the have been transferred to other countries in Europe to
Netherlands. He was found guilty of committing genocide for his role serve their time (Kerr, 2004). The most important of
in the massacre of more than 7,000 Muslims at Srebrenica in 1995 the trials was that of Slobodan Milosevic, because of
and was sentenced to 18 years in prison. his prominence and stature as the former president
of Yugoslavia. But he died in 2006 of heart failure be-
fore his trial was complete. The tribunal expects to complete all its initial trials by
2008 and the appeals process by 2010.
The Rwanda tribunal has made headway more slowly than its counterpart in The
Hague, but it became the first international tribunal since the Tokyo War Crimes tri-
als after World War II to punish a head of government when in 1998 former Rwandan
Prime Minister Jean Kambanda pleaded guilty to genocide and was sentenced to life
in prison. Through early 2007, the tribunal has completed the trials of 36 individuals,
all but 5 of whom were convicted, and it was trying another 26 people. An additional
18 people who have been indicted are at large. Hutu civilian and military leaders have
made up most, but not all, of the convicted and accused. For instance, a Belgian-born
Italian citizen, Georges Henry Joseph Ruggiu, who was a radio journalist in Rwanda,
was sentenced to 12 years in prison for inciting genocide. Among the many other
chilling calls to mayhem he broadcast in 1994: “You [Tutsi] cockroaches must know
you are made of flesh. . . . We will kill you.”11
Web Link Following a somewhat different pattern, a joint UN-Sierra Leone tribunal was
Video presentations from the
established in 2002. It sits in Freetown, the capital of Liberia, and is guarded by UN
Special Court for Sierra Leone peacekeepers. This court’s mission is to deal with war crimes that occurred during
showing the prosecutors’ cases the civil war in Sierra Leone (1996–2002). There three rebel groups killed and
against most of the defendants mutilated many thousands of noncombatants in an attempt to terrorize the popula-
are available at www.sc-sl.org/
tion. Some of the tragedy that befell the country was captured in the 2006 film,
video.html.
Blood Diamond, with Leonardo DiCaprio. By early 2007, 11 individuals had been
indicted, and 10 of them were in custody. These include former Liberian President
Charles Taylor, who is charged with aiding the RUF (Romano, Nollkaemper, &
Kleffner, 2005). Taylor’s trial, which is slated to begin in late 2007, is considered so
explosive that he has been moved to The Hague where a special session of the court
will try him.
Yet another joint tribunal, this time linking the UN and Cambodia, is scheduled to
begin proceedings in mid-2007. It is intended to prosecute members of Cambodia’s
 Applying International Law and Justice 297

former Khmer Rouge regime for the deaths of approximately 1.7 million people Web Link
(about 25% of the population) during its reign of terror (1975–1979). It is uncertain, The Cambodian Master
however, whether the tribunal will ever get under way, much less achieve any success Performers Program supports
amid the complexities of Cambodian politics. Among other issues, Cambodian the revival of the traditional art
Prime Minister Hun Sen was once a low-ranking Khmer Rouge official. Most recently, forms of Cambodia that were
largely destroyed by the Khmer
a joint tribunal was formed between the UN and Lebanon in May 2007. It is investi-
Rouge. You can view its Web site
gating specific crimes, such as the assassination of Prime Minister Rafik Hariri, and at www.cambodianlivingarts.org.
other examples of the alleged outside interference that has long destabilized the
country and will prosecute those responsible if they can be identified.

The International Criminal Court

The advent of ad hoc international tribunals put war criminals at peril, and moving
to the next step, the UN convened a global conference in 1998 to create a permanent
International Criminal Court (ICC). During the conference, most countries favored
establishing a court with broad and independent jurisdiction. A smaller number of
countries, including the United States, wanted a much weaker ICC. The crux of U.S.
opposition to a strong ICC was the fear that U.S. leaders and military personnel
might become targets of politically motivated prosecutions. “The reality is that the
United States is a global military power and presence. . . . We have to be careful that it
does not open up opportunities for endless frivolous complaints to be lodged against
the United States as a global military power,” explained the U.S. delegate to the
talks.12 The U.S. stand drew strong criticism. For one, an Italian diplomat expressed
disbelief “that a major democracy . . . would want to have an image of insisting that
its soldiers be given license never to be investigated.”13
While some of the U.S. reservations were met, over 80% of the 148 countries at-
tending ultimately voted to create a relatively strong court. The treaty gives the ICC www
jurisdiction over wars of aggression, genocide, and numerous “widespread and sys-
tematic” crimes committed as part of “state, organization, or group policy” during in- MAP
ternational and internal wars. National courts remain the first point of justice, and Countries That Are Party
the ICC is authorized to try cases only when countries fail to do so. The UN Security to the ICC Treaty
Council can delay a prosecution for a year, but the vote to delay or proceed is not
subject to veto (Broomhall, 2004). The ICC treaty became operational in 2002 after
60 countries became party to it, and by July 2007 the number of ratifications stood
at 105. They are shown in the map on page 298.
The countries party to the ICC treaty met in 2003 and elected the court’s 18
judges and its other top officials, including its chief prosecutor. The court began to
operate the following year. Several African countries soon filed complaints with the
ICC in 2005 alleging atrocities by various forces in the long and gruesome fighting in
the central African area that encompasses parts of the Democratic Republic of Congo,
Uganda, Sudan, and the Central African Republic, and the ICC prosecutor has launched
an investigation. ICC prosecutors began a second investigation in 2005 after the
Security Council asked the ICC to address alleged criminal acts committed in the civil
war afflicting the Darfur region of Sudan. That investigation led to an important first
for the ICC. In 2007, its prosecutor issued the court’s first arrest warrants, charging
a Sudanese official who ironically is serving as minister for humanitarian affairs and
a Janjaweed militia commander with 51 counts of crimes against humanity and war
crimes. The Sudanese government immediately rejected the authority of the ICC,
but other governments have derided other international tribunals only to later see the
accused individuals turned over to the courts and tried.
There is little doubt that the creation of the ICC represents an important step in
the advance of international law. However, French President Jacques Chirac was
298 CHAPTER 9 International Law and Justice: An Alternative Approach

Countries That Are Party to the ICC Treaty

Agreed to
Not agreed to
J ICC Judges
as of 2007

J
J

J J

J
J J J

J J
J
J
J J

J J

More than half the world’s countries, including most of Europe and Latin America, have now ratified
the International Criminal Court treaty. The widely dispersed home countries of the court’s judges
(16, with two vacancies) in 2007 is also evident. However, the absence among treaty adherents of
such key countries as China, India, Russia, and the United States is a weak spot for the effectiveness
of the ICC.

guilty of overstatement when he proclaimed, “Starting now, all those who might be
inclined to engage in the madness of genocide or crimes against humanity will know
that nothing will be able to prevent justice.”14 One issue is that the ICC treaty has not
been ratified by 46% of the world states, including such notable countries as the
United States, China, Russia, India, and Japan.
U.S. opposition remains adamant. President Clinton signed the treaty for techni-
cal reasons, but declined to submit it to the Senate for ratification unless revisions
were made. Strengthening the U.S. stand, Congress passed the American Service-
members’ Protection Act (2002) barring U.S. cooperation with the ICC and autho-
rizing the president to use force to free any American held by the ICC. President Bush
agreed, and in 2002 the State Department informed the UN that the United States did
not intend to ratify the ICC Treaty and did not believe there were any U.S. legal oblig-
ations arising from the earlier U.S. signing of the treaty. Bush also threatened to veto
all UN peacekeeping operations unless the Security Council exempted U.S. troops
from possible prosecution by the ICC. This issue has been resolved for now by a series
 Applying International Law and Justice 299

FIGURE 9.7 U.S. Opinions of the ICC

71%
Yes 65%
No
50%
Unsure
37% 35%

22%
13%
7%

Should the U.S. support having Should the ICC be able to try Have you ever heard
an ICC to try war criminals if U.S. soldiers accused of war of the ICC?
their own country won’t? crimes if the U.S. won’t?

If you ask Americans a general question about having the International Criminal Court try war criminals,
as the left question does, you elicit a high level of support for the ICC. However, if you ask about the ICC
possibly trying Americans accused of war crimes, as the middle question does, then only a minority of
Americans supports the court. One reason for the varying opinions is, as the right question shows, that
almost two-thirds of Americans admit that they have never even heard of the ICC.
Data sources: Left question: Chicago Council on Foreign Relations/German Marshall Fund poll, June 2002. Middle question:
Pew Research Center poll, January 2003. Right question: Gallup International poll, 2005. All data provided by The Roper
Center for Public Opinion Research, University of Connecticut.

of one-year exemptions given by the Security Council to U.S. peacekeepers. The Bush
administration has also negotiated bilateral “Article 98 agreements” (for a clause in
the ICC treaty) with 100 countries agreeing that neither country will surrender the
other’s citizens to the ICC for prosecution. Sometimes these agreements have been
possible because another government agreed with Washington about the ICC; at
other times U.S. threats of foreign aid cutoffs or other pressures have promoted agree-
ment. What most Americans think about the ICC is unclear. As Figure 9.7 indicates,
American views on the court depend on the question in part because most Americans
know little or nothing about the ICC.
Given its hegemonic role in the international system, the U.S. position on the court
is sure to be important—perhaps critical to its success (Johansen, 2006; Ralph, 2005). www
Little change is likely while President Bush is in office. But some observers are opti-
mistic about the U.S. stance in the long run. For one, the ICC’s chief judge, Philippe JOIN THE DEBATE
Kirsch of Canada, predicts, “In the end, this court is going to become universal. It will The International Criminal
not happen overnight. I think it may take a few decades to reach universality, but I Court: To Ratify or Not
believe it is only a question of time.”15 Perhaps Judge Kirsch is correct and American to Ratify–That Is
attitudes will eventually change. Most movie viewers probably supported the idea of the Question
sending the odious dictator of the fictional country Matoba to the ICC for prosecution
in the 2005 film The Interpreter, starring Nicole Kidman and Sean Penn, and perhaps
in time the ICC will seem less threatening. Even the Bush administration relented just
a bit when in 2005 it abstained rather than vetoed the Security Council resolution that
referred the situation in Darfur to the ICC for investigation and possible prosecution.

The Pragmatic Application of Law and Justice

In a perfect world, all laws would be just, everyone would follow them and also act
morally and ethically and insist that others conduct themselves in the same way.
Moreover, everyone would agree on what is and is not legal, just, and moral. Finally,
our choices would always be between good and evil, not between relative degrees of
300 CHAPTER 9 International Law and Justice: An Alternative Approach

good or of evil. Alas, our world is imperfect, and its standards and choices are often
murky, which leads to several questions regarding the prudence of applying stan-
dards of law, justice, and morality.
Can ends justify means? One conundrum is whether an act that by itself is evil
can be justified if it is done for a good cause. Some believe that ends never justify
means. The philosopher Immanuel Kant took a position of moral absolutism in his
Groundwork on the Metaphysics of Morals (1785) and argued that ends never justify
means. He therefore urged us to “do what is right though the world should perish.”
Others disagree and argue that faced with complex choices, lofty goals do some-
times justify acts that most people consider morally abhorrent in the abstract. Terror-
ism is a case in point. For example, the Middle East terrorist group Hamas justifies
suicide bombings against Israeli civilians on the grounds that the “heroic martyrdom
operations . . . represent the sole weapon” available to the Palestinian people. The
statement goes on to argue that “denying the Palestinian people the right of self-
defense and describing this as terrorism, which should have been linked with the
occupation [of Palestinian lands by Israel], violates all laws and norms which granted
the people the right of self-defense” and that “considering the Palestinian resistance
as a terrorist act and an outlaw legitimizes occupation because it delegitimizes its
resistance.”16
On the other side are potential victims of terrorism who debate whether tortur-
ing terrorists to learn about and abort planned attacks is justified. The 1998 film The
Siege took the moral position that FBI agent “Hub” Hubbard (Denzel Washington)
was the hero when he arrested General William Deveraux (Bruce Willis) for torturing
a suspected terrorist to death in an effort to gain information about other terrorist cells
in a besieged New York City. But Americans are not so sure who was right. When
asked the type of general question about torture posed in Figure 9.1 on p. 283, most
Americans oppose torture. But a question in another poll that increased the incentive
Did You Know That: to torture by asking, “Would you support the use of torture by [the] U.S. if it might
A 2002 U.S. Justice lead to the prevention of a major terrorist attack?” recorded 58% of Americans saying
Department memo relating they would support torture compared to only 35% saying they would not.17
to the treatment of terrorist In practice, the primitive international political system can make the strict ap-
suspects argued, “For an
act to constitute torture as
plication of strong moral principles, adherence to international law, and other such
defined [in U.S. law] it must altruistic acts unwise and even dangerous. Clearly, most of us do not take such an ab-
inflict pain . . . equivalent in solute position. Nor do we practice amorality. Instead, most people adhere to moral
intensity to the pain accom- relativism. They believe that actions must be placed in context. For example, most
panying serious physical Americans explicitly or implicitly accept capital punishment and the atomic bomb-
injury, such as organ failure,
impairment of bodily
ings of Hiroshima and Nagasaki as somehow justifiable as retaliation or even as an
function, or even death.” unfortunate necessity to a better end. The problem, again, is where to draw the line,
as presented to you in the box, “Would You Kill This Baby?”
Should we judge others by our own standards? The issue about whether to judge
others rests on two controversies. The first, which we have already addressed, is
whether one should apply standards of international law and justice given the diver-
gent values of a multicultural world. Some claim that doing so is cultural imperial-
ism; others believe that at least some universal standards exist.
A second objection to any country or even the UN imposing sanctions or taking
other action against a country for committing supposedly illegal, unjust, or immoral
acts is that it violates the sovereignty of the target country. Americans overwhelmingly
supported sanctions and even war against Iraq for its invasion of Kuwait in 1990.
Most Americans would have been outraged over the violation of U.S. sovereignty,
however, had the UN imposed sanctions on the United States for what many, perhaps
most people around the world considered the illegal U.S. invasion of Iraq in 2003.
 Applying International Law and Justice 301

DEBATE THE POLICY SCRIPT

Would You Kill This Baby?
Here is a chance for you to rewrite the script and change the
future. The setting is Braunau, Austria. The address is 219
Salzberger Vorstadt in a building known as the Gasthof zum
Pommer. There, on Easter Sunday, April 20, 1889, a child was
born. It is a year later, and you have been transported back
to that time and are standing in the room with the baby boy.
You are contemplating whether to kill him. If you do, you will be
immediately transported back to the 21st century and will be
beyond the reach of the Austrian police.
The infant is Adolf Hitler, the fourth child of Alois Schickel-
gruber and Klara Hitler. He is a normal, cute baby, as you can
see in the accompanying picture. His parents love him, and
their neighbors think he is adorable. Unlike anyone in Braunau
or indeed the world in 1890, however, you know what the
future holds. Baby Adolf will grow up to be the führer of Nazi
Germany. His Third Reich will be responsible for the horrors of
World War II and the genocidal acts against Europe’s Jews,
Gypsies, and others. You know that he will die by his own hand
on April 29, 1945, in a bunker in Berlin. But by then it will be
too late. Tens of millions of people will have died in the war in
Europe, and 6 million Jews and other people deemed undesir-
able will have perished in death camps. Should you kill the Would you kill this baby? Imagine you have been
baby now? transported back to early 1890 and you are standing
All this may seem macabre, but the point is to struggle just out of this picture. No one but you and the child are
with whether the laudable ends sometimes justify distressing present. The baby in this picture is Adolf Hitler, about
means. A moral absolutist would not kill young Hitler. Someone a year after his birth on April 20, 1889, in Braunau,
who is amoral would have no qualms about doing it. However, Austria. Given your knowledge of the horrors of World
most people, probably including you, are moral relativists War II and the Holocaust, would you kill baby Adolf?
who make moral decisions in a context. Complicating the Would the end justify the means? This and other issues
decision even further, the world drama is partly an improvisa- are raised if one attempts to apply moral standards to
tional play. So in a caution much like Star Trek’s “prime direc- the formation and conduct of foreign policy.
tive,” interfering with the future is risky because you cannot
be absolutely sure of what will occur in the 1930s and the
first half of the 1940s if there is a simple marker reading to focus on developing an atomic bomb, and to ultimately win
“Adolf Hitler, 1889–1890” at the resting place in Braunau. World War II.
Perhaps the Holocaust and World War II will never occur. Or
perhaps a different German führer will come to power, one What Do You Think?
who is smart enough to defeat Great Britain before attack- Should you rewrite the script of history by taking a pillow and
ing Russia, to not declare war on the United States in 1941, smothering baby Adolf?

A third concern stems from what one might call “selective interventions.” The United
States has intervened in Haiti and Iraq at least partly in the name of democracy, yet
in 1990 it sent its forces to defend Saudi Arabia and liberate Kuwait, both of which
are ruled by distinctly undemocratic monarchies. Strong U.S. sanctions exist against
communist Cuba, but U.S. trade with communist China is booming. Such selective
interventions lead to a fourth concern: the suspicion that the invocation of interna-
tional law and justice is often a smokescreen to cover old-fashioned imperialist
intentions (Welsh, 2004; Orford, 2003).
302 CHAPTER 9 International Law and Justice: An Alternative Approach

Is it pragmatic to apply standards of legality and justice? Another objection to try-

ing to apply moral principles is based on self-interest. Realists maintain that national
interest sometimes precludes the application of otherwise laudable moral principles.
They further contend that trying to uphold abstract standards of justice casts a leader
as a perpetual Don Quixote, a pseudo knight-errant whose wish “To dream the im-
possible dream; to fight the unbeatable foe; . . . [and] to right the unrightable wrong,”
while appealing romantically, is delusional and perhaps dangerous. One danger is
that you waste your reputation, your wealth, and the lives of your soldiers trying to
do the impossible. A second peril springs from the reality that since not all states act
morally, those who do are at a disadvantage: “Nice guys finish last.”
Those who disagree with this line of reasoning contend that it fails the test of
courageously standing up for what is right. They might even recall the remonstration
of President John F. Kennedy, who, evoking Dante Alighieri’s The Divine Comedy
(1321), commented, “Dante once said that the hottest places in hell are reserved for
those who in a period of moral crisis maintain their neutrality.”18 More pragmatically,
advocates of applying principles of law and justice contend that greater justice is nec-
essary for world survival. This argument deals, for example, with resource distribu-
tion. It contends that it is unjust to support a system in which a large part of the
world remains both impoverished and without self-development possibilities. The
inevitable result, according to this view, will be a world crisis that will destroy order
as countries fight for every declining resource.
One way out of the dilemma about when and to what degree law, justice, and
other principles should apply to foreign policy may be to begin with the observation
that it is not necessary to choose between moral absolutism and amorality. Instead,
there is a middle ground of moral relativism that relies on moral pragmatism as a
guiding principle. There is a secular prayer that asks for the courage to change the
wrongs one can, the patience to accept the wrongs that one cannot change, and the
wisdom to know the difference. From this perspective, a decision maker must ask,
first, whether any tangible good is likely to result from a course of action and, second,
whether the good will outweigh negative collateral consequences. By the first stan-
dard, taking high-flown principled stands when it is impossible or unlikely that you
will affect the situation is quixotic. By the second standard, applying standards of jus-
tice when the overall consequences will be vastly more negative also fails the test of
prudence. But not taking action when change is possible and when the good will out-
weigh the bad fails the test of just behavior.

THE FUTURE OF INTERNATIONAL

LAW AND JUSTICE

The often anarchic and inequitable world makes it easy to dismiss idealistic talk of
conducting international relations according to standards of international law and
justice. This view, however, was probably never valid and certainly is not true now.
An irreversible trend in world affairs is the rapid growth of transnational interaction
among states and people. As these interactions have grown, so has the need for regu-
larized behavior and for rules to prescribe that behavior. For very pragmatic reasons,
then, many people have come to believe, as one analyst notes, that “most issues
of transnational concern are best addressed through legal frameworks that render
the behavior of global actors more predictable and induce compliance from poten-
tial or actual violators” (Ratner, 1998:78). The growth of these rules in functional
 Chapter Summary 303

international interactions has been on the leading edge of the development of inter-
national law. Advances in political and military areas have been slower, but here too
there has been progress. Thus, as with the United Nations, the pessimist may decry
the glass as less than half full, whereas, in reality, it is encouraging that there is more
and more water in the previously almost empty glass.
All the signs point to increasing respect for international law and a greater
emphasis on adhering to at least rudimentary standards of justice. Violations of
international standards are now more likely to draw criticism from the world com-
munity. It is probable, therefore, that international law will continue to develop and
to expand its areas of application. So too will moral discourse have an increasing
impact on the actions of international actors. There will certainly be areas where
growth is painfully slow. A particular barrier is the change in the U.S. attitude from
being a champion of international law and legal institutions after World War II to
being a skeptic today (Murphy, 2004). There will also be those who violate the prin-
ciples of law and justice and who sometimes get away with their unlawful and unjust
acts. But, just as surely, there will be progress.

CHAPTER SUMMARY

FUNDAMENTALS OF INTERNATIONAL LAW AND JUSTICE THE INTERNATIONAL LEGAL SYSTEM

1. International law can be best understood as a 5. The international legal system has four essential
primitive system of law in comparison with more elements: its philosophical roots, lawmaking, ad-
developed domestic law. There are only the most herence, and adjudication.
rudimentary procedures and institutions for mak- 6. The roots of law for any legal system may come
ing, adjudicating, and enforcing international law. from external sources, such as natural law, or from
This does not mean, however, that international within the society, such as custom.
law is impotent, only that it is in an earlier stage of 7. Regarding lawmaking, international law springs
development than domestic law. from a number of sources, including international
2. As a developing phenomenon, international law is treaties, international custom, general principles
dynamic and has been growing since the earliest of law, and international representative assem-
periods of civilization. This growth accelerated in blies. Some scholars argue that resolutions and
the 20th century because increasing levels of in- other pronouncements of the UN General Assem-
ternational interaction and interdependence re- bly should be included as a significant influence.
quired many new rules to govern and regularize 8. Regarding adherence, international law, again like
contacts in trade, finance, travel, communication, primitive law, relies mainly on voluntary compli-
and other areas. The possible consequences of war ance and self-help. Here again, though, there are
have also spurred the development of interna- early and still uncertain examples of enforcement
tional law. by third parties, a feature that characterizes more
3. Thus far, international law is most effective when it advanced systems.
governs functional international relations. Interna- 9. The fourth essential element of a legal system,
tional law works least well in areas of “high poli- adjudication, is also in the primitive stage in in-
tics,” where the vital interests of the sovereign states ternational law. Although there are a number of
are at stake. Even in those areas, though, interna- international courts in the world today, their juris-
tional law is gradually becoming more effective. diction and their use and effectiveness are limited.
4. Justice is another factor in establishing the rules of The International Court of Justice and other such
the international system. It acts as a guide to ac- international judicial bodies represent an increas-
tion and as the basis for some international law. ing sophistication of international law.
304 CHAPTER 9 International Law and Justice: An Alternative Approach

APPLYING INTERNATIONAL LAW AND JUSTICE Primarily, it applies to the treatment of individuals
10. In a culturally diverse world, standards of interna- by states, but it also has some application to the
tional law and justice have encountered problems actions of individuals. Thus people, as well as
of fit with different cultures. Most current interna- countries, are coming to have obligations, as well
tional law and many concepts of justice, such as as rights, under international law.
the stress on individualism, are based on Western 13. It is not always possible to insist on strict adher-
ideas and practices, and many non-Western states ence to international law and to high moral stan-
object to certain aspects of international law as it dards, yet they cannot be ignored. One middle
exists. way is to apply principles pragmatically.
11. The changes in the world system in this century
have created a number of important issues related THE FUTURE OF INTERNATIONAL LAW AND JUSTICE
to international law. Among these are the status 14. With the growth of international interaction in the
of sovereignty, the legality of war and the conduct last century, international law has developed, and
of war, rules for governing the biosphere, and rudimentary standards of justice are being estab-
observing and protecting human rights. lished. Although this growth has sometimes been
12. International law has been interpreted as applying slow, there will definitely be continued progress in
to states. Now it is also concerned with individuals. the future.

For simulations, debates, and other interactive activities, a chapter quiz, Web links,
and much more, visit www.mhhe.com/rourke12/ and go to chapter 9. Or, while
accessing the site, click on Course-Related Headlines and view recent international
relations articles in the New York Times.

KEY TERMS

adjudication ideological/theological jus ad bellum moral relativism

amorality school of law jus in bello naturalist school of law
codify International Court of moral absolutism pacta sunt servanda
functional relations Justice (ICJ) moral pragmatism positivist school of law
 C H A P T E R

10
WAR AND WORLD POLITICS
War: The Human Record
National Security:
The Causes of War: Three Levels of Analysis
System-Level Causes of War
State-Level Causes of War
The Traditional Road
Individual-Level Causes of War
The Changing Nature of War Be wary then; best safety lies in fear.
Classifying Warfare —William Shakespeare, Hamlet
TERRORISM
The Nature and Limits of Terrorism Cry “Havoc,” and let slip the dogs of war.
Sources of Terrorism —William Shakespeare, Julius Caesar
State Terrorism
Transnational Terrorist Groups
The Record of Terrorism
Terrorist Weapons and Tactics
Conventional Weapons Terrorism
Radiological Terrorism
Chemical and Biological Terrorism
The Causes of Terrorism
Combating Terrorism
UNCONVENTIONAL FORCE
Arms Transfers
Arms Transfers: Where and Why
Arms Transfers: Drawbacks
Special Operations
CONVENTIONAL FORCE
Goals and Conduct of War
Avoiding Unchecked Escalation
WEAPONS OF MASS DESTRUCTION
Biological Weapons
Chemical Weapons
Nuclear Weapons
Nuclear Weapons States and Their Arsenals
The Role of Nuclear Weapons
Nuclear Deterrence and Strategy This image of this U.S. soldier grieving for a comrade recently killed in
Deterrence action in Iraq bears vivid testimony to the truth of U.S. Civil War General
Strategy: First-Use
William Tecumseh Sherman’s declaration, “War is hell!”
Strategy: National Missile Defense
CHAPTER SUMMARY
306 CHAPTER 10 National Security: The Traditional Road

AR IS AN ENIGMA. On the one hand, we have condemned it throughout his-

W tory, and that refrain has become particularly persistent in recent centuries
(Mueller, 2004). “O war, thou son of hell,” Shakespeare has a character cry
out in King Henry VI, Part 2. “War is hell,” General William Tecumseh Sherman
lamented, remembering the U.S. Civil War and “the shrieks and groans of the
wounded.” And General of the Army Dwight D. Eisenhower confessed, “I hate
war . . . its brutality, its futility, its stupidity.” War may be hell, but it is also a regular
part of our political world. Perhaps that is because insecurity has also always been
part of the human condition. “We make war that we may live in peace,” Aristotle sug-
gested in his Nicomachean Ethics (325 B.C.).
In this and the following chapter we will explore the human search for safety.
www National security, the traditional approach, is the focus of this chapter. It takes up the
history and causes of warfare between states. Then chapter 11 contemplates interna-
WEB POLL
tional security, an alternative path to safety. As you will see, some people believe that
Your Knowledge of History security can be best achieved by disarming, not arming, and that creating collective
security forces is a better approach than traditional self-reliance. As in this text’s other
juxtapositions of traditional and alternative approaches, the choice is not really A or
B. There are no conceivable circumstances under which traditional politics would
soon disappear. However, it is almost as unlikely that the status quo will remain un-
changed and that alternative approaches to world politics, which are already under
way, will not gain even further prominence. Thus the task for you while reading these
two chapters is to decide what mix of the traditional and alternative approaches offer
the best path to security.

WAR AND WORLD POLITICS

Whatever the ultimate cost or morality of war, there is an element of truth to the clas-
sic observation of scholar Max Weber in “Politics as a Vocation” (1918): “The deci-
sive means for politics is violence.” Given the regrettable but regular role that force
plays in the conduct of international relations, it behooves us to examine war and
other forms of transnational political violence. Before beginning, it is important to
note that chapter 8 on national power contains several elements that relate to our
discussion here. One is a review of the elements of military power. A central focus of
that commentary is the difficulty of measuring a country’s military strength and com-
paring it to other countries or estimating its usefulness in a particular situation. For
instance, having the world’s most powerful air force has meant almost nothing to the
power equation in Iraq. Chapter 8 also discusses the application of military power as
an instrument of national diplomacy. The core of that discussion is that the military
instrument is applied in a wide variety of ways ranging from serving as an unmen-
tioned but still present backdrop to negotiations, through threats, to an escalating
array of uses beginning with mobilizations and other ominous moves and ending
with full-scale war.

War: The Human Record

War is as ancient as humanity. One reasonable number, as shown in Figure 10.1, is
that there were almost 1,000 wars during the millennium that just ended. Looking
even farther back, it is possible to see that the world has been totally free of signifi-
cant interstate, colonial, or civil war in only about 1 out of every 12 years in all of
 War and World Politics 307

FIGURE 10.1 Wars and Deaths

164 111,100,000

123
Number of wars 113 115
122

92

67
62

47
39 War deaths

1,613,000 19,423,000
129,000 501,000
6,108,000
57,000 410,000 878,000 7,001,000

11th 12th 13th 14th 15th 16th 17th 18th 19th 20th
Century

This figure shows the long-term trend in the rise of both the frequency and severity of war. Beginning in
the year 1000, the number of wars in each century has usually increased. The soaring death toll of the
20th century’s wars, which accounted for 75 percent of the millennium’s total, is a truly alarming figure.
Data sources: Eckhardt (1991); author. Eckhardt defines a war as a conflict that (1) involves a government on at least one side
and (2) accounts for at least 1,000 deaths per year of the conflict.

recorded human history. The data also shows that war is not a tragic anachronism
waged by our less civilized ancestors. To the contrary, political violence continues.
Two ways to gauge this are by frequency and severity.
Frequency provides bad news. Since the year 1000, as Figure 10.1 shows, wars
between countries have become more frequent, with some 30% occurring since www
1800. Although the frequency of war in the 1900s declined somewhat from the hor-
rific rate in the 1800s, and that ebbing has continued into the early 21st century, the MAP
number of civil wars increased (Eriksson & Wallensteen, 2004). This means that the International Conflicts in the
overall incidence of interstate and intrastate warfare remains relatively steady. Post–World War II World
Severity is worse news. Again as evident in Figure 10.1, about 150 million peo-
ple have died during wars since the year 1000. Of the dead, an astounding 75% per-
ished in the 20th century and 89% since 1800. Not only do we kill more soldiers, we
also now kill larger numbers of civilians (Lacina, Gleditsch, & Russett, 2006). Dur-
ing World War I, six soldiers died for every civilian killed (8.4 million soldiers and
1.4 million civilians). World War II killed two civilians for every soldier (16.9 mil-
lion troops and 34.3 million civilians). The worst news may lie ahead. A nuclear war
could literally fulfill President John F. Kennedy’s warning in 1961 that “mankind
must put an end to war, or war will put an end to mankind.”

The Causes of War: Three Levels of Analysis

Why war? This question has challenged investigators over the centuries (Caplow &
Hicks, 2002). Philosophers, world leaders, and social scientists have advanced many
different theories about the single root cause of war, but it is more likely that there is
308 CHAPTER 10 National Security: The Traditional Road

International Conflicts in the Post–World War II World

War is a continuing reality in the international system. As you can see, however, international wars do
not occur equally around the world. Instead, the Middle East has seen the most conflicts, and the
Balkans, Africa, and south-central Asia are also troubled regions.

1
Conflict Start Major Belligerent Countries 2
Date (in alphabetical order)
1 Palestine 1948 Egypt Jordan
Iraq Lebanon
Israel Syria
2 Korean 1950 China UN, U.S., and 11
North Korea other countries
South Korea
3 Soviet- 1956 Hungary Soviet Union
Hungarian
4 Sinai 1956 Egypt Israel
France United Kingdom
5 Sino-Indian 1962 China India
6 Kashmir 1965 India Pakistan
7 Vietnam 1965 North Vietnam United States
South Vietnam
8 Six-Day 1967 Egypt Jordan
Israel Syria
9 Soviet-Czech 1968 Czechoslovakia Soviet Union
10 Football 1969 El Salvador Honduras
11 Indo-Pakistani 1971 India Pakistan
12 Yom Kippur 1973 Egypt Syria
Israel
13 Cyprus 1974 Cyprus Turkey
14 Ogaden 1977 Ethiopia Somalia
15 Cambodian- 1978 Cambodia Vietnam
Vietnamese
16 Ugandan-Tanzanian 1978 Tanzania Uganda
17 Afghanistan 1979 Afghanistan Soviet Union
18 Persian Gulf 1980 Iran Iraq
19 Angola 1981 Angola South Africa
Cuba
10
20 Falklands 1982 Argentina United Kingdom
21 Saharan 1983 Chad Libya
22 Lebanon 1987 France Syria
Israel United States 23
Lebanon
23 Panama 1989 Panama United States
24 Persian Gulf 1990 Iraq U.S. and 7
UN other countries
25 Yugoslavia 1990 Bosnia- Croatia 26
Herzegovina Serbia
26 Peruvian-Ecuadorian 1995 Ecuador Peru
27 Albania 1995 Albania Serbia
Montenegro
28 Rwanda 1995 Burundi Rwanda International Conflicts in the
29 East Timor 1995 Indonesia Timorese
insurgency Post-World War II World
30 Cameroon 1996 Cameroon Nigeria
31 Iraq 1998 Great Britain United States
Area of conflict
Iraq
32 Democratic Republic 1998 Angola Namibia
of the Congo Chad Sudan
Congo Zimbabwe
33 Eritrean-Ethiopian 1998 Eritrea Ethiopia
34 Kosovo 1999 NATO Yugoslavia
35 Chechnya 1999 Chechnya Russia
20
36 “War on Terrorism” 2001 Afghanistan (Taliban) United States
al-Qaeda organization
Great Britain
37 Iraq 2003 Great Britain United States
Iraq
38 Sudan-Darfur Rebels 2004 AU Sudan
Darfur Rebels UN

1
“Conflict” implies at least 1,000 battle deaths.
2
“Belligerent” implies country supplied at least 5% of the combat
troops in the conflict.
 War and World Politics 309

25
34

27

9
3 35
25
34
27 2
13
18 36
22 5
12 31 17
4 1 37 6
8 24 11
21

33 7
38
15
14
30

32 28
16

29

19

13
18
22
12
1 31
4 37
8 24

0 1000 2000 Miles

0 1000 2000 3000 Kilometers

310 CHAPTER 10 National Security: The Traditional Road

no one reason why people fight. Given this, it is reasonable to discuss the causes of
war by classifying them according to system-level analysis, state-level analysis, and
individual-level analysis, as detailed in chapter 3.

System-Level Causes of War

Wars may be caused by a number of factors related to the general nature of the
world’s political system (Cashman, 1999). To illustrate that here, we can touch on
four system-level variables.
The distribution of power. As noted in chapters 3 and 8, some analysts believe that
the stability of the international system is influenced by factors such as the system’s
number of poles (big powers), their relative power, and whether the poles and their
power are stable or in flux (Powell, 2006). Conflict is likely to occur, for example,
when a system is experiencing a significant power transition because some powers
are rising and others are declining. To a degree, for instance, the onset of World
War I was about the attempt of the once powerful, but then moribund Austro-
Hungarian Empire to defend its fading status as a big power. Postwar alliances that
concentrate power by bringing victorious major countries together have also been
found to be prone to conflict with other countries and alliances.
The anarchical nature of the system. In a sense, wars occur because there is no cen-
tral authority to restrain them and to protect countries. Unlike domestic societies, the
international system has no regularized and effective process of law creation, enforce-
ment, or adjudication. When the gap between U.S. demands on Iraq and what Iraq was
willing to do proved unbridgeable, there was no court that could either subpoena Iraqi
records or enjoin an American attack. War ensued. This self-help system causes inse-
curity. Therefore, countries acquire arms in part because other countries do, creating
a tension-filled cycle of escalating arms ¡ tensions ¡ arms ¡ tensions.
System-level economic factors. The global pattern of production and use of nat-
ural resources is one of the system-level economic factors that can cause conflict. For
example, when Iraq endangered the main sources of petroleum production by at-
tacking Kuwait and threatening Saudi Arabia in 1990, a U.S-led coalition of countries
dependent on petroleum rushed to defend the Saudis and to liberate the Kuwaitis
(and their oil). The gap between wealthy and poor countries is another system-level
factor. Some analysts believe that this wealth gap is one reason that a great deal of
terrorism is rooted in the South.
System-level biosphere stress. Overconsumption of biosphere resources is yet an-
other possible system-level cause of conflict. Water provides one example. This basic
resource is becoming so precious in many areas, as related in chapter 15, that coun-
tries might soon go to war with one another over disputes about water supplies.

State-Level Causes of War

War may result from the nature of states. There are several ways that the internal
processes and conditions of countries may lead to war (Finnenmore, 2004).
Militarism. One theory is that states inherently tend toward militarism. The
argument is that as warfare required more soldiers as well as more and increasingly
expensive weapons, it created a need for political units with larger populations and
economies. This gave rise to the state.
Externalization of internal conflict. A theme found in movies such as Wag the Dog
(1997, with Robert De Niro and Dustin Hoffman) and Canadian Bacon (1995, with
Alan Alda and John Candy) is that of a faltering government trying to stay in power by
fomenting a foreign crisis in order to rally the populace and divert its attention (Foster
& Palmer, 2006). Scholars call this ploy diversionary war or the externalization of
 War and World Politics 311

internal conflict (Kellett, 2006; Meernik & Ault, 2005; Pickering & Kisangani, 2005).
Evidence indicates, for instance, that revolutionary regimes will attempt to consoli-
date their power by fomenting tension with other countries (Mitchell & Prins, 2004;
Andrade, 2003). It is also the case that countries are more likely to go to war while
they are experiencing times of economic distress. It is widely believed, for example,
that Argentina’s decision to try to seize the nearby Falkland Islands in 1982 was an
attempt by Argentina’s faltering military regime to divert the attention of its people
away from the sagging economy.

Individual-Level Causes of War

It may be that the causes of war are linked to the character of individual leaders or to
the nature of the human species.
Human characteristics. Those who have this perspective believe that although it
is clear that human behavior is predominantly learned, there are also behavioral links
to the primal origins of humans (Rosen, 2004). Territoriality, which we examined in
chapter 3, is one such possible instinct, and the fact that territorial disputes are so
frequently the cause of war may point to some instinctual territoriality in humans.
Another possibility, some social psychologists argue, is that human aggression, indi-
vidually or collectively, can stem from stress, anxiety, or frustration (Senese, 2005).
The backlash of German society during the 1930s to its defeat and humiliation after
World War I in the 1920s is an example.
Individual leaders’ characteristics. The personal traits of leaders may also play a
role in war (Bennett & Stam, 2004). A leader may have a personality that favors tak-
ing risks, when caution might be the better choice, or might have a psychological
need for power. While discounting some of the more strident characterizations of
Saddam Hussein as a madman, most personality analyses characterized him as driven
to seek power and to dominate, traits that made it hard for him to cooperate com-
pletely with UN arms inspectors. Individual experiences and emotions also play a
role, and it is not fatuous to ask what the impact of Iraq’s attempt to assassinate for-
mer President George H. W. Bush in 1993 was on his son’s view of that country once
he became president.
Before leaving our discussion of the causes of war, it is important to note that
whatever its root cause(s), war continues as a political instrument at least in part be-
cause it works. Countries that threaten or attack another country sometimes get their
way, and, in particular, big powers win more often than not whether they begin a war
or are attacked. Thus to some degree the decision for war is a rational process, one in
which countries decide that the ever-present risks of war are worth the potential
gains that victory will bring (Langlois & Langlois, 2006.)

The Changing Nature of War

Whatever its causes, warfare has changed greatly over the centuries. Technology,
nationalism, participation, cost, and strategy are five dimensions of change.
Technology has rapidly escalated the ability to kill. Successive “advances” in the
ability to deliver weapons at increasing distances and in the ability to kill ever more
people with a single weapon have resulted in mounting casualties, both absolutely and
as percentages of soldiers and civilians to total populations of the countries at war.
Nationalism has also changed the nature of war. Before the 19th century, wars
were generally fought between the houses of nobles with limited armies. The French
Revolution (1789) changed that. Wars were now fought between nations, with in-
creases in intensity and in numbers involved. France proclaimed that military service
312 CHAPTER 10 National Security: The Traditional Road

was a patriotic duty and instituted the first comprehensive military draft in 1793. The
idea of patriotic military service coupled with the draft allowed France’s army to be
the first to number more than a million men.
The scope of war has expanded as a result of technology and nationalism. Entire
nations have become increasingly involved in wars. Before 1800, no more than 3 of
1,000 people of a country participated in a war. By World War I, the European powers
called 1 of 7 people to arms. Technology increased the need to mobilize the popula-
tion for industrial production and also increased the capacity for, and the rationality
of, striking at civilians. Nationalism made war a movement of the masses, increasing
their stake and also providing justification for attacking the enemy nation. Thus, the
lines between military and civilian targets have blurred. Modern technology has, at
other times, also reversed the connection between war effort and the nation (Coker,
2002). The high-tech forces deployed by the United States and its allies against Iraq
(1991, 2003) and Yugoslavia (1995, 1999) and the quick victories over the opposing
regular military forces that ensued largely separated the war effort from the day-to-day
lives of Americans.
Participation by diverse individuals in war is a fourth area of change. Some of
the changes in who is swept up in war relate to the discussion above regarding na-
tionalism, the justification for both military drafts and attacks on factories and other
facilities and areas heavily populated by civilians. Changing social attitudes are also
impacting who serves in the military. Homosexuals were once universally banned
from military service. Now some 24 countries such as Canada, Germany, and Thailand
permit gays to openly serve. Since 1993 the United States under its “don’t ask, don’t tell”
policy has tolerated gay members in its military as long as they do not disclose their
sexual orientation. That policy is weakening. A 2006 poll found 60% of Americans
in favor of allowing gays to serve openly in the military, with 32% opposed and 8%
unsure.1 Moreover, the argument that gays will disrupt military discipline has been
contradicted by the uneventful integration of homosexuals into the ranks of other
countries’ armed services and by the changing views of some top-ranking U.S. officers.
For example, retired General John Shalikashvili, who served as chairman of the Joint
Chiefs of Staff (1993–1997) and opposed gays in the military, wrote in a 2007 op-ed
piece, that “I now believe that if gay men and lesbians served openly in the United
States military, they would not undermine the efficacy of the armed forces.”2
Unlike gays, women have long served in the military, but what is changing is their
increased presence on the field of battle. There are a few countries, such as Finland,
in which women serve in all military units, including the three ground combat units:
armor, artillery, and infantry. Here too, however, restrictions on women’s roles have
gradually declined because of changing social attitudes. A majority of Americans
(67%) are now willing to have women serve in unspecific “combat jobs,” although
some ambivalence is evident in the fact that 54% oppose having women serve among
“ground troops who are doing most of the fighting.”3
Also, most Americans (55%) remain opposed to having women subject to the
draft. How do you view the issues taken up in the box, Debate the Policy Script,
“Should Women Serve in Combat?”
Costs of war have also escalated. Preparations, waging war, and repairing the
damage have always been expensive, but the cost and destructive power of modern
war technology have increased the price considerably. Precisely measuring the cost of
a war is impossible, but one estimate of major U.S. wars and their costs calculated in
1990 dollars to adjust for inflation are the Revolutionary War ($1 billion), the Civil
War ($44 billion), World War I ($197 billion), and World War II ($2.1 trillion).4
Similarly the costs of the other U.S. wars have also generally gone up: War of 1812
 War and World Politics 313

DEBATE THE POLICY SCRIPT

Should Women Serve in Combat?
Throughout history, most of the women killed, wounded, or
otherwise traumatized in war have been civilian noncombat-
ants. Now women soldiers are increasingly becoming casual-
ties. Lori Piestewa was the first of many U.S. servicewomen to
fall in the Iraq War.
Private first class Piestewa was a member of the U.S. Army’s
507th Maintenance Company who was serving her country as
her father had in Vietnam and her grandfather had in World
War II. Pfc Piestewa was 23, a Hopi from Tuba City, Arizona,
and the mother of a son (age 4) and a daughter (age 3).
On March 23, soon after the war began, she was part of
a convoy providing support for the U.S.-British offensive.
Iraqi forces attacked the U.S. unit near Nasiriyah, Iraq, killing
Piestewa and several other American soldiers. Her fate high-
lights the reality that the chances of women being killed, cap-
tured, or wounded as combatants have grown as the United
States and many other countries have increasingly gender-
integrated their armed forces. Some applaud this change.
Others want to take it even further by abolishing the rules in the
U.S. and most other armed forces that bar women from in-
fantry, artillery, and armored units. Still others find women in
combat abhorrent and would eliminate the possibility.
How would you decide policy regarding women serving
in the armed forces? During the first three years of the U.S.
operation in Iraq, women constituted 2% of the Americans
American women increasingly serve in military positions that have
killed, and your policy choice will almost certainly impact that exposed them to enemy fire. Private first class Lori Piestewa, a
percentage in future wars. One option is to maintain current Hopi, was killed when her combat maintenance unit was attacked
U.S. policy, with women serving in most military positions, but by Iraqi forces in March 2003. She is shown here behind her
barred from being in the most perilous ground forces (armored, father and her son, Brandon, at a 2005 memorial service. She also
artillery, and infantry units). A second possibility is to eliminate had a daughter, Carla. In 2005 Congress debated and rejected a
all barriers to women in the military by opening all positions to proposal to end the prohibition on women serving in infantry,
them. Your third choice is to remove women from all military armor, and artillery units. Should women, including mothers of
jobs that might take them near the front lines. small children, serve in all military units?

What Do You Think?

How would you write the policy script regarding women in
combat?

($0.7 billion), Mexican-American War ($1 billion), Spanish-American War ($6 bil-
lion), Korean War ($264 billion), Vietnam War ($347 billion), Persian Gulf War
($61 billion), and Iraq War ($500 billion and rising). Yet another way to look at cost
is by considering global military spending as presented in Figure 10.2.
Strategy is yet another aspect of war that has changed. Two concepts, the power
to defeat and the power to hurt, are key here. The power to defeat is the ability to seize
territory or overcome enemy military forces and is the classic goal of war. The power
to hurt, or coercive violence, is the ability to inflict pain outside the immediate mili-
tary sphere (Slantchev, 2003). It means hurting some so that the resistance of others
314 CHAPTER 10 National Security: The Traditional Road

FIGURE 10.2 Global Military Spending

$1,100 $1,044
Global military spending in US$ billions
(constant 2003 dollars) $1,001
$1,000

$900

$747
$800 (lowest year)

$700
1988 1992 1996 2000 2005

Global military spending peaked in the late 1980s at the end of the cold war, then declined into the
mid-1990s, reaching a low point in 1996 and being fairly steady for the rest of the decade. Beginning
in 2000, arms spending began to accelerate more rapidly, increasing about 22% in constant 2003
dollars (adjusted for inflation) to just over $1 trillion in 2005.
Data source: Stockholm International Peace Research Institute (SIPRI), 2004.

will crumble. The power to hurt has become increasingly important to all aspects of
warfare because the success of the war effort depends on a country’s economic effort
and, often, the morale of its citizens. Perhaps the first military leader to understand the
importance of the power to hurt in modern warfare was General William Tecumseh
Sherman during the U.S. Civil War. “My aim was to whip the rebels, to humble their
pride, to follow them to their inmost recesses, and [to] make them fear and dread us,”
the general wrote in his memoirs.
Traditionally wars were fought with little reference to hurting. Even when hurting
was used, it depended on the ability to attack civilians by first defeating the enemy’s
military forces. During the American Revolution, for example, the British could have
utilized their power to hurt—to kill civilians in the major cities they controlled—and
they might have won the war. Instead they concentrated on defeating the American
army (which they could not catch, and then it grew too strong to overpower), and
they lost.
In the modern era, the power to defeat has declined in importance relative to the
power to hurt. Terrorism, guerrilla warfare, and nuclear warfare all rely extensively
on the power to hurt to accomplish their ends. Even conventional warfare sometimes
uses terror tactics to sap an opponent’s morale. The use of strategic bombing to blast
German cities during World War II is an example.

Classifying Warfare
There are numerous ways to classify warfare. One has to do with causality and intent,
and distinguishes among offensive, defensive, and other types of conflict. Wars of
aggression are those that do not meet the standards of jus ad bellum (just cause of war)
analyzed in chapter 9. Defensive warfare can include immediate self-defense, such as
Kuwait’s futile and short-lived resistance to Iraq’s invasion in 1990, or coming to the
defense of a country suffering aggression. Defense can also include responding col-
lectively to aggression against others. For example, the countries in NATO and other
alliances are pledged to protect one another, and a coalition of countries waged the
 Terrorism 315

Persian Gulf War against Iraq in 1991 when the UN FIGURE 10.3 Opinions on Preemption
authorized action to liberate Kuwait. Often, of course,
who is the aggressor and who is the victim is unclear, Unsure
5%
with each side claiming to be acting in self-defense or
to be justifiably righting some other wrong. Often
Preemptive warfare is one such scenario that 14%
defies the simple dichotomy between offensive and
Never
defensive war. Whether preventive war is justified 32% Sometimes
has been hotly debated in the aftermath of President 27%
Bush’s declaration in 2002, known as the Bush Doc-
When is
trine, as discussed in chapter 2, that, “To forestall or Rarely
preemptive war
prevent hostile acts by our adversaries, the United 22%
justified?
States will, if necessary, act preemptively.” The pres-
ident soon put theory into practice by ordering U.S. For most people, the use of preemptive war is not a matter of absolute
forces into Iraq in March 2003. Countries have long right or wrong. From one perspective, a majority (54%) of the respondents
struck first to forestall what they believed to be an in 20 countries think that preemptive war is rarely or never justified.
impending attack, and the line between preemption Another way to look at the data, though, is that 63% think preemption
as aggression (which violates international law) and is at least conceivably justified. Americans were more aggressive than
preemption as self-defense (which does not) is not average, with responses of 22% often, 44% sometimes, 17% rarely,
precise. Even in much more constrained domestic 13% never, and 4% unsure.
situations, a potential victim confronted by someone Data source: The Pew Research Center, “Views of a Changing World,” June 2003.
with a loaded gun does not have to wait to be shot at
before exercising his or her right of self-defense. What the law generally says is that
you must be reasonably afraid that you or someone with you faces immediate death
or injury and your response must be proportionate to the threat. Thus the justifiabil-
ity of a preemptive war must be evaluated within its context. The general public also
holds this view, as evident in Figure 10.3.
Another approach to classifying war focuses on the weapons and tactics em- www
ployed. Adopting this strategy, the remainder of this chapter discusses four categories
of tactics and weapons: terrorism, unconventional military force, conventional force, SIMULATION
and weapons of mass destruction. Classifying Wars

TERRORISM

When a quadrennial survey taken in 1999 asked Americans to name two or three top
foreign policy concerns, only 12% mentioned terrorism. Four years later, with 9/11
on their minds, 75% of Americans identified terrorism as a critical threat, more than
chose any other foreign policy issue.5 Like the unknown in a horror movie, the
shadow of terrorism may be greater than its actual presence, yet it is an important
component of international violence.

The Nature and Limits of Terrorism

One of the challenges of examining terrorism is that there is no widely accepted def-
inition. This is not just a problem of semantics. It has affected initiatives to establish
treaties and other international efforts to combat terrorism. Most specifically, the UN
has struggled intermittently for years to draft a comprehensive treaty on terrorism.
Several treaties have been concluded, including one in 2005 to thwart nuclear terror-
ism. But a general agreement has failed in part because of definitional disagreements.
316 CHAPTER 10 National Security: The Traditional Road

For instance, many LDCs want wording to indicate that armed struggles for national
liberation, against occupation, or against a racist regime should not be considered
terrorism. “The simple fact is that terrorism means different things to different people,”
one diplomat explained after one frustrating negotiation. “We couldn’t find common
political ground on several issues—despite the fact that the entire world is preoccu-
pied with international terrorism.”6
While recognizing this lack of consensus, it is, however, important to establish how
the word is used here. Terrorism is (1) violence; (2) carried out by individuals, non-
governmental organizations, or covert government agents or units; that (3) specifically
targets civilians; (4) uses clandestine attack methods, such as car bombs and hijacked
airliners; and (5) attempts to influence politics. This definition stresses that terrorism
focuses on harming some people in order to create fear in others by targeting civilians
and facilities or systems (such as transportation) on which civilians rely (Kydd &
Walter, 2006). The objective of terrorists is not just killing and wounding people and
destroying physical material. Instead the true target is the emotions of those who see
or read about the act of violence and become afraid or dispirited. Although the tactics
are similar, it is useful to distinguish between domestic terrorism, which includes
attacks by local nationals within their country against a purely domestic target for
domestic reasons, and international terrorism, which involves ter-
rorists attacking a foreign target, either within their own country or
abroad. The attack by Timothy McVeigh and Terry Nichols on the
Oklahoma City federal building in 1995 that killed 168 people and
injured 800 more was clearly domestic terrorism. The 9/11 attack
was international terrorism.
By inference, our definition of terrorism rejects the argument
that noble ends can justify terrorist means. An example of this claim
was made by Abu Musab al-Zarqawi, al Qaeda’s chief of operations
in Iraq, who was later killed by a U.S. air strike. He asserted that it
was acceptable to kill “all infidels with all the kinds of arms that we
have. . . . even if armed infidels and unintended victims—women
and children—are killed together.”7 The definition of terrorism
here also rejects the argument that actions taken by military forces
against military targets that also result in civilian casualties should
be classified as terrorism. Some would question why a civilian dis-
sident who detonates a car bomb in a market, killing numerous
noncombatants, is a terrorist, but a military pilot who drops a
bomb that kills numerous noncombatants near the target is not a
terrorist. There are two replies to this objection. The first is that in-
tent is important. Terrorists intend to kill noncombatants. With rare
exceptions, uniformed personnel attack military or hostile targets.
Noncombatants may be inadvertently killed or wounded, but they
Terrorism is attacking children and other are not the object of the attack.
noncombatants solely to inflict fear in an effort to This perspective does not mean all military actions are accept-
advance a political cause. Whatever the justice of able. When they are not, however, they are properly classified as
their desire to be independent of Russia, the 32 war crimes under the principles of jus in bello (just conduct of war)
Chechen gunmen who in 2004 seized a Russian discussed in chapter 9, and the perpetrators should be brought
school in Beslan, Russia, were terrorists, not freedom
to justice in national or international courts. An additional note
fighters. This child being carried away by her
traumatized father after Russian forces stormed the
is that not all attacks categorized as terrorism by the United States
school was luckier than the 186 children, 191 fall within the definition used here. For example, Washington
teachers and other adult civilians, and 21 Russian condemned as terrorism the October 2000, attack on the destroyer
soldiers and rescue workers who were killed. USS Cole while it was refueling in Aden. Yet despite the fact that
 Terrorism 317

it was suicide bombers operating a small boat laden with explosives that mangled Web Link
the ship and killed 17 crew members, the fact that the target was a military vessel The Terrorism Research Center
puts the act beyond the definition of terrorism used here. A final point is that like at www.terrorism.com/ is a good
all definitions of terrorism, there are gray areas. For example, the attacks on American source of information on all
and other forces in Iraq during the postwar occupation fulfill the definition of guer- aspects of the topic.
rilla warfare rather than terrorism because they target military forces. Yet the use of
car bombs that may kill dozens of civilians in order to also kill one or a few soldiers
are at least war crimes and probably terrorism because they violate the standards of
discrimination in jus ad bellum (just conduct of war). This is especially the case
when the perpetrators are outside fighters, such as al-Zarqawi (a Jordanian) was, rather
than Iraqis.

Sources of Terrorism
Two sources of political terrorism concern us here. One is state terrorism; the second
is made up of transnational terrorist groups. As we shall see, they are closely linked.

State Terrorism
To argue that most acts, even if horrific, committed by uniformed military personnel
are not properly regarded as terrorism does not mean that countries cannot engage in
terrorism. They can, through state terrorism. This is terrorism carried out directly by
an established government’s clandestine operatives or by others who have been
specifically encouraged and funded by a country.
From the U.S. perspective, the State Department repeatedly listed Cuba, Iran,
Iraq, Libya, North Korea, Sudan, and Syria as countries guilty of state terrorism. Iraq
has been deleted from the list, and reforms in Libya could also lead to its deletion.
Each of these countries vehemently denies being involved in terrorism, and some of
the U.S. allegations would fall outside the definition of terrorism used here. Not all
would, though. For example, state terrorism would include Syria’s involvement in
the 2005 assassination of former Lebanese Prime Minister Rafiq Hariri, a strong op-
ponent of Syria’s long-time occupation of much of Lebanon. There have also been
accusations of state terrorism against the United States. “We consider the United States
and its current administration as a first-class sponsor of international terrorism, and
it along with Israel form an axis of terrorism and evil in the world,” a group of 126
Saudi scholars wrote in a joint statement.8
Here again, most, but not all, such charges fall outside our definition of terrorism.
An example involves Washington’s alleged complicity in assassinations and other
forms of state terrorism practiced internally by some countries in Latin America and
elsewhere during the anticommunist fervor of the cold war. A declassified secret doc-
ument records the anguished views of an American diplomat in Guatemala regarding
U.S. support of the Guatemalan army against Marxist guerrillas and their civilian sup-
porters. After detailing a long list of atrocities committed by the army, the American
diplomat told his superiors in Washington, “We have condoned counter-terror . . .
even . . . encouraged and blessed it. . . . Murder, torture, and mutilation are all right
if our side is doing it and the victims are Communists.”9
Web Link
Transnational Terrorist Groups
Pictures and profiles of the
The global changes that have given rise to a rapid increase in the number of inter-
international terrorists “most
national nongovernmental organizations have also expanded the number of wanted” by the FBI can be
transnational terrorist groups that are organized and operate internationally and that found at http://www.fbi.gov/
commit transnational terrorism. One source, the U.S. State Department, identifies wanted/terrorists/fugitives.htm.
318 CHAPTER 10 National Security: The Traditional Road

40 such groups, including al Qaeda, and there are dozens of other such organizations
that one source or another labels as terrorist.
Web Link Al Qaeda is surely the most famous of these, and its origins and operations
A list and description of organi-
provide a glimpse into transnational terrorism. According to U.S. sources, al Qaeda
zations classified as terrorist by (the Base) was founded by Osama bin Laden, the son of a wealthy Saudi family, in
the U.S. State Department is the late 1980s to support Arabs fighting in Afghanistan against the Soviet Union.
available at http://www.state.gov/ Once the Soviets were driven from Afghanistan in 1989, bin Laden’s focus shifted
documents/organization/
to the United States. He was outraged by the presence of U.S. forces in Saudi
45323.pdf.
Arabia near Mecca and Medina, the two holiest cities of Islam, and by American
support of what he saw as Israel’s oppression of Palestinian Muslims. Reflecting
this view, he issued a fatwa, a religious call, in 1998 entitled “Jihad Against Jews
and Crusaders,” which proclaimed that “to kill the Americans and their allies—
civilians and military—is an individual duty for every Muslim who can do it in any
country in which it is possible to do it.”10 Subsequently, according to U.S. officials,
bin Laden and his followers masterminded a number of other terrorist attacks of
which the most devastating was the 9/11 assault. The group has also been linked to
other terrorist activities ranging from the 2005 rush-hour attack on the London bus
and subway system, in which four bombs killed 56 commuters, to the Arab
mujahedin foreign fighters’ campaign against Iraq’s new government and the outside
military forces there.

The Record of Terrorism

International terrorism is a regular occurrence, as evident in Figure 10.4. That figure
details the more than 10,000 international terror attacks and over 14,000 deaths be-
tween 1968 and the end of 2006. It is also worth noting that while domestic terror-
ism as such is not our focus here, that form of terrorism is usually more common and
claims more lives than does international terrorism. During the decade 1991–2000,
for instance, there were 3,338 domestic terrorist attacks that killed 3,521 victims
compared to 2,340 international terrorist attacks that killed 2,841. Since 2004,

FIGURE 10.4 International Terrorism Data

1081

Average annual deaths

502
Average annual attacks 424
299 312 310
246 380
159 275 273 256 262
78 195 192

1968– 1975– 1980– 1985– 1990– 1995– 2000– 2005–

1974 1979 1984 1989 1994 1999 2004 2006

Terrorism has long been a danger. There is an acute awareness of terrorism today, but the data shows
that the average number of international terrorists attacks since 2000 does not differ dramatically from
the overall record before that year. There has been an increase in the average number of deaths each
year, but the more than 3,000 people who died in the 9/11 attacks influences that count. Apart from
those victims, the yearly average number of deaths for 2000–2004 was 480.
Data source: Memorial Institute for the Prevention of Terrorism, MIPT Terrorism Knowledge Base, online.
 Terrorism 319

domestic terrorist attacks have far exceeded international attacks in number and
lethality, largely because of the sectarian violence in Iraq.
Geographically, international terrorism has touched all the regions of the world,
but between 2000 and 2006 it has been by far the most common in the Middle East
(60% of all attacks), followed by Asia (17%), Europe (13%), Latin America and the
Caribbean (6%), and Africa (4%). North America was the safest region by a wide
margin. It suffered the 9/11 attack, but that was one of only five such international
attacks, or less than 0.03% of all incidents globally.

Terrorist Weapons and Tactics

The explosions that tore apart the World Trade Center and Pentagon and buried their
victims under tons of rubble, the mangled remains of Israeli civilians in a bomb-
shattered bus, the hollow stares of hostages held as pawns in the macabre game that
terrorists play—these are the images of terrorism that have too often gripped us. For
all the ghastly history of terrorism using conventional weapons, future possibilities
are even more disturbing. Now there are new, more terrible threats—radiological ter-
rorism, and nuclear, biological, and chemical (NBC) terrorism (Enders & Sandler,
2005). As a U.S. National Intelligence Estimate has described the situation, for the
first time “U.S. territory is more likely to be attacked” with radiological, biological, or
chemical weapons using “ships, trucks, airplanes, or other means” than by weapons
of mass destruction from another country using its military missiles or bombers.11

Conventional Weapons Terrorism

With relatively few exceptions, most terrorist attacks have used bombs, guns, and
other conventional weapons. During 2006, for example, bombs were used in 59% of
the terrorist attacks, and firearms were used in another 19%. Kidnappings (17%)
were also common, with a few cases of arson, hijackings, and assassinations. Even
the attacks on the World Trade Center and Pentagon in 2001, as horrific as they were,
would fall under the category of conventional weapons terrorist attacks.

Radiological Terrorism
The extraordinary difficulty of obtaining enough nuclear material to make a nuclear
Did You Know That:
bomb, of mastering the complex process to cause a nuclear chain reaction, and of cir-
It takes about 17.5 pounds
cumventing the security surrounding existing nuclear weapons all make it very un-
of plutonium to make a
likely that in the foreseeable future terrorists could get and use a mini version of a bomb with the explosive yield
military nuclear weapon. There is a much greater possibility of terrorists being able to (about 15 kilotons of TNT) of
construct a radiological weapon, a so-called dirty bomb that would use conventional the atomic bomb dropped on
explosives to disperse radioactive material over a large area. A related approach would Hiroshima.
be to destroy a nuclear power plant, spewing radioactivity into the surrounding air and
water. Such scenarios would result in very few immediate or near-term deaths. Rather,
the danger would be from increased levels of radiation causing future cancers, preg-
nancy complications, and other medical risks. There is also potential for significant
economic damage, since a radiological attack could render parts of a city or an impor-
tant facility (such as a port) unsafe, perhaps for years. Thus, as one expert character-
ized the impact of a dirty bomb to Congress, “The effects are not instantaneous. You
have long-term potential health hazards, and you also have longer-term psychological,
social, and political impacts that can go on weeks, months, maybe years.”12
The concern over the possibility of terrorists acquiring the material to fashion a
radiological weapon has grown in recent years. According to the International
Atomic Energy Agency (IAEA), there are hundreds of thousands of known industrial,
320 CHAPTER 10 National Security: The Traditional Road

FIGURE 10.5 Illegal Trafficking in Radiological Material

160
Annual number of incidents 149
140

120

100

80
56
60

40 26

20

0
1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006

Between 1993 and 2006 there were over 1,000 confirmed incidents of criminal trafficking in stolen
radioactive material and almost certainly many more undetected illegal cases. Most incidents involved
low-grade material, but about 8% involved weapons-grade enriched uranium or plutonium. It is
unclear whether the sharp increase in recent years reflects more trafficking or better crime detection
and reporting.
Data source: International Atomic Energy Agency Illegal Trafficking Database.

medical, and other sites and thousands more “orphaned” (unregulated) sites that
possess dangerous radioactive material. IAEA data also reveals over 1,000 confirmed
cases of trafficking in stolen radiological material since 1993, and that thefts con-
tinue at an accelerating pace, as shown in Figure 10.5. Most of the known incidents
have involved low-grade radiological material, but about 8% have involved ex-
tremely dangerous enriched uranium or plutonium. In just one such incident, offi-
cials in the former Soviet republic of Georgia arrested criminals attempting to sell al-
most three ounces of highly enriched uranium.
Web Link Of all possible sources, Russia is the most likely. That country is dismantling many
For more on U.S. medical plans of its nuclear weapons, and it needs to store tons of plutonium and uranium. Russia’s
to deal with biological, chemical, desperate economic condition adds to the problem. There is concern that impoverished
and radiological attacks, go to the Russian military and scientific officials might be willing to sell radioactive material to
site of the Centers for Disease terrorist groups or states. Additionally, the partial breakdown of governmental func-
Control at http://www.bt.cdc.gov/.
tions throughout the former Soviet republics (FSRs) creates the possibility that the
material to make a radiological bomb could be stolen.

Chemical and Biological Terrorism

Public awareness of the possibility of chemical or biological attack grew after the
9/11 attacks. It was alarming to find out that one of the suicide hijackers had made
repeated trips to rural airports to learn about crop dusters. Anxiety was further
heightened by the spread of anthrax through the U.S. mail to postal facilities, news
organizations, and congressional offices. The resulting atmosphere spawned a spate
of doomsday images of chemical and biological attacks that would leave millions
dead. Most experts consider such scenarios overdrawn, and it is important to have a
balanced understanding of the possibilities and impact of such attacks.
Causes for concern. There surely are worrisome realities. The tons of chemical
weapons and agents seized from Iraq in 1991 after the Persian Gulf War bear testimony
to the amounts of such weapons in the world and the proliferation of the ability to
 Terrorism 321

produce them. Biological weapons are also a threat. For example, the U.S. Office of
Did You Know That:
Technology Assessment has estimated that a light plane flying over Washington,
The U.S. stockpile of smallpox
D.C., and its surrounding area and releasing just 220 pounds of anthrax spores using
vaccine is large enough to
a common crop sprayer could deliver a fatal dose to 3 million people. It would be inoculate all Americans, but
comforting to think that no one would use such weapons, but that is not the case. to be optimally effective, the
Iraq used chemical weapons against Iran and rebellious Kurds in the 1980s, and in vaccine has to be adminis-
1995 a Japanese terrorist group, Aum Shinrikyo (Supreme Truth), used nerve gas in tered within three days of
contracting the disease.
an attack that killed 12 people and injured 5,000 on a Tokyo subway station. What is
Moreover, there is normally a
worse, a panel of UN experts has warned that the risk of terrorists groups “acquiring 10- to 12-day incubation
and using weapons of mass destruction . . . continues to grow.”13 period during which victims
Calls for calm. While it is impossible to rule out a biological or chemical attack have no symptoms.
that may claim tens of thousands of lives, it is probably more realistic to see the like-
lihood of such an attack as remote because of the significant difficulties of amassing
and delivering enough of a chemical or biological agent to cause widespread death
and injury. According to one scientist, “When one retreats from the hyperbole and
examines the intricacies involved in executing a mass casualty attack with [biologi-
cal or chemical] agents, one is confronted with technical obstacles so high that even
terrorists that have had a wealth of time, money, and
technical skill, as well as a determination to acquire
and use these weapons [would have difficulty doing
so].”14 This implies that the impact of a chemical or
biological terrorist attack is most likely to be similar
to that of a radiological attack. The psychological
impact will far outweigh the actual casualties. This is
what occurred during the anthrax incidents in
the United States in late 2001. They caused only five
deaths and about a dozen other infections, but that
was enough to virtually close down Congress for a
time and to frighten millions.

The Causes of Terrorism

Although the attacks of September 11, 2001, brought
it to the front of the international agenda, terrorism
has long existed. Understanding the causes of terror-
ism and its recent record are important parts of com-
bating it (Laqueur, 2004; Sinclair, 2004).
Untangling the causes of terrorism is much like
trying to understand why war occurs. At the system
level of analysis, it is possible to argue that such polit-
ical violence is in part a product of unequal global
distribution of wealth. This has long existed, but
globalization has brought the wealth gap into sharper
focus and has also created a sense of cultural disloca-
tion with its Westernizing impact. When the world’s Although few Americans would agree with the view of this Pakistani
leaders met in Monterrey, Mexico, in 2002 to discuss man that it is a waste of time to try to hunt down Osama bin Laden and
other terrorists, the placard does allude to the question about whether
globalization and economic development, many
the military emphasis of the U.S. “war on terrorism” is the best
speakers made a connection between poverty and approach for reducing terrorism. Some say that in the long run,
violence. The president of the UN General Assembly alleviating poverty and other causes of desperation in many parts of
depicted poverty as “the breeding ground for vio- the Muslim world and elsewhere would be a more effective way of
lence and despair,” and the president of Peru told the combating terrorism than trying to kill the terrorists themselves.
322 CHAPTER 10 National Security: The Traditional Road

conference that “to speak of development is to speak also of a strong and determined
fight against terrorism.”15
State-level analysis of the 9/11 attacks might argue that terrorism is partly caused by
the continuing bloodshed between Israelis and Palestinians and the overwhelming
view among Muslims that the United States favors Israel. Other possible state-level
factors are the presence of U.S. forces in the Middle East, especially in Iraq, and U.S.
support of authoritarian regimes in Saudi Arabia and elsewhere. On the individual
level of analysis, one looks into the psychological drives of terrorists ranging from
Osama bin Laden to the numerous suicide bombers who have blown themselves to
pieces attacking Israelis in cafés, shops, and meeting rooms (Post, 2004). Like general
war, analysts do not agree about the causes of terrorism along these dimensions.
On a pragmatic level, terrorism occurs because, like war, it can be effective,
although, also like war, it is risky and often fails (Abrahms, 2006). As one expert puts it,
“Terrorism has proved a low-cost, low-risk, cost-effective and potentially high-yield
means of winning useful tactical objectives for its perpetrators.”16 From this perspec-
tive, terrorism usually is not the irrational acts of crazed fanatics (Bueno de Mesquita,
2005). Instead, it is usually carried out by those who consider it a necessary, legiti-
mate, and effective tool to rid themselves of what they consider oppression. It is nec-
essary, its proponents say, because it may be the only way for an oppressed group to
prevail against a heavily armed government.
Moreover, modern conditions are ripe for terrorist operations. First, technology
has increased the power of weapons available to terrorists. Explosives have become
more deadly, huge airliners can be made into piloted missiles, and there is an increas-
ing danger of terrorists obtaining the material and means to launch a biological, chem-
ical, or radiological attack. Second, increased urbanization has brought people together
so that they are easier targets, especially when gathered in such high-profile places as
skyscrapers and sports stadiums. With eerie premonition, a U.S. senator warned in
1999, that Americans were vulnerable to attack on targets that might be “selected for
their symbolic value, like the World Trade Center in the heart of Manhattan.”17 Third,
modern communications have also made terrorism more efficacious because the goal
of the terrorist is not to kill or injure, as such. Instead, the aim of terrorism is to gain at-
tention for a cause or to create widespread anxiety that will, in turn, create pressure on
governments to negotiate with terrorists and accede to their every demand. Without
the media to transmit the news of their acts, terrorist attacks would affect only their
immediate victims, which would not accomplish terrorists’ goals.

Combating Terrorism
The most immediate concern about terrorism is how to combat it. That is made dif-
www ficult by the clandestine methods used by terrorists and also by the fact that, like
other forms of political violence, there is no agreement on what causes terrorism.
The U.S.-led “war on terrorism” in recent years has emphasized military and eco-
JOIN THE DEBATE
Understanding the National nomic strategies to disrupt and destroy terrorist organizations and their ability to op-
Security Threats of the erate. Epitomizing this approach, a U.S. State Department report argues, “The world
21st Century: Are Military is fighting terrorism on five fronts: diplomatic, intelligence, law enforcement, finan-
Means the Best Way to cial, and military.”18 The report then explains how diplomacy had created coopera-
Combat Terrorism?
tion to fight terrorism, how intelligence agencies had worked to identify terrorists
and uncover their plans, how law enforcement agencies around the world have de-
tained thousands of suspected terrorists since 9/11, and frozen hundreds of millions
of dollars in assets of suspected terrorist groups and sympathizers, and how military
operations have dealt heavy blows to terrorists in Afghanistan and elsewhere.
 Unconventional Force 323

What the report does not mention are any efforts to address many of the causes
of terrorism discussed earlier. Critics say it is a major error not to realize that the cur-
rent wave of terrorism is prompted in significant part by turmoil in the Middle East,
especially between Israelis and Palestinians, and the pattern of economic and cultural
threat that globalization poses to many in less developed countries. As one such critic
put it, “We need to understand the root causes behind terrorism” because “military
action will not prevent future terrorism, but only delay it.”19 In a debate that in some
ways resembles the one on the war on drugs, some people say that too much is being
spent on countering the problem and not enough on trying to cure it.

UNCONVENTIONAL FORCE

As used here, unconventional force means outside intervention in local conflict

through unconventional means including supplying arms and conducting special
operations. This approach allows countries to use their military assets to support
their policies while, at the same time, limiting their involvement.

Arms Transfers
The global flow of arms can be properly considered a form of intervention because it
usually strengthens either government or antigovernment rebels favored by the sup-
plying country. Thus to a substantial degree, the international flow of weapons is an
indirect way to intervene abroad.

Arms Transfers: Where and Why

The export and import of arms has long been important economically and politically.
It reached new heights during the cold war, as the two hostile superpowers struggled
for influence. About two-thirds of the arms that flowed in the world during the cold
war were exported by the United States and the Soviet Union, while LDCs were the
destination of about two-thirds of the flow of weaponry. Annual global arms transfers
peaked late in the cold war, then declined considerably into the late 1990s measured
in constant dollars and have generally been steady since then. Between 2000 and
2005, arms transfers totaled about $246 billion and have been rising steadily. The
United States was the largest arms merchant, with Russia close behind, as Figure 10.6
indicates. A number of Western European countries were also major exporters. About
two-thirds of all weapons still flow to LDCs, and during 2000–2005, the rising Asian
powers, China and India, were the two leading buyers of weaponry.
Several motives prompt countries to sell and give weapons to other countries
or to insurgent groups. One of these, as noted, is political support of the recipient
government or rebel group. A second and related factor is supplying arms as a way of
furthering desired cooperation with another government. Although critics chastised
the Bush administration’s sale of F-16 fighters to Pakistan in 2005, contending that it
fueled an arms race with India, the White House believed that it needed Pakistan’s
continued cooperation for the U.S. antiterrorist effort and operations in Afghanistan.
Secretary of State Rice explained that view, “If you look at it, there is an entire arc
there that is very important to American interests in the future, and we’re going to
pursue all of those relationships on their own terms, and in this context the F-16
issue with Pakistan makes sense.”20 Conversely, the withholding of weapons and their
repair parts can serve as a sanction once another country is using your armaments.
324 CHAPTER 10 National Security: The Traditional Road

FIGURE 10.6 Arms Exports and Imports

Others
7%

Rest of Europe
12%
China
India
U.S. 14%
Israel 3% 9%
31%
U.K. 4% Others
50% Greece
6%
Germany
6% Russia Turkey 4%
29% France South Korea
8% 3%
Near East 10%
Taiwan Pakistan
2% 2%
Share of arms exports 2000–2005 Share of arms imports 2000–2005

World arms sales during the years 2000–2005 came to about $246 billion. A few countries dominated
sales, as the pie chart on the left shows. The right pie chart indicates that purchases were a bit more
spread out, but notice that tensions (China v. India, India v. Pakistan, China v. Taiwan, Turkey v.
Greece, and the Middle East) go a long way to explaining the pattern of purchases.
Note: Data is for the delivery of conventional arms. Near East includes the Middle East and Iran.
Data source: SIPRI online.

President Hugo Chávez of Venezuela has become a growing irritant for the Bush ad-
ministration, which in 2006 cut off supply parts for Venezuela’s F-16s.
National economic benefit is yet another, and now perhaps the predominant,
motive behind arms exports. As a 2006 congressional report commented, “Where
before the principal motivation for arms sales [abroad] might have been to support a
foreign policy objective, today that motivation may be based as much on economic
considerations as those of foreign policy or national security policy.”21 To cite one
example, selling F-16 fighters is crucial to the economic well-being of Lockheed
Martin Company and the approximately 12,000 workers at its Fort Worth, Texas,
plant. A majority of the more than 4,200 F-16s produced since 1976 have gone to
other countries, and in recent years virtually the entire production of F-16s is for
export. Thus, the economic welfare of Texas is not just linked to U.S. military needs;
it also depends in part on the thousands of F-16s that have been sold to over 20
countries around the world. To ensure that economic health, the administration also
provides incentives. Most U.S. military aid requires recipient countries to buy specific
U.S. military weapons and supplies, which Washington then pays for. In 2003 and
2004, the Bush administration extended to Pakistan a $4.3 billion, multiyear military
aid package. Much of it will be spent helping Pakistan to finance its $5 billion pur-
chase of 36 new model F-16s and to modernize its existing 60 F-16s.

Arms Transfers: Drawbacks

There can be little doubt that arms transfers may help recipient countries meet legit-
imate defense needs, may be a valuable diplomatic tool, and may support the econ-
omy of the supplying country. It is also true, however, that the global flow of arms
entails drawbacks to both the importing and the exporting countries. Cost is one con-
cern, especially for LDCs. At least some of the billions of dollars that LDCs spend
 Unconventional Force 325

annually on arms might be better spent on funding economic development or social

programs. Increased violence is a second problem because, at least sometimes, the arms
flow increases the level and perhaps the frequency and intensity of violence between
countries and within countries. One study concludes that the consequences of the
flow of weapons, especially to the LDCs, are “likely to be severe” because they “now
possess the capacity to conduct wars of greater intensity, duration, and reach” and
because “there is a high correlation between the growing diffusion of war-making
material and the increased tempo of global violence” (Klare & Lumpe, 2000:173).
Facing one’s own weapons is a third problem that may occur. Countries that you
supply today can wind up an opponent tomorrow. Also, weapons may later be sold
by recipients to yet other governments or dissident groups, be stolen, or otherwise
wind up in the vast arms black market. For example, Venezuela reacted to the U.S.
cutoff of supply parts for its F-16s by threatening to sell them to Iran. Hypocrisy is a
fourth problem. It is hard to persuade others not to do what you are doing. The
United States regularly calls on other countries to embargo weapons sales to coun-
tries that abuse human rights, yet is a major supplier of weapons to such authoritar-
ian countries as Saudi Arabia (Yanik, 2006).

Special Operations
Not all military action involves the use of large numbers of uniformed troops against
other organized military forces in classic battle scenarios. Some approaches to violence
fall under the heading of special operations.
Special operations include overtly or covertly sending one’s own special operations
forces (SOFs), intelligence operatives, or paramilitary agents into another country to
conduct such small-unit activities as commando operations and intelligence gathering.
When these actions are aimed at an opponent’s armed forces or other military targets,
then the activity falls under the general heading of special operations warfare. The use
of SOFs as a form of military intervention has increased in recent decades for several
reasons. First, there has been an increase in civil strife within countries. Second,
attempts to topple governments or to create separatist states are now usually waged
using guerrilla tactics, rather than the conventional tactics normally used in the past.
More than any single reason, this change in tactics has occurred because the prepon-
derance of high-tech weapons available to government forces makes it nearly suicidal
for opposition forces to fight conventionally. Third, covert intervention avoids the
avalanche of international and, often, domestic criticism that overt interventions set off.
Fourth, clandestine operations allow the initiating country to disengage more easily, if
it wishes, than would be possible if it overtly committed regular military forces.
Covert operations also have drawbacks. Escalating involvement can be a major
problem. Interventions can begin with supplying weapons. If the arms flow does not
bring victory, then the next step may be to send in advisers and special operations
forces. Even if the supplier country has its doubts about wanting to commit its own
armed forces, the process of intervention often causes that country’s prestige to be-
come associated with the fate of the recipient country or rebel group that is being
supported. Therefore, if things continue to go badly for the recipient, then the sup-
plier may be tempted to engage in limited combat support, and, finally, to commit to
a full-scale military intervention with its own troops. This is how the United States
waded ever deeper into the quagmire in Vietnam and how the Soviet Union fell into
the abyss in Afghanistan.
Since the events of 9/11, SOFs have received renewed attention in the United
States. President George W. Bush has dramatically increased the size of and funding
326 CHAPTER 10 National Security: The Traditional Road

for U.S. SOFs. In addition to their use in Afghanistan and Iraq, the president has
deployed SOF units to Colombia to assist in the war against leftist guerrilla armies
there and to the Philippines to help that country’s army in the war against Abu
Sayyaf, a Muslim rebel group. Whatever the justification of any specific use of SOFs,
they can also lead to intervention where prudence might otherwise recommend
restraint, as discussed in the section on the dangers of overemphasizing military
power in chapter 8.

CONVENTIONAL FORCE

The most overt form of coercive intervention is for a country to dispatch its own
forces to another country. That intervention can range from such limited demonstra-
tions of power as the numerous U.S. aerial and cruise missile attacks on Iraq between
1991 and 2003 to the global warfare seen during World War I and World War II.
With the exceptions of the U.S. atomic attacks on Hiroshima and Nagasaki in 1945
and some use of chemical weapons, wars have been waged using conventional
weapons.
The conventional warfare that has been the norm throughout most of history is
distinguished from other types of warfare by the tactics and weapons used. The overt
www use of uniformed military personnel, usually in large numbers, is what separates con-
ventional tactics from special operations and terrorism. As for weapons, it is easier to
ANALYZE THE ISSUE
indicate what conventional weapons are not than what they are. Generally, conventional
NATO
weapons are those that rely on explosives for impact but are not nuclear/radiological,
biological, or chemical weapons.

Goals and Conduct of War

Masterful generals and diplomats from ancient to modern time have recognized the
intimate connection between force and diplomacy. The great Chinese strategist Sun
Tzu in The Art of War (about 500 B.C.) counseled, “A government should not mobilize
its army out of anger . . . Act when it is beneficial; desist when it is not.” Extending
that view, the Prussian strategist Carl von Clausewitz’s On War (1833) described war as
a “political instrument . . . carrying out [diplomacy] by other means.” And somewhat
reversing Clausewitz’s view, China’s Premier Zhou Enlai in 1954 depicted diplomacy
as “a continuation of war by other means.”
Web Link Whatever their particular emphasis, the thrust of these observations implies three
For contrasting analyses of
principles that civilian and military decision makers should keep in mind. (1) War is
U.S. national security policy, a part of diplomacy, not a substitute for it. Therefore, channels of communication to
visit the sites of the conservative the opponent should be kept open in an attempt to limit the conflict and to reestab-
Center for Security Policy at lish peace. (2) Wars should be governed by political, not military, considerations. Often
www.centerforsecuritypolicy.org
commanders chafe under restrictions, as General Douglas MacArthur did during the
and the liberal Center for Defense
Information at www.cdi.org/. Korean War (1950–1953) over his lack of authority to attack China. When generals
become insubordinate, as MacArthur did, they ought to be removed from command,
as he was. (3) War should be fought with clear political goals. When goals are not estab-
lished or are later ignored, disaster looms. After the Persian Gulf War, some criticized
President George H. W. Bush for not driving on to Baghdad and unseating Saddam
Hussein. Others strongly defended him for halting hostilities once U.S.-led forces
had achieved the stated UN goal in 1991 of liberating Kuwait. By doing so, he ended
the killing and stayed within the legal confines of the UN resolution that authorized
 Conventional Force 327

the action. Moreover, in retrospect, invading Iraq in 1991 and unseating Saddam
might have led to the same morass for U.S. forces that bogged them down after the
2003 war.
The fact that most wars are fought within limits does not mean that those
boundaries are never violated. Escalation occurs when the rules change and the level
of combat increases. Stepping up the scope and intensity of a war, however, has
always been dangerous, and it is particularly so in an era of horrifically destructive
weapons. Not long after their entry into the war in Vietnam in the mid-1960s,
Americans began to realize that continuing it within the limits it was being fought
offered little chance of victory and carried a heavy cost in lives and economics. Esca-
lating the war by invading North Vietnam might have brought about China’s involve-
ment and increased the cost monumentally. Also, many Americans were sickened by
the human cost to both sides; if the war had continued or escalated, there surely
would have been an increase of deep divisions within the United States. Ultimately,
the United States could have achieved a military victory by “nuking” North Vietnam
and killing everyone there. Americans finally accepted, though, that victory was not
the only thing (Tannenwald, 2006). American troops began to withdraw from Vietnam
in 1969; all U.S. troops were gone by 1973; Vietnam was reunited under Hanoi’s control
in 1975.

Avoiding Unchecked Escalation

The dangers of escalation and the prudence of keeping limited wars limited make it
important to understand how to avoid unchecked escalation. As with most things
political, there is no set formula. There are, however, a few useful standards.
■ Keep lines of communication open. The basic principle is that escalation
(or de-escalation) should be a deliberate strategy used to signal a political
message to the enemy. Accordingly, it is also important to send signals
through diplomatic or public channels so that the opponent will not mistake
the escalation as an angry spasm of violence or misconstrue the de-escalation
as a weakening of resolve.
■ Limit goals. Unlimited goals by one side may evoke unlimited resistance by
the other, so limiting goals is another way to avoid unchecked escalation. It is
usually appropriate, for instance, that a goal should fall short of eliminating
the opponent as a sovereign state! Even where unconditional victory is the
aim, obliteration of the enemy population is not an appropriate goal.
■ Restrict geographical scope. It is often wise to limit conflict to as narrow a
geographical area as possible. American forces refrained from invading China
during the Korean War. Similarly, the Soviets passed up the temptation to
blockade Berlin in 1962 in response to the U.S. blockade of Cuba.
■ Observe target restrictions. Wars can be controlled by limiting targets. Despite
their close proximity, the Arabs and Israelis have never tried to bomb each
other’s capitals. Iraq’s launch of Scud missiles against Tel Aviv and other
Israeli cities in 1991 was, by contrast, a serious escalation, but it was not
repeated in 2003.
■ Limit weapons. Yet another way to keep war limited is to adhere to the
principle that the level of force used should be no greater than the minimum
necessary to accomplish war aims. The stricture on weapons has become
even more important in an era when there is such a great potential for the
use of limited, on-the-battlefield NBC weapons. In addition to moral issues,
328 CHAPTER 10 National Security: The Traditional Road

even the limited use of NBC weapons might well set off a serious escalation
that could lead to strategic nuclear war or massive biological and chemical
attacks. This stricture has been followed in all international wars in recent
decades, with the exception of the Iran-Iraq war in the 1980s during which
Iran used mustard gas (which causes chemical burns to the lungs) and Iraq
used mustard gas and tabun (a nerve agent).

WEAPONS OF MASS DESTRUCTION

Web Link The world’s history of waging war primarily with conventional weapons does not
The horror of German bombing
guarantee that this restraint will continue. Science and technology have rapidly in-
in Spain is presented in Pablo creased the ability of countries to build, deploy, and potentially employ devastating
Picasso’s iconic painting, weapons of mass destruction (WMDs). The term was first used by the British press
Guernica, depicting people in that in 1937 to describe German bombers deployed to Spain in support of the eventually
city under air attack. View it at
successful effort of fascist forces to overthrow the government during that country’s
www.pbs.org/treasuresoftheworld/
guernica/gmain.html.
civil war (1936–1939). Now, however, the term weapons of mass destruction is used
to denote nuclear, biological, and chemical weapons in the amounts and potencies
that are available to national militaries and can cause horrific levels of death and in-
jury to enemy forces or civilian targets. In the pages that follow, we will deal briefly
with biological and chemical weapons, then turn to a more extensive examination of
nuclear weapons and strategy.

Biological Weapons
Biological warfare is not new. As early as the 6th century B.C., the Assyrians poi-
soned enemy wells with a parasitic fungus called rye ergot that caused gangrene and
convulsions. More catastrophically, the Tartar army besieging Kaffa, a Genoese trad-
ing outpost in the Crimea in 1346, catapulted plague-infected corpses and heads
over the walls to spread the disease among the defenders. Many of those who fled
back to Italy carried the disease with them and, according to some historians, set off
the Black Death that killed millions of Europeans. North America first experienced
biological warfare in 1763 when, during an Indian uprising, the British commander
in North America, Sir Jeffrey Amherst, wrote to subordinates at Fort Pitt, “Could it
not be contrived to send the smallpox among those disaffected tribes of Indians?”22
As it turns out, Sir Jeffrey’s prompting was unnecessary. Soldiers at the fort had
already given disease-infected blankets to members of the Shawnee and Delaware
tribes.
The specter of biological warfare still looms large. Although the 1972 Biological
Weapons Convention (BWC) bans the production, possession, and use of germ-
based biological weapons, there are persistent rumors that some countries maintain
bioweapons stocks or are seeking them. North Korea, Iran, Russia, and Syria are most
often mentioned. Such possibilities are given credence by relatively recent evidence
of bioweapons activity. For example, a top Russian official admitted in 1992 that the
Soviet Union had been violating the BWC by conducting biological weapons research
and, among other things, had amassed 20 tons of smallpox solution. The UN-led
inspections of Iraq after the 1991 Persian Gulf War indicated that the country also
had a germ warfare program that had, at minimum, produced 132,000 gallons of
anthrax and botulism toxins.
 Weapons of Mass Destruction 329

Chemical Weapons
Of the three components of NBC warfare, chemical weapons are the most prevalent
because they are relatively easy and inexpensive to produce. Indeed, they have
earned the sobriquet of “the poor man’s atomic bomb.” As one CIA director told
Congress, “Chemicals used to make nerve agents are also used to make plastics and
[to] process foodstuff. Any modern pharmaceutical facility can produce biological
warfare agents as easily as vaccines or antibiotics.”23
Most ominously of all, chemical weapons have been used recently. Both Iran and
Iraq used them during their grueling war (1980–1988), and Iraq used them inter-
nally to attack rebellious Kurds. Recordings of meetings later captured by U.S. forces
chillingly verify the personal involvement of Saddam Hussein in the use of the
weapons against Kurds. In one meeting he reminds other participants, “chemical
weapons are not used unless I personally give the orders.” When Iraq’s vice president
asks if chemical weapons are effective, Saddam replies, “Yes, they’re very effective if
people don’t wear masks.”
“You mean they will kill thousands?” the vice president wonders.
“Yes, they will kill thousands,” the president assures him.24 And so they did,
killing perhaps 5,000 people in a 1988 attack on the Kurdish city of Halabja and
many thousands of other Kurds in other attacks elsewhere in the region, apart from
leaving yet thousands of others with long-term illnesses.
UN inspections in Iraq after the Persian Gulf War (1991) also uncovered huge
stores of chemical weapons, including over 105,000 gallons of mustard gas; 21,936
gallons of tabun, sarin, and other nerve gases; and over 453,000 gallons of other
chemicals associated with weapons. Some of this supply was contained in munitions,
such as 12,786 artillery shells filled with mustard gas and 18 warheads or bombs
filled with nerve agents. There is no evidence that any chemical weapons were used
during the war, but traces of mustard gas and sarin were detected on the battlefield.
These may have been released inadvertently when the allied attacks destroyed Iraqi
weapons depots, and some analysts suspect that exposure to these chemicals may be
the cause of Gulf War syndrome, which has afflicted many veterans of the war.

Chemical weapons remain

a threat because humans
have used them against one
another, and some countries
continue to possess them. This
photograph, a grim reminder
of the horror of chemical
weapons, shows a child and
its mother who were killed in
1988 in Halabja, Iraq. Saddam
Hussein’s government
launched a chemical weapons
attack on Halabja and other
Kurdish communities in
northern Iraq to punish the
Kurds for their political
restiveness.
330 CHAPTER 10 National Security: The Traditional Road

Nuclear Weapons
Web Link The Bible’s Book of Revelation speaks of much of humankind suffering a fiery death
For a look at the impact of a during an apocalyptic end to the world: A “hail of fire mixed with blood fell upon the
nuclear attack, go to the PBS earth; and . . . the earth was burnt up. . . . The sea became blood . . . and from the
site http://www.pbs.org/wgbh/ shaft rose smoke like the smoke of a great furnace and the sun and the air were dark-
amex/bomb/sfeature/index.html. ened.” Whatever your religious beliefs, such a prophecy is sobering because we now
have the capability to sound “the blast of the trumpets” as Revelations put it, by loos-
ing the awesome array of nuclear weapons that we possess.

Nuclear Weapons States and Their Arsenals

The world joined in a collective sigh of relief when the cold war ended. Almost
overnight, worry about the threat of nuclear war virtually disappeared from the media
and from general political discussion. Unfortunately, the perception of significantly
greater safety is illusory. It is true that the number of strategic nuclear weapons has
declined. Nevertheless, many extremely powerful nuclear weapons remain in the
arsenals of several states, and yet other countries aim to acquire such WMDs.

The United States and Russia The United States and Russia remain the nuclear
Goliaths, as evident in Figure 10.7. In 2006, the U.S. deployed strategic-range
(5,550 kilometers/3,416.8 miles) arsenal included 5,021 nuclear warheads and bombs
and 951 strategic-range delivery vehicles (missiles and bombers). Russia’s deployed
strategic inventory was 3,500 weapons and 639 delivery vehicles. Additionally, the
United States has about 500 deployed tactical (shorter-range, battlefield) nuclear
weapons, and Russia has some 2,330. Both countries also keep a substantial number

FIGURE 10.7 Nuclear Arsenals

Russia 5,833

United States 5,221

France 153

China 131

Israel 125

Number of deployed
India 50
nuclear warheads and bombs

Pakistan 50

Great Britain 48

North Korea 5

Although the cold war is history and there has not been much in the news about nuclear weapons
proliferation, the United States and Russia are still by far the dominant nuclear powers. The United
States has 46% and Russia 49% of all the deployed nuclear warheads and bombs. These two countries
also have a large number of nuclear weapons stored “in reserve,” while the other countries do not.
Notes: Data is for 2006 except for North Korea, which is a 2007 estimate. The weapons counts of North Korea, Israel,
Pakistan, and India are all speculative to some degree and should be read as estimates or averages of various estimates.
Data sources: SIPRI online; Bulletin of the Atomic Scientists, various 2006 and 2007 editions.
 Weapons of Mass Destruction 331

of nuclear warheads and bombs in reserve. The U.S. stockpile in 2006 was 4,226 such
weapons, Russia’s came to about 10,200.
Washington and Moscow have both long relied on a triad of strategic weapons
Did You Know That:
systems that includes (1) submarine-launched ballistic missiles (SLBMs) carried
The array of 750-kiloton
aboard ballistic missile nuclear submarines (SSBNs), (2) land-based intercontinental
warheads on Soviet ICBMs
ballistic missiles (ICBMs), and (3) bombers. Most ICBMs are located in silos, although each has an explosive yield
Russia has some that are railroad-mobile. ICBMs and SLBMs carry up to ten warheads, 50 times larger than that of
with multiple warhead missiles having multiple independent reentry vehicle (MIRV) the atomic bomb dropped on
capability. This allows each warhead to attack a different target. The most powerful of Hiroshima in 1945.
these explosive devices is currently deployed on Russia’s SS-18 ICBMs, each of which
carries 10 MIRV warheads, each with the explosive power of 750 kilotons of TNT. The
largest U.S. weapons are D-5 SLBMs that carry six 475-kiloton warheads.
Nuclear weapons designed for tactical use also come in a relatively miniaturized
form. Among currently deployed tactical nuclear weapons, the explosive power of U.S.
B-61 bombs can be as low as 0.3 kilotons (30 tons of TNT), a yield that is approxi-
mately nine times as powerful as the ammonium nitrate bomb that destroyed the
Federal Building in Oklahoma City on April 19, 1995.

Other Nuclear Weapons States China, France, Great Britain, India, and Pakistan all
openly have nuclear weapons, and Israel and (perhaps) North Korea have undeclared
nuclear weapons, adding another 1,300 or so nuclear devices to the volatile mix
of over 13,000 deployed tactical and strategic nuclear devices.
China, for example, has about 130 nuclear warheads and bombs, of
which 40 are deployed on bombers, 12 on single warhead SLBMs,
78 on single warhead missiles with ICBM or near-ICBM ranges.
Additionally, several countries, most notably Iran, have or are sus-
pected of having nuclear weapons development programs, and
another 30 countries have the technology base needed to build
nuclear weapons.

The Role of Nuclear Weapons

Given the reality of the huge number of nuclear weapons that still
exist and the increase in the number of countries that have them, it
would be unwise to discount the continuing impact of nuclear
weapons on world politics. One role that nuclear weapons play is
to be a part of the “backdrop” of power and influence. There can
be little doubt that the continuing importance of Russia, despite
its tremendous travails, rests in part on its still-immense nuclear
arsenal. Deterrence is a second role played by nuclear weapons.
Whether or not nuclear weapons will always deter conventional
or nuclear attack is uncertain, but at least sometimes they have
been and remain a restraining factor that deters an opponent from
attacking in the first place or that limits an opponent’s weapons or Concern with nuclear weapons has declined in the
tactics. It is not unreasonable to conjecture, for instance, that the press and among the public since the end of the
nuclear option that the United States, France, and Great Britain all cold war. Nevertheless, as represented by this fiery
had in the Persian Gulf War may have helped deter Saddam cloud from a long-ago test of a nuclear weapons in
Nevada, the world’s countries still have huge nuclear
Hussein from using his chemical weapons in 1991. The United
arsenals. Moreover, since more countries now have
States again used its nuclear weapons in 2003 to threaten Iraq. nuclear weapons, the chances of nuclear war have
Among other warnings, Secretary of Defense Donald Rumsfeld arguably increased rather than decreased, and
publicly declared that the administration would “not foreclose the nuclear weapons play an ongoing role in world
possible use of nuclear weapons if attacked” by WMDs.25 Similarly, diplomacy.
332 CHAPTER 10 National Security: The Traditional Road

Secretary of State Condoleezza Rice’s pointed remark in 2005 that, “the U.S. main-
tains significant—I want to underline significant—deterrent capability of all kinds in
the Asia-Pacific region,” served notice on North Korea that any use of WMDs might
evoke a U.S. nuclear response.26
Actual use is a third role for nuclear weapons. Strategic analysts envision several
scenarios that could lead to nuclear war. These include:
■ An irrational leader, one who is fanatical, deranged, drunk, or otherwise
out of control is one possible cause of nuclear war. For instance, Russian
generals were reportedly worried about what hard-drinking President
Boris Yeltsin (1990–1999) might do during a crisis.
■ A calculated attack could also occur if one country felt that it could deliver
a first strike that would disable all or most of its opponent’s strategic forces
and force it into submission. Similarly, a leader might launch a preemptive
strike to try to destroy an enemy’s nuclear forces if convinced that country
was itself about to launch a nuclear strike. An unprovoked nuclear attack
could also come as a result of a nuclear country attacking a nonnuclear
country, especially if that country used chemical or biological weapons
against the nuclear country.
■ Last gasp nuclear war could come as a final attempt to fend off conventional
defeat. This scenario is called the Samson option after the biblical character
who pulled a building down on himself in order to slay his captors. Some
analysts believe that a key reason behind Israel’s nuclear arsenal is to have
the Samson option if its vaunted conventional forces are ever overwhelmed
by numerically superior Arab invaders (Beres, 2004; Moaz, 2004).
■ Inadvertent nuclear war based on bad information or misperceptions is one
of the most likely scenarios. False intelligence that a nuclear attack is immi-
nent or even under way, for example, might cause a leader to inadvertently
strike first. Such an event nearly occurred when Russian radar detected
what appeared to be an incoming missile over the Norwegian Sea. Moscow
moved to launch a retaliatory strike on the United States, halting its missile
launch only after it was discovered at the last minute that the radar blip
was an outgoing Norwegian scientific rocket, not an incoming U.S. missile.
“For a while,” said a Russian defense official, “the world was on the brink
of nuclear war.”27 This was neither the first nor last such close call. The
time for American and Russian leaders to make decisions in a nuclear crisis
is short—at most 30 minutes—given the flight time of a nuclear missile
between the two countries. Leaders of countries close to one another, like
Pakistan and India, would have much, much less time to respond. This
will decrease the time to confirm reports that a nuclear attack has been
launched or is about to be launched. It will also vastly increase the chances
of erroneously launching what a leader sees as a counterstrike, but what,
in fact, is a first strike.
Did You Know That:
Eighteen Japanese survived
■ Escalation in a deadly spiral is a final, not unlikely, path to nuclear war.
the atomic attack on History has demonstrated that leaders are willing to risk nuclear war even
Hiroshima and also (three when there is no immediate and critical threat to national security. Perhaps
days later) the atomic blast the closest the world has ever come to nuclear war was during the 1962
in Nagasaki, where they and Cuban missile crisis, when the Soviets risked nuclear war by placing missiles
others had fled seeking safety
after the first mushroom
with nuclear warheads in Cuba, and the United States risked nuclear war
cloud. by threatening to invade Cuba and attack the Russian forces guarding the
missiles unless Moscow withdrew them.
 Weapons of Mass Destruction 333

Nuclear Deterrence and Strategy

There are issues about a country’s nuclear arsenal and doctrines that seldom enter Web Link
the public debate, but that are crucial to an effective and stable arsenal. The two main The basic U.S. nuclear strategy
issues are (1) how to minimize the chance of nuclear war and (2) how to maximize is contained in the Joint Chiefs of
the chance of survival if a nuclear exchange does occur. It is not possible here to Staff’s Doctrine for Joint Nuclear
review all the factors that impinge on these issues, but we can illustrate the various Theater Operations located at
www.fas.org/nuke/guide/usa/
concerns by examining deterrence and then two strategy issues, first-strike use and
doctrine/dod/jp3_12_1.pdf.
national missile defense.

Deterrence
The concept of deterrence remains at the center of the strategy of all the nuclear powers.
Deterrence is persuading an enemy that attacking you will not be worth the cost. De- www
terrence relies on two factors. Capability is the first. Effective deterrence requires that
even if you are attacked you must be able to preserve enough strength to retaliate ANALYZE THE ISSUE
powerfully. Of all current strategic weapons systems, SLBMs are least vulnerable to The Threat of Nuclear War
attack and therefore the most important element of deterrence. Fixed-silo ICBMs are the
most vulnerable to being destroyed in an attack. Credibility is the second foundation of
deterrence. An opponent must also believe that you can and will use your weapons if
attacked. You might be thinking at this point, Why would a country not respond to an
attack? In the sometimes perverse logic of nuclear war, as we shall see, there are times
when doing so might not be an option. This leads some analysts to believe that relying
exclusively on retaliation is not a credible deterrent stance and that, therefore, countries
should be able and willing to initiate a nuclear war in an extreme circumstance.
Mutual assured destruction (MAD) advocates would base deterrence exclusively
on having the ability and will to deliver a devastating counterstrike. They believe that
deterrence is best achieved if each nuclear power’s capabilities include (1) a sufficient
number of weapons that are (2) capable of surviving a nuclear attack by an opponent
and then (3) delivering a second-strike retaliatory attack that will destroy that oppo-
nent. In essence, this approach is deterrence through punishment. If each nuclear
power has these three capabilities, then a mutual checkmate is achieved. The result,
MAD theory holds, is that no power will start a nuclear war because doing so will
lead to its own destruction (even if it destroys its enemy).
An alternative approach to deterrence is nuclear utilization theory (NUT). Its ad-
vocates contend that the MAD strategy is a crazy gamble because it relies on rationality
and clear-sightedness when, in reality, there are other scenarios (discussed earlier) that
could lead to nuclear war. Therefore, NUT supporters prefer to base deterrence partly on
deterrence through damage denial (or limitation). This requires the ability and willingness
to destroy enemy weapons before the weapons explode on one’s own territory and forces.
The ways to do this are to prevent weapons from being launched by either destroying
an enemy’s command and communications structure or the weapons themselves before
the weapons are launched and/or destroying the weapons during flight.
Both U.S. and Russian nuclear doctrine are a mixture of MAD and NUT strategies.
The approaches of most of the lesser nuclear powers, such as China, Great Britain,
and France, are almost pure MAD doctrine. As you will see, though, in the following
two discussion of strategy, U.S. doctrine under the Bush administration has taken on
a decidedly NUT orientation (Glaser & Fetter, 2006).

Strategy: First-Use
One long-standing strategy debate is when, if ever, to employ the first-use option, to
launch a nuclear attack rather than respond to one. Last-gasp use is one possibility.
334 CHAPTER 10 National Security: The Traditional Road

This involves using nuclear weapons to stave off defeat by a conventional attack. The
NATO alliance long held that it might launch a nuclear strike to destroy oncoming,
overwhelming Soviet ground forces (Quackenbush, 2006). Employing mini-nukes is a
second first-use possibility. The idea is to use very low-yield nuclear weapons (under
5 kilotons of TNT explosive power) against very select targets that are impervious
to conventional bombardment. For example, the Bush administration advocates
developing a “robust nuclear earth penetrator” (RNEP) nuclear weapon, informally
dubbed a “bunker buster,” arguing that 70 countries that are potential enemies have
10,000 hardened sites that could withstand U.S. weapons. Critics reply that building
a RNEP would promote first-use and also contend that even low-yield weapons would
kill a huge number of civilians. In 2006, legislators rejected funding for mini-nukes
after a congressional study estimated that one might kill as many as a million people
if used in an urban area. It is likely that the White House will persist in its effort to
add bunker busters to the U.S. arsenal, but the chances of doing so dimmed even
more when the Democrats took control of Congress in 2007.
Preemption, launching a nuclear attack against an opponent you are convinced
is about to attack you with nuclear weapons, is a third possibility and one that is
permissible under current U.S. doctrine.
Responding to a chemical or biological weapons attack is a fourth first-use scenario.
This is also possible under U.S. doctrine. Presidents Bush, the father and the son,
each indirectly warned Saddam Hussein that if Iraq used biological or chemical
weapons in the impending wars (1991 and 2003), Iraq faced U.S. nuclear retaliation.
Similarly, President Clinton issued a presidential direction indicating he might re-
spond with nuclear weapons to a biological or chemical attack on the United States.
As for the American public, it is closely divided on whether to resort to nuclear
weapons for either preemption or to respond to a chemical or biological weapons
attack, as detailed in Figure 10.8.
MAD advocates are very leery of first-use. They warn that using nuclear weapons
against another nuclear power could lead to uncontrolled escalation. As for using
nuclear weapons against a nonnuclear country, MAD supporters worry that doing so
could undermine the norm against nuclear warfare and make it easier in the future
for other nuclear powers to use their weapons against nonnuclear foes. NUT advo-
cates argue that there are scenarios when first-use would be good policy. One is
when faced with a major attack by biological or chemical weapons. NUT advocates
reason that these are WMDs and therefore deterring their use or responding to them
with another type of WMD, nuclear weapons, is valid. A second scenario in which
NUT supporters would use nuclear weapons first is one in which their country faced
a nuclear attack and decided to use nuclear weapons to kill off the enemy’s leader-
ship, destroy its communications and control system, and disarm it before it could
attack by obliterating as many of its nuclear weapons as possible. This approach is
roughly akin to the Bush Doctrine’s advocacy of preemptive war in the realm of con-
ventional warfare. MAD supporters believe the preemptive nuclear first-strikes
could be launched in error, much as the Iraq War was launched on the false premise
of Iraqi WMDs in 2003, and that the result might well be an apocalyptic nuclear
counterstrike.

Strategy: National Missile Defense

Another long-standing controversy in the area of nuclear planning is whether or not
to build a national missile defense (NMD) system, also called a ballistic missile de-
fense (BMD) system or an anti-ballistic missile (ABM) system. After early U.S. and
Soviet attempts to build a NMD system both failed, the two countries agreed in the
 Weapons of Mass Destruction 335

FIGURE 10.8 Opinions on First-Use

Americans’ views on
the first-use of
Unsure nuclear weapons to: Unsure
10% 7%

Support
Support
46%
45%
Oppose Oppose
44% 48%

Preempt a possible Respond to a biological

nuclear attack or chemical attack

Nuclear doctrine under the Bush administration allows the United States to be the first to use nuclear
weapons in several circumstances. Two of these scenarios are illustrated in this figure. Americans are
evenly split on whether first-use would be appropriate to preempt a possible nuclear attack on the
United States or to respond to a biological or chemical weapons attack on U.S. forces. The normal
margin of error in reputable national polls is ±3%, meaning that both responses shown above are
best considered a tie.
Data sources: The data on preemption is the average of the responses to identical questions asked of a subset of the entire
sample in a Pew Research Center/Council on Foreign Relations poll, October 2005. The question on biological or chemical
weapons attack is from an ABC News/Washington Post poll, March 2003. All data provided by The Roper Center for Public
Opinion Research, University of Connecticut.

Anti-Ballistic Missile (ABM) Treaty (1972) to abandon such efforts. A decade later,
President Ronald Reagan renewed the controversy by proposing the Strategic Defense
Initiative (SDI, labeled “Star Wars” by its critics) to develop BMD capability. Reagan’s
vision of a comprehensive shield from missile attack was abandoned as too expensive
and technically infeasible.

The Current U.S. NMD Program More recently, advances in technology and concern Web Link
about future possible nuclear attacks by “rogue states” such as North Korea, Iran,
The U.S. National Missile
and, it was thought, Iraq combined to resurrect the goal of building an NMD system. Defense Agency Web site is at
Soon after entering office in 2001, President Bush gave Moscow the required one-year www.mda.mil/.
notice that the United States would withdraw from the ABM Treaty. He also directed
the Pentagon to develop an NMD capability. It is a challenging task that needs to
overcome the immense technical difficulties of reliably attacking missiles early in
their flight or shooting down warheads traveling through space at 18,000 miles per
hour among numerous decoy warheads. The NMD system will also be expensive.
Annual funding during the Bush administration has averaged about $9 billion, and
the first NMD missile site has been built at Fort Greeley, Alaska, with some 20 ground-
based interceptors that are meant to physically hit and destroy an incoming warhead.
These interceptors are a rudimentary beginning, and trial tests to intercept missiles
have had very mixed results. Even the Pentagon describes the current U.S. capa-
bility as “very basic” and admits there is a need for additional tests “under stressing
conditions . . . to increase confidence in the models, simulations, and assessment of
336 CHAPTER 10 National Security: The Traditional Road

system capability.”28 There are also numerous efforts

under way to develop even more sophisticated NMD
weapons, including a high-energy laser situated aboard
a modified Boeing 747 to attack ballistic missiles early
in flight before they launch their warheads.
Despite the preliminary status of the current
NMD weapons and the highly speculative effective-
ness of future ones, North Korea’s test of a nuclear
weapon in 2006 accompanied by its tests of longer
range missiles and Iran’s seeming determination to
build nuclear weapons has significantly increased
the U.S. determination to continue to develop the
system. North Korea’s and Iran’s nuclear programs
have also sparked widespread interest in countries
ranging from South Korea and Japan to Turkey and
Europe about the possibility of cooperating with the
U.S. effort. However, there are also voices warning
against moving ahead.

Arguments For and Against Building an NMD

Capability. Some argue that an NMD system will be
too expensive (at least $150 billion), that it is un-
likely to ever be very effective, and that it can be easily
overcome by an opponent by either building more
missiles or developing capabilities (such as radar
As attractive as the idea of building a defense system against incoming jamming devices) to neutralize the NMD system.
ballistic missiles might seem, doing so has several drawbacks. Among Whatever the merits of the financial and technical
these are the high costs of the system, doubts about whether it can ever arguments, they are not as important as the question
reach an acceptable level of reliability, and concerns that trying to build of whether an NMD system should be built even if
a defensive system could launch a new nuclear arms race, reversing
it is technically and financially feasible (Cimballa,
the downward trend in the U.S. and Russian nuclear arsenals.
2003). NUT supporters favor the project because
it follows the damage-denial strategy by, hopefully,
allowing you to destroy all or some of your opponent’s weapons in flight. They also
argue that if an enemy believes that its weapons may not get through, it will be less
likely to attack and risk retaliation. Advocates of an NMD system also point out that
even if it never got to the point where it could provide safety from a large nuclear at-
tack from Russia, the system would provide a degree of protection from North Korea,
Iran, and other “rogue states.”
MAD proponents claim that an NMD system would make the world more, not
less, dangerous, by reigniting the nuclear arms race and destabilizing deterrence.
They contend the arms race would resume as other nuclear powers deployed a
massive number of delivery devices capable of overwhelming any defensive system
even after they had suffered a first-strike. For one, French President Jacques Chirac
believed that building an NMD system “cannot fail but to re-launch the arms race
in the world” (Bradley, 2006:97). MADs also contend that developing an NMD
capability will be destabilizing for two reasons. First, an NMD capability might
tempt its possessor to strike first in a crisis, since an anti-missile system would be
most effective against a reduced retaliatory strike rather than a full-scale first-strike
by an opponent (Lieber & Press, 2006). Second, China, Russia, and perhaps other
countries will see a U.S. NDM system as a threat. They worry about the possibility
that having one might tempt the United States to attack them, a concern that could
 Chapter Summary 337

tempt them to launch their own first-strike if they believed that a U.S. first-strike
was coming. The other country would reason that since many of its weapons
would be destroyed by a U.S. first-strike and that the U.S. NMD system would de-
flect the remaining weapons in the retaliatory strike, the only chance for survival
might be to go first. In such a scenario, the chance of inadvertent nuclear war
would soar.
A hint of such a reality has come in the reaction of Russia to the news in 2007 that Web Link
U.S. NMD batteries might be deployed in Poland and the Czech Republic, ostensibly The Claremont Institute
to defend against a potential threat from Iran. Moscow suspects a different purpose, maintains a pro-NMD system
and the commander of Russia’s nuclear missiles warned, “If the government of Poland, site at www.missilethreat.com,
the Czech Republic and other countries make this decision . . . [Russia’s] strategic and an anti-NMD system link
is on the main page of the
missile troops will be able to have those [NMD] facilities as targets. Consequences in
organization Nuclearfiles at
case of hostilities will be very grave for both sides.”29 China conducted its first suc- www.nuclearfiles.org/.
cessful test of an anti-satellite (ASAT) system by shooting down one of its own orbit-
ing satellites with a missile in early 2007. Many analysts saw this as a step toward
countering U.S. NMD developments by being capable of attacking not only spy satel-
lites but also other potentially space-based devices, such as tracking radars and NMD
lasers and missiles.
Thus, the issue about whether to proceed with developing a NMD system
is momentous. Even a limited capability defense against a nuclear attack is im-
mensely appealing. Yet in the strange logic of nuclear deterrence, an NMD system
would diminish the “assured” part of mutual assured destruction, thereby arguably
detracting from nuclear stability and making nuclear war more likely. What would
you do?

CHAPTER SUMMARY

WAR AND WORLD POLITICS 4. The nature of war is changing. Technology has
1. War is organized killing of other human beings. enhanced killing power; nationalism has made war
Virtually everyone is against that. Yet war contin- a patriotic cause. As a result, the scope of war has
ues to be a part of the human condition, and its expanded, which has also changed the strategy of
incidence has not significantly abated. Modern war. The power to defeat is a traditional strategy
warfare affects more civilians than it traditionally of war, while the power to hurt has increased in
did; the number of civilians killed during war now significance and incidence.
far exceeds that of soldiers.
2. The study of force involves several major questions: TERRORISM
When and why does war occur? When it does 5. The definition of terrorism—what acts are terrorist—
happen, how effective is it? What conditions gov- has been an ongoing controversial issue. The sources
ern success or failure? What options exist in struc- of terrorism can be state-sponsored or trans-
turing the use of force? national, and terrorist acts have taken place in all
3. Although much valuable research has been done regions of the world, with some fluctuations in
about the causes of war, about the best we can their numbers over the years.
do is to say that war is a complex phenomenon 6. Terrorist weapons and tactics have become impor-
that seems to have many causes. Some of these tant issues that states and policy makers must com-
stem from the nature of our species, some from bat, as modern conditions have facilitated the growth
the existence of nation-states, and some from of terrorist activities. Apart from using conventional
the nature and dynamics of the world political weapons, terrorist threats include the potential use
system. of radiological, chemical, and biological weapons.
338 CHAPTER 10 National Security: The Traditional Road

7. Governments around the globe have devoted in- CONVENTIONAL FORCE

creasing resources and cooperative efforts to find 10. Conventional warfare has been the norm through-
new strategies to combat terrorism as well as to out most of history. The goals and conduct of war
address its root causes. include avoiding unchecked escalation.
UNCONVENTIONAL FORCE WEAPONS OF MASS DESTRUCTION
8. Warfare can be classified into three categories: 11. Biological, chemical, and nuclear weapons are
unconventional warfare (including arms transfers, now developed to the point where they can cause
special operations), conventional warfare, and horrific levels of death and destruction. The de-
weapons of mass destruction warfare (including bate (MAD versus NUT) involving how to struc-
nuclear, biological, and chemical weapons). ture nuclear weapons systems and doctrines is an
9. Arms transfers and special operations are uncon- example of the issues that arise as the ability to
ventional methods of warfare. These have assumed conduct war continues to change and new tech-
more importance in recent times. nology develops new weapons.

For simulations, debates, and other interactive activities, a chapter quiz, Web links,
and much more, visit www.mhhe.com/rourke12/ and go to chapter 10. Or, while
accessing the site, click on Course-Wide Content and view recent international
relations articles in the New York Times.

KEY TERMS

conventional warfare mutual assured special operations transnational terrorist

deterrence destruction (MAD) state terrorism groups
domestic terrorism nuclear utilization theory strategic-range delivery unconventional force
escalation (NUT) vehicles weapons of mass
first-use option power to defeat terrorism destruction (WMDs)
international terrorism power to hurt transnational terrorism
 C H A P T E R

11
International
Security:
THINKING ABOUT SECURITY
A Tale of Insecurity
A Drama about Insecurity
Critiquing the Drama
The Alternative Road
Seeking Security
Approaches to Security Weapons! arms! What’s the matter here?
Standards of Evaluation —William Shakespeare, King Lear
LIMITED SELF-DEFENSE THROUGH Out of this nettle, danger, we pluck this flower, safety.
ARMS CONTROL
Methods of Achieving Arms Control —William Shakespeare, King Henry IV, Part 1
The History of Arms Control
Arms Control through the 1980s
Arms Control since 1990: WMDs
Arms Control since 1990: Nuclear
Non-Proliferation
Arms Control since 1990: Conventional
Weapons
The Barriers to Arms Control
International Barriers
Domestic Barriers
INTERNATIONAL SECURITY FORCES
International Security Forces: Theory and Practice
Collective Security
Peacekeeping
Peacekeeping Issues
International Security and the Future
ABOLITION OF WAR
Complete Disarmament
Pacifism
CHAPTER SUMMARY

This chapter presents alternatives to seeking security through national

defense. Alternative approaches include international security forces, arms
control and disarmament, and, as these Filipino women protesting North
Korea’s recent nuclear weapons test suggest, total rejection of war as a
stupid form of human interaction.
340 CHAPTER 11 International Security: The Alternative Road

ECURITY IS THE ENDURING YET elusive quest. “I would give all my fame for a pot

S of ale, and safety,” a frightened boy cries out before a battle in Shakespeare’s King
Henry V. Alas, Melpomene, the muse of tragedy, did not favor the boy’s plea. The
English and French armies met on the battlefield at Agincourt. Peace—and perhaps
the boy—perished. Today most of us similarly seek security. Yet our quest is tem-
pered by the reality that while humans have sought safety throughout history, they
have usually failed to achieve that goal for long.

THINKING ABOUT SECURITY

Web Link Perhaps one reason that security has been elusive is that we humans have sought it
The Bulletin of the Atomic in the wrong way. The traditional path has emphasized national self-defense by amass-
Scientists has calculated a ing arms to deter aggression. Alternative paths have been given little attention and
“Doomsday Clock” since 1947 to fewer resources. From 1948 through 2007, for example, the world states spent about
estimate how close humankind is $43 trillion on their national military budgets, and the UN spent approximately
to midnight (nuclear annihilation).
$49 billion on peacekeeping operations. That is about $878 spent on national secu-
The clock’s history and “current
time” are at www.thebulletin.org/ rity for each $1 spent on peacekeeping. Perhaps the first secretary-general of the
minutes-to-midnight/. United Nations, Trygve Lie, was onto something when he suggested that “wars occur
because people prepare for conflict, rather than for peace.”1
The aim of this chapter is to think anew about security from armed aggression in
light of humankind’s failed effort to find it. Because the traditional path has not
brought us to a consistently secure place, it is only prudent to consider whether to
supplement or even replace the traditional approach with alternative, less-traveled-by,
paths to security. These possible approaches include limiting or abandoning our
weapons altogether, creating international security forces, and even adopting the
standards of pacifism.

A Tale of Insecurity
One way to think about how to increase security is to ponder the origins of insecurity.
To do that, let us go back in time to the hypothetical origins of insecurity. Our vehicle
is a mini-drama. Insecurity may not have started exactly like this, but it might have.

A Drama about Insecurity

It was a chilly autumn day many millennia ago. Og, a caveman of the South Tribe, was
searching for food. After unsuccessful hunting in his tribe’s territory, the urge to provide
for his family carried Og onto the lands of the North Tribe. There one of its members,
Ug, was also hunting. He had been luckier than Og. Having just killed a large antelope,
Ug was using his long knife to clean his kill. At that moment, Og, with hunting spear
in hand, came upon Ug. Both hunters felt fear. Ug was troubled by the lean and hungry
look of the spear-carrying stranger, and he unconsciously grasped his knife more
tightly. The tensing of his muscles alarmed Og, who instinctively dropped his spear
point to a defensive position. Fear increased. Neither Og nor Ug wanted to fight, but
violence loomed. Their alarmed exchange went something like this (translated):
Ug: You are eyeing my antelope and pointing your spear at me.
Og: And your knife is menacing. Believe me, I mean you no harm. Your ante-
lope is yours. Still, my family is hungry and it would be good if you shared
your kill.
 Thinking about Security 341

Ug: I am sympathetic and want to be friends. But this is my antelope and my

tribe’s valley. If there is any meat left over, I may give you a little. But first,
put down your spear so we can talk more easily?
Og: A fine idea, Ug, and I’ll be glad to put down my spear, but why don’t you
lay down that fearful knife first? Then we can be friends.
Ug: Spears can fly through the air farther. . . . You should be first.
Og: Knives can strike more accurately. . . . You should be first.

And so the confrontation continued, with Og and Ug equally unsure of the

other’s intentions, each sincerely proclaiming his peaceful purpose but unable to
convince the other to lay his weapon aside first.

Critiquing the Drama

Think about the web of insecurity that entangled Og and Ug. Each was insecure
about providing for himself and his family in the harsh winter that was approaching.
Security extends farther than just being safe from armed attacks. Ug was a “have” and
Og was a “have-not.” Ug had a legitimate claim to his antelope; Og had a legitimate
need to find food. Territoriality and tribal differences added to the tension. Ug was in
“his” valley; Og could not accept the fact that the lack of game in the South Tribe’s
lands meant that his family would starve while Ug’s family would prosper. Their
weapons also played a role. But did the weapons cause tension or was it Ug and Og’s
clashing interests?
We should also ask what could have been done to ease or even avoid the con-
frontation. If the South Tribe’s territory had been full of game, Og would not have
been driven to the lands of the North Tribe. Or if the region’s food had been shared
by all, Og would not have needed Ug’s antelope. Knowing this, Ug might have been
less defensive. Assuming, for a moment, that Og was dangerous—as hunger some-
times drives people to be—then Ug might have been more secure if somehow he
could have signaled the equivalent of today’s 911 distress call and summoned the
region’s peacekeeping force, dispatched by the area’s intertribal council. The council
might even have been able to aid Og with some food and skins to ease his distress
and to quell the anger he felt when he compared his ill fortune with the prosperity
of Ug.
The analysis of our allegorical mini-drama could go on and be made more com-
plex. Og and Ug might have spoken different languages, worshipped different deities,
or had differently colored faces. That, however, would not change the fundamental
questions regarding security. Why were Og and Ug insecure? More important, once
insecurity existed, what could have been done to restore harmony?

Seeking Security
Now bring your minds from the past to the present, from primordial cave dwellers to
yourself. Think about contemporary international security. It is easy to determine
our goal: to be safe. How to achieve it is, of course, much more challenging. To begin
our exploration, we will take up various approaches to security, then turn to stan-
dards of evaluation.

Approaches to Security
There are, in essence, four possible approaches to securing peace. The basic parame-
ters of each are shown in Table 11.1. As with many, even most matters in this book,
which approach is best is part of the realist-liberal debate.
342 CHAPTER 11 International Security: The Alternative Road

TABLE 11.1 Four Approaches to Security

Primary
Security Sources of World Political Armaments Peacekeeping
Approach Insecurity System Strategy Mechanism Strategy

Unlimited Many; probably State-based Have many and Armed states, Peace through
self-defense inherent in national interests all types to guard deterrence, alliances, strength
humans and rivalries; fear against threats balance of power
Limited Many; perhaps State-based; Limit amount and Armed states; Peace through
self-defense inherent, but limited cooperation types to reduce defensive capabilities, limited offensive
weapons based on mutual capabilities, lack of offensive ability
intensify interests damage, tension capabilities
International Anarchical world International Transfer weapons International Peace through
security system; lack of political integration; and authority peacekeeping/ law and universal
law or common regional or world to international peace enforcement collective defense
security government force
mechanisms
Abolition Weapons; Options from Eliminate Lack of ability; Peace through
of war personal and pacifist states weapons lack of fear; being peaceful
national greed to global village individual and
and insecurity model collective pacifism

Concept source: Rapoport (1992).

The path to peace has long been debated. The four approaches outlined here provide some basic
alternatives that help structure this chapter on security.

Unlimited self-defense, the first of the four approaches, is the traditional approach
of each country being responsible for its own defense and amassing weapons it
wishes for that defense. The thinking behind this approach rests on the classic real-
ist assumption that humans have an inherent element of greed and aggressiveness
that promotes individual and collective violence. This makes the international sys-
tem, from the realists’ perspective, a place of danger where each state must fend for
itself or face the perils of domination or destruction by other states.
Beyond the traditional approach to security, there are three alternative ap-
www proaches: limited self-defense (arms limitations), international security (regional and
world security forces), and abolition of war (complete disarmament and pacifism).
Each of these will be examined in the pages that follow. Realists do not oppose arms
ANALYZE THE ISSUE
Choosing an Alternative Path control or even international peacekeeping under the right circumstances. Realists,
for instance, recognize that the huge arsenals of weapons that countries possess are
dangerous and, therefore, there can be merit in carefully negotiated, truly verifiable
arms accords. But because the three alternative approaches all involve some level of
trust and depend on the triumph of the spirit of human cooperation over human
avarice and power-seeking, they are all more attractive to liberals than to realists.

Standards of Evaluation
Our central question is to determine which or what mix of the various approaches to
security offers us the greatest chance of safety. To begin to evaluate various possibili-
ties, consider the college community in which you live. The next time you are in class,
look around you. Is anyone carrying a gun? Are you? Probably not. Think about why
you are not armed. The answer is that you feel relatively secure. Are you?
 Thinking about Security 343

The answer is yes and no. Yes, you are relatively secure. For example, the odds
Did You Know That:
you will be murdered are quite long: only 56 in 1 million in 2005. But, no, you are
A violent crime is committed
not absolutely safe because dangerous people who might steal your property, attack
in the United States every
you, and even kill you are lurking in your community. There were 16,692 murders, 23 seconds.
93,934 reported rapes, and 1,280,069 other violent crimes in the United States dur-
ing 2005. Criminals committed another 10,166,159 burglaries, car thefts, and other
property crimes, which cost the victims about $18 billion. Yet most of us feel secure
enough to forgo carrying firearms.
The important thing to consider is why you feel secure enough not to carry a
gun despite the fact that you could be murdered, raped, beaten up, or have your
property stolen. There are many reasons. Domestic norms against violence and
stealing are one reason. Most people around you are peaceful and honest and are
unlikely, even if angry or covetous, to attack you or steal your property. Estab-
lished domestic collective security forces are a second part of feeling secure. The
police are on patrol to deter criminals; you can call 911 if you are attacked or
robbed; courts and prisons exist to deal with perpetrators. Domestic disarmament
is a third contributor to your sense of security. Most domestic societies have dis-
armed substantially, have rejected the routine of carrying weapons, and have turned
the legitimate use of domestic force beyond immediate self-defense over to their
police. Domestic conflict-resolution mechanisms are a fourth contributor to security.
There are ways to settle disputes without violence. Lawsuits are filed, and judges
make decisions. Indeed, some crimes against persons and property are avoided be-
cause most domestic political systems provide some level of social services to meet
human needs.
What is important to see here is that for all the protections and dispute-resolution
procedures provided by your domestic system, and for all the sense of security that
you usually feel, you are not fully secure. Nor are countries and their citizens secure
in the global system. For that matter, it is unlikely that anything near absolute global
security can be achieved through any of the methods offered in this chapter or
anywhere else. But it is also unlikely that absolute domestic security is possible.

Security is relative and a state

of mind. Like this student at
Virginia Tech University who is
being carried away after being
shot by a gunman during the
campus massacre in April
2007, individuals can
suddenly fall victim to violent
crime. Yet most people do not
carry guns because they feel
safe in their domestic system.
By contrast, there is no
overreaching security force
that will necessarily come to
the aid of a country if it finds
itself an international victim
of aggression. Therefore,
countries in the anarchical
international system rely on
self-protection and create
armies to defend themselves.
344 CHAPTER 11 International Security: The Alternative Road

Therefore, the best standard by which to evaluate approaches to security—domestic

or international—is to compare them and to ask which one or combination of them
makes you the most secure.

LIMITED SELF-DEFENSE
THROUGH ARMS CONTROL

The first alternative approach to achieving security involves limiting the numbers
and types of weapons that countries possess. This approach, called arms control,
aims at reducing military (especially offensive) capabilities and lessening the damage
even if war begins. Additionally, arms control advocates believe that the decline in
the number and power of weapons systems will ease political tensions, thereby mak-
ing further arms agreements possible. Several of the arms control agreements that
will be used to illustrate our discussion are detailed in the following section on the
history of arms control, but to familiarize yourself with them quickly, peruse the
agreements listed in Table 11.2.

Methods of Achieving Arms Control

There are many methods to control arms in order to limit or even reduce their number
and to prevent their spread. These methods include:
■ Numerical restrictions. Placing numerical limits above, at, or below the current
level of existing weapons is the most common approach to arms control.
This approach specifies the number or capacity of weapons and/or troops
that each side may possess. In some cases the numerical limits may be at or
higher than current levels. For example, the two Strategic Arms Reduction
Treaties (START I and II) were structured to significantly reduce the number
of American and Russian nuclear weapons. Although START II never went
into effect because Russia’s Duma refused to ratify it, both countries later
agreed to cuts in their nuclear arsenals that in many cases will exceed the
reductions outlined in the treaty.
■ Categorical restrictions. This approach to arms control involves limiting or
eliminating certain types of weapons. The Intermediate-Range Nuclear Forces
Treaty (INF) eliminated an entire class of weapons—intermediate-range
nuclear missiles. The new Anti-Personnel Mine Treaty will make it safer to
walk the earth.
■ Development, testing, and deployment restrictions. This method of limiting arms
involves a sort of military birth control, ensuring that weapons systems never
begin their gestation period of development and testing or, if they do, they are
never deployed. The advantage of this approach is that it stops a specific area of
arms building before it starts. For instance, the countries that have ratified the
Nuclear Non-Proliferation Treaty (NPT) and that do not have such weapons
agree not to develop them. The U.S. Congress has barred the development of
new types of low-yield tactical nuclear weapons (mini-nukes), and refuses to
lift that ban despite the Bush administration’s repeated requests to do so.
■ Geographic restriction. An approach that prohibits the deployment of any
weapons of war in certain geographic areas. The deployment of military
weapons in Antarctica, the seabed, space, and elsewhere is, for example,
banned. There can be geographic restrictions on specific types of weapons,
 Limited Self-Defense through Arms Control 345

TABLE 11.2 Selected Arms Control Treaties

Date Number of
Treaty Provisions Signed Parties

Treaties in Force
Geneva Protocol Bans using gas or bacteriological weapons 1925 133
Limited Test Ban Bans nuclear tests in the atmosphere, space, or underwater 1963 124
Non-Proliferation Prohibits selling, giving, or receiving nuclear weapons, materials, 1968 189
Treaty (NPT) or technology for weapons. Made permanent in 1995
Biological Weapons Bans the production and possession of biological weapons 1972 162
Strategic Arms Limitation Limits U.S. and USSR strategic weapons 1972 2
Talks Treaty (SALT I)
Threshold Test Ban Limits U.S. and USSR underground tests to 150 kt 1974 2
SALT II Limits U.S. and USSR strategic weapons 1979 2
Intermediate-Range Eliminates U.S. and USSR missiles with ranges between 500 km 1987 2
Nuclear Forces (INF) and 5,500 km
Missile Technology Limits transfer of missiles and missile technology 1987 33
Control Regime (MTCR)
Conventional Forces Reduces conventional forces in Europe 1990 30
in Europe Treaty (CFE)
Strategic Arms Reduction Reduces U.S. and USSR/Russian strategic nuclear forces 1991 2
Treaty (START I)
Chemical Weapons Bans the possession of chemical weapons after 2005 1993 182
Convention (CWC)
Anti-Personnel Mine Bans the production, use, possession, and transfer 1997 155
Treaty (APM) of land mines
Strategic Offensive Reduces U.S. and Russian strategic nuclear forces 2002 2
Reduction Treaty (SORT)
Treaties Not in Force
Anti-Ballistic Missile U.S.-USSR pact limits anti-ballistic missile testing and 1972 1
(ABM) Treaty deployment. U.S. withdrew in 2002
START II Reduces U.S. and Russian strategic nuclear forces. 1993 1
Not ratified by Russia
Comprehensive Test Bans all nuclear weapons tests. Not ratified by U.S., 1996 138
Ban Treaty (CTBT) China, Russia, India, and Pakistan

Notes: The date signed indicates the first date when countries whose leadership approves of a treaty can sign it. Being a signatory is not legally binding;
becoming a party to a treaty then requires fulfilling a country’s ratification procedure or other legal process to legally adhere to the treaty. Treaties to which
the Soviet Union was a party bind its successor state, Russia.
Data sources: Numerous news and Web sources, including the United Nations Treaty Collection at http://untreaty.un.org/.

Progress toward controlling arms has been slow and often unsteady, but each agreement listed here
represents at least an attempted step down the path of restraining the world’s weapons.

such as the Treaty for the Prohibition of Nuclear Weapons in Latin America
(1989).
■ Transfer restrictions. This method of arms control prohibits or limits the flow
of weapons and weapons technology across international borders. Under the
NPT, for example, countries that have nuclear weapons or nuclear weapons
technology pledge not to supply nonnuclear states with weapons or the tech-
nology to build them.
346 CHAPTER 11 International Security: The Alternative Road

Web Link This review of the strategies and methods of arms control leads naturally to the
A valuable overview of
question of whether they have been successful. And if they have not been successful,
disarmament is available at why not? To address these questions, in the next two sections we will look at the history
the UN Department for of arms control, then at the continuing debate over arms control.
Disarmament Affairs Web site,
http://disarmament.un.org/.
The History of Arms Control
Attempts to control arms and other military systems extend almost to the beginning
of written history. The earliest recorded example occurred in 431 B.C. when Sparta
and Athens negotiated over the length of the latter’s defensive walls. Prior to the be-
ginning of the 20th century, however, arms control hardly existed. Since then there
Did You Know That: has been a buildup of arms control activity. Technology, more than any single factor,
The first modern arms control spurred rising interest in arms control. Beginning about 1900, the escalating lethality
treaty was the Strasbourg of weapons left many increasingly appalled by the carnage they were causing on the
Agreement of 1675, banning battlefield and among noncombatants. Then in midcentury, as evident in Figure 11.1,
the use of poison bullets,
between France and the
the development of nuclear, biological, and chemical (NBC) weapons of mass destruc-
Holy Roman Empire. tion (WMDs) sparked a growing sense that an apocalyptic end of human life had
literally become possible.

Arms Control through the 1980s

Beginning in the second half of the 1800s there were several multilateral efforts
to limit arms. The most notable of these were the Hague Conferences (1899, 1907).
Although limited in scope, they did place some restrictions on poison gas and the use

FIGURE 11.1 Arms Control Treaties

37
36
Arms control treaties
During period
Total treaties 27

21

13
10
9 9
8
6
5
4 3
4
1 1 1 1

To 1800– 1900– 1950s 1960s 1970s 1980s 1990s 2000–

1800 1899 1949 2007

The development and use of increasingly devastating weapons has spurred greater efforts to limit
them. This graph shows the number of treaties negotiated during various periods and the cumulative
total of those treaties. The real acceleration of arms control began in the 1960s in an effort to restrain
nuclear weapons. Of the 37 treaties covered here from 1675 to 2007, 26 (70%) were concluded
between 1960 and 1999.
Note: Treaties limited to those that went into force and that dealt with specific weapons and verification rather than peace in
general, material that could be used to make weapons, and other such matters.
Data sources: Web sites of the Federation of American Scientists, the UN Department for Disarmament Affairs, and the U.S.
Department of State, and various historical sources.
 Limited Self-Defense through Arms Control 347

of other weapons. The horror of World War I further increased world interest in arms
control. The Geneva Protocol (1925) banned the use of gas or bacteriological war-
fare, and there were naval conferences in London and Washington that set some lim-
its on the size of the fleets of the major powers. Such efforts did not stave off World
War II, but at least the widespread use of gas that had occurred in World War I was
avoided. Arms control efforts were spurred even more by the unparalleled destruc-
tion wrought by conventional arms during World War II and by the atomic flashes
that leveled Hiroshima and Nagasaki in 1945. One early reaction was the creation in
1946 of what is now called the International Atomic Energy Agency (IAEA) to limit
the use of nuclear technology to peaceful purposes.
The bitter cold war blocked arms control during the 1950s, but by the early
1960s worries about nuclear weapons began to overcome even that barrier. The first
major step occurred in 1963 with the Limited Test Ban Treaty prohibiting nuclear
weapons tests in the atmosphere, in outer space, or under water. Between 1945 and
1963, there were on average 25 above-ground nuclear tests each year. After the treaty
was signed, such tests (all by nonsignatories) declined to about three a year, then
ended in the 1980s. Thus, the alarming threat of radioactive fallout that had increas-
ingly contaminated the atmosphere was largely eliminated.
Later in the decade, the multilateral nuclear Non-Proliferation Treaty (NPT) of
1968 pledged its parties (adherents, countries that have completed their legal process
to adhere to a treaty) to neither transfer nuclear weapons to a nonnuclear state nor
to help one build or otherwise acquire nuclear weapons. Nonnuclear adherents also
agree not to build or accept nuclear weapons and to allow the IAEA to establish safe-
guards to ensure that nuclear facilities are used exclusively for peaceful purposes.
Overall, the NPT has been successful in that many countries with the potential to
build weapons have not. Yet the NPT is not an unreserved success, as discussed
below in the section on its renewal in 1995 and subsequent five-year reviews.
During the 1970s, with cold war tensions beginning to relax, and with the U.S.
and Soviet nuclear weapon inventories each passing the 20,000 mark, the pace of arms
control negotiations picked up. The Anti-Ballistic Missile Treaty (ABM) of 1972 put
stringent limits on U.S. and Soviet efforts to deploy national missile defense (NMD)
systems, which many analysts believed could destabilize nuclear deterrence by under-
mining its cornerstone, mutual assured destruction (MAD). As discussed in chapter 10,
President Bush withdrew the United States from the
ABM Treaty in 2002 to pursue the development of
an NMD system.
The 1970s also included important negotiations
to limit the number, deployment, or other aspects of
WMDs. The most significant of these with regard to
nuclear weapons were the Strategic Arms Limitation
Talks Treaty I (SALT I) of 1972 and the Strategic
Arms Limitation Talks Treaty II (SALT II) of 1979.
Each put important caps on the number of Soviet
and American nuclear weapons and delivery vehi-
cles. Moscow and Washington, already confined to
Two soldiers at a base near Little Rock, Arkansas, are
attaching explosives to the nose cone of a U.S. Titan II ICBM
in order to destroy it under the provisions of the SALT II Treaty.
The nose cone once housed a nuclear warhead with a
9-megaton explosive yield, a force about 60 times more
powerful than the atomic bombs dropped on Japan in 1945.
348 CHAPTER 11 International Security: The Alternative Road

underground nuclear tests by the 1963 treaty, moved to limit the size of even those
tests to 150 kilotons in the Threshold Test Ban Treaty (1974). In another realm of
WMDs, the Biological Weapons Convention (1972), which virtually all countries have
ratified, pledges its adherents that possess biological weapons to destroy them, and
obligates all parties not to manufacture new ones.
Arms control momentum picked up even more speed during the 1980s as the
cold war began to wind down. The Missile Technology Control Regime (MTCR) was
established in 1987 to restrain the proliferation of missiles. The designation “regime”
comes from the pact’s status as an informal political agreement rather than a formal
treaty. Under it, signatory countries pledge not to transfer missile technology or mis-
siles with a range greater than 300 kilometers. The MTCR has slowed, although not
stopped, the spread of missiles. The countries with the most sophisticated missile
technology all adhere to the MTCR, and they have brought considerable pressure to
bear on China and other noncompliant missile-capable countries.
A second important agreement was the U.S-Soviet Intermediate-Range Nuclear
Forces Treaty (INF) of 1987. By eliminating an entire class of nuclear delivery vehi-
cles (missiles with ranges between 500 and 5,500 kilometers), it became the first
treaty to actually reduce the global nuclear arsenal. The deployment of such U.S.
missiles to Europe and counter-targeting by the Soviet Union had put Europe at
particular risk of nuclear war.

Arms Control since 1990: WMDs

The years since 1990 have been by far the most important in the history of the con-
trol of WMDs. The most significant arms control during the 1990s involved efforts to
control nuclear arms, although progress was also made on chemical weapons.

Web Link Strategic Arms Reduction Treaty I After a decade of negotiations, Presidents George
The lead U.S. office for arms
H. W. Bush and Mikhail Gorbachev signed the first Strategic Arms Reduction Treaty I
control is the State Department’s (START I) in 1991. The treaty mandated significant cuts in U.S. and Soviet strategic-
Bureau of Arms Control at range (over 5,500 kilometers) nuclear forces. Each country was limited to 1,600 de-
http://www.state.gov/t/ac/. livery vehicles (missiles and bombers) and 6,000 strategic explosive nuclear devices
(warheads and bombs). Thus, START I began the process of reducing the U.S. and
Soviet strategic arsenals, each of which contained more than 10,000 warheads and
bombs.

Strategic Arms Reduction Treaty II Presidents Boris Yeltsin and George Bush took a
further step toward reducing the mountain of nuclear weapons when they signed the
Strategic Arms Reduction Treaty II (START II) in 1993. Under START II, Russia and
the United States agreed that by 2007 they would reduce their nuclear warheads and
bombs to 3,500 for the United States and 2,997 for Russia. The treaty also has a number
of clauses relating to specific weapons, the most important of which was the elimination
of all ICBMs with multiple warheads (multiple independent reentry vehicles, MIRVs).
The U.S. Senate ratified START II in 1996, but Russia’s Duma delayed taking up the
treaty until 2000. Then it voted for a conditional ratification, making final agreement
contingent on a U.S. pledge to abide by the ABM Treaty. When President George W. Bush
did the opposite and withdrew from the ABM Treaty, Moscow announced its final rejec-
tion of START II. As a result, the reduction of U.S. and Russian strategic nuclear
weapons slowed, but it continued as both countries sought to economize. Cuts have
continued under the Strategic Offensive Reductions Treaty (SORT) discussed next, but
the provision requiring elimination of all MIRV-capable ICBMs died, and both countries
maintain a significant number of these missiles (U.S.–350; Russia–214).
 Limited Self-Defense through Arms Control 349

Strategic Offensive Reductions Treaty Even while START II awaited Russia’s ratifi-
Did You Know That:
cation, Presidents Bill Clinton and Boris Yeltsin agreed in 1997 to a third round of
START I is about 700 pages
START aimed at further cutting the number of nuclear devices mounted on strategic-
long. SORT is 3 pages long.
range delivery systems to between 2,000 and 2,500. That goal took on greater sub-
stance in May 2002 when President George W. Bush met with President Vladimir
Putin in Moscow and the two leaders signed the Strategic Offensive Reductions
Treaty (SORT), also called the Treaty of Moscow. Under its provisions, the two coun-
tries agree to cut their arsenals of nuclear warheads and bombs to no more than
2,200 by 2012. However, SORT contains no provisions relating to MIRVs.
Most observers hailed the new agreement, and both countries’ legislatures soon
ratified it. There were critics, however, who charged that it was vague to the point
of being “for all practical purposes meaningless.” For one, there is no schedule of
reductions from existing levels as long as they are completed by 2012. Second, the
treaty expires that year if the two sides do not renew it. Thus the two parties could
do nothing, let the treaty lapse in 2012, and still not have violated it. Third, either
country can withdraw with just 90 days notice. And fourth, both countries will be
able to place previously deployed warheads in reserve, which would allow them to be
rapidly reinstalled on missiles and redeployed.
Such concerns, although important, are somewhat offset by the fact that be-
tween 2002 and 2006, the U.S. stockpile of deployed nuclear warheads and bombs
declined 23% and Russia’s arsenal dropped 30%. Moreover, these reductions are
part of an overall trend that has lowered the mountain of global nuclear weapons by
80% between 1986 and 2002, as Figure 11.2 illustrates. If the reductions outlined
in the SORT are put into place, and if the nuclear arsenals of China and the other
smaller nuclear powers remain relatively stable, the world total of nuclear weapons
in 2012 will be further reduced by about 25%. Even now the silos at several
former U.S. ICBM sites are completely empty, some of the bases have even been
sold, and part of the land has reverted to farming, bringing to fruition the words
from the Book of Isaiah (2:4), “They shall beat their
swords into plowshares, and their spears into prun-
ing hooks.” FIGURE 11.2 Global Nuclear Arsenal,
1945–2006
The Comprehensive Test Ban Treaty Banning all 80,000
tests of nuclear weapons has been another important Number of nuclear 70,581
arms control effort. Following the first atomic test 60,000 warheads and bombs
Total
on July 16, 1945, the number of tests mushroomed 27,057
to 171 blasts in 1962. Then testing began to ebb in 40,000
response to a number of treaties (see Table 11.2,
p. 345), a declining need to test, and increasing 20,000 Deployed
international condemnation of those tests that did 6 12,631
0
occur. For example, Australia’s prime minister in one
1945 1955 1965 1975 1985 1995 2006
of the milder comments labeled France’s series of un-
derground tests in 1995 on uninhabited atolls in the The mountain of strategic and tactical nuclear warheads and bombs
South Pacific “an act of stupidity.”2 Those tests, grew rapidly from 1945 to the mid-1980s when it peaked at just over
China’s two in 1996, and the series that India and 70,000. Then it began a steep decline and in 2006 stood at about
Pakistan each conducted in 1998 brought the total 27,000. Furthering the reduction even more, the number of deployed
number of tests since 1945 to 2,051. Then in 2006, weapons, which is indicated by the dotted line, is less than half the
2006 total, with the balance of U.S. and Russian weapons in reserve
North Korea tested a weapon, taking the total to (not deployed).
2,052, as shown in Figure 11.3.
Those who share the goal of having nuclear tests Data source: Bulletin of the Atomic Scientists, July/August 2006 for the United States,
Russia, China, France, and Great Britain. Calculations by author for other nuclear
totally banned forever have pinned their hopes on weapons countries.
350 CHAPTER 11 International Security: The Alternative Road

FIGURE 11.3 Nuclear Tests, 1945–2006

362
Number of nuclear 344
weapons tests

277 273 265

228

174

63
43
15
7
1
1945– 1950– 1955– 1960– 1965– 1970– 1975– 1980– 1985– 1990– 1995– 2000–
1949 1954 1959 1964 1969 1974 1979 1984 1989 1994 1999 2006

There have been 2,052 known nuclear weapons tests since the first by the United States in August
1945. Perhaps the 2,052nd conducted by North Korea in 2006 will be the last. The goal of the
Comprehensive Nuclear Test Ban Treaty is to turn that hope into a universal international commitment,
but the unwillingness of several of the existing nuclear-weapons countries to ratify the treaty leaves
further tests possible.
Data source: Bulletin of the Atomic Scientists, 45/6 (November/December 1998); author’s calculations.

the Comprehensive Test Ban Treaty (CTBT). The treaty was concluded in 1996 and
138 countries have become parties to it. Nevertheless, it has not gone into force. The
reason is that it does not become operational until all 44 countries that had nuclear
reactors in 1996 ratify it, and several of them, including the United States, have not.
President Bill Clinton signed the treaty, but the Republican-controlled Senate rejected
it in 1999. His successor, President Bush, is unwilling to try to resurrect the treaty, in
part because his administration favors developing and possibly testing mini-nukes, as
discussed earlier, and a new generation of “reliable replacement warheads” (RRWs) for
the current inventory. Thus testing remains a possibility, and any new tests could set
off a chain of other tests. As the Russian newspaper Pravda editorialized, “The Moscow
hawks are waiting impatiently for the USA to violate its nuclear test moratorium. . . .
If the USA carries out tests . . ., the Kremlin will not keep its defense industries from
following the bad U.S. example. They have been waiting too long since the end of the
cold war.”3

Chemical Weapons Convention Nuclear weapons were not the only WMDs to re-
ceive attention during the 1990s. Additionally, the growing threat and recent use of
chemical weapons led to the Chemical Weapons Convention (CWC) in 1993. The
signatories pledge to eliminate all chemical weapons by the year 2005; to “never
under any circumstance” develop, produce, stockpile, or use chemical weapons; to
not provide chemical weapons, or the means to make them, to another country; and
to submit to rigorous inspection.
As with all arms control treaties, the CWC represents a step toward, not the end
of, dealing with a menace. One issue is that the United States and many other coun-
tries that are parties to the treaty have not met the 2005 deadline. Second, about a
 Limited Self-Defense through Arms Control 351

dozen countries have not agreed to the treaty. Some, such as North Korea and Syria,
have or are suspected of having chemical weapons programs, and they, along with
others, view chemical weapons as a way to balance the nuclear weapons of other
countries. Some Arab nations, for instance, are reluctant to give up chemical weapons
unless Israel gives up its nuclear weapons. Third, monitoring the CWC is especially
difficult because many common chemicals are dual-use (they have both commercial
and weapons applications). For example, polytetrafluoroethene, a chemical used to
make nonstick frying pans, can also be used to manufacture perfluoroisobutene, a
gas that causes pulmonary edema (the lungs fill with fluid).

Arms Control since 1990: Nuclear Non-Proliferation

Stemming the spread of nuclear weapons to additional countries has arguably been
the greatest arms control challenge since the end of the cold war. A recent poll of
Americans found that 76% of them believed that “preventing the spread of nuclear
weapons” should be “a very important” U.S. foreign policy goal, a support level 2%
higher even than combating international terrorism.4
The centerpiece of the nuclear containment campaign, as noted earlier, is the
Non-Proliferation Treaty (NPT) of 1968. It obligates countries that have nuclear
weapons not to transfer either any of them or the technology to make them to a non-
nuclear weapons country. In turn, states are obliged not to try to produce or otherwise
acquire nuclear weapons and to also submit to inspections by the IAEA to ensure no
nuclear weapons program is under way. Under the terms of the NPT, its members
met in 1995 to review it and, among other things, to determine how long, if at all, to
continue it. They decided to not only extend it, but to make it permanent (Braun &
Chyba, 2004). As of mid-2007, 189 countries had ratified the NPT, and one had
withdrawn (North Korea in 2003), leaving 188 parties to the treaty.

The Record of the NPT Clearly the record of the NPT is not one of complete success.
In contrast to the decline in the number of nuclear weapons that has occurred since
the end of the U.S.-Soviet confrontation in the early 1990s, the number of countries
with nuclear weapons has increased. India, Israel, and Pakistan never agreed to the
NPT, and, as noted, North Korea has withdrawn its ratification. All have developed
nuclear weapons. This doubles the number of countries with nuclear weapons from
the time the NPT was first signed. As the accompanying map indicates, there are now
eight countries that openly possess nuclear weapons and one (Israel) whose nuclear
arsenal is an open secret. Several other countries have or had active programs to
develop nuclear weapons, and unless the diplomats from the European Union can
persuade Iran to change course, it too will arm itself with nuclear weapons. Still fur-
ther proliferation is not hard to imagine. For example, North Korea’s acquisition of
nuclear weapons may eventually push neighboring South Korea and Japan to develop
a nuclear deterrent. The list could go on.
Yet despite the proliferation that has occurred, it would be an error to depict the
NPT as a failure. Now all but four countries are party to the NPT. Furthermore, www
somewhat offsetting the march of India, Pakistan, North Korea, and perhaps Iran to
become nuclear weapons countries, other pretenders to that title have given up their MAP
nuclear ambitions. Libya ratified the NPT in 2004 and agreed to dismantle its nuclear The Spread of Nuclear
weapons and missile programs and allow IAEA inspections. Why Libya abandoned Weapons
its 30-year effort to develop nuclear weapons and the missiles to deliver them is un-
certain, but among the reasons cited by various analysts were the negative impact of
the long-term sanctions on the Libyan economy, the cost of continuing the faltering
program, and fear that it would become a target of U.S. military action, as Iraq had.
352 CHAPTER 11 International Security: The Alternative Road

The Spread of Nuclear Weapons

Russia

United
Kingdom
France
United
States North Korea
China

Taiwan

Iran
India

Pakistan
Israel

Nuclear weapons countries*

Countries with an alleged nuclear weapons program
Nuclear weapons–capable countries with no nuclear weapons program
Countries with neither nuclear weapons nor the capability to build them

*North Korea claims to have nuclear weapons and most experts believe this to be true.

Efforts such as the Nuclear Non-Proliferation Treaty have slowed, but not stopped, the proliferation
of nuclear weapons. There are now nine declared and undeclared nuclear weapons countries.
Numerous other countries have the ability and, in some cases, the desire to acquire nuclear
weapons.
*Israel has never acknowledged that it has nuclear weapons.

Similarly, Argentina and Brazil halted their nuclear programs in the early 1990s and
adhered to the NPT in 1995 and 1997 respectively. Algeria and South Africa both also
had nuclear weapons programs, and South Africa may have even tested a weapon,
before they both changed course and also became party to the NPT (1995 and 1991
respectively). The agreement concluded by the Six Party Talks in 2006 may be a first
step in getting North Korea to someday dismantle its nuclear weapons. Beyond these
countries that once pursued nuclear weapons, there are many countries such as
Canada, Germany, and Japan that long ago could have developed nuclear weapons
and have not.

Challenges to Halting Proliferation Although the parties to the NPT made it perma-
nent in 1995, the difficult negotiations illustrate some of the reasons that proliferation
 Limited Self-Defense through Arms Control 353

is hard to stop (Singh & Way, 2004). One stumbling block was that many nonnuclear
countries resisted renewal unless the existing nuclear-weapons countries set a timetable
for dismantling their arsenals. Malaysia’s delegate to the conference charged, for in-
stance, that renewing the treaty without such a pledge would be “justifying nuclear
states for eternity” to maintain their monopoly.5 One important factor in overcoming
this objection was a pledge by the United States and other nuclear-weapons states to
conclude a treaty banning all nuclear tests.
A second reason that nuclear proliferation is difficult to stem is that some
countries still want such weapons. Israel developed its nuclear weapons soon after
the NPT was first signed, India and Pakistan joined the nuclear club when each
tested nuclear weapons in 1998, and North Korea became the newest member
in 2006.
Iran is yet another country that appears determined to acquire nuclear weapons.
Even though it is a party to the NPT and claims that it is developing only a peaceful
nuclear energy program, most outsiders believe that Tehran is nearing the ability to
produce nuclear weapons. This has led to ongoing efforts since 2003 to pressure Iran
to comply with the NPT. Whether by design or happenstance, the United States has
acted as the “bad cop” by pressing for at least economic sanctions against Iran. The
“good cop” role has been played by the European Union represented by the foreign
ministers of France, Germany, and Great Britain. They have offered Iran various
diplomatic carrots, including admission to the World Trade Organization and eco-
nomic aid, in exchange for it permanently ending its nuclear enrichment program.
Iran’s continued refusal to cooperate finally led to the issue being taken up by the UN
Security Council. The Europeans came to favor significant sanctions, but China and
Russia opposed them, and each possesses a veto on the Council. The Council did call
on Iran to halt all activities related to the production of nuclear weapons, and in late
2006 imposed mild sanctions on Iran. These were increased in March 2007 in re-
sponse to Iran’s continued refusal to comply. Sanctions included a ban on Iranian
weapons exports, and seizure of a very limited range of the country’s foreign assets.
Iran’s President Mahmoud Ahmadinejad immediately rejected the UN action, calling
the Security Council resolution “a torn piece of paper” and vowing it would have no
impact on either Iran’s actions or its will.6
The continuing challenges to the NPT were also highlighted in the stalemated
quinquennial (five yearly) review meeting in 2005. Washington’s complaints about
the nuclear programs of North Korea and Iran were met by the countercharge by
many other countries that the United States was seeking to keep its nuclear weapons
advantage by reneging on its pledge in Article 6 of the NPT to seek “cessation of the
nuclear arms race at an early date and . . . general and complete disarmament under
strict and effective international control.” A similar charge is that when the United
States rejected the CTBT, Washington ignored its 1995 agreement to join a treaty bar-
ring all nuclear weapons testing in return for an agreement by nonnuclear-weapons
countries to support moves to make the NPT permanent. Muslim countries also ac-
cused the United States of hypocrisy for condemning their acquisition of such
weapons while accepting Israel’s nuclear weapons. When the meeting adjourned
with no progress, a frustrated Mohamed El Baradei, head of the IAEA, lamented,
“The conference after a full month ended up where we started, which is a system full
of loopholes, ailing, and not a road map to fix it.”7

Arms Control since 1990: Conventional Weapons

Arms control efforts since the advent of nuclear weapons in 1945 have emphasized
restraining these awesome weapons and, to a lesser degree, the other WMDs and
354 CHAPTER 11 International Security: The Alternative Road

their delivery systems. In the 1990s, the world also began to pay more attention to
conventional weapons inventories and to the transfer of conventional weapons.

Conventional Weapons Inventories The virtual omnipresence of conventional

weapons and their multitudinous forms makes them more difficult to limit than nu-
clear weapons. Still, progress has been made. One major step is the Conventional
Forces in Europe Treaty (CFE). After 17 years of negotiation, the countries of the
North Atlantic Treaty Organization (NATO) and the Soviet-led Warsaw Treaty Orga-
nization (WTO) concluded the CFE Treaty in 1990 to cut conventional military
forces in Europe from the Atlantic to the Urals (the ATTU region). In the aftermath
of the cold war, adjustments have been made to reflect the independence of various
European former Soviet republics (FSRs) and the fact that some of them have even
joined NATO. Such details aside, the key point is that the CFE Treaty as amended re-
duced the units (such as tanks and warplanes) in the ATTU region by about 63,000
and also decreased the number of troops in the area.
An additional step in conventional weapons arms control came in 1997 with the
Anti-Personnel Mine Treaty (APM), which prohibits making, using, possessing, or
transferring land mines. Details of the creation of the APM Treaty and directions for
what you can do to support or oppose it can be found in the Get Involved box,
“Adopt a Minefield.” By early 2007, 153 countries had ratified the APM Treaty, and it
has had an important impact. Since the treaty was signed, countries that had stock-
piles of mines have destroyed about 40 million of them. Additionally, the associated
effort to clear land mines has removed some 6 million of the deadly devices and mil-
lions of other pieces of unexploded ordinance from former battle zones. The APM
Treaty has not been universally supported, however. Several key countries (China,
India, Pakistan, Russia, and the United States) are among those that have not adhered
to it, arguing that they still need to use mines. For example, U.S. military planners
consider land mines to be a key defense element against a possible North Korean
invasion of South Korea.

Conventional Weapons Transfers Another thrust of conventional arms control in the

1990s and beyond has been and will be the effort to limit the transfer of conventional
weapons. To that end, 31 countries in 1995 agreed to the Wassenaar Arrangement on
Export Controls for Conventional Arms and Dual-Use Goods and Technologies.
Named after the Dutch town where it was negotiated, the “pact” directs its signato-
ries to limit the export of some types of weapons technology and to create an organi-
zation to monitor the spread of conventional weapons and dual-use technology,
which has both peaceful and military applications.
A more recent attempt to control conventional weapons is the work of the UN
Conference on the Illicit Trade in Small Arms and Light Weapons (2001). It is a huge
task considering the estimated 639 million small arms and light weapons (revolvers
and rifles, machine guns and mortars, hand grenades, antitank guns and portable
missile launchers) that exist in the world, mostly (60%) in civilian hands. To address
this menacing mass of weaponry, the conference called on states to curb the illicit
trafficking in light weapons through such steps as ensuring that manufacturers
mark weapons so that they can be traced, and tightening measures to monitor the
flow of arms across borders. Most of these arms, initially supplied by the United
States, Russia, and the European countries to rebel groups and to governments in
less developed countries, eventually found their way into the multibillion-dollar
global arms black market. Now there are some 92 countries making small arms and
 Limited Self-Defense through Arms Control 355

GET INVOLVED
Adopt a Minefield
A common sight throughout the United States are roadside
adopt-a-highway signs naming one or another group that has
pledged to keep a section of the road clear of litter. Fortunately
for Americans, a discarded beer can or fast-food wrapper is
about the worst thing they might step on while working along
the country’s roadways or in its fields and forests.
People in many other countries are not so lucky. In the
fields of Cambodia, along the paths of Angola, and dotting
the countryside in dozens of other countries, land mines
wait with menacing silence and near invisibility to claim a
victim. Mines are patient, often waiting many years to make
a strike, and they are also nondiscriminatory. They care not
whether their deadly yield of shrapnel shreds the body of
a soldier or a child. Cambodian farmer Sam Soa was trying
to find his cow in a field near his village when he stepped
on a mine. “I didn’t realize what had happened, and I tried
to run away,” he remembers.1 Sam Soa could not run away,
though; his left lower leg was gone. Millions of land mines
from past conflicts remain in the ground in over 50 countries.
In 2005 alone these explosive devices killed or maimed
7,328 civilians, one-third of them children, and unreported
incidents almost surely put the toll of dead and injured
over 10,000.
The effort over the past three decades to ban land mines
and clear existing ones has been a testament to the power of
individuals at the grass roots. For example, Jody Williams of
Vermont, a former “temp agency” worker in Washington, con-
verted into action her horror at the toll land mines were taking.
In 1991, she and two others used the Internet to launch an
effort that became the International Campaign to Ban Land-
mines (ICBL). “When we began, we were just three people
sitting in a room. It was utopia. None of us thought we would Reflecting the tragedy of many children, as well as adults, who
ever ban land mines,” she later told a reporter.2 Williams had are killed or maimed by old land mines each year, this sign,
underestimated herself. The ICBL has grown to be a trans- erected with the help of UNICEF, warns of a minefield in Sri
national network of 1,400 nongovernmental organizations Lanka. One of the many ways you can get involved in world
(NGOs) based in 90 countries. More importantly, 79% of world politics is by supporting an NGO or IGO involved in the
countries have now ratified the Anti-Personnel Mine Treaty. international effort to rid the world of land mines.
Williams’s work in fostering the 1997 pact won her that year’s
Nobel Peace Prize.

Be Active! (www.landmines.org). No pro–land mine NGOs exist, but you

If you share Williams’s view, much remains to be done to can find President Clinton’s rationale for not signing the
get the United States and other countries that have not treaty at the Department of Defense site, www.defenselink.mil/
agreed to the APM Treaty to do so and to clear existing mine- speeches/speech.aspx?speechid=785. The Bush administra-
fields. Certainly the efforts of individual countries and the tion has followed Clinton’s lead. Whatever your opinion, let
UN and other IGOs will be important. But individuals can your members of Congress and even the president know what
also get involved through such organizations as the ICBL, a you think.
network of NGOs (http://www.icbl.org), or Adopt-A-Minefield
356 CHAPTER 11 International Security: The Alternative Road

light weapons for export. Often these manufacturers are an important part of the
economy. For example, the plant in Eldoret, Kenya, that makes 20 million rounds
of small arms ammunition each year is an important employer. Yet such produc-
tion often exacts a toll elsewhere. A 2006 look at the black market in Baghdad
found weapons for sale from Bulgaria, China, the Czech Republic, Hungary, Romania,
Russia, and Serbia.
The UN program is nonbinding, but it does represent a first step toward regulat-
ing and stemming the huge volume of weapons moving through the international
system. Speaking at a UN conference to review progress in curbing the illicit arms
trade, Chairperson Kuniko Inoguchi of Japan commented, “I would not claim we
have achieved some heroic and ambitious outcome,” but she did point to heightened
awareness of the problem and to the greater willingness of countries to cooperate on
the issue as evidence that the world’s countries had “started to implement actions
against small arms and explore what the United Nations can do.”8

The Barriers to Arms Control

Limiting or reducing arms is an idea that most people favor. Yet arms control has pro-
ceeded slowly and sometimes not at all. The devil is in the details, as the old maxim
goes, and it is important to review the continuing debate over arms control to under-
stand its history and current status. None of the factors that we are about to discuss is
the main culprit impeding arms control. Nor is any one of them insurmountable. In-
deed, important advances are being made on a number of fronts. But together, these
factors form a tenacious resistance to arms control.

International Barriers
A variety of security concerns make up one formidable barrier to arms control. Some
analysts do not believe that countries can maintain adequate security if they disarm
totally or substantially. Those who take this view are cautious about the current
political scene and about the claimed contributions of arms control.
Worries about the possibility of future conflict are probably the greatest security
concern about arms control. For example, the cold war and its accompanying huge
arms buildup had no sooner begun to fade than fears about the threat of terrorists
and “rogue” states with WMDs escalated in the aftermath of 9/11. This concern has,
for instance, accelerated the U.S. effort to build a national missile defense system, as
discussed in chapter 10.
At least to some degree, nuclear proliferation is also a product of insecurity.
India’s drive to acquire nuclear weapons was in part a reaction to the nuclear arms
of China to the north, which the Indian defense minister described as his country’s
“potential number one enemy.”9 India’s program to defend itself against China raised
anxieties in Pakistan, which had fought several wars with India. So the Pakistanis
began their program. “Today we have evened the score with India,” Pakistan’s prime
minister exulted after his country’s first test.10 Similarly, North Korea has repeatedly
maintained that it needs nuclear weapons to protect itself against the United States.
Many Americans discount that rationale, but it is not all that far-fetched given the
U.S. invasion of Iraq and other uses of force.
Much the same argument about a dangerous world helps drive other military
spending and works against arms reductions. The U.S. military is the most powerful
in the world, with a bigger budget than the next five or six countries combined. Yet
security worries drive U.S. spending even higher. Presenting Congress in 2007 with
an approximately $700 billion annual and supplementary (for Iraq and Afghanistan)
 Limited Self-Defense through Arms Control 357

FIGURE 11.4 Arms, Tension, and War

Theory A Theory B Theory C

Arms War

Tension Arms Tension War

War Arms Tension

Theory A approximates the realist view, and Theory B fits the liberal view of the causal relationship
between arms, tension, and use. Theory C suggests that there is a complex causal interrelationship
between arms, tension, and war in which each of the three factors affects the other two.

budget request, Secretary of Defense Robert M. Gates conceded that the request
would cause “sticker shock” and that “the costs of defending our nation are high.”
But he also warned, “The only thing costlier, ultimately, would be to fail to commit
the resources necessary to defend our interests around the world, and to fail to pre-
pare for the inevitable threats of the future.”11
Doubts about the value of arms control are a second security concern that restrains
arms control. Those who are skeptical about arms control and its supposed benefits
begin with the belief that humans arm themselves and fight because the world is dan-
gerous, as represented by Theory A in Figure 11.4. Given this view, skeptics believe
that political settlements should be achieved before arms reductions are negotiated.
Such analysts therefore reject the idea that arms control agreements necessarily rep-
resent progress. In fact, it is even possible from this perspective to argue that more,
not fewer weapons, will sometimes increase security.
By contrast, other analysts agree with Homer’s observation in the Odyssey (ca.
700 B.C.) that “the blade itself incites to violence.” This is represented by Theory B in
Figure 11.4, and it demonstrates the belief that insecurity leads countries to have
arms races, which leads to more insecurity and conflict in a hard-to-break cycle
(Gibler, Rider, & Hutchison, 2005). From this perspective the way to increase secu-
rity is by reducing arms, not increasing them.
While the logic of arms races seems obvious, empirical research has not con-
firmed that arms races always occur. Similarly, it is not clear whether decreases in
arms cause or are caused by periods of improved international relations. Instead, a
host of domestic and international factors influence a country’s level of armaments.
What this means is that the most probable answer to the chicken-and-egg debate
about which should come first, political agreements or arms control, lies in a combi-
nation of these theories. That is, arms, tension, and wars all promote one another, as
represented in Theory C of Figure 11.4.
Concerns about verification and cheating constitute a third international barrier to
arms control stemming from security concerns. The problem is simple: Countries
suspect that others will cheat. This worry was a significant factor in the rejection of
the CTBT by the U.S. Senate. A chief opponent characterized the treaty as “not effec-
tively verifiable” and therefore “ineffectual because it would not stop other nations
from testing or developing nuclear weapons. . . . The CTBT simply has no teeth.”12
There have been great advances in verification procedures and technologies.
Many arms control treaties provide for on-site inspections (OSI) by an agency such as
the IAEA, but in some cases weapons and facilities can be hidden from OSI. National
technical means (NTM) of verification using satellites, seismic measuring devices,
and other equipment have also advanced rapidly. These have been substantially offset,
358 CHAPTER 11 International Security: The Alternative Road

however, by other technologies that make NTM verification more difficult. Nuclear
warheads, for example, have been miniaturized to the point where one could literally
be hidden in a good-sized closet. Dual-use chemicals make it difficult to monitor the
CWC, and the minute amounts of biological warfare agents needed to inflict massive
casualties make the BWC daunting to monitor. Therefore, in the last analysis, virtually
no amount of OSI and NTM can ensure absolute verification.
Because absolute verification is impossible, the real issue is which course is more
dangerous: (1) coming to an agreement when there is at least some chance that the
other side might be able to cheat, or (2) failing to agree and living in a world of un-
restrained and increasing nuclear weapons growth? Sometimes, the answer may be
number 2. Taking this view while testifying before the U.S. Senate about the Chemical
Weapons Convention, former Secretary of State James A. Baker III counseled, “The
[George H. W.] Bush administration never expected the treaty to be completely verifi-
able and had always expected there would be rogue states that would not participate.”
Nevertheless, Baker supported the treaty on the grounds that “the more countries we
can get behind responsible behavior around the world . . ., the better it is for us.”13
Ultimately, the decision with the most momentous international security impli-
cations would be to opt for a world with zero nuclear weapons. Whether you favor
overcoming the many barriers to that goal or would consider such an effort a fool’s
errand is asked in the debate box, “Is ‘Zero Nukes’ a Good Goal?”

Domestic Barriers
All countries are complex decision-making organizations, as chapter 3 discusses. Not
all leaders favor arms control, and even those who do often face strong opposition
from powerful opponents of arms control who, as noted above, are skeptical of arms
control in general or of a particular proposal. Additionally, opposition to arms control
often stems from such domestic barriers as national pride and the interrelationship
among military spending, the economy, and politics.
National pride is one domestic barrier to arms control. The adage in the Book of
Did You Know That:
Proverbs that “pride goeth before destruction” is sometimes applicable to arms acqui-
Pakistan’s biggest missile,
sitions. Whether we are dealing with conventional or nuclear arms, national pride is a
the Ghauri, is named after
Mohammad Ghauri, the primary drive behind their acquisition. For many countries, arms represent a tangible
12th-century leader who symbol of strength and sovereign equality. EXPLOSION OF SELF-ESTEEM read one
began the Muslim conquest newspaper headline in India after that country’s nuclear tests in 1998.14 LONG LIVE
of Hindu India. India’s Agni NUCLEAR PAKISTAN read a Pakistani newspaper headline soon thereafter. “Five
missile bears the name of
nuclear blasts have instantly transformed an extremely demoralized nation into a
the Hindu god of fire.
self-respecting proud nation,” the accompanying article explained.15 Such emotions
have also seemingly played a role in Iran’s alleged nuclear weapons program. “I hope
we get our atomic weapons,” Shirzad Bozorgmehr, editor of Iran News, has com-
mented. “If Israel has it, we should have it. If India and Pakistan do, we should, too,”
he explained.16
Web Link Military spending, the economy, and politics interact to form a second domestic
A PBS interactive site for the barrier to arms control. Supplying the military is big business, and economic interest
Global Security Simulator at groups pressure their governments to build and to sell weapons and associated tech-
which you try to reduce the nology. Furthermore, cities that are near major military installations benefit from
danger from WMDs is at jobs provided on the bases and from the consumer spending of military personnel
www.pbs.org/avoidingarmageddon/
stationed on the bases. For this reason, defense-related corporations, defense plant
getInvolved/involved_01.html.
workers, civilian employees of the military, and the cities and towns in which they
reside and shop are supporters of military spending and foreign sales. Additionally,
there are often bureaucratic elements, such as ministries of defense, in alliance with
the defense industry and its workers. Finally, both interest groups and bureaucratic
 Limited Self-Defense through Arms Control 359

DEBATE THE POLICY SCRIPT

Is “Zero Nukes” a Good Goal?
Most of the commentary on nuclear weapons takes the view more dangerous, not less dangerous, were U.S. nuclear
that they are dangerous and that reducing their number will weapons to be absent. The most important role for our nuclear
create a safer world. By extension, a “zero-nuke” world, one weapons is to serve as a ‘sobering force,’ one that can cap the
with no nuclear weapons, would be even safer yet and, there- level of destruction of military conflicts and thus force all sides
fore, is a worthwhile goal. The logic is straightforward. Nuclear to come to their senses.”3
weapons have horrific destructive power. Even a relative hand- Not all top U.S. officials agree with this view. For instance,
ful could cause devastating casualties and damage to large a number of former high-ranking U.S. military officers were
countries and virtually wipe out many smaller ones. Because among the 57 retired generals and admirals from countries
weapons that do not exist cannot hurt you, it would seem that with nuclear weapons who published a 1996 manifesto de-
if nuclear arms cuts are considered progress, then having no claring that nuclear weapons are “of sharply reduced utility” in
such weapons would be the ultimate success. Most people, the post–cold war world, calling for “substantially reducing their
even Americans with their powerful nuclear arsenal, agree with numbers,” and proclaiming that “the ultimate objective . . .
this line of thought, as Figure 11.5 shows. should be the complete elimination of nuclear weapons from
It is possible, though, that the majority is wrong on this all nations” (Schultz & Isenberg, 1997:87).
issue. Nuclear weapons may actually provide safety by making
war between nuclear-armed countries too terrible to fight. Taking What Do You Think?
this view, British Prime Minister Winston Churchill observed Do you favor a zero-nuke world? Assume this could be
early in the atomic age, “It may be that we shall by a process achieved by a treaty in which all the countries with nuclear
of sublime irony” come to a point “where safety will be the weapons agreed to turn them over to the International
sturdy child of terror and survival the twin brother of annihila- Atomic Energy Agency for immediate destruction, in which
tion.”1 Arguably Sir Winston’s point was well taken; during the all nonnuclear countries agreed not to develop nuclear
cold war, despite its intense hostility, the United States and the weapons, and in which all countries agreed to unlimited and
Soviet Union avoided war and its risk of nuclear counterstrikes unscheduled IAEA inspections to verify treaty compliance.
and mutual destruction. That was the view of British Prime Do not debate the possibility of cheating. For our scenario
Minister Margaret Thatcher, who told Soviet President Mikhail here, the treaty is foolproof, and the issue is whether the
Gorbachev in 1987 that, “A world without nuclear weapons world would be safer with zero nuclear weapons or if
would be less stable and more dangerous for all of us.”2 Churchill was right when he warned, “Be careful above all
Some analysts make much the same point in the post–cold things not to let go of the atomic weapon until you are sure,
war world. For example, one top U.S. government nuclear and more sure than sure, that other means of preserving the
weapons expert argues that “the world, in fact, would become peace are in your hands.”4

FIGURE 11.5 The Zero-Nukes Option

Unsure
Any
4%
5%
Those with
them now
11%
U.S. only
1%

U.S. and its

allies only None
13% 66%
Which countries
should be allowed
to have nuclear weapons?

About two-thirds of all Americans favor a nuclear weapons–free world.

Data source: AP Poll, March 2006. Data provided by The Roper Center for Public
Opinion Research, University of Connecticut.
360 CHAPTER 11 International Security: The Alternative Road

actors receive support from legislators who represent the districts and states that ben-
efit from military spending. This alliance between interest groups, bureaucracies, and
legislators forms a military-industrial-congressional complex that has been termed
the iron triangle.

INTERNATIONAL SECURITY FORCES

The idea of forming international security forces to supplement or replace national

military forces is a second approach to seeking security on the road less traveled by.
This approach would enhance, not compete with, the first approach, arms control.
Indeed, the creation of international security forces and the advance of arms control
are mutually supportive.

International Security Forces: Theory and Practice

The idea of seeking security through an international organization is not new. Im-
manuel Kant foresaw the possibility over two centuries ago in Idea for a Universal
History from a Cosmopolitan Point of View (1784). “Through war, through the taxing
and never-ending accumulation of armament . . . after devastations, revolutions, and
even complete exhaustion,” Kant predicted, human nature would bring people “to
that which reason could have told them in the beginning”: that humankind must
“step from the lawless condition of savages into a league of nations” to secure the
peace. These ideas have evolved into attempts to secure the peace through such in-
ternational structures as the Concert of Europe, the League of Nations, and the
United Nations (Price & Zacher, 2004). An increased UN peacekeeping role has been
especially evident, and other international governmental organizations (IGOs) also
have occasionally been involved in international security missions.
An important point is that while our discussion here will focus on the UN as a
global organization, much of what is said is also applicable to regional IGOs and their
security forces. The North Atlantic Treaty Organization (NATO) is providing inter-
national security forces in Afghanistan, Bosnia-Herzegovina, and Kosovo province.
Also in Europe, the European Union took on its first peacekeeping mission in 2003
when it assumed that role in Macedonia from NATO, and a second EU initiative sent
its peacekeepers to the Congo later that year. Additionally on the continent, the
Organization for Security and Cooperation in Europe (OSCE) has taken on some
functions of a regional security structure. Established in 1973, the OSCE now has 56
members, including almost all the countries of Europe, Kazakhstan and several other
states in Central Asia, and Canada and the United States. Operationally, it has begun
limited field activities to prevent or settle conflicts. These efforts primarily involve
sending monitors and other personnel to try to resolve differences, and in 2007,
OSCE missions were operating along the border between Georgia and Russia, in
Kosovo, and in more than a dozen other countries or hot spots. The largest OSCE
peacekeeping effort involved the dispatch of 6,000 troops from eight countries to
Albania in 1997 when that country’s political system collapsed into anarchy amid
factional fighting.
Beyond Europe, the African Union has begun to take on peacekeeping duties.
The AU was formed in 2001, succeeding the Organization of African Unity (founded
in 1963). The AU’s membership includes 52 of Africa’s 53 generally recognized states
and also the so-called Sahrawi Arab Democratic Republic. This territory is also called
 International Security Forces 361

Although peacekeeping is
generally associated with the
UN, other international
organizations such as the
African Union also field
international security forces.
Here an AU soldier from
Nigeria stands guard at
a refugee camp in the
Darfur region of Sudan.
Unfortunately, the
undermanned and lightly
equipped AU force was not
enough to halt the killing.

the Western Sahara, an area that Morocco claims to have incorporated in the 1970s after
Spain gave up its colonial presence, and that the UN considers a non-self-governing
territory. Because of this dispute and the AU’s acceptance of SADR, Morocco is not an
AU member. To return to the AU peacekeeping activities, it sent a force to the Darfur
region of Sudan in 2004. The force was supposed to grow to 7,000, but reached only
about half that size because of various reasons including the AU’s limited financial
resources. The UN has authorized an even larger force to supplement the AU mission,
bringing the combined strength up to about 20,000 peacekeepers, but as of early
2007 the resistance of the Sudanese government has blocked the deployment of UN
troops. Beginning in March 2007, the AU also deployed a limited force in Somalia to
help stabilize that chronically beleaguered and fragmented country. At the subregional
level in Africa, the Economic Community of West African States (ECOWAS) has
dispatched troops over the past decade or so to Guinea-Bissau, Ivory Coast, Liberia,
and Sierra Leone.
The idea of regional forces has been drawing increased support for two reasons.
One is the belief that being aware of regional sensitivities, local troops are often a better
option than a more international force. Second, regional organizations may sometimes
be able to act more easily than the UN, which is encumbered by the veto-restricted
ability of the Security Council to authorize missions. To promote African peacekeep-
ing, the leading industrialized countries, the Group of 8 (G-8, see chapter 12) have
agreed to help the AU establish a stand-by force of 15,000 peacekeeping troops by 2010.
To that end, there were initial pledges in 2006 of $80 million from the United States
and about $400 million from the European Union. Additionally, several European
countries and Canada have agreed to fund a training center in Ghana, to prepare
ECOWAS soldiers for UN, AU, and local duties.
On the other side of the South Atlantic Ocean, the Organization of American
States (OAS) has advanced peace on a number of fronts, including helping to settle the
long and seemingly intractable border dispute between Ecuador and Peru. The potential
cause of war was eliminated in 1998 when the presidents of the two countries met in
362 CHAPTER 11 International Security: The Alternative Road

Brazil to sign the Acta de Brasilia demarcating their border and establishing Argentina,
Brazil, Chile, Spain, and the United States as the guarantors of the pact.

Collective Security
One theory behind the use of international security forces through the UN and other
IGOs is the concept of collective security. This idea was first embodied in the
Covenant of the League of Nations and is also reflected in the UN Charter.

The Theory of Collective Security Collective security is based on three basic tenets:
■ All countries forswear the use of force except in self-defense.
■ All agree that the peace is indivisible. An attack on one is an attack on all.
■ All pledge to unite to halt aggression and restore the peace by supplying to
the UN or other IGOs whatever material or personnel resources are neces-
sary to deter or defeat aggressors and restore the peace.
This three-part theory is something like the idea that governs domestic law
enforcement. First, self-defense and the defense of someone in the case of an attack
or dire threat that could lead to death or serious injury are the only times an individ-
ual can use force legally. Second, acts of violence are considered transgressions
against the collective. If one person assaults another, the case is not titled the victim
versus the aggressor (such as Jones v. Smith); it is titled the society versus the aggres-
sor (Ohio v. Smith); the prosecutor takes legal action and presents the case on behalf
of the people. Third, domestic societies provide a collective security force, the police,
and jointly support this force through taxes.
Collective security, then, is not only an appealing idea but one that works—
domestically, that is. It has not, however, been a general success on the international
scene. In part, applying collective security is limited by problems such as how, in
some cases, to tell the aggressor from the victim. But these uncertainties also exist
domestically and are resolved. The more important reason that collective security
fails is the unwillingness of countries to subordinate their sovereign interests to col-
lective action. Thus far, governments have generally maintained their right to view
conflict in terms of their national interests and to support or oppose UN action based
on their nationalistic points of view. Collective security, therefore, exists mostly as a
goal, not as a general practice. Only the UN-authorized interventions in Korea
(1950–1953) and in the Persian Gulf (1990–1991) came close to fulfilling the idea of
collective security. The United States and Great Britain tried to convince the Security
Council in 2003 that the situation in Iraq warranted a third such collective security
action, but that effort failed.

Collective Security, Preemption, and Iraq The refusal of the Security Council to au-
thorize action against Iraq and the subsequent American- and British-led invasion
raised a storm of controversy over whether that action had violated the UN Charter.
President George Bush and Prime Minister Tony Blair argued that they were justified
in ordering action as a matter of self-defense. Secretary-General Annan disagreed, as
detailed in the chapter 2 box, “Is Preemptive War Good Policy?” At the center of the
dispute is the meaning and interface between Article 51 of the Charter, recognizing
that every country retains “the inherent right of individual or collective self-defense
if an armed attack occurs,” and Article 39, which states that except in cases of self-
defense, the UN Security Council has the sole authority to “determine the existence
of any threat to the peace, breach of the peace, or act of aggression and . . . decide
what measures shall be taken.”
 International Security Forces 363

Not unexpectedly, an international panel subsequently appointed by Annan sup-

ported his view. In its late-2004 report, the High-Level Panel on Threats, Challenges,
and Change said that while nations could act in self-defense if under attack or facing
an incontrovertible and imminent attack, preemption was another matter. The report
concluded that on the question of the legality of a preemptive attack,
The short answer is that if there are good arguments for preventive military action,
with good evidence to support them, they should be put to the Security Council,
which can authorize such action if it chooses to. If it does not so choose, there will
be, by definition, time to pursue other strategies, including persuasion, negotiation,
deterrence and containment—and to visit again the military option. For those impatient
with such a response, the answer must be that, in a world full of perceived potential
threats, the risk to the global order and the norm of nonintervention on which it
continues to be based is simply too great for the legality of unilateral preventive
action, as distinct from collectively endorsed action, to be accepted. Allowing one to
so act is to allow all.17

This reasoning cheered critics of Washington and London, but it did not address
some of the political realities of Security Council politics. France, for example, may
well have truly believed that more time to conduct inspections for WMDs was
needed. It is also the case, though, that Paris saw the issue as a chance to frustrate
American power and to reduce its hegemonic sway, at least marginally. Thus the
views of the secretary-general and the panel he appointed may have been technically
correct but they were also politically naïve. What the views did not adequately address
is the possibility of members blocking action by the Security Council for reasons not
connected to the crisis even if action is warranted.

Peacekeeping
What the United Nations has been able to do more often is to implement a process
commonly called peacekeeping. Peacekeeping is quite different from collective
security. The latter identifies an aggressor and employs military force to defeat the
attacker. Peacekeeping takes another approach and deploys an international military
force under the aegis of an international organization such as the UN to prevent
fighting, usually by acting as a buffer between combatants. The international force is
neutral between the combatants and must have been invited to be present by at least
one of the combatants.
Some of the data regarding the use of UN peacekeeping forces and observer
groups to help restore and maintain the peace is given in chapter 7, but it bears
repeating briefly here. From 1945 to 2007, the United Nations sent over 9 million
soldiers, police officers, and unarmed observers drawn from two-thirds of the world’s
countries to conduct 61 peacekeeping or truce observation missions. Almost 2,300
of these individuals have died in UN service. The frequency of such UN missions has
risen sharply, as can be seen in Figure 7.9 on page 218. At the beginning of 2007
there were 16 UN peacekeeping forces of varying size, totaling nearly 81,000 troops,
police, and military observers drawn from 114 countries in the field in Africa, Asia,
Europe, and the Middle East, as shown in the map on page 364. The cost of these
operations was about $4.8 billion in 2006.
Several characteristics of UN peacekeeping actions can be noted. First, most
have taken place in LDC locations, as evident on the map. Second, UN forces have
generally utilized military contingents from other LDCs (Lebovic, 2004). In 2006,
Bangladesh, India, and Pakistan alone combined for 36% of all UN peacekeepers, and
those countries plus Jordan, Ghana, Nepal, Uruguay, and Nigeria accounted for
about half of all troops wearing the renowned UN blue helmets. Troops from larger
364 CHAPTER 11 International Security: The Alternative Road

Current UN Peacekeeping Missions

MINURSO UNMIS UNMIK UNFICYP UNOMIG UNIFIL UNDOF UNAMA UNMOGIP

1991– 2005– 1999– 1964– 1993– 1978– 1974– 2002– 1949–

MINUSTAH UNMIL UNOCI MONUC ONUB UNMEE UNTSO UNMIT

2004– 2003– 2004– 1999– 2004– 2000– 1948– 2006–

Map No. 4259 (E) R03 United Nations Department of Peacekeeping Operations
February 2007 Cartographic Section

The United Nations has played a valuable peacekeeping role. This map shows the 16 peacekeeping
operations active at the end of 2006. It is a testament to the ever-growing record of UN peacekeeping
that the map would have become too confusing if it had included the other 43 peacekeeping missions
that the UN had undertaken and concluded in its history. The Nobel Peace Prize for 1988 was
awarded to the soldiers who have served in peacekeeping missions, thousands of whom have been
killed or wounded in UN service.
Notes: UNTSO—UN Truce Supervision Organization
UNMOGIP—UN Military Observer Group in India and Pakistan
UNFICYP—UN Peacekeeping Force in Cyprus
UNDOF—UN Disengagement Observer Force
UNIFIL—UN Interim Force in Lebanon
MINURSO—UN Mission for the Referendum in Western Sahara
UNOMIG—UN Observer Mission in Georgia
UNMIK—UN Interim Administration Mission in Kosovo
MONUC—UN Mission in the Democratic Republic of the Congo
UNMEE—UN Mission in Ethiopia and Eritrea
UNMIT—UN Integrated Mission Timor-Leste
UNMIL—UN Mission in Liberia
UNOCI—UN Operation in Côte d’Ivoire
MINUSTAH—UN Stabilization Mission in Haiti
ONUB—UN Operation in Burundi
UNMIS—UN Mission in the Sudan
UNAMA—United Nations Assistance Mission in Afghanistan
Source: http://www.un.org/Depts/dpko/dpko/home.shtml.
 International Security Forces 365

powers have taken a greater part in international security missions since the end of
the cold war, but those number are still small, including in 2006 the United States www
(324 troops and police), China (1,666), and Russia (291).
MAP
Peacekeeping Issues
Current UN Peacekeeping
There are a number of important issues related to UN peacekeeping. Some of those Operations
are discussed elsewhere. For example, chapter 7 outlines the budget restraints and
the unwillingness of numerous countries to pay their dues for peacekeeping to the
United Nations. Yet another issue covered in chapter 7 is the use of veto power held
by the five permanent members of the UN Security Council and the growing number
Did You Know That:
of countries that are voicing their discontent with a system they claim is neither fair
In late 2006, the five coun-
nor any longer resembles world power realities. A third issue, addressed in chapter 9
tries with the most UN
on international law, is the demand made by the United States that its troops serving peacekeepers were Pakistan
with UN peacekeeping forces be exempted by the Security Council from the juris- (9,867), Bangladesh
diction of the International Criminal Court, and the threat of Washington to with- (9,6818), India (9,483),
hold its dues or veto new and continuing missions if the American stipulations are Jordan (3,820), and Ghana
(2,694).
not met. Two other issues involved with peacekeeping are whether UN forces should
play a relatively passive peacemaking role or a more assertive peace enforcement
function and how to ensure that humanitarian interventions by UN and other IGO
military police forces are not neocolonialism by another name.

Peacekeeping and Peace Enforcement For all the contributions that UN peacekeep- Web Link
ing efforts have made, they have sometimes been unable to halt fighting quickly (or The site of the UN’s Department
even at all) or to keep the peace permanently. The numerous reasons for the limited of Peacekeeping Operations is
effectiveness of UN forces can be boiled down to two fundamental and related prob- at http://www.un.org/Depts/dpko/
lems: First, countries frequently do not support UN forces politically or financially. dpko/.
Second, it is often difficult to get the self-interested UN Security Council members,
especially the five veto-wielding permanent members, to agree to authorize a UN
mission. Even when the mission is authorized, it is often given a very narrow scope
of authority to act and few troops. When, for example, the UN initially sent forces to
the Balkans in 1992, the secretary-general asked for 35,000 peacekeepers. However,
the Security Council authorized only 7,000 troops restricted to light arms and not
authorized to take strong action. These limits prevented the peacekeepers from being
effective and even led, at one point, to UN troops being taken hostage and chained to
potential targets to deter threatened action by NATO forces.
The mounting frustrations with the reactive, passive peacekeeping approach of
UN forces led to an upsurge of support for the idea of proactive peace enforcement.
This new role would involve heavily armed UN forces with the authority to restore
and maintain the peace. Such UN units would not only intervene where fighting had
already broken out. They could also be deployed to imperiled countries before trou-
ble starts, thereby putting an aggressor in the uncomfortable position of attacking
UN forces as well as national defense forces.
In an effort to implement change, successive secretaries-general have called on UN
members to better fund and equip UN forces and to give them sufficient personnel and www
a broad enough mandate (rules of engagement) that will allow them to be effective. A
report issued in 2000 by a special panel appointed by the secretary-general to study JOIN THE DEBATE
peacekeeping operations made several key points.18 The report noted that when major The United Nations and
forces are needed to respond to aggression, “the United Nations does not wage war.” the Establishment of
International Peace:
Instead, to respond, it relies on “coalitions of willing states, with the authorization Debating the Scope
of the Security Council.” Nevertheless, the panel urged that when peacekeepers are of UN Peacekeeping
deployed, “The United Nations must be prepared to deal effectively with spoilers Mandates
366 CHAPTER 11 International Security: The Alternative Road

[of the peace] if it expects to achieve a consistent record of success in peace-keeping.”

One step toward that goal, according to the report, is closing “the gap between verbal
postures and financial and political support for prevention” by the UN’s member-
states. The panel also recommended a change in posture for UN troops. For example,
instead of maintaining impartiality toward all combatants, the report said that when
one side was clearly at fault, the UN should take a more assertive stand. To imple-
ment this, it recommended bigger and better equipped forces with enough free-
dom of action to be “a credible deterrent,” to “mount an effective defense against
violent challengers,” and when faced with flagrant violence “to stop it.” Additionally,
the panel called for the UN to have a “rapid and effective deployment capacity” so
that it could deploy peacekeepers more rapidly. This could involve options ranging
from national troops predesignated and trained for UN missions to a standing UN
military force.
Reflective of the gap between the member-states’ rhetoric and reality, such calls
for a more effective UN peace-enforcing ability have often drawn accolades from
national leaders and sometimes even pledges of support. However, change has been
slow and limited. As one analyst explains the resistance of countries to further empow-
ering the UN, “Robust peace enforcement is beyond the capacity of the United Nations.
The Security Council does not have the stomach for it, contributing countries don’t
want to put their troops under other commanders and then have to answer questions
at home when their troops get killed.”19

Peace Enforcement: Humanitarian Intervention or Neocolonialism? Doubts about a

www more aggressive UN military role are not just based on nationalism and other such
factors. There is also a concern that creating a more powerful, proactive UN will un-
WEB POLL
dermine the sovereignty of the smaller LDCs and that the UN will become a neocolo-
The United Nations and nial tool of the big powers. In the words of one UN report, “there is the understandable
International Security and legitimate concern of member-states, especially the small and weak among them,
about sovereignty.”20 The chaos and abuses that engulf weak countries sometimes
render them mere legal fictions that have no coherent government, and they are con-
sidered so-called failed states. In such a situation, other states may have powerful
emotional and political incentives to intervene, either to alleviate the suffering or to
take political advantage of the turmoil. One observer notes, for example, that “the new
rule whereby human rights outrank sovereignty must still prevail, because the old rule
is simply dead.” The problem, the analyst continues, is the “places where this new rule
could be applied all too easily: weak states” (Luttwak, 2000:61). That, arguably, allows
powerful states like China to continue to abuse human rights while small countries
may be “invaded” by international security forces and have their sovereignty abridged.
To make matters worse, the concern about neocolonialism sometimes helps countries
fend off intervention even when it seems clearly justified. Despite the atrocities it
has committed in Darfur, the Sudanese government rejects UN peacekeepers on the
grounds, President Omar al-Bashir argues, that they are “part of a comprehensive con-
spiracy for confiscating the country’s sovereignty.”21 This complaint has enough reso-
nance with enough countries in the UN to have so far helped frustrate the UN’s efforts
to deploy peacekeepers to Darfur.
Other commentators worry that once the barrier of sovereignty is breached, the
powerful countries will have license through the UN to impose their will on weaker
countries. That suspicion is not voiced only from within LDCs; it also receives some
scholarly support. A study of the record from 1945 to 1990 concluded that the polit-
ical consideration the countries applied to supporting peacekeeping led to a record
during the cold war “bordering on imperialism” by the Western countries and that a
 International Security Forces 367

post–cold war “expansion of UN peacekeeping activities . . . [might] signal an era in

which sovereignty is eroded, but only for non-Western states” (Neack, 1995:194).

International Security and the Future

What does the future hold for international security? Certainly many impediments,
but it would be foolish to dismiss the idea as impossible. First, it is in almost every-
one’s interest to prevent or contain crises, and there is a growing recognition that
using an international security force cooperatively may often be a more effective way
to maintain or restore peace than is continued reliance on unlimited national self-
defense in a world capable of producing and using WMDs. As such, the peacekeep-
ing is largely a functional response to an international problem, and the increased
number of missions by the UN and regional IGOs is evidence that the international
security efforts are necessary, have achieved some successes, and almost certainly
have become a permanent part of world politics (Fortna, 2004).
Second, it is important to see that many of the shortcomings of previous interna-
tional security missions have not been due to an inherent failure of the UN. Certainly
the UN has problems, as any large political and bureaucratized organization does.
But the central problem, according to one secretary-general, is that the UN has “been
asked to do too much with too little.”22
Events in the first years of the new millennium somewhat revived interest in
strengthening UN forces and giving them more proactive authority. As has occurred
too often before, UN forces in Sierra Leone in 2000 were outnumbered, outgunned, and
hamstrung by a very limited authority to initiate action. Then after a humiliating inci-
dent in which rebels took several dozen UN peacekeepers hostage, the Security Council
more than tripled UN forces in the country and gave them a broader mandate. The
improved UN position played an important role in creating enough stability to allow
elections in 2002. Stability has continued in Sierra Leone. Reflecting that, the Security
Council ended the UN peacekeeping mission there in December 2005, replacing it
with a much smaller monitoring group to report on any future threats to peace.

Does peacekeeping work?

Sometimes it does. Haiti is one
of the recent success stories.
Here a Brazilian peacekeeper,
who is part of the UN force
that has been in Haiti since
2004, stands on guard in front
of graffiti in the slum area
Cite-Soleil in Port-au-Prince
in 2007. The desperately poor
area is now relatively peaceful,
a calm advanced in part
when UN forces arrested 400
suspected members of violent
gangs that were terrorizing the
residents.
368 CHAPTER 11 International Security: The Alternative Road

Unfortunately, such success stories are offset by others demonstrating the barri-
ers to effective peacekeeping. Darfur provides a tragic example. The effort to get a UN
force into Darfur has been extraordinarily frustrating despite continued attacks on
civilians. Part of the problem has been the resistance of Russia and China on the
Security Council to strong measures. Some of that reflects their general positions
against interventions and sanctions, but their stand also stems from self-interests.
China, for example, buys about two-thirds of Sudan’s petroleum exports. Russia also
has commercial interests in Sudan and, among other things, has sold the Sudanese
government over $500 million in weapons since 2000. Even after the UN finally au-
thorized a UN force to go to Sudan to supplement the African Union force there, the
Sudanese government refused to let it enter, and the politics of the UN prevented a
forced entry or even strong sanctions on Sudan.
Darfur also demonstrates the limitations to the idea of instituting a stronger
peace enforcement element to UN troop deployment. Sudan has responded to pres-
sure to allow UN troops in by declaring that it would consider any attempt to send in
peacekeepers without the permission of the Sudanese government a “hostile act” and
“an invasion.” This implied threat to use the Sudanese military to attack the peace-
keepers was made to dissuade countries from contributing troops, and it had its
effect. In late 2006, Jean-Marie Guehenno, head of the UN peacekeeping department,
told reporters that UN members had not been “forthcoming” with pledges of peace-
keepers for the new force authorized by the Security Council and that the UN was
neither well-enough equipped to fight a war nor powerful enough to force its way into
Darfur. As he summed up the situation, “When you try to apply peacekeeping to any
kind of situation and confuse peacekeeping with peace enforcement, you run very
quickly into great difficulties.”23 At least for Americans, the accuracy of Guehenno’s
analysis is evident in Figure 11.6.
Another approach for the immediate future may be to distinguish between types
of international security efforts, including peacekeeping and peace enforcement mis-
sions, and to handle them differently. The UN’s undersecretary-general for peace-
keeping has contended, “Peace enforcement and serious peace restoration campaigns
will . . . be the responsibility of a coalition of interested countries using their own
forces but with a green light from the Council.”24 This model is much like the NATO-
led interventions in Bosnia in 1995 and in Kosovo in 1999 and the International Force
in East Timor in 1999. This Australian-led multinational force restored stability in
East Timor before handing over responsibility for the territory to the UN in 2000.
According to this model, peace enforcement would be up to heavily armed regional
forces, with peacekeeping assigned to more lightly armed UN contingents. As one
U.S. diplomat explains it, “There has to be a peace to keep before the blue helmets are
put on the ground.”25 In the case of East Timor, at least, the model worked well. Peace
was restored and protected, and the UN established a transitional administration that
prepared East Timor for full independence in May 2002.
This model also resembles the intervention in Afghanistan beginning in 2001.
The initial action was taken under UN authority by a U.S.-led coalition of forces that
routed al Qaeda and toppled the Taliban government. Then in 2002 the UN Security
Council turned over authority to the NATO-led International Security Assistance
Force to provide security in Kabul in support of the efforts of the interim government
to begin the reconstruction of the country’s physical and political structures.
In sum, the exact configuration of international security forces in the future is
not clear. They face many problems, and there is no consensus on how to fix them.
The UN process, especially the veto in the Security Council, makes it difficult to take
action or institute change. Additionally, countries are not willing to pay enough money,
 Abolition of War 369

FIGURE 11.6 Opinions on Peacekeeping

and Peace Enforcement
Unsure Unsure
5% 5%

Favor
Favor
Oppose 34% Oppose
50%
45% 61%

Do you favor or oppose sending U.S. Do you favor or oppose sending 10,000 U.S.
troops to Darfur as a small part of a troops to Darfur as part of a UN peacekeeping
UN peacekeeping force? mission that may cost 100 U.S. lives?

One restraint on UN peacekeeping is that while most people support the concept and are even willing
to contribute a limited number of their country’s troops, support declines substantially when faced with
the possibility of sending larger numbers of troops and sustaining casualties. This attitudinal pattern
among Americans is evident here in their responses to two questions asked in the same poll. Half were
willing to send a few U.S. troops to Darfur, but when asked about sending more troops and perhaps
having 100 killed, opinion shifted, with a majority opposed. This result also relates to the discussion in
Chapter 8 about whether U.S. power has been eroded by an alleged unwillingness of Americans to
tolerate casualties to U.S. troops.
Data source: Genocide Intervention Network poll, December 2006; data provided by The Roper Center for Public Opinion
Research, University of Connecticut.

send enough troops, or give the UN enough authority to not just keep peace, but to
enforce it if necessary. There is fear, legitimate to some degree, that despite its appeal-
ing name, peacekeeping is a form of intervention that is never applied to the mighty,
only to the weak by the mighty. Yet for all the failures, half-successes, and ongoing
problems, it is also the case that international security forces have become an integral
part of world politics in the little more than half a century since they were first deployed;
they are here to stay, and we are even likely to see their use increase.

ABOLITION OF WAR

The last of the four approaches to security that we will examine in this chapter looks
toward the abolition of war. For our purposes, we will divide the discussion into two
parts: complete disarmament and pacifism.

Complete Disarmament
The most sweeping approach to arms control is simply to disarm. The principal argu-
ment in favor of disarmament is, as noted, the idea that without weapons people will not
fight. This rests in part on sheer inability. General and complete disarmament (GCD)
370 CHAPTER 11 International Security: The Alternative Road

might be accomplished either through unilateral disarmament or through multilateral

negotiated disarmament.
In the case of unilateral disarmament, a country would act on its own to dismantle
its arms. Its safety, in theory, would be secured by its nonthreatening posture, which
would prevent aggression, and its example would lead other countries to also disarm.
Unilateral disarmament draws heavily on the idea of pacifism, or a moral and resolute
refusal to fight. The unilateral approach also relies on the belief that it is arms that cause
tension rather than vice versa. Negotiated disarmament between two or more countries
is a more limited approach. Advocates of this path share the unilateralists’ conviction
about the danger of war. They are less likely to be true pacifists, however, and they
believe one-sided disarmament would expose the peace pioneer to unacceptable risk.
The GCD approach has few strong advocates among today’s political leaders.
Even those who do subscribe to the ideal also search for intermediate arms limitation
steps. Still, the quest goes on. The UN Disarmament Committee has called for GCD,
and the ideal is a valuable standard by which to judge progress as “real.”

Pacifism
The second war-avoidance approach, pacifism, relies on individuals. As such, it very
much fits in with the idea that people count and that you can affect world politics
if you try. Unlike other approaches to security, pacifism is a bottom-up approach
that focuses on what people do rather than a top-down approach that stresses
government action.
Pacifism begins with the belief that it is wrong to kill. Leo Tolstoy, the Russian
novelist and pacifist, told the Swedish Peace Conference in 1909, “The truth is so
simple, so clear, so evident . . . that it is only necessary to speak it out completely for
its full significance to be irresistible.” That truth, Tolstoy went on, “lies in what was
said thousands of years ago in four words: Thou Shalt Not Kill.”
Beyond this starting point, pacifists have varying approaches. There are universal
pacifists, who oppose all violence; private pacifists, who oppose personal violence but
who would support as a last resort the use of police or military force to counter crim-
inals or aggressors; and antiwar pacifists, who oppose political violence but would
use violence as a last resort for personal self-defense.
The obvious argument against pacifism is that it leads to getting killed or con-
quered. Those who support pacifism make several counterarguments. One is that
pacifism has proven effective. As one scholar points out, “Nonviolence is as old as the
history of religious leaders and movements.” The analyst goes on to explain that
“traditions embodied by Buddha and Christ have inspired successful modern politi-
cal movements and leaders [such as] . . . the Indian struggle for independence under
the leadership of [Mohandas K.] Gandhi and the struggle of the American blacks for
greater equality under the leadership of Martin Luther King, Jr.” (Beer, 1990:16).
Gandhi was the great Indian spiritual leader. He began his career as a London-
www trained attorney earning what was then an immense sum of £5,000 annually practic-
ing in Bombay. Soon, however, he went to South Africa, where, earning £50 a year, he
defended Indian expatriates against legal white oppression. Gandhi returned to India
SIMULATION
Make Love Not War in 1915 to work for its independence. He gave up Western ways for a life of abstinence
and spirituality. Gandhi believed that the force of the soul focused on (to use the Hindi
terms) satyagraha (truth seeking) and ahimsa (nonviolence) could accomplish what
resorting to arms could not. He developed techniques such as unarmed marches, sit-
downs by masses of people, work stoppages, boycotts, and what might today be called
“pray-ins,” whereby satyagrahi (truth seekers) could confront the British nonviolently.
 Abolition of War 371

“The sword of the satyagrahi is love,” he counseled the Indian people (Lackey, 1989:14). Web Link
Gandhi became known as Mahatma (great soul) and was the single most powerful “Shakespeare’s Pacifism,” an
force behind Great Britain’s granting of independence to India in 1947. The Mahatma article by Steven Marx in
then turned his soul toward ending the hatred and violence between Hindus and Renaissance Quarterly (1992)
Muslims in independent India. For this, a Hindu fanatic, who objected to Gandhi’s tol- arguing that the Bard’s plays
shifted from being militaristic to
erance, assassinated him in 1948. Earlier, after the United States had dropped atomic
favoring pacifism, is available at
bombs on Japan, Gandhi was moved to write that “mankind has to get out of violence http://cla.calpoly.edu/~smarx/
only through nonviolence. Hatred can be overcome only by love. Counter-hatred only Publications/pacifism.html.
increases the surface as well as the depth of hatred.” One has to suspect that had he
been able to, Gandhi would have repeated this to the man who shot him.
Pacifists, especially antiwar pacifists, would also make a moral case against the
massive, collective violence that is war. They would say that no gain is worth the loss.
This view, they would argue, has become infinitely more compelling in the nuclear
age. Consider the description of Nagasaki filed by the first reporter who flew over the
city after a U.S. bomber dropped an atomic bomb, killing at least 60,000 people.
“Burned, blasted, and scarred,” he wrote, “Nagasaki looked like a city of death.” It was
a scene, he continued, of “destruction of a sort never before imagined by a man and
therefore is almost indescribable. The area where the bomb hit is absolutely flat and
only the markings of the building foundations provide a clue as to what may have been
in the area before the energy of the universe was turned loose” (Lackey, 1989:112).
Pacifists contend that even by the standards of just war conduct ( jus in bello) adopted
by nonpacifists, any nuclear attack would be unconscionable.
A final point about pacifism is that it is not an irrelevant exercise in idealist philos-
ophy. There are some countries, such as Japan, where at least limited pacifism represents
a reasonably strong political force. Moreover, in a changing world, public opinion, eco-
nomic measures, and other nonviolent instruments may create what is sometimes
called a “civilian-based defense.” Indeed, there are efforts, such as the Program on
Nonviolent Sanctions in Conflict and Defense at Harvard University’s Center for In-
ternational Affairs, that are working to show that those who favor nonviolence
should not be considered “token pacifists”
who are “tolerated as necessary to fill out the
full spectrum of alternatives, with nonviolent
means given serious considerations only for
use in noncritical situations” (Bond, 1992:2).
Instead, advocates of this approach believe that
the successes of Gandhi, King, and others
demonstrate that proactive techniques, includ-
ing nonviolent protest and persuasion, non-
cooperation, and nonviolent intervention (such
as sit-ins), can be successful (Schell, 2003).
It is true that pacifists are unlikely to be
able to reverse world conflict by themselves.
They are a tiny minority everywhere. Instead,
pacifism may be part of a series of so-called
peace creation actions. It is an idea worth
contemplating.

Pacifism’s simple message that killing and war are

absolutely unacceptable is considered naïve by most
people, but perhaps those who dismiss pacifism are
cynics standing in the way of permanent peace.
372 CHAPTER 11 International Security: The Alternative Road

CHAPTER SUMMARY

THINKING ABOUT SECURITY 6. There are many powerful arguments against con-
1. The goal of the chapter is to discuss alternative tinuation of the arms race. Arms are very costly, in
paths to security. Security is not necessarily syn- direct dollars and in indirect impact on the econ-
onymous with either massive armaments or with omy. Arms are also very dangerous and add to the
disarmament. There are four approaches to secu- tensions that sometimes erupt in violence.
rity: unlimited self-defense, limited self-defense, 7. During the 1990s, efforts increased to regulate
international security, and abolition of war. The arms. Several START treaties, renewal of the Nu-
first was the subject of the last chapter. This chap- clear Non-Proliferation Treaty (NPT), the Com-
ter investigates the other three. prehensive Test Ban Treaty (CTBT), conventional
2. There are four possible approaches to ensuring se- weapons inventories, conventional weapons trans-
curity. They involve restrictions on the number of fer regulation, and biological and chemical arms
arms; their development, testing, and deployment; control are among the efforts made. There are heavy
restrictions on certain types of weapons; and the domestic pressures from the military-industrial-
transfer of weapons. Additionally, the standards congressional complex and sometimes from the
of evaluation are determined by domestic norms, public against arms control.
domestic collective security forces, domestic dis- 8. There are a number of ways to implement ap-
armament, and the established domestic conflict- proaches to arms control, including arms reduc-
resolution mechanism. Despite all of the protections tions, limits on the expansion of arms inventories,
and dispute-resolution procedures provided by a and prohibitions against conventional arms trans-
domestic system, security is a relative term, thus fers and nuclear proliferation.
making full security impossible.
INTERNATIONAL SECURITY FORCES
LIMITED SELF-DEFENSE THROUGH ARMS CONTROL 9. Some people favor trying to achieve security
3. Some people believe that, because of the nature of through various international security schemes.
humans and the nature of the international sys- Collective security, peacekeeping, and peace en-
tem, unlimited self-defense is the prudent policy. forcement are among the most significant attempts
Advocates of this approach are suspicious of arms of an international security effort. The most likely
control. focus of this approach would be the United Na-
4. Limited self-defense is one means of alternative tions with a greatly strengthened security mandate
security. People who favor limited self-defense and with security forces sufficient to engage in
would accomplish their goals through various peace enforcement, rather than just peacekeeping.
methods of arms control.
5. From the standpoint of pure rationality, arms con- ABOLITION OF WAR
trol, or the lack of it, is one of the hardest aspects 10. Abolition of war is a fourth approach to security.
of international politics to understand. Virtually One way to avoid war is through general and com-
everyone is against arms; virtually everyone is for plete disarmament. This makes violence difficult
arms control; yet there are virtually no restraints and may also ease tensions that lead to violence.
on the explosive arms escalation in which we are Individual and collective pacifism is another way
all trapped. It is a story that dates back far into our to avoid violence. Pacifists believe that the way to
history, but unless progress is made, we may not start the world toward peace is to practice non-
have a limitless future ahead. violence individually and in ever-larger groups.

For simulations, debates, and other interactive activities, a chapter quiz, Web links,
and much more, visit www.mhhe.com/rourke12/ and go to chapter 11. Or, while
accessing the site, click on Course-Wide Content and view recent international
relations articles in the New York Times.
 Key Terms 373

KEY TERMS

African Union Conventional Forces Missile Technology Control peace enforcement

Anti-Ballistic Missile in Europe Treaty Regime (MTCR) peacekeeping
Treaty (ABM) (CFE) national technical means Strategic Arms Limitation
Anti-Personnel Mine dual-use technology (NTM) Talks Treaty I (SALT I)
Treaty (APM) Economic Community Non-Proliferation Treaty Strategic Arms Limitation
arms control of West African States (NPT) Talks Treaty II (SALT II)
Biological Weapons (ECOWAS) North Atlantic Treaty Strategic Arms Reduction
Convention general and complete Organization (NATO) Treaty I (START I)
Chemical Weapons disarmament (GCD) on-site inspections (OSI) Strategic Arms Reduction
Convention (CWC) Intermediate-Range Organization for Security Treaty II (START II)
collective security Nuclear Forces and Cooperation in Strategic Offensive
Comprehensive Test Ban Treaty (INF) Europe (OSCE) Reductions Treaty
Treaty (CTBT) iron triangle pacifism (SORT)
C H A P T E R

12
National Economic THEORIES OF INTERNATIONAL POLITICAL ECONOMY
Economic Nationalism

Competition: Economic Internationalism

Economic Structuralism
THE WORLD ECONOMY: GLOBALIZATION

The Traditional Road AND INTERDEPENDENCE

Trade
Expanding Trade
Factors Promoting Expanded Trade
International Investment
Our wealth increased Foreign Direct and Portfolio Investment
By prosperous voyages I often made. International Investment and Multinational
—William Shakespeare, The Comedy of Errors Corporations
Monetary Relations
I greatly fear my money is not safe. THE WORLD ECONOMY: DIVERSE CIRCUMSTANCES
—William Shakespeare, The Comedy of Errors North-South Patterns
North-South Economic Patterns
North-South Societal Patterns
Evaluating the North-South Gap
Mixed Data on Development
Uneven Patterns of Development
NATIONAL ECONOMIC RELATIONS
North-North Economic Relations
Changes in the North’s Economic Climate
Changes in the North’s Political Climate
North-South Economic Relations
The South’s Reform Agenda
The North’s Response to the South’s
Reform Agenda
New Developments in North-South
Competition
South-South Economic Relations
APPLIED ECONOMIC NATIONALISM
Using Economic Means to Achieve Economic Ends
Trade and Investment Barriers
Trade and Investment Supports
Using Economic Means to Achieve Political Ends
THE FUTURE OF ECONOMIC NATIONALIST POLICY

In this chapter and the next one, you will be asked to evaluate different CHAPTER SUMMARY
approaches to the global economy. One, economic nationalism, argues
that tariffs and other protectionist measures are valid ways to protect a
country’s industries and workers. Representing this view is the group of
Australians protesting what they see as the negative impact of free trade
on their country.
 National Economic Competition: The Traditional Road 375

IVEN THE DEGREE TO WHICH this text has already discussed the interplay of poli-

G tics and economics, you have probably concluded correctly that, to a significant
extent, economics is politics and vice versa. Chapter 8, for example, discusses
the elements of national economic power and also how economic power is applied
by states to achieve their diplomatic goals. This chapter and the next explore the
international political economy (IPE), that is, how economics and politics inter-
twine. The subject of this chapter is economic competition among countries, the tra-
ditional IPE approach (Goddard, Cronin, & Dash, 2003). We begin by explaining IPE
theories and also the general state of the world economy before turning to national
economic competition. Then chapter 13 discusses international economic cooperation,
the alternative IPE path.
It is important before delving into the subject to familiarize yourself with the dis-
tinctions between some economics terms that you will encounter frequently in this and
the next chapter. Gross national product (GNP), also called gross national income
(GNI), is the value of all domestic and international economic activity by a country’s cit-
izens and business. Gross domestic product (GDP) is the value of all economic activity
within a country by its own and foreign individuals and companies. Some sources use
raw numbers to report GNP and GDP, while others adjust these two measures for
purchasing power parity (PPP, as in GNP/PPP, GDP/PPP). This process adjusts the
GNP and GDP to a relative value against the U.S. dollar based on differentiations in the
cost of food, housing, and other “local” purchases. For example, the unadjusted 2005
per capita GNPs of the United States and Mexico are $43,740 and $7,310 respec-
tively. Because it is the standard against which other currencies are measured, the
U.S. GNP/PPP remains the same ($43,740), while Mexico’s GNP/PPP ($10,030) is 37%
more than its unadjusted GNP because of the lower cost of living in Mexico. By contrast,
Japan’s per capita GNP/PPP ($31,410) is 19% lower than its unadjusted GNP ($38,980)
because of its relatively high cost of living compared to the United States.
Both measures have advantages and disadvantages. GNP does not take prices of
locally produced and consumed items into account. But GNP-PPP misses the fact that
many items we all consume come through international trade, and prices of a barrel
of imported petroleum or an imported computer are pretty much the same, whether
you are paying for them in U.S. dollars, Mexican pesos, or Japanese yen. Finally, it is
important to understand the difference between current dollars and real dollars.
Current (inflated) dollars report values in terms of the worth of the currency in the
year being reported. Real (constant, uninflated) dollars express value in terms of a base
year adjusted for inflation. For example, if your current dollar earnings were $50,000
a year in 2006 and you got a raise to $60,000 in 2008, but there was 10% annual in-
flation, then using 2006 as the base year, your real dollar earnings in 2008 would be
just $55,000 with the other half of your $10,000 raise being offset by inflation.
A final technical note is about sources and statistics. You may find that the data Web Link
used here for any given indicator may vary somewhat from another source. The reason The United Bank of Switzerland
is that for most of the data the methodology used to calculate it varies among report- analyzes the PPP factor among
ing organizations, such as the World Bank, IMF, WTO, UN, and U.S. government. major world currencies by
Second, the data itself is imperfect. For example, if you have ever been paid for an comparing the prices of a Big
Mac hamburger at McDonald’s
odd job such as cutting grass or babysitting and not reported the income, then you
restaurants around the world. To
have detracted from the precise calculation of your country’s GNP. Economic data for learn more, go to the UBS site
poorer countries is especially imperfect, given the limited resources those countries’ www.ubs.com and type “Big
governments have to collect statistics. None of this means that you can ignore the data. Mac” into the search window.
Instead, it means that it is best to concentrate on trends, such as the rapid growth
of international trade, and on major differences, such as the per capita income gap
between the wealthy and poor countries. For instance, whatever the precise amount,
376 CHAPTER 12 National Economic Competition: The Traditional Road

trade has risen vastly during the last half-century. Also, whether the difference in per
www capita wealth between Americans and Mexicans is $36,430 measured in unadjusted
GNP or is $33,710 measured in GNP-PPP, the key point is that it is huge.
MAP
Gross National Income
Per Capita THEORIES OF INTERNATIONAL
POLITICAL ECONOMY

As chapter 1 discusses, many political scientists believe that economic forces and
conditions are the key determinants of the course of world politics. The various the-
ories that these scholars have advanced to explain the interaction between politics
and economics can be roughly divided into economic nationalist, economic interna-
tionalist, and economic structuralist approaches. Each of these three approaches pur-
ports to describe how and why conditions occur and also offers prescriptions about how
policy should be conducted. These descriptions and prescriptions are summarized in
Table 12.1. You should further note that economic nationalism is a realpolitik school
of IPE, while economic internationalism and, especially, economic structuralism are
liberal schools.

Economic Nationalism
The core of economic nationalism is the realpolitik belief that the state should use
its economic strength to further national interests. By extension, economic nation-
alists also advocate using a state’s power to build its economic strength. Early eco-
nomic nationalism writings include those of the first Secretary of the U.S. Treasury
Alexander Hamilton in his Report on Manufactures (1790) and German economist
George List’s influential study National System of Political Economy (1841). In the lat-
ter, List argued that the prosperity of individuals was inextricably linked to that of
their nation and its political expression, the nation-state. Therefore, List advocated
strong government action to promote and protect domestic industries. He rejected
the idea of free trade and instead believed in protectionism and other trade policies
designed to gain an economic advantage. List also argued for government subsi-
dies for industry, government investment in transportation, education, and other
infrastructure improvements that would benefit the economy. Economic nationalists
also believe that conflict characterizes international economic relations and that
the international economy is a zero-sum game in which one side can gain only if
another loses. From the economic nationalist perspective, political goals should gov-
ern economic policy because the aim is to maximize state power in order to secure
state interests.
To accomplish their ends, economic nationalists rely on a number of political-
economic strategies such as exploiting weaker countries. Colonialism (imperialism)
seeks national economic gain by directly controlling another land and its people. It
was this motive that propelled Europeans outward to conquer and build the great
colonial empires. Classic colonialism has largely died out, but many observers charge
that neocolonialism (neoimperialism, indirect control) continues to exist, with the
powerful economically developed countries (EDCs) of the North dominating and
exploiting the less developed countries (LDCs) of the South. Economic nationalists
also advocate furthering their country’s policy goals by using economic incentives,
such as foreign aid and favorable trade terms, and economic disincentives, such as
sanctions. For example, a U.S. State Department official justified putting “pressure on
the Cuban government through the embargo and [other sanctions]” on the grounds
 Theories of International Political Economy 377

TABLE 12.1 Approaches to International Political Economy

Economic Nationalism Economic Internationalism Economic Structuralism

Associated terms Mercantilism, economic Liberalism, free trade, Marxism, dependency,

statecraft free economic interchange, neo-Marxism, neoimperialism,
capitalism, laissez-faire neocolonialism
Primary economic States, alliances Individuals, multinational Economic classes (domestic
actors corporations, IGOs and state)
Current economic Competition and conflict National competition but Conflict based on classes of
relations based on narrow national cooperation increasing; countries; wealthy states
interest; zero-sum game non-zero-sum game exploit poor ones; zero-sum
game
Goal for future Preserve/expand state power; Increase global prosperity Eliminate internal and
secure national interests international classes
Prescription for Follow economic policies that Eliminate/minimize role of Radically reform system to
future build national power; use politics in economics; use end divisions in wealth and
power to build national politics power between classes of
economy countries
Desired relationship Politics controls economic Politics used only to promote Politics should be eliminated
of politics and policy domestic free markets and by destruction of class
economics international free economic system
interchange
View of states Favorable; augment state Mixed; eliminate states as Negative; radically reform
power primary economic policy states; perhaps eliminate
makers states
Estimation of Impossible; humans and Possible through reforms Only possible through radical
possibility of states inherently seek within a modified reform; revolution may be
cooperation advantage and dominance state-based system necessary
Views on No responsibility to help. Can be achieved through aid, Exploitation of countries must
development Also could lose national loans, investment, trade, and be ended by fundamentally
of LDCs advantages by creating other assistance within current restructuring the distribution
more competition, higher system; will ultimately benefit of political and economic
resource prices all countries power

Conceptual sources: Isaak (2000). Balaam & Veseth (1996), Gilpin (1996), author.

Analysts take very different approaches in describing how the international political economy works
and in prescribing how it should work.

that they “can be and are a valuable tool for . . . protecting our national interests.”1
Protectionism, such as tariffs, and domestic economic support, such as tax breaks for
companies that manufacture exports, are a third set of tools that economic nationalists
favor. Because they favor using economic measures as a policy tool, economic nation-
alists are suspicious of free trade and many other aspects of economic globalization on
the grounds that these take away important economic levers and thus reduce their
state’s sovereignty and its power.

Economic Internationalism
A second theoretical and policy approach to IPE is economic internationalism, which
is also commonly called economic liberalism. Other associated terms include capital-
ism, laissez-faire, and free trade. Economic internationalists are liberals. They believe
378 CHAPTER 12 National Economic Competition: The Traditional Road

that international economic relations should and can be conducted cooperatively

because, in their view, the international economy is a non-zero-sum game in which
prosperity is available to all. To spread prosperity, economic internationalists favor
freeing trade and other forms of economic interchange from political restrictions.
Therefore, economic internationalists (in contrast to economic nationalists) oppose
tariff barriers, domestic subsidies, sanctions, and any other economic tools that dis-
tort the free flow of trade, investments, and currencies.
The origins of economic liberalism lie in the roots of capitalism. One early pro-
ponent of capitalist theory, Adam Smith, wrote in The Wealth of Nations (1776) that
people seek prosperity “from their regard to their own interest” and that this self-
interest constituted an “invisible hand” of competition that created the most efficient
economies. Therefore, he opposed any political interference in trade. Smith argued
that “if a foreign country can supply us with a commodity cheaper than we ourselves
can make it, better buy it of them with some part of the produce of our own industry,
employed in a way in which we have some advantage.”
The pure capitalism advocated by Smith has few adherents today. Instead, most
modern economic liberals favor a “mixed economy” using the state to modify the
worst abuses of capitalism by preventing the formation of monopolies and by taking
other steps to ease the brutal competition and unequal distribution of wealth inher-
ent in capitalism. At the international level, the liberal approach of modified capital-
ism makes its adherents moderate reformers who would alter, but not radically
change either capitalism or the state-based international system. Instead they would
use intergovernmental organizations (IGOs), such as the International Monetary
Fund (IMF), to promote and, when necessary, to regulate international economic
interchange. Modern liberals also favor such government interference as foreign
aid and a degree of concessionary trade agreements or loan terms to assist LDCs
to develop.
In sum, modern economic liberals generally believe in the capitalist approach
of eliminating political interference in the international economy. They are modi-
fied capitalists, though, because they also favor using IGO and national govern-
ment programs for two ends: (1) to ensure that countries adopt capitalism and free
trade, and (2) to ease the worst inequities in the system so that future competi-
tion can be fairer and current LDCs can have a chance to achieve prosperity. Thus
economic liberals do not want to overturn the current political and economic
international system.

Economic Structuralism
Advocates of the third major approach to IPE, economic structuralism, believe that
economic structure determines politics; they argue that the way the world is organized
economically determines how world politics is conducted. Economic structuralists
contend that the world is divided between have and have-not countries and that the
“haves” (the EDCs) work to keep the “have nots” (the LDCs) weak and poor in order
to exploit them. To change this, economic structuralists favor a radical restructuring
of the economic system to end the uneven distribution of wealth and power. There
are several subsets of economic structuralist thought.
Marxist theory is the first of these subsets. It is based on the ideas of Karl Marx,
who with Friedrich Engels in The Communist Manifesto (1848) depicted the struggle
between the propertied and powerful bourgeoisie and the poor and oppressed proletariat
over the distribution of wealth as the essence of politics. The first Soviet Communist
Party chief, V. I. Lenin, applied Marxism to international politics. He argued in
 Theories of International Political Economy 379

Imperialism: The Highest Stage of Capitalism (1916) that capitalist,

bourgeois leaders had duped their proletariat workers into support-
ing the exploitation of other proletariat peoples through imperialism.
Thus, the class struggle also included an international class struggle
between bourgeois and proletariat countries and peoples.
Dependency theory, like Marxism, holds that underdevelop-
ment and poverty in the LDCs is the result of exploitation by the
EDCs. However, dependency theorists focus on nationalist effort
and, unlike Marxists, do not believe that the workers of the world
would unite if freed of their respective bourgeoisie masters. Depen-
dency theorists contend that the EDCs’ exploitation of the LDCs is
driven by the EDCs’ need for cheap primary products (such as oil),
large external markets for the EDCs’ expensive manufactured goods,
profitable investment opportunities, and low-wage labor. Because
this economic structure enriches the EDCs and impoverishes the
LDCs, dependency theories argue that the EDCs follow policies
designed to keep LDCs dependent. For this reason, economic struc-
turalists call the system that has been created neocolonialism because
it operates without colonies but is nevertheless imperialistic. The de-
pendency of LDCs is maintained in a number of ways. Some are sub-
tle, such as giving rich countries much greater voting power in the
IMF and some other IGOs, thereby allowing the EDCs to manipulate
the world economy to their advantage. Other techniques are less sub- This Egyptian editorial drawing captures the belief of
economic structuralists that the world’s wealthier
tle. These include corrupting and co-opting the local elite in LDCs by countries exploit the world’s poorer countries and
allowing them personal wealth in return for governing their coun- want to keep them weak and poor in order to
tries to benefit the North or, if the local elite is defiant, using military dominate and further take advantage of them.
force to overthrow it and replace it with a friendlier regime.
World systems theory traces the current global economic inequality to the rise
of the Western political and economic domination, especially following the Western-
centered industrial revolution in the mid-1700s. Theorists who take this perspec-
tive contend that the evolution of the Western-dominated capitalist system has
distorted development, leaving vast economic, social, and political disparities
between the core of the international system (the EDCs) and the periphery (the
LDCs). As for countries such as South Korea, which have achieved considerable
prosperity, world system theorists are apt to argue that these semiperiphery states Web Link
have achieved success only by dutifully serving the interests of the EDCs. Like For a site lauding the
all economic structuralists, world systems theorists favor dramatic changes to virtues of capitalism, go to
www.capitalism.org/. For an
the prevailing economic model of Western-dominated capitalism. Sharing the opposing view, visit the Web site
view of dependency theorists, and unlike their Marxist counterparts, world sys- of the World Socialist Movement
tem theorists do not believe that capitalism and the state system should be wiped at www.worldsocialism.org/.
away. Yet even those not totally opposed to capitalism are skeptical of it. They
contend that it can be supported only if it is radically reformed from exploitive
capitalism to cooperative capitalism, which recognizes the moral and practical
advantages of ensuring at least minimally acceptable economic and social conditions
for all.
Whatever their exact theoretical perspective, economic radicals would argue, for
example, that the U.S. role in the Persian Gulf region dating back to World War II
epitomizes neoimperialism. The devil’s bargain, in the view of structuralists, is this:
The United States protects or tries to protect the power of obscenely rich, profoundly
undemocratic rulers of oil-rich states, such as Saudi Arabia and Kuwait, as it did in
1991. In return, the king and emir keep the price of oil down, which benefits the
380 CHAPTER 12 National Economic Competition: The Traditional Road

economies of the United States and other oil-importing EDCs. Crude oil sold for an
average of about $20 a barrel (equal to 42 gallons) in 1990. After the Persian Gulf
War through 1999, oil prices dropped to an average of about $17 a barrel, a signifi-
cant economic advantage to the United States and other imported-oil-dependent
countries. Then, beginning in 2000, oil prices began to rise, and when the U.S. in-
vaded Iraq in 2003, economic radical theorists were suspicious that Washington
was motivated, at least in part, by the prospects of driving down prices by domi-
nating and increasing Iraqi oil production. From this perspective, it is possible to
argue that, in light of the continued oil price increases, the postwar pressure on
the Arab oil states to democratize is not the result of a sincere U.S. concern with
democracy but a threat to undermine the autocratic “oil sheiks” if they do not reduce
petroleum prices.
Before turning to the main theme of this chapter, national economic competition,
it is important to set the stage by surveying the state of the world economy. This
analysis contains two parts. First, we will see that the world economy is globalizing and
becoming increasingly interdependent. Second, we will take up the often-dramatic
differences in economic circumstances that exist among the world’s countries.

THE WORLD ECONOMY:

GLOBALIZATION AND INTERDEPENDENCE

Economic interchange across political borders predates written history. Trading records
extend back to almost 3000 B.C., and archaeologists have uncovered evidence of trade
in the New Stone Age, or Neolithic period (9000–8000 B.C.). Since then, economics
has become an ever more important aspect of international relations. This is evident
in expanding world trade and the resulting increased interrelationship between in-
ternational economic activity and domestic economic circumstances. It has reached
the point that we can speak of true economic globalization and its accompanying
interdependence among countries. We can see this by examining trade, investment,
and monetary exchanges and by looking at both the general expansion of these factors
and the uneven pattern of each.

Trade
In the quest for prosperity, the international flow of goods and services is a vital
concern to all world states. Merchandise trade is most frequently associated with
imports and exports. These goods are tangible items and are subdivided into two
main categories: primary goods (raw materials) and manufactured goods. Services
trade is less well known but also important. Services include things that you do for
others. When U.S. insurance companies earn premiums for insuring foreign assets
or people, when American movies earn royalties abroad, when U.S. trucks carry
goods in Mexico or Canada, the revenue they generate constitutes the export of ser-
vices. Note that exported services do not have to be performed overseas. American
colleges and universities, for example, are one of the country’s largest exporters of
services. During 2006, the 591,050 foreign students studying in U.S. colleges spent
over $14 billion for tuition, room, board, and the other aspects of college life rang-
ing from textbooks to pizzas. Whatever their nature, services are a major source of
income for countries, amounting to 19% of the entire flow of goods and services
across international borders.
 The World Economy: Globalization and Interdependence 381

Expanding Trade FIGURE 12.1 Increasing World Trade

Whether merchandise or services, trade is booming.
In 1913 it totaled only $20 billion. In 2005 world World exports (U.S.$ billions) $12,418
trade stood at $12.4 trillion. Even considering infla-
tion, this represents a tremendous jump in world
$6,912
commerce, as indicated in Figure 12.1. Trade growth
has been especially rapid during the post–World
War II era of significant tariff reductions. During the $3,492
1913–1948 period of world wars, depression, and
trade protectionism, trade increased at an average $1,524
annual rate of only 0.8%. The postwar period has seen $20 $33 $12 $53 $94 $304

average annual increases at a rate of about 6% over-

all. The rapid growth of trade has been caused by a
number of supply and demand factors and the imple- 1913 1928 1933 1948 1958 1968 1978 1988 1998 2005

mentation of a free trade philosophy. Trade, measured here in the export of goods and services calculated in
current dollars, has grown meteorically in recent decades. This growth
Factors Promoting Expanded Trade
is one sign of the vastly increased importance of international
A number of supply and demand factors have spurred economic relations to all countries and their citizens.
increased trade. First, improved production technology
Data source: World Bank.
has increased the supply of goods. The industrial
revolution, which began in 18th-century Europe, led
to mass manufacturing. As production rates sped up, manufacturers increasingly had
to seek markets for their burgeoning supply of goods farther away and even across
national borders. This, in turn, created an increased demand for resources to supply the
factories. Trade in raw materials imported by the industrialized European countries
peaked during the 19th century and through World War II, as increased demand out-
stripped domestic resource availability. This demand has decreased for several reasons, Web Link
such as the use of synthetic materials in the manufacturing process. Today, primary You can find more information
on the less familiar type of
products account for only about one-fifth of all goods in international trade. Materialism
trade—services—at the World
is a third factor that accounts for increased trade. The rise in the world’s standard of Trade Organization’s Web site,
living, especially in the industrialized countries, has also contributed to “demand” www.wto.org/english/tratop_e/
pressure on international trade as people have sought more material goods and serv_e/serv_e.htm.
improved services. A fourth factor, improved transportation, has increased our ability
to carry the growing supply of materials and manufactured goods and to meet the
demand for them. Modern developments in transportation technology have also
greatly decreased per-unit transportation costs.
Wide acceptance of a free trade philosophy is a fifth factor that has promoted
trade. The early advocacy of free trade by Adam Smith and others came into vogue in
the wake of the global trauma of the great economic depression of the 1930s and
World War II in the early 1940s. One cause for these miseries, it was believed, was
the high tariffs that had restricted trade and divided nations. To avoid a recurrence, www
the United States took the lead in reducing barriers to international trade. As a result,
countries accounting for 80% of world commerce began in 1947 to cooperate to re- SIMULATION
duce international trade barriers through the General Agreement on Tariffs and Free Trade or Domestic
Trade (GATT). This and a series of related efforts have dramatically decreased world Industry? You Make the
Decision
tariff barriers. American import duties, for example, dropped from an average of 60%
in 1934 to a current level of less than 4%. The tariffs of other EDCs have similarly
dropped, and while the duties charged by LDCs tend to be higher, the average global
tariff rate is only about 15%. Tariffs, as we will soon see, are not the only trade bar-
rier, but their sharp reductions have greatly reduced the cost of imported goods and
have strongly stimulated trade.
382 CHAPTER 12 National Economic Competition: The Traditional Road

International Investment
Trade has not been the only form of international economic activity that has grown
rapidly. A parallel globalization of international investment has created increased
financial interdependence among countries. For example, Americans had $7.2 tril-
lion in investments, bank deposits, property, stocks, and other assets abroad in 2004,
making not only individual investors but also the health of the entire U.S. economy
dependent to a degree on the state of the world economy. Conversely, foreigners had
a $12.7 trillion stake in the United States, and the ebb and flow of those funds into
the country are also a central factor in Americans’ prosperity, or lack of it. Of the va-
riety of assets that countries have in one another, the two most important types are
foreign direct investments and foreign portfolio investments.

Foreign Direct and Portfolio Investment

When Americans invest in British or Nigerian companies, or when Canadians invest
in U.S. corporations, a web of financial interdependency is created. There are two
types of foreign investments, foreign direct investment (FDI), which involves buy-
ing a major stake in foreign companies or real estate, and foreign portfolio invest-
ment (FPI) in stocks and bonds on a smaller scale that does not involve controlling
companies or owning real estate. Such investments have long existed, but they have
accelerated greatly in recent decades as Figure 12.2 shows for FDI. American indi-
viduals and corporations are the leading investors, with $2.1 trillion in FDI and an-
other $4 trillion in FPI abroad in 2005.
The flow of investment capital into and out of countries is an important factor in
their economic well-being. FDI and, to a degree, FPI help support and expand local
businesses, thus supplying jobs. Foreign investors can also help finance a country’s
budget deficit. The U.S. Treasury would be in dire straits if it were not for the $2.1
trillion in bonds (44% of the total public debt) it has sold to foreigners to fund the
chronic U.S. federal budget deficits (see Figure 8.8, p. 254). Foreign investments also
create earnings for investors. American investors earned $463 billion in 2005 alone
from their overseas investments.

International Investment and Multinational

FIGURE 12.2 World FDI Corporations
$10.1 The world’s multinational corporations (MNCs), also
Total world FDI (U.S.$ trillions)
called transnational corporations (TNCs), account
$6.1
for the lion’s share of the global FDI. MNCs are busi-
nesses that operate in more than one country. These
operations can involve sales outlets, mines and other
$3.0 natural resource–extraction processes, farms and
$1.8
$1.0 ranches, manufacturing plants, or offices that supply
$0.7
banking and other services. MNCs date back at least
to the Dutch East India Company in 1602, but it
1980 1985 1990 1995 2000 2005
was not until after World War II that they began
One indication of economic globalization is the rapid increase in recent to expand in number and size at a rapid pace. Now
decades of foreign direct investment (FDI) capital that people and over 60,000 MNCs exist, and they pack enormous
corporations have invested in other countries. As you can see, total economic muscle. Their annual revenues (gross cor-
global FDI rocketed from $700 billion in 1980 to $10.1 trillion in 2005. porate product, GCP) provide one good measure.
Data source: United Nations Conference on Trade and Development. The top 500 MNCs alone had a collective GCP of
 The World Economy: Globalization and Interdependence 383

$18.9 trillion in 2005. That is equal to an astound- FIGURE 12.3 An MNC and National
ing 42% of the world’s collective GNP ($45 trillion) Economies
that year. Figure 12.3 presents a second perspective on
$377 $371
GCP by comparing the revenues of the largest MNC GCP/GNP
with the GNPs of a number of countries. ExxonMobil (U.S.$ billions)
was the world’s largest MNC in 2005, with revenues $282
of $377 billion. It had $208 billion in assets and
84,000 employees. These numbers give ExxonMobil
$187
an “economy” the size of Sweden’s. Indeed, Exxon-
Mobil’s GCP is larger than the GNPs of all but 16 of
the world’s countries. $96
The immense wealth of the largest MNCs gives
them considerable influence (Navaretti & Venables,
2004). As a key player in the world’s energy supply,
ExxonMobil wields considerable influence on policy Exxon Sweden Indonesia Iran Chile
in that area. For example, critics charge that it has
Comparing the gross corporate product (GCP, revenues) of the world’s
been a leader in the campaign to block or limit restric- largest multinational corporation in 2005, ExxonMobil, with the gross
tions on the use of fossil fuels as part of the effort to national product (GNP) of countries highlights the economic power of
slow or reverse global warming. Two such critics, U.S. MNCs. As evident, ExxonMobil’s 2005 GCP ($377 billion) was about
senators Olympia Snowe (R-ME) and Jay Rockefeller equal to Sweden’s GNP, a third larger than that of Indonesia, the world’s
(D-WV) wrote to the head of ExxonMobil accusing fourth most populous country (pop.: 221 million); twice as big as Iran’s;
the corporation of supporting supposedly scientific and about four times Chile’s GNP. Indeed, Exxon’s GCP equaled 68%
groups who “are producing very questionable data” of the combined GNPs of all the countries of sub-Saharan Africa, with
its 741 million people.
that denies the reality of global warming. Snowe and
Rockefeller went on to urge ExxonMobil to accept Data sources: Fortune, July 24, 2006; World Bank.
what they said was its “responsibility to the global
community to refrain from lending their support, financial and otherwise, to bogus,
nonsubstantiated articles and publications on climate change that serve only to cloud
the important global debate of rigorous peer-reviewed research and writings.”2 Exxon-
Mobil did not reply, but a Wall Street Journal editorial characterized the letter as part of
Did You Know That:
a “campaign of intimidation against any global warming dissent.” The editorial went
on to wonder how the senators could “say that everyone agrees on the facts and con- ExxonMobil’s 2005 profit of
$39.5 billion was alone larger
sequences of climate change,” yet “at the same time [be] so afraid of debate that they than the GNPs of about half
want Exxon to stop financing a doughty band of dissenters who can barely get their of the world’s countries.
name in the paper.”3

Monetary Relations
The globalization of trade and investments means that monetary relations have
become an increasingly significant factor in both international and domestic eco-
nomic health. The globalization of money is one aspect. A torrent of money amount-
ing to about $700 trillion a year is circulating around the world. Much of this flow
involves exchanging one country’s currency for another’s, greatly increasing the
importance of exchange rates. These are the values of currencies in relation to
each other—for example, how many U.S. dollars per Japanese yen or EU euro
and vice versa. Exchange rates are important because they strongly influence
the flow of trade and investment. Consider, for example, the changes in the ex-
change rate of the U.S. dollar against the yen and the euro in Figure 12.4. It shows
that the U.S. dollar increased in strength between 1997 and 1998; dropped dra-
matically in the next two years; then rose, dropped, and rose yet again in more
384 CHAPTER 12 National Economic Competition: The Traditional Road

FIGURE 12.4 Dollar versus Yen/Euro Exchange Rates

135 1.2
131 Exchange rate per dollar
130 1.12 Yen
Euro 1.1
125

Euros per dollar (avg.)

Yen per dollar (avg.)
1.0
120 121 118
0.94
115
0.9

110

108 0.8
105
0.76
100 0.7
1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007

Currencies vary in their value against one another. As you can see, the exchange rate of Japan’s yen
(¥) and the U.S. dollar between 1997 and 2007 varied from a low of $1 ¥106 in 2000 to a high of
$1 ¥140 in 1998 before settling into a narrower exchange range of $1 ¥118 through mid-2007.
The exchange rate of the European Union euro (€), which was launched on January 1, 1999, at first
went to $1 1.11€ in 2001, then began to decline steadily to a low in mid-2007 of $1 0.76 €.
Changes in exchange rates have an important impact on the flow of trade, investment, and other
international financial transactions.
Note: Yen and euro values average per year.
Data source: U.S. Federal Reserve Board.

recent years. By contrast, the number of euros a dollar could buy rose at first after
the EU’s currency was introduced in 1999, before starting a continuing downward
trend.
Weak and strong currency should not be equated with good and bad, though,
because exchange rates are a two-edged sword. For example, there are advantages
and disadvantages for Americans both when the dollar is strengthening (can buy
more units of a foreign currency) and weakening (can buy fewer units of a foreign
currency). According to the U.S. Federal Reserve Board, these advantages and dis-
advantages are:4

Strong Dollar
Advantages for Americans Disadvantages for Americans
>Lower prices for foreign >U.S. exports more costly in foreign
goods/services. markets.
>Lower prices on foreign >U.S. firms must compete with lower
goods/services restrain inflation. priced imports.
>Less costly to travel to foreign >More costly for foreigners to visit/
countries. study in U.S.
>Foreign stocks/bonds cost less. >U.S. stocks/bonds cost more abroad,
restricting flow of capital to the U.S.
 The World Economy: Globalization and Interdependence 385

Weak Dollar
Advantages for Americans Disadvantages for Americans
>Easier for U.S. firms to sell goods >Higher prices for foreign
and services abroad. goods/services.
>Less pressure on U.S. firms to >Higher prices on imports add to
keep wages/benefits low. higher cost-of-living.
>More foreign tourists can afford >More costly to travel to foreign
to visit the U.S. countries.
>U.S. investments more attractive >Foreign investments more costly.
to foreign investors.
As this comparison of a “strong” and a “weak” U.S. dollar reveals, the phrase “it
depends” captures whether, overall, Americans should be cheered or dismayed by
whichever way the dollar is trending versus any or all currencies. A stronger dollar
tends to increase low-cost imports, keeping down the cost of living. But at the same
time, the inflow in imports can cause the shutdown of competing U.S. firms, putting
Americans out of work. A weaker dollar may restrain imports and even save U.S.
jobs, but the cost of the foreign goods that Americans want or need will go up. Some
economic factors are even affected both ways. Low-cost goods help keep down infla-
tion because of a strong dollar, but at the same time the strong dollar makes it harder
for foreigners to buy U.S. stocks and bonds. This may lead to increased inflation if
the U.S. Treasury offers higher interest rates on the U.S. bonds it sells to finance the
federal government’s chronic budget deficits. The interest rate on these bonds affects
interest rates across the U.S. economy, increasing the cost of loans for mortgages,
vehicles, college study, and many other usages.
To accommodate the globalization of money, there has been a parallel globalization
of financial services, such as banking. In recent decades, banks have grown from
hometown to national to multinational enterprises that operate in many countries
and whose power to lend money—or not—gives them immense financial clout. Just
the top 10 multinational banks controlled assets of over $15 trillion in 2006, giving
them immense financial power in the global economy because of the influence they
have over the flow of loans, investment capital, and other financial transactions
across borders. For example, multinational banks in 2006 had about $25.6 trillion in
Web Link
foreign loans, foreign currency holdings, and other foreign assets. American banks alone
have $5.8 trillion in such assets. Moreover, many of these multinational banks are in- The historical exchange rate
between the U.S. dollar and a
volved in international financial services beyond traditional banking. For example, range of other currencies
the world’s largest bank in 2007, Citigroup (assets: $1.9 trillion), owns, among other can be found at www.eh.net/hmit/
companies, Diners Club International and the Smith Barney brokerage house. exchangerates/.
A third aspect of monetary relations is the international regulation of money.
As trade, transnational investing, and other forms of international economic inter-
change increased during the 20th century, it became clear that some mechanisms
needed to be created to help regulate the rapidly expanding flow of currencies across
borders. The most pressing problem was, and still is, how to stabilize the values of
currencies against one another. To that end, there have been a number of regional
and global efforts to keep exchange rates stable and to otherwise ensure that cur-
rency issues do not impede economic activity. Globally, the International Monetary www
Fund (IMF), which is detailed in chapter 13, has the primary responsibility for
attempting to maintain monetary stability. Regionally, the most advanced efforts ANALYZE THE ISSUE
have been in the European Union, which has the European Central Bank and now a The IMF and the International
common currency, the euro. Political Economy
386 CHAPTER 12 National Economic Competition: The Traditional Road

THE WORLD ECONOMY:

DIVERSE CIRCUMSTANCES

Every country, whatever its domestic economic system, has citizens whose circum-
stances range from wealthy to poor. Similarly, the countries of the world range from
rich to destitute.
Traditionally, analysts have divided the world’s countries into two spheres. One,
the North, consists of the generally prosperous EDCs. The other sphere, the South,
is composed of the relatively, and in some cases absolutely, poor LDCs. The poorest
of these LDCs are low-income countries also referred to as least developed countries
(LLDCs). The North-South designations result from the fact that most EDCs lie to
the north in North America and Europe and most LDCs are farther to the south in
Africa, Asia, and Central and South America.
From a closely parallel categorization, Table 12.2 looks at world countries using
Did You Know That:
four income categories (high, upper middle, lower middle, and low) established by the
The world had 946 billion-
World Bank. It is important to note that the North and South categories are somewhat
aires with collective assets of
$3.52 trillion in 2007. The
fluid and do not exactly match the dichotomy between the high-income countries and
richest was Bill Gates with a the low- and middle-income countries. One variance is that five oil-producing coun-
net worth of $56 billion, an tries (Brunei, Kuwait, Qatar, Saudi Arabia, and the United Arab Emirates), which are
amount about equal to the usually classified as part of the South, fall into the high-income group. Second, two of
GNP of Vietnam and its
the newly industrializing countries (NICs) in the South, Singapore and South Korea,
83 million people.
have achieved high-income status. If Taiwan were considered a country, it too would
fall into this group. Third, a few high-income countries such as Israel, Malta, and
Cyprus (with a well-off Greek Cypriot majority and a much poorer Turkish Cypriot
minority) do not fall easily into either the North or South category. Also worth not-
ing is the status of Russia, other former Soviet republics (FSRs), and the former
communist countries of Eastern Europe. Some of these have a reasonable industrial
base, but only one, Slovenia, falls in the high-income group. Russia and most of the
other European FSRs are middle-income countries, and Tajikistan and most of the
other Asian FSRs are low-income countries.

TABLE 12.2 Country Economic Classification

Income Range Number of % of World Average Per Average Per
Category Per Capita GNP Countries Population Capita GNP Capita GNP/PPP
High Income $10,066 42 16% $32,112 $31,009
Upper Middle Income $10,065–$3,256 38 9% $4,769 $10,186
Lower Middle Income $3,255–$826 53 38% $1,686 $5,829
Low Income $825 59 37% $587 $2,258

Note: The Holy See is not included.

Data source: World Bank.

Whether you measure economic circumstances in per capita GNP or per capita GNP/PPP, the world is
generally divided into two spheres, the “economic haves” in the high-income group and the “have nots”
made up of the low- and middle-income countries. The high-income countries include a small minority
of the world’s countries and an even smaller minority of its population, yet generate an average per
capita income that is 21 (GNP) or 7 (GNP/PPP) times the average for the rest of the world.
 The World Economy: Diverse Circumstances 387

North-South Patterns
Despite some imprecision, the North-South dichotomy is used in this analysis
because it captures the reality that there is a great divide in the world pattern of
economic and social circumstances. In addition to their economic circumstances,
most of the countries of the South share a history of having been colonially or neo-
colonially dominated by one or another EDC, often within living memory. Accord-
ing to economic structuralists, this dependency relationship continues to a great
degree today.

North-South Economic Patterns

“Significantly poorer” is an apt phrase to begin any analysis of the economies of the
South compared to those of the North. The most common measure of any country
or group of countries’ economic prosperity is per capita GNP or GDP. By this mea-
sure, as detailed in Figure 12.5, there is a huge wealth gap between the high-income
countries and the middle- and low-income countries. Furthermore, while the wealth
gap has narrowed a bit in recent decades, the improvement is so slight that it would

FIGURE 12.5 Per Capita Wealth

$35,000
Per capita GDP (constant U.S.$, 2000)

$30,000 1980
1990
2000
$25,000 2005

$20,000

$15,000

$10,000

$5,000

$0
High income Middle income Low income High income Middle income Low income
PPP PPP PPP
This figure shows the per capita GDPs between 1980 and 2005 of the high-, middle-, and low-income
countries calculated in constant (real, controlled for inflation) dollars. The group to the left shows GDP
unadjusted for cost of living, and the group on the right shows GDP adjusted for cost of living (PPP:
purchasing power parity). Note the huge gap on both measures between the high-income countries
and the middle- and low-income countries. The gap is narrower on the PPP basis, but only marginally
so. Also notice that while the per capita income of all three groups has increased on both measures,
the income gap has remained relatively stable. As one example, for every dollar of per capita GNP
generated by the low-income countries in 1980, the high-income countries generated $68; in 2005
that ratio had improved only slightly to $1:$59. The PPP measure tells the same general story, with
the wealth ratio between high-income countries and low-income countries narrowing only a bit,
$1:$16 to $1:$13.
Data source: World Bank.
388 CHAPTER 12 National Economic Competition: The Traditional Road

take centuries at the current rate to approach anywhere near equal prosperity for all
countries.
There are many reasons why the South fares so poorly compared to the North,
and these are taken up later in this chapter and in chapter 13. One reason, though, is
that the LDCs take in considerably less capital through such methods as exports and
the inflow of investment money, both of which are major sources of income for the
EDCs. Trade differences leave the North advantaged. Overall, the EDCs, which form
22% of the world’s countries and have 16% of the world population, exported 77% of
all the goods and services in 2005. That left less than a quarter of all exports for the vast
majority of countries and people that make up the South. Moreover, China accounted
for 33% of all LDC exports, while many other LDCs had few. For example, sub-
Saharan Africa, with 11% of the world population, managed to ship only 1.5% of
world exports. Trade differences are depicted in Figure 12.6. What products a country
exports also makes a difference. A diverse range of manufactured goods and services
exports account for more than 90% of what EDCs sell abroad. By contrast, manufac-
tured goods and services make up only 69% of middle-income country exports and
only 50% of low-income country exports. These LDCs rely more than do EDCs on
the export of primary products, such as food, fibers, fuels, and minerals. This disad-
vantages the LDCs because the price of primary products is often unstable and also
generally has not risen as fast as the price of manufactured goods.
Similarly, investment differences also favor the North. First, the North has the flow
of most investment capital. Of the 500 largest MNCs, 89% are based in an EDC, with
U.S. firms alone making up 34% of the Global 500. Only 13 of the 150 LDCs are the
site of the headquarters of one of the Global 500, and of 56 such firms based in an
LDC, 20 are in China and another 12 are in South Korea. Therefore the flow of the
profits that the 500 largest MNCs generate ($535 billion in 2005) mostly benefits the
North. Second, about two-thirds of all FDI, and an even greater percentage of FPI,
flows from one EDC to another, rather than to the South where the need is greatest.
Furthermore, the newly industrialized countries and a few others receive most of the
investment capital, and most LDCs receive little or none. China alone is the recipient
of over 40% of the FDI going to LDCs.

FIGURE 12.6 North/South Share of Exports

South
$889
South
24%

North North
76% $8,281

Total exports Exports per capita

The pattern of world trade is very uneven. The North exports over three times more goods and services
than does the South. Trade is even more unbalanced on a per capita basis, with the North’s exports
exceeding the South by more than 9 to 1.
Data source: World Bank.
 The World Economy: Diverse Circumstances 389

North-South Societal Patterns

Economic data can seem dry until you realize the social implications of differences
in per capita GNP and similar statistics. Consider what it means for their compara-
tive quality of life that on a per capita basis, the people who live in the EDCs pro-
duce $61 for every $1 produced by those living in the LLDCs. In these countries,
about 1 billion people live in extreme poverty, which the World Bank defines as less
than $1 a day. Another 1.5 billion people struggle to sustain themselves on between
$1 and $2 a day, with the two impoverished groups combining to make up almost
40% of the world’s population. In societal terms, these numbers translate into poor
health care, limited education, lack of safe drinking water, inadequate nutrition,
and other grim realities. For example, 38% of all adults in LLDCs are illiterate;
less than 1% of EDC adults are. Medical facilities in the South are overwhelmed.
Each physician in an LLDC is responsible for about 2,500 people, 10 times as many
people as a physician in the North. Moreover, hundreds of millions of people in
the South have no access to any kind of health care. These conditions lead to dis-
ease and death on a wide scale. A child born in an LLDC is 17 times more likely to
die before age 5 than a child in an EDC. Having children is also risky, with the
maternal mortality rate in LLDCs 48 times higher than in EDCs. Overall, just 58%
of the people in LLDCs (compared to 91% in EDCs) live to age 65, and the average
person in a low-income country dies 20 years earlier than a resident in a high-
income country.

Evaluating the North-South Gap

Although annual data about economic and societal factors are important in evaluat-
ing the indisputable gap between North and South, such statistics do not tell the
whole story. Trends are of at least equal importance. Are things getting better or
worse? On this question, the data is mixed and somewhat subject to interpretation.
There is also a highly uneven pattern of development.

Mixed Data on Development

Statistics about development in the South do not tell a consistent story. Analyses of
conditions in the South tend to be gloomy, but it is important to see that significant
advances are being made. Table 12.3 shows that, by many health, education, and eco-
nomic measures, circumstances in the LDCs are improving. A greater percentage of
the LDC population has access to safe water and adequate sanitation facilities. There
has been a marked decrease in child mortality and substantial increase in overall
longevity in the LDCs. Literacy has improved. As a whole, the LDCs have at least a
little greater share of the world’s collective GNP, its trade, and its inflow of FDI capi-
tal. These are not the only signs of progress. For example, a distressing 19% of the
LDCs’ population still lives in extreme poverty, but that is a distinct improvement
over the 28% in that condition in 1990.
It is also important to see, though, that while such statistics are a cause to cele-
brate the progress that has occurred, they are not an indication that conditions are
good or that many of the LDCs do not continue to need substantial help. One factor
is that the stark contrast between conditions in LDCs and EDCs still endures. Yes, for
example, it is good that the child mortality rate in the LDCs has plummeted, but even
in the middle-income countries it remains six times what it is in the high-income
countries. Second, as evident in Figure 12.5 and to a degree in Table 12.3, the
progress that is being made is often painfully slow. Third, statistics can sometimes
tell almost contradictory stories. Extreme poverty provides an illustration. As noted,
390 CHAPTER 12 National Economic Competition: The Traditional Road

TABLE 12.3 Indicators for LDCs

Category Measure Income group 1960 1980 1990 2005*

Health Population with clean water Low income 21% 38%

Middle income 48% 62%
Population with improved sanitation Low income 64% 75%
Middle income 78% 84%
Children dying before age 5 Low income 25% 18% 15% 12%
Middle income 19% 8% 6% 4%
Life expectancy (years) Low income 43 52 56 59
Middle income 46 65 68 70
Education Literacy rate (%) Low income 48% 62%
Middle income 81% 90%
Economy Share of world GDP Low income 3% 3%
Middle income 14% 17%
Share of world exports Low income 2% 2%
Middle income 15% 22%
Share of inflow of FDI Low income 1% 3%
Middle income 10% 31%
Population Share of world population Low income 28% 31% 33% 37%
Middle income 50% 50% 49% 47%

*2005 or most recent year available

Note: In some categories, reliable data prior to 1990 is not available for these income classifications. For 1960 and 1980 the data is omitted in the
economic categories because the large number of former colonies becoming independent and entering the low-income categories skews the data.
Data source: World Bank.

This table indicates that by many health, education, and economic measures, the situation of the LDCs is
getting better. Notice that the middle-income countries have often progressed faster than the low-income
countries. Indeed, for share of world exports and for share of world GDP, the low-income countries have
not progressed. It is also important to note that some of the signs of progress here are partially offset for
the low-income countries by their increasing share of the world population and, conversely, enhanced for
the middle-income countries by their decreasing share of the global population.

the percentage of people in the LDCs who live in extreme poverty has decreased, but
because populations continue to rise rapidly, especially in the LLDCs, there are still
more than 1 billion people in these countries trying to survive on the equivalent of
less than a dollar a day.

Uneven Patterns of Development

The good news about the growth in the economies of the LDCs and the improvements
www in their societal conditions is also tempered by uneven patterns of development.
Disparity between countries is one warp in the overall picture of economic growth in
MAP
the South. As noted, the middle-income countries have advanced more quickly than
Central Government the low-income countries. There are also regional differences. Some regions such as
Expenditures Per Capita East Asia have made major economic and societal strides. At the other end of the re-
gional spectrum, sub-Saharan Africa has struggled and in some cases lost ground. Its
per capita GNP is less than half that of the other LDCs. The region’s merchandise
exports are only 31% manufactured goods and services, compared to 64% for all LDCs.
Of the FDI going to LDCs, only 5% goes to sub-Saharan countries. Life expectancy in
 The World Economy: Diverse Circumstances 391

the region has actually declined from 49 years in FIGURE 12.7 Uneven Income Distribution
1990 to 46 years now, and two-thirds of the popula-
tion will die before reaching age 65. About a third of Share of income
sub-Saharan Africans were malnourished in 1990,
62% Richest 20% Poorest 20%
and no improvement has been made. The child mor-
of the population of the population
tality rate has fallen from a horrific 19% in 1990, but
is still a disturbing 17%. The litany of woes need not 46%
continue to make the point that the overall data for
the LDCs does not always reflect the wide array of 36%
circumstances among them.
Disparity within countries is a second characteris-
tic of LDC economic development that can make the
overall data deceiving. All countries have disparities
11%
in income and other measures of wealth within their
population, but unequal distribution is particularly 5%
3%
strong within most LDCs. More than in EDCs, the
LDCs tend to have a very small, very wealthy upper Brazil United States Japan
class and a vast, very poor lower class. Figure 12.7 The unequal distribution of income within countries is shown for each
shows the percentage of income earned by the of three countries by a pair of moneybags. One represents the share of
wealthiest and poorest 20% each of the populations the country’s income that goes to the richest 20% of its citizens and
of an LDC (Brazil), an EDC ( Japan), and the world’s the other, the share of the country’s income that goes to the poorest
largest economy (the United States). 20% of its citizens. All countries have unequal distributions, but LDCs
Negative by-products of development are a third generally have the greatest inequality. Notice that in Japan, the
aspect of the uneven pattern because some of the wealthiest 20% make only about 3 times as much as the country’s
poorest citizens. In Brazil the top 20% make about 31 times what the
South’s advances have been partially offset by several poorest 20% receive. The “wealth gap” in the United States is greater
negative side effects. Explosive population growth has than in most EDCs.
occurred as a result of medical advances, which have
Data source: World Bank (2005).
decreased infant mortality and increased longevity.
The population of sub-Saharan Africa, for instance,
rose 253% from 210 million in 1960 to 741 million in 2003, and the region is expected
to reach 866 million people by 2015. Rapid urbanization has also beset the South, as
the hope of finding jobs and better health, sanitation, and other social services has
set off a mass migration from rural areas to cities in the South. Between 1965 and
2005 the share of the South’s population living in urban areas grew from 22% to
43%, and it is projected to reach 53% in the year 2020. There are now approxi-
mately 175 cities in LDCs with populations over 1 million, and of the world’s 20
most populous cities, all but 3 (Tokyo, New York, and London) are in the LDCs.
This rapid urbanization process has created a host of problems. One is the weak-
ening of the social order. Older tribal, village, and extended-family loyalties are
being destroyed, with few new offsetting values and other social support systems to
take their place. Second, the hope of employment is often unfulfilled, and unem-
ployment and poverty in many cities is staggering. Third, struggling LDC govern-
ments are often unable to meet the sanitary, housing, and other needs of the flood
of people moving to or being born in the cities. About a quarter of the South’s
urban population is living in conditions below the minimum standards for health. Web Link
In Nigeria, for example, less than half the urban households are connected to a The Population Reference
sewer; only about half the urban population in Haiti has access to safe drinking Bureau has good commentary,
water; and 58% of Bangladesh’s urban population lives in dwellings without a maps, and data on urbanization
in the South and the rest of the
“durable structure,” that is, in makeshift shacks. world at www.prb.org/. Type
Industrial and environmental dangers have also been undesirable by-products of “urbanization” into the search
development. The impact of development on the environment is detailed in chapter 15, window.
392 CHAPTER 12 National Economic Competition: The Traditional Road

but a brief note of the dangers is appropriate here. One problem is rapid deforestation
due to demands for wood, expanding farm and ranch acreage, and general urban
growth. Loss of these forests increases soil erosion and has numerous other deleterious
effects. LDC industrial development also adds to air, water, and soil pollution, and
most major cities in the LDCs are now far more polluted than are major metropolitan
areas in the EDCs.

NATIONAL ECONOMIC RELATIONS

A key economic change within countries since the end of the 1800s has been the ex-
pansion of government regulation of their national economies. Even countries like
the United States that see themselves as bastions of capitalism have myriad laws that
significantly restrain economic competition by barring monopolistic practices and other
unwanted manifestations of capitalism. Furthermore, most countries have accepted
the notion that the self-interest of individual citizens must be balanced to some degree
with the collective welfare of the national society.
Web Link In contrast to domestic systems, the international system is still a largely unreg-
The best source for data on the
ulated arena in which countries pursue their economic self-interests in competition
economic position of the North is with other countries and in which there is little sense of shared responsibility for the
the Web site of the Organization welfare of the global society. Two factors have eased the maneuvering for economic
for Economic Cooperation and advantage among states. One is globalization and its attendant economic theory,
Development at www.oecd.org. economic internationalism, which has made countries much less likely now than
The most recent data overview
can be found by entering
earlier to use tariffs and other forms of barriers to manipulate the free exchange of
“Economic Outlook” and the trade, investment capital, and currencies. Second, as chapter 13 discusses, the last
current year in the search window half century or so has seen the emergence of a greater global sense that the EDCs
of the OECD’s home page to find should help the LDCs. An illustration is foreign aid. It did not exist before World War
the latest issues of its monthly II; now over $100 billion in aid flows annually from North to South. Thus, the dog-
publication of that name.
eat-dog image of the international political economy is not quite as stark as it once
was. Nevertheless, competition and self-reliance, not cooperation and mutual assis-
tance, remain the prevailing IPE realities. This struggle for advantage and prosperity
exists both between and within the North and South.

North-North Economic Relations

Although the North is extraordinarily advantaged compared to the South, the EDCs
face many economic challenges. In addition to the normal competitive tensions of
the system, economic and political changes are creating strong competitive pressures
on the EDCs.

Changes in the North’s Economic Climate

One factor accounting for increasing economic tensions within the North is that its
economic growth rate has slowed. The average annual real GDP growth rate of the
EDCs during the 1980s was 3.4%; during the 1990s that declined to 2.3%; and between
2000 and 2006 it rebounded only marginally to 2.6%. Europe and Japan in particular
have been in the doldrums since the early 1990s, as detailed in Figure 12.8. During
2000–2006, Japan’s economy had a lackadaisical 1.5% annual growth rate, and the
EU’s was barely better at 1.8%. Although the reasonably healthy U.S. growth rate of
3% for the period was much better than its main economic rivals, U.S. GDP growth
 National Economic Relations 393

was below its even more robust levels of the 1980s FIGURE 12.8 North’s GDP Growth
and 1990s.
Annual real GDP growth
The EDCs’ slowing economies have sharpened
United States European Union Japan
the competition among them to export their prod-
ucts to one another and to the LDCs and to protect 4.2
their domestic economies against imports. Adding to 3.9
this pressure, there is increasing competition from 3.6
3.0
China and a few other LDCs in the manufacturing 2.8
and service sectors. To make matters worse, compa-
nies in the North have tried to deal with the compe- 1.8 1.8
tition in some cases by reducing their workforces
1.5
and using robotics and other high-tech manufac-
turing processes to replace workers. In other cases, 0.7
companies have eliminated entire plants, laid off their
employees, and moved operations overseas to take 1982–1992 avg. 1993–1999 avg. 2000–2007 avg.
advantage of cheaper labor. Many of the workers
Economic competition among the countries of the North has been
displaced by the shift of manufacturing jobs abroad sharpened by the falloff in economic growth since the booming 1980s.
are either unemployed or find jobs in the usually The real (controlled for inflation) growth rates of the European Union
lower-paying service sector. Now even service sector and, even more so, of Japan dropped sharply in the 1990s. Japan’s
jobs are increasingly subject to foreign competition. recovered partially after 2000, but the EU countries did not. By contrast,
In what is called “outsourcing,” companies in the the U.S. growth rate improved during the 1990s, but then in recent
United States and other EDCs are hiring workers years declined somewhat.
abroad to do data entry work, to respond to service Note: The EU data includes only those countries using the euro.
telephone calls and e-mail inquiries, to write soft- Data source: OECD.
ware, and do many other service jobs. The economic
impact of outsourcing has created mounting domestic pressures on EDC govern-
ments to protect jobs. For example, a survey of Americans that asked them to
name their high-priority foreign policy goals found that more Americans listed
protecting jobs from foreign competition as a high priority (78%) than those who
chose stopping the spread of nuclear weapons (73%) or combating international
terrorism (71%).5

Changes in the North’s Political Climate

Declining political accord is also increasing the sense of rivalry among the EDCs. The
end of the cold war and with it the looming threat of the Soviet Union lessened the
need for strategic cooperation among the industrialized Western allies. As a result,
the long-standing economic disputes among the so-called trilateral countries ( Japan,
the United States/Canada, Western Europe) that had once been suppressed in the
name of allied unity have become more acrimonious. The strains between the United
States, on one hand, and France, Germany, and other European countries, on the
other, over the U.S. determination to topple the Iraqi regime of Saddam Hussein in
2003 is but one of the latest examples of the discord.
The United States and most of Europe have also parted ways on a range of political
issues. There is broad resentment of President George W. Bush’s unilateralist approach
to foreign policy and many of his specific policies. Europeans were distressed by his
refusal to support the Kyoto Protocol on the environment, by his rejection of the
International Criminal Court, by his abrogation of the Anti-Ballistic Missile Treaty,
and, perhaps most of all, by his military action against Iraq. These political strains
have intensified the U.S.-European rivalry and entwined it with European concerns
about U.S. hegemony. Most European leaders believe that increasing the size and
394 CHAPTER 12 National Economic Competition: The Traditional Road

unity of the European Union is one way to maintain their region’s global power and,
especially, to counterbalance the United States. As President Jacques Chirac of
France put it, developing “genuine European power” is necessary to stand up to “the
United States, and other emerging economic blocs, like China, India, Brazil and
South America, [and] Russia.” He warned, “Only our political power at the heart of
the European Union today allows us to defend our interests,” and that if Europeans
became disunited, “we will no longer have any power.”6

North-South Economic Relations

Economic relations between the North and South are often strained, with four factors
of particular importance:
■ Anger in the South over its past and present treatment by the North. Most
of the countries of the South were once colonies of or otherwise dominated
and exploited economically by one or another country in the North.
Moreover, remnants of the exploitive relationship often continue to exist.
Typically during the colonial period, the dominant country imported
fuels, agricultural produce, ores, and other raw material from the colony
and exported manufactured goods to it. Although formal colonialism
has almost entirely disappeared, the same flow of goods continues to a
degree. Most of Africa was once a colonial dependent of a country now in
the EU, and still today, 63% of EU imports from Africa are raw materials,
and another 17% are low-tech goods such as textiles and clothing. By
contrast, manufactured goods make up 81% of EU exports to Africa.
■ New assertiveness by the LDCs of their claim that they have a right to a
much greater share in the world’s economic wealth.
■ The North’s general rejection of the South’s demands for unilateral and
compensatory economic reforms by the North. Instead, as we shall see, the
North is apt to demand reciprocal concessions from the South. These the
South often rejects on the grounds that its plight is partly the fault of
the North to begin with and, furthermore, that it is unfair to ask relatively
poor countries of the South to swap concessions with the richer countries
of the North.
■ Increase in the number of LDCs that have become major exporters of manu-
factured goods and, to a lesser degree, services that directly compete with the
EDCs’ products and services, thus undermining EDC dominance in those
economic areas.

The South’s Reform Agenda

To understand the South’s perspective, a basic point to realize is that many people
there share parts of the structuralist argument that by design or happenstance the in-
ternational system works to the advantage of the EDCs and serves to keep the LDCs
relatively poor and dependent. As a result, the LDCs have joined together to insist
on a more equitable distribution of global financial resources. To promote that,
a coalition of LDCs cooperated to convene the first United Nations Conference
on Trade and Development (UNCTAD) and to create an LDC organization, the
Group of 77, both in 1964. Now the Group of 77 has grown to 130 members, and
the ongoing UNCTAD organization includes all countries with UN membership
and serves as a vehicle for the LDCs to discuss their needs and to press demands on
the North.
 National Economic Relations 395

The new LDC coalition soon led to an assertive

South pressing the North to reform its policies and
the international economic system. Proposals were
first put forward in the Declaration on the Estab-
lishment of a New International Economic Order
(NIEO), which was drafted by UNCTAD and ap-
proved by the UN General Assembly in 1974. These
largely unmet demands have regularly been reiter-
ated, refined, and expanded by UNCTAD and the
Group of 77. A recent reassertion occurred at the
2005 summit meeting of the South’s leaders in
Doha, Qatar (the first was in Havana, Cuba, in 2000).
The leaders adopted the “Doha Program of Action”
that reiterated a number of earlier declarations and
pledged its signatories to “continue strengthening the
unity and solidarity among countries of the South,
as an indispensable element in the defense of our right
to development and for the creation of a more just
and equitable international order.”7 The document
asserted the need for policy change in these areas:
■ Trade reforms, such as lowering EDC barriers
to agricultural imports, that will expand and
stabilize markets for LDC exports.
■ Monetary reforms that will create greater sta-
bility in the exchange rates of LDC curren-
cies and will also moderate the sometimes
sudden and significant ebb and flow of FDI
and FPI into and out of the LDCs.
■ Institutional reforms that will increase the Many in the South are demanding reforms called the New International
South’s influence over policies of the Interna- Economic Order on the grounds that trade and other aspects of
international economic exchange favor the countries in the North. This
tional Monetary Fund, the World Bank, and
placard in Malaysia protesting the newly negotiated free trade agreement
other such international financial agencies. with the United States portrays Malaysia in the position of being an
Currently, as chapter 13 details, wealthy economic puppet.
countries dominate decision making in these
institutions.
■ Economic modernization of LDCs with significant assistance by EDCs through
such methods as relaxing patent rights to permit easier technology transfers
to LDCs.
■ Greater labor migration for LDC workers seeking employment in more pros-
perous EDCs.
■ Elimination of economic coercion, including the use of sanctions, which the
South tends to see as a tool by which EDCs punish and control LDCs.
■ Economic aid to the South by the North that steadily increases to meet the UN’s
target of 0.7% of each EDC’s GNP, to be spent on promoting the development
of LDCs. The current aid level is a bit over 0.2%.
Web Link
■ Debt relief granted by EDCs, the World Bank, and the IMF, based on reducing
A good source for the South’s
the money owed to them by many LDCs and eliminating the debt for the view on the international political
poorest LLDCs. Currently, LDCs owe about $2.4 trillion and have annual economy is the Web site of the
debt service payments over $400 billion. Group of 77 at www.g77.org.
396 CHAPTER 12 National Economic Competition: The Traditional Road

FIGURE 12.9 EDC Foreign Aid Effort The North’s Response to the South’s
Reform Agenda
0.44%
Aid as a percent of EDCs’ GNP To say that the North has ignored the South’s plight
would be inaccurate. But it would also be mislead-
ing to assert that the North has gone very far to meet
the South’s demands. One reason for the North’s
0.33% 0.33% limited response is the view of many that the main
0.33%
barriers to the South’s development are internal
0.30% issues, including political instability, inefficient
0.25%
0.26% market controls, and corruption. Taking that view,
0.22% President George W. Bush told one international
development conference that LDCs had not done
1960 1970 1980 2000 2003 2004 2005 2006
enough to reform themselves and that, “The lesson
The foreign aid effort of the EDCs, measured as the share of their of our time is clear: When nations close their mar-
annual combined GNPs that they give in foreign aid, has declined kets and opportunity is hoarded by a privileged few,
since the 1960s. As you can see, the effort dropped sharply until no amount—no amount—of development aid is
2000, before recovering somewhat in recent years. ever enough.” Instead of more aid, the president
Data source: Organization of Economic Cooperation and Development. continued, the LDCs needed to accept “a higher,
more difficult, more promising call . . . to encourage
sources that produce wealth: economic freedom, political liberty, the rule of law and
human rights.”8
Domestic resistance within the EDCs is a second factor that has limited their
response to the LDCs. Many of the changes that the LDCs want are very unpopular
in the EDCs. Greater labor migration is an example. One survey of the United States,
Canada, Japan, and four Western European EDCs found that an average of 71% of
their people opposed increased immigration.9 Foreign aid also faces stiff opposition
in most EDCs. A recent poll of Americans found 64% saying that U.S. foreign aid was
too high and only 9% thinking it was too low. Another 24% thought the aid level was
about right, and 2% were unsure.10 The result of this attitude in the United States and
elsewhere is, as Figure 12.9 shows, that foreign aid as a percentage of the EDC’s GNP
has gone down, instead of up toward the 0.7% standard that the LDCs and the UN ad-
vocate. Yet other steps that would help LDCs are opposed by one or another power-
ful interest group in the EDCs. For instance, numerous LDCs have large sugar crops,
yet their exports to the United States are limited by an array of strict quotas and high
tariffs that the U.S. sugar lobby has persuaded the U.S. government to impose. These
are a sweet deal for American sugar producers, leaving the price of U.S. sugar more
than three times the world market price. However, the protection is a bitter pill for
both American consumers, annually costing them an extra $2 billion for sugar, soda,
and other products containing sugar, and for poor LDCs that cannot export their
crop freely to the United States.

New Developments in North-South Competition

A relatively recent and growing development in North-South relations is that a
few LDCs are beginning to compete with the EDCs for markets, resources, and other
economic assets, creating global repercussions. China is the prime example. With
a 2006 per capita GNP of only $1,740, China is distinctly an LDC. Yet its overall
annual GNP of $2.3 trillion is the world’s third largest, just behind Germany and just
ahead of Great Britain. Moreover, on a PPP basis, China’s GNP ($8.6 trillion) is second
only to that of the United States ($12.4 trillion) and more than twice that of third-
place Japan ($4.0 trillion). Thus, China is an economic giant on an overall basis.
 National Economic Relations 397

Among myriad impacts, China’s large economy has increased its needs for energy
imports, which the EDCs also need. Between 2000 and 2006, China’s annual petroleum
consumption increased 63% from 70 billion gallons to 114 billion gallons. Indeed,
China now consumes 9% of the world’s annual oil supply, second only to—but still
far behind—the United States (24%). Because China produces increasingly less
petroleum than it needs, its oil imports have risen steadily and now supply half its
needs. Soaring oil prices are one outcome of the sharply increased demand for petro-
leum. There have also been diplomatic ramifications. China has resisted strong UN
intervention in Sudan to ease the situation in Darfur in part because China imports
oil from Sudan. China has also lent support to the anti-American government of
Venezuela’s President Hugo Chávez by agreeing to invest billions of dollars to mod-
ernize the country’s production facilities, and in return Chávez has guaranteed sub-
stantial deliveries of his country’s petroleum to China in the coming years. “The
United States as a power is on the way down, China is on the way up. China is the
market of the future,” Chavez predicted to explain his redirection of Venezuela’s oil
exports toward China.11
Trade is another source of tension between China and the North. A major fac-
tor has been the mounting U.S. trade deficit with China, as shown in Figure 12.10,
p. 398 located in the box “Sanctions on China?” The U.S. deficit in 2006 at
( )$233 billion set a record for any one country. The European Union also has an
escalating trade deficit with China that stood at ( )$92 billion in 2006. Some of
the trade imbalance is explainable by such economic factors as China’s vastly lower
labor costs. Some of the deficit also reflects Americans’ near insatiable appetite for
consumer goods.
However, U.S. officials and others blame part of the problem on what they term
illegal or unfair practices by China. One U.S. charge is that China does far too little
to suppress the rampant “piracy” of intellectual property. This means reproducing
and selling patented goods and copyrighted music, software, and other material.
Washington also alleges that China gives economic subsidies to its industries, enabling
them to compete unfairly with foreign companies. A third charge by U.S. officials is that
China has manipulated the exchange rate of its currency, the yuan, to keep it artifi-
cially high relative to the dollar in order to promote Chinese exports and to discour-
age foreign imports. Each of these charges, with China’s responses and subsequent
U.S. reaction, are further explained in the policy-making box, Debate the Policy
Script, “Sanctions on China?” It also asks you to help chart future U.S. economic policy
vis-à-vis China.

South-South Economic Relations

Although the South generally shows a united front in calling on the North for eco-
nomic reform, the LDCs also compete with one another. One contentious example is
the price of oil. Increased prices benefit those few LDCs that export oil, but higher
prices restrict the economies of oil-importing LDCs, which are much less able to afford
them than are the EDCs.
Additionally, LDCs compete among themselves for investment capital from the
North and for its markets. For example, Chinese goods are flooding the United
States, the EU, and other countries of the North, but only a minority of the factories
exporting goods are owned by the Chinese. The rest are owned by MNCs of the
EDCs. At one time these factories may have been in the United States and other
countries of the North and employed those countries’ workers. But in most cases, the
398 CHAPTER 12 National Economic Competition: The Traditional Road

DEBATE THE POLICY SCRIPT

Sanctions on China?
China and the United States may be on a collision course. The mands by U.S. officials that China mend its ways have been
path to conflict begins with the U.S. trade deficit with China, as backed by Congress, which, among other things, threatened in
detailed in Figure 12.10. It has been steadily mounting and 2005 to enact a 27.5% increase in the U.S. tariff on Chinese
reached $233 billion in 2006, accounting for 30% of the entire goods unless Beijing gave way. A third U.S. allegation is that
U.S. trade deficit that year. China provides economic subsidies to many of its industries,
U.S. officials put part of the blame for the deficit on China’s which gives them an unfair advantage in the international
halfhearted effort to deal with the illegal production of every- marketplace.
thing from music through movies and software, to machinery. Beijing routinely rejects such charges as unfounded, but it
The U.S. entertainment and software industries alone esti- has relented somewhat in response to increasingly urgent U.S.
mated that they lost $2.6 billion to the piracy of their products demands. There was some evidence that China was trying to
in China, for use there and for export to other countries. U.S. increase its imports of American goods. Beijing also let the
officials also claimed that Beijing is maintaining an artificially yuan drift lower against the dollar, but only by a little. The 7%
high yuan-to-dollar exchange value at a time when the dollar decline from 8.3 to 7.7 yuan to the dollar fell far short of the
has weakened against most other currencies. Repeated de- 40% drop to about 5 yuan to the dollar that some thought

FIGURE 12.10 U.S.–China Trade

U.S exports to China $288

Imports from China
Deficit with China $233
(in U.S.$ billions)

$100

$5 $52 $84 $55

$4
$15
$4 $40 $16
$10 $12
$0

1985 1990 1995 2000 2006

This figure shows two clear trends about U.S. trade with China. First, after growing only moderately in
the 1980s, it began to rise more quickly in the 1990s, then really shot up after 2000. Second, the U.S.
trade deficit with China (exports minus imports) followed a similar course, changing from a relative
balance in 1985 to a ( )$4 billion deficit in 2000, to a ( )$233 billion deficit in 2006, a year in which
China sent over $5 in goods to the United States for every $1 in American exports it took in. These
lopsided numbers have created increasing tension between the two countries.
Data source: U.S. Bureau of Economic Analysis.

plants had long ago left the North and had gone to such LDCs as Mexico. In the past
few years, however, Mexico’s role as a provider of low-cost exports to the United
States has been substantially undercut by China, where an average factory worker’s
wages are less than half those of the average Mexican worker. As a result, production
dropped 30% between 2000 and 2002 in Mexico’s maquiladora manufacturing zone
 National Economic Relations 399

would be the exchange level if the yuan were trading freely. and other debt. On the political front, opponents of strong ac-
These and other measures led to a 32% increase in 2006 of tions against China cautioned that it could react by lowering or
U.S. exports to China compared to a more modest 18% in- ending its cooperation with such U.S. goals as ending North
crease in China’s exports to the United States. Still, the size of Korea’s nuclear weapons program and having an effective UN
the U.S. trade deficit with China grew 16% from $201 billion in force intervene in the Darfur region of Sudan.
2005 to $233 billion in 2006. The Bush administration acted in 2007 to ramp up the
The issue facing Washington in 2007 was whether to con- pressure on Beijing, but U.S. moves fell far short of determined
tinue negotiating with China to increase the limited conces- retaliation. In March, the United States, alleging illegal subsi-
sions that it had made or to take strong measures to retaliate dies by China’s government to support its industries, imposed
and otherwise try to force China to change its policies. The key increased tariffs on glossy paper and intimated that other
argument for confronting China is that trade deficits cost Chinese goods might soon also face increased barriers. The
Americans workers their jobs. “Until [the Chinese] start playing following month, Washington filed two complaints with the
by the rules, our manufacturing industry will continue to bleed World Trade Organization (WTO), one alleging that China was
jobs,” charged one U.S. senator.1 Another argument for retali- failing to enforce antipiracy rules as required under inter-
ating against China might be termed the “enough’s enough” national trade law and the other protesting against policies
argument. It does not focus on one thing, but on the pattern of restricting access to U.S. products and services in China.
China allegedly not playing fairly by keeping the value of the Supporters of the administration’s actions said that they repre-
yuan high, by continuing to allow the massive pirating of U.S. sented a limited but important step to demonstrate U.S. resolve
movies and software, and by a range of other practices that to challenge China. The tariff move, for example, was the first
distort trade and investment. time in 20 years a U.S. president had ordered a tariff hike
Those who opposed sanctions on China make several against Chinese goods. Critics offered two opposite opinions.
counterarguments. One is that a major revaluing of the yuan or Some argued that China was already making concessions, and
imposing sanctions on China will not save jobs. Former Federal applying more pressure would be counterproductive because
Reserve Board Chairman Alan Greenspan told Congress that the Chinese were unlikely to risk damaging their economy by
few if any American jobs would be protected because if the making major changes quickly. From the opposite perspective,
price of Chinese goods increased, the affected items would be others charge that the Bush administration was making mini-
imported from other low-cost countries rather than supplied by moves designed more to diffuse efforts in Congress to enact
U.S. manufacturers. Opponents of retaliation against China strong retaliatory moves against China than to persuade it to
also warn that substantially revaluing the yuan or increasing reform its trade policies.
the tariff would harm most Americans. For instance, China
produces about 90% of the world’s toys, and the price of the What Do You Think?
nearly $18 billion in toys that the U.S. imports annually from Imagine you are the U.S. senator deciding on whether to vote
China would increase, making birthdays and other gift-giving on three competing measures. One is a resolution urging the
occasions more expensive. White House to follow quiet diplomacy and persuade China
It is also the case that China has used part of the inflow of to continue its economic reforms rather than imposing tariffs
U.S. currency to amass $230 billion in U.S. Treasury bonds and filing legal actions. The second measure, also a resolu-
(second only to Japan), thereby helping the U.S. government tion, supports the limited moves taken by the Bush adminis-
finance its budget deficit. A falling yuan would reduce bond tration. The third is a bill to impose a 25% tariff on all U.S.
purchases, the reduced demand would push up the interest imports from China until the president certifies that it is ful-
rate the U.S. Treasury has to pay to sell its supply of bonds, filling all its trade obligations under WTO rules. Help make
and an increase in the Treasury rate would push up U.S. con- U.S. foreign economic policy. Would you vote for or against a
sumer interest rates on credit cards, mortgages, student loans, major tariff increase on Chinese goods?

near the U.S. border. Some 850 maquiladora factories shut down and employment in
the zone declined by 20%. Since then the economic fortunes of the maquiladoras
and their Mexican workers have improved somewhat, but that has come in part at
the cost of wage restraints for low-paid workers and tax breaks to lure MNCs back to
the border.
400 CHAPTER 12 National Economic Competition: The Traditional Road

APPLIED ECONOMIC NATIONALISM

Economic nationalism is more than a theory. It also has been and remains a powerful
force in determining the economic and political policies of the world’s sovereign
states. Economic nationalists believe that a state’s political, military, and economic
powers are inextricably linked, leading them to advocate interference in the interna-
tional political economy in three ways. One is the use of a country’s economic power
to accomplish its political goals. This usage is detailed in chapter 8’s discussion of
economic sanctions and economic incentives. The second approach advocated by
economic nationalists is manipulation of a country’s international economic policy
to preserve or, even better, to enhance the national economy. The third is use of a
country’s military and other noneconomic power resources to achieve its economic
goals. These second and third uses for economic goals are our focus in the following
section.

Using Economic Means to Achieve Economic Ends

Globalization is increasingly linking the economies of all countries, and chapter 13
takes up the argument that in the long run the chances of prosperity of every coun-
try are improved if all other countries have sound economies. Be that as it may, all
countries still follow the traditional approach of shaping their economic policy pri-
marily to promote their own prosperity; the welfare of the world is a secondary issue.
To accomplish their self-interested goals, all states practice protectionism to some
degree by using a variety of tools to manipulate the flow of trade, investments, and
other forms of economic interchange into and out of the country. Each of these pro-
tectionist measures has benefits and drawbacks, a cost-benefit analysis that is taken
up in the chapter 13 section on debating the future of globalization, cooperation, and
interdependence.

Trade and Investment Barriers

Countries can erect a range of barriers to limit import or foreign investment. These in-
clude tariffs, nontariff barriers, monetary manipulation, and investment restrictions.

Tariff Barriers Restrictions on trade and investments are the most familiar form of
protectionism. Of the tools available, tariffs, taxes imposed on foreign goods imported
into a country, are the most widespread. Tariff rates are quite low relative to what they
once were, but two qualifications are important. One is that tariff rates for EDCs are
generally much lower than those for LDCs, which believe they need higher rates to
protect their smaller industries from being overpowered by foreign competition. For
example, the average U.S. tariff is 4% compared to 10% for China, 31% for Brazil, and
50% for India. Second, globally and for almost every country individually, the average
tariff on agricultural products is much higher than it is on manufactured products.
U.S. tariffs on agriculture average 10% in contrast to 3% on manufactured goods.
Beyond the normal tariff levels, countries sometimes impose economic sanc-
tions by increasing import duties in response to an alleged abuse of international
trade rules by other countries. As noted earlier, for example, President Bush fired a
warning shot related to China’s exports by using his power as president to find that
China was violating trade rules and by imposing special tariffs of an extra 11% to
20% on Chinese exports of various types of glossy paper for high-end printing and
other uses.
 Applied Economic Nationalism 401

Nontariff Barriers A less-known but more common way that countries restrict
trade is by using nontariff barriers (NTBs). Health and safety standards are one form
of NTB. These are sometimes reasonable regulations to protect the well-being of the
importing country’s citizens. At other times, they are simply an excuse for protec-
tionism, and trade disputes are common over whether the restriction is reasonable or
protectionist. One current example has been the EU’s resistance to the importation of
genetically modified (GM) crops, a barrier that hurts farmers in the United States
and many other countries that grow and seek to export GM crops. Under pressure by
the WTO, the EU relented in 2004, but many member-countries have maintained or
enacted national legislation that bars the importation or sales of GM crops. These
countries claim that GM crops pose a health threat, while the United States, Canada,
and other GM crop exporters condemn the bans as an ill-disguised effort to protect
Europe’s inefficient farms, claiming they are “driven much more by politics than by
science.”12
Quotas limiting the number of units that can be shipped are another form of NTB.
The European Union has quotas on textile imports from China that will limit the annual
growth rate on imports to 10% through 2008. Quotas are sometimes tied into tariffs.
The United States sets quotas on imported raw and refined sugar by estimating
U.S. sugar production, subtracting that from estimated U.S. needs, and permitting an
amount of sugar imports equal to the difference at a low tariff rate of $33 a ton. Any im-
ports beyond that quota face a tariff of $353 a ton. This added to the world price of sugar
($179 a ton) drives the price of nonquota sugar to over $532 a ton, and it effectively
protects the U.S. sugar industry, which sells its product domestically for $520 a ton.
Administrative requirements are a third type of NTB. These are particularly im-
portant in limiting service imports. For example, many countries license architects, www
engineers, insurance agents, stock and bond traders, and other professionals, and
these licensing requirements can be used to make it difficult for foreign professionals ANALYZE THE ISSUE
and companies to provide services in another country. One study that compared E-Commerce and the WTO
licensing and similar restrictions that 34 countries place on domestic (citizens, com-
panies) and foreign service providers found that countries almost uniformly put
more difficult requirements on foreign providers of accounting, banking, engineering,
legal, telecommunications, transportation, and other services.13

Monetary Barriers Another way that a country protects its domestic producers by
limiting imports and promoting exports is by manipulating the exchange rate so that
its currency is weaker against other currencies than it would be if it were allowed to
float, that is, trade freely. As discussed earlier, Washington alleges (and Beijing denies)
that China is keeping the value of the yuan artificially low versus the U.S. dollar.
Through mid-2005, as shown in Figure 12.11, China managed to keep the value of its
currency at a steady 8.3 yuan $1 even though during the same period the dollar
varied significantly against a “market basket” of currencies monitored by the IMF.
This monetary manipulation is one reason that U.S. exports from China and the trade
deficit with it rose so quickly.

Investment Barriers Most countries want to attract international investment because

it brings outside capital into their national economy. Yet countries are also wary of
outside control of their companies and real estate. The most common form of in-
vestment restriction limits foreign ownership of companies. All countries have some
limits. For example, foreigners are barred from controlling airlines in the European
Union, Canada, and the United States. Japan does not allow foreign ownership of its
telecommunications companies. Only citizens may own fishing and energy enterprises
402 CHAPTER 12 National Economic Competition: The Traditional Road

FIGURE 12.11 Dollar-SDR-Yuan Exchange Rates

$1-SDRs $1-yuan
Yuan per dollar
0.80 9
SDRs per dollar
0.78

0.76 8
Weaker vs. dollar
0.74

0.72 7

0.70

0.68 6

0.66 Stronger vs. dollar

0.64 5
1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007*

Countries sometimes try to manipulate their currencies to achieve certain economic goals. In order
to stimulate its exports and to attract foreign investment capital, China kept the yuan at a weak
rate of 8.3 yuan to the dollar until 2005. The artificiality of that rate is evident when compared with
the exchange rate of the dollar with SDRs (special drawing rights), a market basket of currencies
designated by the International Monetary Fund. Since 2005, China has allowed the yuan to trade with
somewhat more freedom, and it has strengthened against the dollar, just as SDRs have. However, while
SDRs strengthened against the dollar by 18% between 2001 and August 2007, the yuan strengthened
only 7%. This indicates China’s continued unwillingness to let its currency fluctuate freely.
Note: All exchange rates are yearly averages except *2007, which is August 2007.
Data source: IMF.

in Iceland. Some countries directly control companies, such as Mexico’s state-owned

oil monopoly Petróleos Mexicanos.

Trade and Investment Supports

In addition to erecting protectionist barriers to foreign trade and investment, coun-
tries also try to increase the economic prospects of their domestic products and pro-
ducers through a variety of support techniques. Subsidies, dumping, and cartels are
three of note.

Subsidies Countries give tax breaks, provide low-cost services (such as energy and
transportation), and offer various other forms of financial support to subsidize
domestic producers, who can then lower the price they charge for their product. Less
direct supports include such techniques as funding research for product development
and undertaking government trade promotion campaigns (advertising). Agriculture
is the most heavily subsidized economic sector. The EDCs provide an estimated
$280 billion annually in support of agricultural business (“agribusiness”) in those
countries. On average 30% of all agricultural income in the EDCs comes from subsi-
dies. The United States is on the low end of the subsidization scale, providing 18% of
all agricultural receipts. The EU at 33% of receipts is about average, and Japan at 56%
on the high end. Many LDCs also give subsidies, with Mexico (17%) an example. Like
other forms of economic intervention, agricultural subsidies benefit one segment of a
country’s economy at the expense in taxes and prices of the country’s citizenry and
also at the expense of foreign competitors.
Subsidies can also play an important part in the competitive position of manufac-
tured goods. For example, a major trade dispute broke out in 2005 between the
 Applied Economic Nationalism 403

United States and the European Union, with each charging

the other was violating international trade rules by provid-
ing billions of dollars in tax breaks, loan waivers, and other
economic subsidies to promote the development of compet-
ing new commercial airliners. At the center of the dispute
are Boeing’s 787 jetliner, which is scheduled to enter service
in 2008, and the Airbus 380, which is being developed by
Airbus, a subsidiary of the European Aeronautic Defense
and Space Company (EADS) and is scheduled for deliveries
beginning in 2010. At stake are tens of billions of dollars in
orders plus the prestige of being the leading commercial
aircraft producer. Each has filed various complaints with
the World Trade Organization (WTO), and in one the trade The United States and the European Union are engaged in a
organization’s judicial body ruled against U.S. policy. Both dogfight over their competing commercial airliner producers
Boeing and Airbus. The stakes run into billions of dollars. Each
contestants have also levied retaliatory tariffs on selected
combatant accuses the other of illegally subsidizing their aircraft
goods against one another in the ongoing battle. industry, and each has filed charges against the other in the
World Trade Organization.
Dumping Yet another trade tactic is dumping. This occurs
when a company, often with the support of its national gov-
ernment, violates trade laws by selling its products abroad at a price lower than what
it sells them for at home. When in 2005, for instance, Vietnamese Prime Minister
Phan Van Khai became the first of his united country’s leaders ever to visit the United
States, one item on his and President Bush’s agenda was the 27% tariff on shrimp im-
ports from Vietnam imposed by the U.S. International Trade Commission after it
found that Vietnam was dumping the seafood on the U.S. market. Similar punitive
Did You Know That:
tariffs were also put on other countries’ shrimp, ranging up to 112% on Chinese
Cotton growers in poor coun-
shrimp. Such matters may seem small, but they are not for the U.S Southern Shrimp
tries are harmed by a U.S.
Alliance, which faces competition from imported shrimp worth $5 billion annually. cotton subsidy program that
in 2003 gave American
Cartels Countries, especially EDCs, also have occasionally tried to control trade by farmers $3.2 billion in cotton
establishing cartels. A cartel is an international trading agreement among producers acreage subsidies and
$1.6 billion in export credits.
who hope to control the supply and price of a primary product. The first cartel was
The total ($4.8 billion) in
established in 1933 to regulate tea, but the decade of the 1960s, when 18 came into subsidies was greater than the
existence, was the apex of cartel formation. They ranged in importance from the market value ($3.9 billion) of
Organization of Petroleum Exporting Countries (OPEC) to the Asian and Pacific the U.S. crop that year.
Coconut Community. Cartels, however, have not always proven to be successful. Even
OPEC has had to struggle to maintain prices in the face of internal economic and po-
litical disputes (such as the Iraq-Iran war in the 1980s), the production of about 60%
of the world’s petroleum by non-OPEC countries, and other factors. Over the years, price
increases, including sharp rises beginning in 2004, have had less to do with the efforts
of OPEC to increase prices by manipulating supply than with uncertainty in the oil
markets caused by the Iraq War, tension with Iran, and other events and with the
increasing demand for oil by an energy-addicted world, as evident in Figure 12.12.

Using Economic Means to Achieve Political Ends

Tariffs, quotas, and other tools of economic nationalist policy are primarily used to
achieve economic ends such as the protection of domestic producers. However, it is
not uncommon for countries to also use a range of economic techniques to support
noneconomic political goals. This type of policy was considered in detail in chapter 8’s
discussion of economic power, but it is worth recapping that discussion here.
404 CHAPTER 12 National Economic Competition: The Traditional Road

FIGURE 12.12 Population National security restrictions are one aspect of

and Oil Consumption such policy. All countries that produce major military
weaponry require government approval of foreign
680%
sales. In many cases there are blanket prohibitions
Increases: 1950–2006
of sales to other countries that are considered cur-
rent or potential enemies. As circumstances change,
such bans can prove controversial. For example, the
EU is considering dropping the West’s long-time
embargo on selling high-tech weapons to China.
The United States, among others, strongly opposes
this move for various reasons, including the possi-
bility that U.S. forces could face European-supplied
160%
weaponry if China were to invade Taiwan. Another
often-controversial area involves “dual-use” goods,
anything from supercomputers to nuclear plant ma-
chinery to chemicals that can be used for both civil-
ian and military purposes. As one example, the
World population World oil United States restricts the sale of the most advanced
consumption
semiconductors, computers, avionics equipment,
Rising energy costs are sometimes attributed to price manipulation by and other high-tech items to China.
the OPEC cartel. The steep increase, however, has been more significantly As chapter 8 details, countries also sometimes use
influenced by the fact that consumption is growing much faster than economic incentives or economic sanctions to try to
the population. From 1950 to 2006, world oil consumption increased convince one or more other countries to commence,
from 10.9 to 85.0 million barrels a day, a 680% rise, even though the continue, or cease acting in a certain way. For example,
population grew only 160% from 2.5 billion to 6.5 billion. Thus we are
incentives have played a prominent role in recent
consuming more than three times as much oil per person globally as
we did in 1950. efforts to stem nuclear proliferation. Both the diplo-
matic effort by the EU to persuade Iran to halt its
Data sources: UN Population Fund; U.S. Department of Energy.
alleged nuclear weapons development program and
the effort by the United States and other countries to
get North Korea to build no more nuclear weapons and dismantle its ability to do so
include offers of energy aid and important additional economic incentives.
Countries apply their economic power in a negative way by imposing sanctions.
Sanctions applied for political reasons most often occur when there has been a major
event, such as Iraq’s invasion of Kuwait in 1990, or amid a long-term hostile rela-
tionship, with U.S. sanctions on Cuba serving as an example. A last point is that in-
centives and sanctions can be used simultaneously. In May 2006 the UN Security
Council endorsed a series of incentives offered by the EU and others if Iran stopped
developing its capacity to create plutonium and weapons-grade uranium. When Iran
failed to do so, the Security Council voted two rounds of escalating sanctions, the first
in December 2006, the second in March 2007, while leaving the earlier incentives in
place if Iran complied.

THE FUTURE OF ECONOMIC

NATIONALIST POLICY

There can be no doubt that global economics during the last half-century has been
marked by three main stories. The first has been the almost complete triumph of cap-
italism over competing economic models, especially Marxism and socialism. Even
two (China and Vietnam) of the four remaining officially communist countries have
 Chapter Summary 405

largely adopted capitalism, with Cuba and North Korea the last holdouts still following
the Marxist model.
The second important development has been a steady movement toward ever-
greater economic interdependence based on an increasingly free exchange of trade,
investment, and other financial activity. An array of statistics presented in this and the
following chapter show conclusively that the movement of goods, services, investment
capital, and currencies across borders has expanded exponentially. Furthermore, as
chapter 13 discusses, the international system has created the EU, IMF, World Bank,
WTO, and numerous global and regional organizations and arrangements to facilitate
and promote free international economic interchange. A third important change, also a
topic addressed in chapter 13, has been the growth of a sense of global responsibility for
the plight of the poorer countries. Whether the EDCs are doing enough for the LDCs
is a question chapter 13 addresses, but at least the EDCs are now doing something.
For all this evidence, it would be erroneous to conclude that the world is on a
path to inevitable economic integration and cooperation and that the eclipse of eco-
nomic nationalism is inescapable. Certainly it has weakened somewhat, but it remains
the dominant approach to the international political economy (Helleiner & Pickel,
2005). The most important reason for the persistence of economic nationalism is the
continuing status of sovereign states as the dominant actors in the international sys-
tem and the enduring strength of nationalism as the primary focus of political iden-
tity. As integrationists once again learned when French, then Dutch voters rejected the
new EU constitution in 2005, nationalist opposition to integration and cooperation
remains potent. Furthermore, resistance to liberal changes in the international politi-
cal economy is not just confined to Europe. Protectionist sentiment is also strong in
the United States. As Great Britain’s minister of trade warned in 2007, “Around the
world we are seeing an increasing trend towards protectionism, putting up barriers to
trade that will make us all poorer. We are seeing the growth of economic nationalism.
It won’t work. Protectionism dressed up as patriotism is still protectionism.”14
Indirectly, economic nationalism is also being reinforced by doubts about global-
ization. Many in the North perceive their prosperity to be threatened by the flight of www
jobs to countries with low-cost labor and by the immigration of low-wage laborers from
other countries to take many of the jobs that are left. Ironically, many in the South per- WEB POLL
ceive globalization as a process that has enriched the North even further and harmed National and Global
the poorer countries. President Hosni Mubarak of Egypt has portrayed the “emerging Economic Demands:
world” as a place where “there is a bitter sentiment of injustice, a sense that there must Where Do Your
be something wrong with a system that wipes out years of hard-won development be- Loyalties Lie?
cause of changes in market sentiment.”15 Such views prompted UN Secretary-General
Kofi Annan to characterize globalization as “fragile” and to warn, “The unequal distri-
bution of benefits and the imbalances in global rule-making, which characterize glob-
alization today, inevitably will produce backlash and protectionism.”16 All this lends
credence to one analyst’s observation that, “We have gotten used to the idea that glob-
alization will inevitably succeed, but I am not so sure anymore.”17

CHAPTER SUMMARY

THEORIES OF INTERNATIONAL POLITICAL ECONOMY history. Economics has become more important
1. Economics and politics are closely intertwined as- internationally because of dramatically increased
pects of international relations. This interrelation- trade levels, ever-tightening economic interdepen-
ship has become even more important in recent dence between countries, and the growing impact
406 CHAPTER 12 National Economic Competition: The Traditional Road

of international economics on domestic economics. investments and other capital flows, and mone-
The study of international political economy (IPE) tary exchange) in the international political
examines the interaction between politics and economy.
economics.
2. There are many technical aspects to explaining THE WORLD ECONOMY: DIVERSE CIRCUMSTANCES
and understanding the international political econ- 8. The world is generally divided into two economic
omy, and it is important to understand such con- spheres: a wealthy North and a much less wealthy
cepts as gross domestic product, gross national South. There are some overlaps between the two
product (and purchasing power parity for each of spheres, but in general the vast majority of the
these), and current and real dollars. people and countries of the South are much less
3. The approaches to IPE can be roughly divided into wealthy and industrially developed than the coun-
three groups: economic nationalism (mercantilism), tries of the North and their people. The South also
economic internationalism (liberalism), and eco- has a history of direct and indirect colonial control
nomic structuralism. by countries of the North.
4. The core of the economic nationalist doctrine is 9. While a wealth gap persists between North and
the realist idea that the state should harness and South, and in some ways has grown, the data must
use national economic strength to further national be carefully analyzed. By many measures, eco-
interest. Therefore, the state should shape the coun- nomic and social conditions in the South have im-
try’s economy and its foreign economic policy to proved greatly during recent decades. Also, data
enhance state power. about overall improvements in the South is
5. Economic internationalists are liberals who believe skewed downward by the worsening conditions in
that international economic relations should and sub-Saharan Africa.
can be harmonious because prosperity is available
to all and is most likely to be achieved and pre- NATIONAL ECONOMIC RELATIONS
served through cooperation. The main thrust of
10. There is economic competition across the analyti-
economic internationalism is to separate politics
cal categories of countries, including North-North
from economics, to create prosperity by freeing
competition, North-South competition, and South-
economic interchange from political restrictions.
South competition.
6. Economic structuralists hold that world politics
is based on the division of the world into have
APPLIED ECONOMIC NATIONALISM
and have-not countries, with the EDCs keep-
ing the LDCs weak and poor in order to exploit 11. Countries attempt to advance their economic pol-
them. There are two types of economic structural- icy and prosperity by using their economic power
ists. Marxists believe that the entire capitalist- through a mixture of protectionist barriers and in-
based system must be replaced with domestic and centives in the areas of trade and investment.
international socialist systems before economic While each approach is sometimes successful,
equity can be achieved. Less radical economic both incentives and, particularly, sanctions are dif-
structuralist theories include dependency and ficult to apply successfully and have numerous
world systems theory, which stress reform of the drawbacks.
current market system by ending the system of
dependency. THE FUTURE OF ECONOMIC NATIONALIST POLICY
12. Although globalization and interdependence are
THE WORLD ECONOMY: undermining economic nationalism, it remains the
GLOBALIZATION AND INTERDEPENDENCE driving force behind states’ international economic
7. Globalization and interdependence have increased policy. Moreover, persistent state sovereignty,
at an exponential rate since the beginning of nationalism, and problems with globalization are
the second half of the 20th century, with a rapid all helping to maintain the central role of economic
rise in the level of economic interchange (trade, nationalism in world politics.
 Key Terms 407

For simulations, debates, and other interactive activities, a chapter quiz, Web links,
and much more, visit www.mhhe.com/rourke12/ and go to chapter 12. Or, while
accessing the site, click on Course-Wide Content and view recent international
relations articles in the New York Times.

KEY TERMS

capitalism foreign direct investment less developed countries newly industrializing

cartel (FDI) (LDCs) countries (NICs)
current dollars foreign portfolio manufactured goods nontariff barriers (NTBs)
dependency theory investment (FPI) Marxist theory North
economic globalization merchandise trade primary products
internationalism gross domestic product monetary relations protectionism
economic nationalism (GDP) multinational purchasing power
economic structuralism gross national product (GNP) corporations parity (PPP)
economically interdependence (MNCs) real dollars
developed international political neocolonialism services trade
countries (EDCs) economy (IPE) New International South
exchange rates least developed Economic Order tariffs
extreme poverty countries (LLDCs) (NIEO) world systems theory
C H A P T E R

13 ECONOMIC COOPERATION AND DEVELOPMENT:

BACKGROUND AND REQUIREMENTS
IPE Theory and Cooperation
The Origins of Economic Cooperation
DEVELOPMENT OF THE SOUTH
Criteria for Economic Development
Achieving Economic Development
Loans

International Economic Private Investment

Trade
Foreign Aid
Remittances

Cooperation: Internal Reforms

ECONOMIC COOPERATION AND DEVELOPMENT:
THE INSTITUTIONS

The Alternative Road The United Nations and Economic Cooperation

The UN and Global Economic Regulation
The UN and Development
Trade Cooperation and Development: The WTO
Join we together, for the public good. The Structure and Role of the WTO
—William Shakespeare, King Henry VI, Part II Revising the GATT: The Doha Round
Monetary Cooperation in Support of Development:
For my part, I had rather bear with you than bear you; The IMF
yet I should bear no cross if I did bear you, The Role of the IMF
Criticisms of the IMF
for I think you have no money in your purse. Defense of the IMF
—William Shakespeare, As You Like It Development Cooperation: The World Bank Group
World Bank Operations
Controversy about the World Bank Group
Economic Cooperation and Development:
EDC Institutions
Organization for Economic Cooperation and
Development
The Group of Eight (G-8)
REGIONAL AND BILATERAL ECONOMIC COOPERATION
AND DEVELOPMENT
The Western Hemisphere
The North American Free Trade Agreement
The Free Trade Area of the Americas
Mercosur
Asia and the Pacific
Other Regions
Bilateral Trade Agreements
COOPERATION AND DEVELOPMENT: DEBATING
THE FUTURE
The Case for Economic Internationalism
Economic Advantages
Noneconomic Advantages
The Case for Economic Nationalism
Economic Advantages
Noneconomic Advantages
The Globalization Debate in Perspective
CHAPTER SUMMARY

This South African boy is holding a photograph that

poses a poignant question: Why do so many
countries, particularly those in sub-Saharan Africa
and South Asia, remain so poor? This chapter
addresses that question and the international efforts
to remedy the plight of these countries.
 Economic Cooperation and Development: Background and Requirements 409

HIS CHAPTER IS THE SECOND of two that examine the international political econ-

T omy (IPE). Chapter 12, the first of the pair, takes up economic nationalism, the
traditional approach to the international political economy. That path is char-
acterized by self-interested economic competition among countries. Economic na-
tionalism persists as the dominant set of values behind the international economic
policy of states. But it is not unchallenged. Instead, economic internationalists and
structuralists believe that the global economic future would be better if countries co-
operate economically, or even integrate their economies. This chapter assesses the
alternative route of greater international cooperation. Our assessment will first exam-
ine global cooperation, then turn its attention to regional efforts. As you will see, one
aspect of cooperation among the economically developed countries (EDCs) of the
North is an effort to ensure that their relative prosperity continues. An even more
important goal of economic cooperation, arguably, is to improve the circumstances of
the less developed countries (LDCs) of the South. Therefore we will pay particular
attention to what is needed for economic development and the programs that are
addressing that need.

ECONOMIC COOPERATION
AND DEVELOPMENT: BACKGROUND
AND REQUIREMENTS

The thought of moving toward a very different way of dealing with the international
economy is more than theory. It is a process that has made substantial progress and
one that many think can and should become the dominant paradigm in the future. At
the global level, it is appropriate to first look at basic IPE theory and the origins of
economic cooperation. Then we will turn to detailing the development needs of the
South, the most important focus of international economic cooperation today.

IPE Theory and Cooperation

Chapter 12 details the three main IPE theories, economic nationalism, economic
internationalism, and economic structuralism. Still, it is appropriate to also briefly
consider them here, with an emphasis on what each says about cooperation and
development.
Economic nationalists operate from a realpolitik orientation and believe that each
country, be it North or South, should look out for itself first and foremost by promot-
ing its own national interest when formulating policy related to trade, investment, and
aid. They also view the political economy as a zero-sum game in which gains made by
some players inevitably mean losses for other players. As for development, economic
nationalists are apt to be wary of giving extensive aid or other forms of economic assis-
tance to the LDCs. One reason is that today’s LDC could become tomorrow’s com-
petitor, just as China has become. Economic nationalists are particularly averse to
taking steps such as ending agricultural subsidies, which would help the LDCs that
export such products but would hurt farmers in the EDCs. Furthermore, economic
nationalists suspect that the South’s calls for greater equity are, in essence, attempts
to change the rules so that LDCs can acquire political power for themselves.
Economic internationalists believe that international economic policy should
emphasize cooperation. In their view, the global economy is a non-zero-sum game in
which prosperity is available to all because the economic advancement of countries
410 CHAPTER 13 International Economic Cooperation: The Alternative Road

does not have to come at the expense of other countries. From this perspective, eco-
nomic internationalists favor generally unfettered economic interchange. They there-
fore oppose tariff and nontariff barriers (NTBs) and incentives, the very tools that
economic nationalists heartily endorse. As for LDC development, economic interna-
tionalists contend that the major impediments are the South’s weakness in acquiring
capital, its shortage of skilled labor, and some of its domestic economic policies, such as
centralized planning and protectionism. These difficulties can be overcome, according
to economic internationalists, through free trade, foreign investment supplemented by
loans, foreign aid, and reduced government interference in the economy. Such policies
will allow unimpeded international economic exchange among states, benefiting all
of them. This view that the global economy is not a zero-sum game leads economic
internationalists to believe that it is possible to integrate LDCs into the world eco-
nomic system by eliminating system imperfections while maintaining the basic
structure and stability.
Economic structuralists argue that how the world economy is structured deter-
mines the conduct of world politics. They portray a world split between rich countries
(EDCs, the North) and poor countries (LDCs, the South), and they contend that the
EDCs consciously strive to keep the LDCs poor and dependent so that EDCs can
exploit them. From this perspective, economic structuralists maintain that the
political-economic organization of the world’s patterns of production and trade must
be radically altered for the LDCs to develop. To accomplish this, economic structural-
ists believe that not only should LDCs be given substantial economic assistance and
concessions, but that they should also be politically empowered and given a greater
say over the operation of IGOs such as the IMF and World Bank.

The Origins of Economic Cooperation

The liberal idea of creating global interdependence based on free economic inter-
Did You Know That:
change and cooperation for the economic good of all dates back several hundred
Within two years after
years. It was slow to take hold, though, and did not begin to shape international eco-
Congress enacted the highly
protectionist Smoot-Hawley nomic relations to any great extent until the 1930s and 1940s. The violence of two
Tariff in 1930 and the world wars and the economic dislocation during the Great Depression in the 1930s
European countries retaliated led an increasing number of leaders to rethink current policies, and they agreed with
with their own protectionist the view that unrestrained economic nationalism had played a role in causing these
tariffs, U.S. imports from
disasters. To avoid such catastrophes in the future, the United States led the EDCs of
Europe declined 71% and
U.S. exports to Europe the anti-Axis alliance and then the anticommunist West to create the foundation of a
dropped 67%. new international economic order. During the years 1943–1948, the EDCs created a
number of global and regional intergovernmental organizations (IGOs) to promote
economic stability and the free flow of trade and capital across national boundaries.
Most notable among these IGOs are the World Bank, the International Monetary Fund
(IMF), and the General Agreement on Tariffs and Trade (GATT, both a treaty and an
organization; the organization was renamed the World Trade Organization, WTO).
The United Nations also came into existence, and it has grown to have numerous
economic agencies and responsibilities.
The immediate post–World War II era also saw the first major foreign aid program.
The United States launched the European Recovery Program (the Marshall Plan), which
gave over $13 billion (or about $100 billion in current dollars) to the countries of
Western Europe between 1948 and 1951. Certainly there was some degree of humani-
tarian concern with Europe’s plight, but the main U.S. motives were political self-interest
(to strengthen Western Europe against communism) and an economic self-interest (to
revive major trading partners so that they could buy U.S. exports).
 Development of the South 411

DEVELOPMENT OF THE SOUTH

Although the economic cooperation that began after World War II focused initially
on the rebuilding of the devastated EDCs, the emphasis gradually shifted to the eco-
nomic development of the South (Seligson & Passé-Smith, 2003). The reorientation
occurred for several reasons. Among these are the general return to prosperity of the
North, the independence movements that changed dozens of colonies into countries,
and a growing awareness of the economic plight of the South. Reflecting this shift,
the commentary in this chapter will mostly deal with LDC development. A first step
toward developing this topic is to briefly outline the criteria that characterize a de-
veloped economy. Then we will turn to what the countries of the South need in order
to develop their economies more fully.

Criteria for Economic Development

Per capita income is the standard way to distinguish the LDCs from the EDCs, but the
question here is what factors are necessary to promote development and to establish
a prosperous economy. Some of the following criteria that characterize most EDCs
and are partly or entirely missing from many LDCs, especially LLDCs (lower-income,
least developed countries), are economic, others are political.
Economic diversification: A broadly based economy is a key component of pros-
perity. Any country’s prosperity is enhanced if it produces and exports a wide variety
of manufactured goods, is agriculturally self-sufficient, and produces at least some of
the minerals and other raw materials that a modern economy consumes or can sell.
It is true that there are some LDCs, like Kuwait with its oil, that are prosperous
despite a very narrow economic base. It is also true that some EDCs, like Japan, have
limited agricultural capacity and few natural resources. But such countries are highly
vulnerable.
Limited economic reliance on primary products: A related trait that distinguishes
most EDCs from most LDCs is that a greater proportion of the economic activity of the
latter group is devoted to the production of primary products, including fibers (such as
cotton), food, fuels, wood, and other minerals and raw materials. By contrast, the man-
ufacturing and services sectors dominate EDC economic activity. With the exception of
energy-exporting countries, a rule of thumb is that
the more dependent a country’s economy is on pri- FIGURE 13.1 GDP and Primary Products
mary products, the poorer that country is likely to be.
36% Share of GDP from primary products
One indication is found in Figure 13.1.
International market and investment access: In 27%
order to develop, LDCs need to sell their goods and
services abroad. Trade is an important source of in-
come for the LDCs, like all countries, and tariffs,
10%
quotas, and other barriers to LDC exports restrict
their ability to bring in foreign capital. Barriers to the
provision of services such as banking, insurance, and
Low-income Middle-income High-income
transportation are usually higher than for merchan- countries countries countries
dise, but as a country’s economy develops, so does its
ability to provide services abroad. Similarly, as an A shift away from the production of fuels, food, minerals, and other
LDC’s economy develops, some of its companies may primary products to manufacturing and providing services is one mark
well seek investment opportunities abroad that offer of the shift from LDC to EDC status.
the potential of creating an inflow of capital to the Data source: World Bank.
412 CHAPTER 13 International Economic Cooperation: The Alternative Road

investing LDC. One indication of the slow economic progress of the LDCs is that
their share of the world’s FDI rose from 8% in 1990 to 12% in 2005. The more rapidly
developing LDCs saw the greatest jumps in their FDI holdings, with, for example,
China’s growing 10 times between 1990 and 2005 and South Korea’s expanding
sixteenfold.
A stable currency: A country’s currency is the lifeblood of its economy because
it allows buying, selling, payments for services, and other key economic functions
to proceed smoothly. Most EDCs have fairly stable currencies that, among other
things, permit commerce to flow freely and promote investment by keeping inter-
est rates low. Inflation is one important factor that affects a currency’s stability.
Between 1987 and 2007, average annual inflation in the EDCs was 2.7%; in LDCs
it was 30.1%. Among other impacts, low inflation promotes both foreign investing
and domestic borrowing for investment. In 2005, the U.S. lowest annual lending
rate was about 4%, in Japan it was 2%. By contrast, the LDCs tend to have higher
inflation and experience other destabilizing factors. These left, for example, the
2005 annual lending rates at about 82% in Angola and 67% in Colombia. In some
cases, inflation can get truly out of hand and devastate an economy. The inept
monetary policies of Zimbabwe’s dictatorial President Robert G. Mugabe created
hyperinflation that reached an annualized rate of 2,200% by mid-2007. In one
especially bad week alone, the prices of food and other basics rose 256%. With
the Zimbabwean dollar almost worthless, most businesses could no longer function,
and workers could no longer go to their jobs because the weekly cost of taking
the bus was more than their weekly wage. As a result, unemployment reportedly
reached 80%.
A strong human infrastructure: Chapter 8’s discussion of measures of a country’s
power, economic and otherwise, highlights the importance of having a population
with a good age distribution (neither too many children nor senior citizens), one
that is healthy, well educated, and capable of maximizing the use of everyone’s
talents, rather than marginalizing some based on gender, race, ethnicity, or some
other trait. Currently less than half of all high school–age youth in low-income coun-
tries are in school; almost everyone in this age group in high-income countries is in
school.
A strong physical and technological infrastructure: Chapter 8 also discusses the
importance of advanced communications systems and of efficient transportation sys-
tems, as well as the widespread availability and use of computers, robotics, and many
other forms of modern technology. As one example, for every 1,000 people, high-
income countries on average have 574 computers; low-income countries have only
about 11.
Domestic order: Civil war and other forms of internal violence destroy prosperity
where it exists and prevent prosperity where it does not. Liberia provides a tragic, if all
too common, example. From 1980 until 2003, the country was torn by almost con-
stant fighting that killed perhaps 200,000 people, displaced about a million others,
and demolished the country’s infrastructure and economy. During the nearly quarter
century of turmoil, the country’s real (controlled for inflation) per capita GDP de-
clined 82%, transforming Liberia from one of the most prosperous in sub-Saharan
Africa to one of the poorest.
Effective government: Most EDCs have, and many LDCs do not have, a reason-
ably stable political system and a government that tries to promote prosperity rather
than enrich its members and supporters. Among other government characteristics
that the World Bank considers important to development are the level of corruption,
the willingness of the courts to uphold property rights, the crime rate, and efficiency
 Development of the South 413

in issuing permits and addressing other regulations. FIGURE 13.2 Corruption by Region
A World Bank survey of business leaders found, for
example, that in Guatemala, 81% said corruption Western Percentage of households
2%
was a major constraint to doing business, 71% Europe reporting they paid a bribe
in the last year
lacked confidence in the courts, and 81% worried U.S./
2%
about the crime rate. In Germany, by contrast, these Canada

were minor factors: corruption (2%), courts (2%),

Asia 7%
and crime (4%). A regional look at one indication of
corruption is found in Figure 13.2. Wherever it is Eastern
9%
located, corruption tends to hinder both domestic Europe
and international investment in an economy. Latin
17%
Is a supportive government a democratic one? America

Not necessarily. The discussion in chapter 6 and

Africa 36%
Figure 6.3, p. 180, indicate that there is a correlation
between poor countries and authoritarian govern-
ments on the one hand and wealthier countries and Bribery and other forms of corruption inhibit economic development
democratic governance on the other. It is not clear, and, on average, are more prevalent in LDCs than in EDCs.
though, whether there is a causal relationship or, Data source: Transparency International, Report on the Transparency International
if so, whether democratic countries become more Global Corruption Barometer 2006 (Berlin, Germany: December 7, 2006).
prosperous or prosperous countries become more
democratic. Certainly, the case of China, the fastest growing economy in the world
over the last decade or so, indicates that development can occur within authoritarian
states.

Achieving Economic Development

Laying out in print some of the criteria for being an EDC is far easier than it is
for an LDC to achieve those criteria. To examine how LDCs can advance toward EDC
status, we will first look at economic factors. Perhaps the greatest need for the LDCs
is to attract capital (money) to improve their human and technological infrastructures,
to increase the size of their manufacturing and service sectors, and to diversify their
economies so that no single product or service alone determines whether they are
prosperous or not. Much akin to the old saying that “it takes money to make money,”
the problem for LDCs is that they are poor and find it difficult to raise capital inter-
nally. Therefore, they need massive inflows of development capital from the EDCs to
expand and diversify their economies. “Uganda needs just two things,” according to
its president. “We need infrastructure and we need foreign investment. That is what
we need. The rest we shall do ourselves.”1
Obtaining capital from any source is important, but inflows from the EDCs
are particularly important because they bring in relatively stable hard currencies,
such as American dollars, Japanese yen, and European Union euros, that are widely
accepted in international transactions. Most LDC currencies are not readily convert-
ible because they are unstable. So if Guatemala wants to bring in foreign expertise,
equipment, and material to improve its port facilities at San José, it will usually need
dollars or some other hard currency because its suppliers are unlikely to accept
quetzals.
Five important external sources of capital are loans, investment, trade, aid, and
remittances. Unfortunately, there are limitations and drawbacks to each. Unless
significant changes are made to increase the flow of development capital to the
LDCs and to distribute it more broadly among all LDCs, many of them are destined
to remain relatively poor for the foreseeable future. It is also the case that the LDCs
414 CHAPTER 13 International Economic Cooperation: The Alternative Road

FIGURE 13.3 LDC Debt Service need to institute some internal reforms so that they
can better utilize their own capital resources and
Debt service as a percentage of GNP
5% those that flow in from EDCs.

4% 4% Loans
One source of hard currency is loans extended by pri-
3% 3%
vate or government sources. Based on a number of eco-
2% nomic factors, the LDCs moved in the 1970s to finance
their development needs by borrowing heavily from
1% external sources. By 1982 LDC international debt
had skyrocketed to $849 billion, and while the rate of
increase has eased, the total debt owed by LDCs has
1975 1980 1985 1990 1995 2000 2006 continued to grow and stood at $3.1 trillion in 2004.
Banks and other private institutional and individual
Many LDCs began to borrow heavily in the early 1980s to speed their bondholders hold about half the debt, with banks and
development. Excessive borrowing proved counterproductive, however,
official sources (EDC governments and IGOs such as
because of the cost of servicing the debt (paying principal and interest).
One way to measure debt service is to compare it to the LDCs’ combined
the IMF) each holding about 25%.
GNPs. As you can see, the burden grew rapidly and persisted at a high Borrowing abroad to meet current domestic needs
level before declining after 1995. Still, the debt-to-GNP percentage is common. The United States, for example, owes for-
remains higher than in the past and continues to hinder economic eigners over $2 trillion on the bonds the U.S. Treasury
development in many LDCs. has sold them to finance the U.S. national debt. Both
Data source: World Bank. borrowers and lenders must manage money carefully,
however. Many LDCs have struggled to meet their
debt service (principal plus interest payments) on their loans. A standard measurement
of any country’s ability to meet its debt payments is the amount of its annual debt service
compared to its annual export earnings. As Figure 13.3 shows, in 1975, LDC debt stood
at only 1% of the economic productivity (GNP), but soon quintupled. That set off a
broad crisis, which pushed Argentina, Brazil, Mexico, Nigeria, and several other LDCs
to the edge of bankruptcy and also threatened the financial well-being of the lenders,
who stood to lose billions of dollars. The debt crisis was finally solved. Several programs
were instituted by the EDCs and the IMF to refinance the debt of
those LDCs with a long-term ability to pay and to forgive all or most
of the debt for the poorest, most debt-burdened countries. The IMF
designates this latter group of 38 countries, 32 of them in Africa, as
Heavily Indebted Poor Countries (HIPCs). Among other debt relief
initiatives, the EDCs agreed in 2005 to provide the HIPCs with
$55 billion in debt relief, wiping out the debt of 27 of the HIPCs and
substantially lowering the debt of others.
The immediate LDC debt crisis abated, but the issue of LDC
debt remains troubling for several reasons. One concern is that the
LDCs still have a towering debt of more than $3 trillion. Second,
as also evident in Figure 13.3, the debt burden remains much
higher than it once was, and in 2006, the LDCs had to pay out $629
billion in much-needed capital to service the debt. Third, the overall
data about the declining debt burden disguises the crushing con-
tinuing debt of some countries. Argentina, for one, is $244 billion
in debt, a figure that amounts to 159% of its annual GNP and requires
Many poorer countries are being hindered from
service payments that equal almost 9% of its GNP. In 2001 and 2002,
developing economically by their need to pay off their
mountains of foreign debt. Their funds could instead
a combination of Argentina’s monetary policies, its faltering econ-
be spent to improve themselves. The debt crisis has omy, and its immense debt set off a political and financial crisis that
eased somewhat in the past few years, but the debt weakened the value of the peso by 71%, sent inflation up to 65%,
burden remains a major problem for many LDCs. caused the economy to shrink, tripled unemployment, and caused
 Development of the South 415

several governments to fall. Internal reforms and IMF assistance eased the crisis,
Did You Know That:
and Argentina has begun to recover, but it will take years to repair. Argentina’s ex-
Argentina’s University of
ample shows that as a way to finance development and to meet short-term needs,
Buenos Aires has opened a
loans can play a positive role in moderation, but they present a perilous path to museum commemorating
long-term development. foreign debt. Its first major
exhibit is entitled “Foreign
Private Investment Debt: Never Again.” Among
other things, it features a
A second source of capital for LDCs is private investment through foreign direct in-
mock kitchen symbolizing
vestment (FDI) and foreign portfolio investment (FPI), as discussed in chapter 12. the disastrous “economic
The flows of investment capital are growing in importance for LDCs. For example, recipes” Argentina adopted.
the annual net inflow of FDI into the LDCs grew twelvefold between 1990 and 2006
from $20 billion to $241 billion. FPI is also important, and it stood at a net $53 billion
in 2004. However, FPI is volatile. The funds tend to be short-term investments, and
the flow can turn sharply negative when investors lose confidence. As Figure 13.4
indicates, the ten years 1997–2006 saw an initial net inflow of FPI, followed by a strong
outflow, then a return of net inflow, although it was tapering off in 2006. Sudden out-
flows can disrupt a country’s economy and helped cause financial crises in Mexico in
www
1995, much of Asia in the late 1990s, and Argentina in 2001–2002. For Argentina the
MAP
economic woes, already noted related to its debt and other factors, caused investors
Global Flows of
both within the country and internationally to lose confidence, and their efforts to Investment Capital
divest themselves of their holdings of Argentinean bonds and other assets added to the
general destabilization of the country’s currency and its economy.
As with other overall data, the seemingly huge flow of FDI and, sometimes,
FPI into the LDCs is only part of the story. One less positive aspect of the details is
that most investment capital flowing to the LDCs goes to only a handful of them.
China alone receives 40%, and that combined with FPI flows into Brazil, Mexico,
Singapore, and South Korea account for about two-
thirds of all the FDI going to the South. The LLDCs
FIGURE 13.4 FPI Flow to LDCs
are particularly disadvantaged, receiving only 8%
$47.5
of the LDCs’ net inflow, and less than 3% of the Net flow of FPI to $42.4
world total. LDCs (US$ billions)

Trade
$14.0
Export earnings are a third source of development $11.0
$14.3
capital. In theory, the vast size of the world market Net inflow
makes trade the optimal source of hard currency for –$0.6 Net outflow
LDCs. Yet, in reality, the LDCs are disadvantaged by
the pattern and terms of international trade. –$17.2
There are several sources of LDC trade weak-
ness. First, as detailed in chapter 12 and Figure 12.6,
–$44.5 –$39.8
p. 388, LDC exports are only 24% of the world total
overall, and only 10% on a per capita basis. With 1998 1999 2000 2001 2002 2003 2004 2005 2006
exports equal to only $889 per person, they provide
nowhere near the economic stimulus generated by The purchase of stocks in private companies and of bonds of both
companies and governments, which together make up foreign portfolio
the North’s exports, which are $8,281 per capita.
investment (FPI), bring important capital into LDCs. However, the net
Second, just a few LDCs account for the lion’s flow (money invested minus money withdrawn) can be volatile. After a
share of all goods exported by the South. China alone positive inflow in 1998, new FPI for the LDCs was in the red (negative)
accounts for 32% of all the South’s exports, another the next four years, causing a drain of $102.1 billion, before turning to
five LDCs combine for 35%, and the handful of pe- the black (positive) in 2004. Sharp outflows, especially the sale of
troleum and natural gas exporters share another government bonds, can cause inflation in an LDC and otherwise
14%. This leaves a scant 19% of the South’s exports destabilize its currency.
for the rest of the LDCs. Data source: OECD.
416 CHAPTER 13 International Economic Cooperation: The Alternative Road

Third, many LDCs have a negative trade balance. That is, they import more than
they can export. This is a particular problem for the LLDCs, which need many goods
they cannot produce for themselves and have relatively few products to sell on the
world market. For these countries, imports exceeded exports by 10% in 2004. The
net result is that almost all the export earnings for most LDCs go toward buying
imports, leaving little to invest in new development, and LLDCs with a trade deficit
have a net loss of capital.
Fourth, the overdependence of many LDCs on primary products for exports is
www disadvantageous. With the exception of energy-exporting countries, a rule of thumb
is that the more dependent a country is on the export of primary products, the poorer
MAP
that country is likely to be. Between 1990 and 2004, the LDCs’ manufactured goods as
Exports of Primary Products a share of all exported goods rose from 51% to 64%, but this still compares unfavorably
with the North’s 81%. Furthermore, manufactured goods are only 50% of LLDC exports,
and some individual countries export hardly any manufactured goods. For example,
primary products make up 85% of Uganda’s exports and 90% of Ecuador’s exports.
The accompanying map shows the extent to which world countries are dependent on
the export of primary products.
Dependence on one or a few primary products for export earnings leaves LDCs
disadvantaged because of several factors. Product instability is one factor. When, for
example, the disease pod rot attacks the cocoa crop in Ghana, it loses a substantial
portion of one of its leading exports. Price weakness also afflicts most primary products.
During the past decades, world demand for products such as cotton and other natural

Exports of Primary Products

Primary Products as
Percentage of
Merchandise Exports
Less than 25%
25%–49%
50%–74%
75% or more
No data

0 1000 2000 Miles

0 1000 20003000 Kilometers

The less developed countries of the South are disadvantaged compared to the economically developed
countries of the North. One reason is that the LDCs are much more reliant on primary products for
export earnings. The dependency is a disadvantage because the demand for and price of primary
products is unstable. Also, over the long term the value of primary products rises more slowly than
manufactured products. Therefore most LDCs have increasing difficulty earning the foreign capital
needed for economic development. This map shows the distribution of countries according to the
percentage of their exports accounted for by primary products.
 Development of the South 417

FIGURE 13.5 Commodity Price Changes, 1970–2006

1,021%
+292% Cumulative percent price change
1970–2006

+13% +9%

–20%
–47% –39%

Manufactured Beverages Food Fertilizers Minerals Petroleum Raw

goods materials

LDCs that rely on primary products other than oil for export earnings have had an increasingly difficult
time earning enough foreign capital through their exports to modernize their economies. Measured in real
dollars, the price of manufactured goods increased 292% between 1970 and 2006. Even worse, most
LDCs import petroleum, against which their primary product exports have lost even more value than
against manufactured goods, while primary product prices rose little or even declined.
*Measured in real dollars
Data source: World Bank (2006).

fibers has declined due to the development of synthetics, and sugar sales have been
undercut by artificial substitutes and by dietary changes. Lower demand has led to
level or even reduced prices in keeping with the classic economic relationship of
greater supply and less demand. Between 1970 and 2004, the price of cotton fell 42%
and the price of sugar dropped 48% in real dollars. Making matters worse, the price
of manufactured goods has risen steeply, which means that most of the primary prod-
ucts the LDCs export have lost value against the manufactured goods the LDCs need
to import. This “double trouble” relationship is shown in Figure 13.5.
The use of trade, then, to acquire capital and to improve economic conditions
has not been highly effective for most LDCs. Their pattern of merchandise trade
deficits, overreliance on primary product exports, and price weaknesses are all dis-
advantages for LDCs in their trade relations with the EDCs.
Did You Know That:
Foreign Aid For the first time since the
Mexican-American War of
A fourth possible external source of capital for LDCs is foreign aid. In some ways 1848, Mexican military forces
the flow of official development assistance (ODA) to LDCs has been impressive, entered the United States in
amounting to over $4 trillion (measured in 2005 real dollars) since World War II. 2005. This time Mexican
For 2006, ODA was $103 billion. Currently, 95% of all foreign aid that is given comes troops were delivering foreign
from the 22 EDCs that are members of the Development Assistance Committee aid in the form of disaster
relief supplies to American
(DAC) of the Organization for Economic Cooperation and Development (OECD). victims of Hurricane Katrina
In 2006, 73% of the assistance was extended through bilateral aid (country to country), along the Gulf Coast.
with 27% channeled through multilateral aid (via the United Nations, the World
418 CHAPTER 13 International Economic Cooperation: The Alternative Road

FIGURE 13.6 Ranking the EDCs Bank, and other IGOs). Without disparaging the value
or intent of foreign aid, the primary issue with foreign
Netherlands 7.6 aid is that there is not enough of it to serve as a major
source of development capital (Travis & Zahariadis,
Sweden 7.4
2002). On the face of it, $103 billion in aid seems to
Denmark 7.1 be an enormous amount, but it appears less monu-
mental when seen as only about $43 for each of the
United Kingdom 6.4
2.4 billion people living in low-income countries.
Norway 6.2 There are a variety of factors related to aid that limit
its impact. One factor is that its distribution is often
Canada 5.9
heavily influenced by political considerations rather
Belgium 5.8 than economic need. Many donor countries are regu-
larly accused of using aid to win concessions from
United States 5.5
recipient governments on economic matters such as
Finland 5.4 trade and on political issues also. One study found,
5.3
for example, that the United States increases its aid
Australia
by an average of 59% to a low-income country if it
Germany 5.3 gets a seat on the UN Security Council. During par-
ticularly contentious periods, U.S. aid soared by up
France 5.3
to 170% (Kuziemko & Werker, 2006).
Spain 5.1 More than any other factor, though, the amount
of foreign aid, both in total dollars and in effort—as a
Switzerland 5.0
percentage of the donor country GNP—is controver-
Portugal 4.9 sial. These two standards—total giving and giving as
a share of wealth—yield very different results in the
Ireland 4.7
debate over whether individual EDCs are generous
New Zealand 4.5 or penurious in their aid. From the perspective of
the amount of aid, the United States in 2006 stood a
Italy 4.4 Commitment to
development: laudable first among donors, giving $22.7 billion in
Greece 4.2 0–10 score aid, or 21% of all the aid. Great Britain ranked second
Criteria:
4.0 aid
($12.6 billion), with Japan ($11.6), and France and
Austria
trade Germany ($10.4 billion each) not far behind.
Japan 2.1 investment Does this make the United States a model of gen-
erosity? Not according to its critics, who argue from
An advocacy NGO, the Center for Global Development (CGD), the share-of-wealth perspective. As chapter 12 noted,
calculates an annual index called “Ranking the Rich.” The CGD the UN has adopted a standard of 0.7% of GNP as a goal
assigns EDCs a score from 0 (poor) to10 (excellent) depending for foreign aid giving. In 2006, only 5 of the DAC coun-
on the CGD’s evaluation of how well the policies of each promote
tries met that mark. Sweden was the most generous at
development according to six measures: aid, trade, investment,
migration, environment, and security/technology transfer supports. 1.03% of GNP; Norway, Luxembourg, the Netherlands,
This figure shows the average score of the EDCs using only those three and Denmark also exceeded 0.7%. But with smaller
criteria (aid, trade, and investment) emphasized in this chapter. economies, their aid amounts were relatively small.
It is worth noting that the rankings using all six criteria were not Luxembourg gave only $291 million, less than U.S.
dramatically different from those shown here, with the Netherlands donations about every 5 days. Yet in terms of the share
ranking first and Japan last on both. of its wealth that it was willing to give, the United States
Note: For a full explanation of the three criteria used here and the others, go to the at 0.17% ranked next to last, barely edging out Greece
Web site of the Center for Global Development at www.cgdev.org.
Data source: Center for Global Development.
(0.16%). Two other marks of comparison are that the
average country gave 4.5% of its GNP in aid (foreign
and domestic), and overall the DAC members donated 3% of their collective GNPs to
aid. What is your view? Should the United States be lauded or lambasted for its foreign
aid program? As part of that consideration, the record of the United States or any other
EDC should be considered within the overall effort to assist LDCs, as in Figure 13.6,
 Development of the South 419

which ranks the comparative contributions of the FIGURE 13.7 Remittances

EDCs to the development of the LDCs along a number
of dimensions. Annual remittances to LDCs $203
(US$ billions) $193
Remittances $165
$145
Temporary or permanent emigrants are another
$117
important source of foreign capital to those LDCs
$96
that have substantial number of their nationals liv- $85
ing and working abroad and sending money home
(remittances) to their families and other contacts.
Remittances are growing quickly, as Figure 13.7 2000 2001 2002 2003 2004 2005 2006
indicates, and in 2005, according to the World Bank,
Remittances, money that immigrants send to their home country,
totaled $203 billion and probably much more. This
have become an important source of foreign capital for some LDCs.
figure is easily double that year’s foreign aid. About Remittances in 2006 were about twice the amount of foreign aid
90% of remittances go from EDCs to LDCs. Latin that year.
America is probably the region that benefits the most
Data source: Ratha (2007).
from remittances. A study by the Inter-American De-
velopment Bank concludes that Latinos in the United
States sent about $45 billion in remittances to Latin America in 2006. About half of
that went to Mexico.2 India, however, at nearly $25 billion was the single country
that got the most in remittances in 2006. Measuring remittances as a percentage of the
recipient country’s GNP is probably the best standard to see their impact. For most Did You Know That:
countries the amounts were small, with remittances equaling perhaps 3% of India’s and A 2002 survey found that on
Mexico’s GNPs. However, some countries benefit greatly, with remittances equaling average Americans thought
over 30% of Moldova’s GNP and between 20% and 25% of the respective GNPs of that foreign aid consumed
such countries as Haiti, Lesotho, Lebanon, and Tajikistan. For all the benefits that 31% of the federal budget
remittances can bring, they are something of a double-edged sword. The World Bank and should be cut back
to 17%. That year foreign
warns that the outflow of workers seeking higher pay in other countries can drain the aid was actually less than
home country of some of its most motivated and talented workers, the very people it 1% of the federal budget.
needs at home to progress.

Internal Reforms
Although not a capital need as such, internal reforms are a closely associated and
controversial topic. One criticism of the LDCs is that development funds and other
assistance programs have had effects ranging from suboptimal to failure because of pro-
tectionism, corruption, and problems within the countries. President Bush, Prime
Minister Tony Blair of Great Britain, other EDC leaders, and the IMF and World Bank
have all pressed countries to open their economies further to trade and investment, to
privatize state-run enterprises, and to assure greater “transparency,” something of a
code word for reducing corruption. Symbolic of this thrust, the World Bank’s World De-
velopment Report 2005 is subtitled A Better Investment Climate for Everyone. The report
argues (p. xii) that “improving the climate for investment in developing countries is
essential to provide jobs and opportunities.” It states that some countries have taken
steps to improve their investment climate. Nevertheless, it continues, “Progress remains
slow” because many “governments still saddle firms and entrepreneurs with unnecessary
costs, create substantial uncertainty and risks, and even erect unjustified barriers to com-
petition.” In its table rating countries by their investment climate, the report takes up
such standards as the unpredictability of how officials interpret regulations, bribes, con-
fidence in the court system, crime, tax rates, and the amount of bureaucratic red tape.
Certainly, some of these factors, such as being safe from crime, would elicit
no dispute. Others are more controversial. For example, leaders in LDCs wonder
420 CHAPTER 13 International Economic Cooperation: The Alternative Road

how the United States would do on the regulatory predictability scale, given that
www Washington is populated by hordes of lobbyists trying to influence government,
as well as armies of attorneys trying to interpret, and to a degree manipulate,
government regulations. Another criticism is that the demand for reductions in
JOIN THE DEBATE
Is Debt Relief Good for taxes and regulations serves to improve the profits of capitalist corporations, not
the Global Economy? the welfare of the people. There are yet other objections, but as you will see in sev-
eral subsequent discussions of North-South relations, there is suspicion among
many in the LDCs that the calls for “reform” are in truth an effort to advance the
interests of the EDCs and their corporations and to continue their neocolonial
domination of the South.

ECONOMIC COOPERATION AND DEVELOPMENT:

THE INSTITUTIONS

Our next step toward understanding economic cooperation and its emphasis on the
development of the South is to examine the array of global and regional IGOs,
treaties, and other efforts to try to regulate and enhance the world economy in general
and conditions in the South in particular. Of the global IGOs, the most important are
the UN, the WTO, the IMF, and the World Bank. A number of EDC institutions and
regional institutions also play a role.

The United Nations and Economic Cooperation

Among its many functions, the UN serves as a global umbrella organization for
numerous agencies and programs that deal with economic issues through the
United Nations Economic and Social Council (UNESCO), and other UN divisions
and associated agencies. The economic focus of the UN can be roughly divided
into two categories: global economic regulation and the economic development of
the South.

The UN and Global Economic Regulation

The UN is involved in a number of areas related to global economic cooperation such
as the regulation of transnational (or multinational) corporations (TNCs/MNCs).
Many observers argue the MNCs need to be regulated by IGOs because globalization
has allowed businesses to escape a great deal of domestic regulation. “Are we really
going to let the world become a global market without any laws except those of the
jungle?” France’s president asked at a UN-sponsored economic conference.3 In response
to such concerns, the UN’s Center for Transnational Corporations was established as
part of the effort to create global standards and regulations to limit the inherently
self-serving practices of capitalist corporations.

The UN and Development

The second focus of UN economic activity has been development of the LDCs. One
role that the UN has played since 1981 is sponsor of North-South economic summit
conferences that have helped increase international awareness among the policy
makers of the North about the need for development, have elicited expressions of
concern, and have even brought some financial support. For example, the Millennium
Summit held at the UN in 2000 brought together 150 national leaders who established
eight goals to be reached by 2015 in such areas as reducing extreme poverty, increasing
 Economic Cooperation and Development: The Institutions 421

education, and improving health. It is unlikely that most, perhaps any of the goals
will be met completely, but setting a standard by which progress can be measured is
an important step.
The Millennium Summit also agreed that in 2002 the leaders of North and South Web Link
should meet again at the UN-sponsored International Conference on Financing for You can get the details of the goals
Development (ICFD) held in Monterrey, Mexico. Fifty national leaders, includ- set by the Millennium Summit at
ing President George Bush, the heads of the top financial IGOs, and other world www.un.org/millenniumgoals/.
leaders, attended the conference. The UN secretary-general called on the EDCs
to increase annual economic foreign aid from the current .025% of their GNPs to
.07%. Meeting that standard in 2006 would have required an increase in aid that
year from $104 billion to $240 billion. Some leaders supported that goal, but Presi-
dent Bush and most other EDC officials were more cautious. Still, the pressure to
respond to the South’s needs had an effect, with Bush, for example, pledging to ask
Congress to increase U.S. economic aid by 50% within three years. Congressional
appropriations fell short of that mark, but U.S. international assistance did increase
by about 30%.
The UN also has numerous development programs. For example, the UN Devel-
opment Programme (UNDP) was established in 1965 to provide technical assistance
(such as planning) and development funds to LDCs. It spends about $3 billion annu-
ally, has offices in 134 LDCs, and focuses on grassroots economic development, such
as promoting entrepreneurship, supporting the Development Fund for Women, and
transferring technology and management skills from EDCs to LDCs.
Another important UN organization, the UN Conference on Trade and Devel-
opment (UNCTAD), was founded in 1964 to promote the positive integration of
the LDCs into the world economy. Virtually all countries are members of UNCTAD.
UNCTAD primarily gives voice to the South, especially at the summit conferences
it holds every four years. The most recent of these, held in São Paulo, Brazil, in
2004, emphasized “ways to make trade work for development,” and called on
the North to increase its support for achieving the goals set by the Millennium
Summit.
A related organization is the Group of 77 (G-77), a name derived from the Joint
Declaration of the Seventy-Seven Countries that the LDCs issued at the end of the
first UNCTAD conference. Since then the G-77 has expanded to include 130 mem-
bers. It has recently tried to increase its profile by holding its first summit meeting
since it was founded in the mid-1960s. That meeting, in Havana, Cuba, in 2000, as
well as the second summit in Doha, Qatar, in 2005, have played an important role in
having the leaders of the LDCs gather, establish their development agenda, and press
the EDCs to support it, as discussed in chapter 12.

Trade Cooperation and Development: The WTO

While the UN addresses the broad range of global economic issues, there are a
number of IGOs that focus on one or another specific area of economic inter-
change. One of the most prominent of these is the World Trade Organization
(WTO). It was founded in 1947, and until 1995 the organization had the same name as
its underlying treaty, the General Agreement on Tariffs and Trade (GATT). What-
ever its name, the organization’s initial membership of 23 countries has expanded to
148 members, and most of the nonmembers are seeking to join. In keeping with the
GATT’s original mission, the reduction of trade barriers, the WTO has sponsored
a series of trade negotiations called “rounds” that have greatly enhanced the free
flow of trade and capital. Although the WTO was established and remains a general
422 CHAPTER 13 International Economic Cooperation: The Alternative Road

FIGURE 13.8 WTO Cases trade organization, its latest series of negotiations,
the Doha Round, heavily focuses on North and
LDC vs. LDC South perspectives on the intersection of economic
12%
globalization and development. Before turning to
that, however, it is important to take a look at the
WTO itself.
EDC vs.
EDC vs. EDC The Structure and Role of the WTO
LDC 36%
21% The function of the WTO is to deal with the com-
LDC vs.
plexities of the GATT and to handle the disputes that
EDC will inevitably arise under the GATT. WTO headquar-
31% ters are in Geneva, Switzerland, and it is currently
headed by Director-General Pascal Lamy of France,
a former trade commissioner of the European Union
This figure analyzes WTO cases: who filed charges (complainants)
against whom (respondents, defendants) in the 363 WTO cases filed (EU), who took office in 2005. Countries can file
between 1995 and April 10, 2007. An EDC was either the respondent or complaints against one another for alleged violations
the defendant in 88% of the cases. This is not surprising, though, given of the GATT. The WTO uses three-judge panels to
the high levels of EDC trade and the resulting sensitivity of other EDCs hear the complaints, and if a panel finds a violation,
and LDCs to perceived violations of GATT rules. the WTO may authorize injured countries to levy
Note: Each segment shows complainants vs. defendants. sanctions on the offending country. Each country
Data source: WTO; author’s calculations. has one vote in the WTO, and sanctions require a
two-thirds vote. While any country can withdraw
from the WTO by giving six months’ notice, that country would suffer significant
economic perils because its products would no longer be subject to the reciprocal
low tariffs and other advantages WTO members accord one another.
Despite grumbling by critics about countries losing their sovereignty, the WTO
judicial process has been busy, with an average of about 30 cases filed annually in
www recent years (Leitner & Lester, 2006). The pattern since this process began in 1995, as
illustrated in Figure 13.8, shows that EDCs are both the most common complainants
SIMULATION
(57%) and respondents (67%). The United States was involved in 51% of those cases,
IGOs and Economic 88 times as a complainant and 97 times as a respondent. It is reasonable to conclude
Cooperation that the frequency of the U.S. status of respondent is almost surely a function of the
size of the U.S. economy, rather than any tendency to target the United States, given the
fact that the European Union was involved in 36% of all cases, filing 76 complaints
and responding to 56 others.
The significance of the WTO hearing process was evident in the dispute that
flared up in 2005 between the United States and the EU, each charging that the other
was violating GATT rules by subsidizing their commercial airliner manufacturing
industry. As detailed in chapter 12, both took their cases to the WTO, but they also began
negotiations with one another to seek the equivalent of an out-of-court settlement.
Such resolutions are not uncommon. The most difficult times arise when a WTO rul-
ing runs counter to the desires of a powerful interest group in a respondent country
and requires a change in domestic law. When in 2005 the WTO decided in favor of
Brazil’s complaint that U.S. subsidies to its cotton farmers violated GATT rules, pow-
erful members of Congress from cotton-growing states decried the WTO’s interven-
tion in supposedly domestic American matters. But the following year the White
House proposed and Congress enacted reductions in U.S. cotton subsidies. Brazil
argued the reductions did not go far enough, and the dispute continues, but it is
important to see that the United States did respond positively, if perhaps not fully,
despite powerful political pressure not to do so. Typical of many cases, an effort was
made to limit the impact on the U.S. cotton industry. But simply rejecting the WTO
 Economic Cooperation and Development: The Institutions 423

finding would expose the United States to sanctions that would hurt other areas of
American commerce, would encourage other countries to reject WTO rulings that
favored the United States, and, indeed, would imperil the WTO and the entire struc-
ture of economic globalization that Washington has so steadily promoted for over a
half-century.

Revising the GATT: The Doha Round

As noted earlier, the GATT has been revised in a series of negotiations. The eighth
and most recently completed of these, the Uruguay Round, was convened in 1986
in Punta del Este, Uruguay, and was not concluded until 1994. The resulting GATT
revisions further reducing economic barriers are complex beyond our telling here,
addressing about 10,000 products and myriad businesses and other commercial
interchanges. There were, for example, four paragraphs on the importation of “soft-
ripened cow’s milk cheese” and how to distinguish that kind of cheese from other
kinds of cheese.
What is important, though, is that, overall, the countries that signed the Uruguay
Did You Know That:
Round document agreed to reduce their tariffs $744 billion over a 10-year period by
Indicative of the complexity
cutting them one-third on average. Agricultural tariffs were included in the GATT for
of modern trade negotiations,
the first time, and the agreement also further reduced or barred many NTBs. The sig- the 1994 GATT revision is
natories also agreed to institute within five years effective protection of intellectual some 26,000 pages long and
property, such as patents, copyrights, trade secrets, and trademarks. These changes weighs about 385 pounds.
did not end the process of economic globalization, however. Instead, they set the
stage for the next round of negotiations to further enhance the free flow of global
trade and finance.
This newest round of negotiations began when the WTO decided during one
of its periodic ministerial meetings, which had gathered in Doha, Qatar, in 2001, to
reach agreements in just three years, less than half the time it took to complete the
Uruguay Round. The Doha Round failed to meet that deadline, and the story of the
stalled negotiations is in considerable part about conflict between North and South
priorities on further development and globalization.
North-South disagreements came to a head in 2003 during the second ministerial
meeting of the Doha Round negotiations, which were held in Cancún, Mexico. The
EDCs wanted to focus on matters that mostly require reform in the South such as
lowering LDCs tariffs, permitting competition (the EDCs want barriers against car-
tels and price fixing), promoting transparency (ensuring corruption does not hinder
trade), enforcing intellectual property rights (protecting the patents of EDC compa-
nies), limiting government procurement (ensuring foreign companies can compete),
and curtailing investment restrictions (such as limits of foreign ownership of busi-
ness and real estate). By contrast, LDCs wanted to focus on reducing EDC barriers to
agricultural imports. A particular target is the approximately $300 billion in annual
subsidies that the EDCs give to their farmers and agribusinesses. These subsidies
allow EDC agricultural products to be sold at artificially low prices, thereby often
pricing LDC exports of those products out of the global market (Cline, 2004). The
LDCs have strengthened their leverage by presenting a generally united front in the
negotiations, with leading LDCs forming a coalition informally headed by Brazil,
China, India, and South Africa.
Unable to reach a compromise, the talks in Cancún collapsed. LDC delegates
blamed the EDCs. “They were not generous enough; there was just not enough on
the table for developing countries,” argued the delegate from Jamaica.4 Reflecting the
EDC view, the EU commissioner of agriculture rejoined, “If I look at the recent extreme
proposal co-sponsored by Brazil, China, India and others [in Cancún], I cannot help
424 CHAPTER 13 International Economic Cooperation: The Alternative Road

International trade negotiations

are more intense than ever
since 2003. That year the less
developed countries formed a
loose alliance, called the Group
of 20 (G-20), including Brazil,
China, India, and South Africa,
to strengthen their negotiating
position vis-à-vis the North.
In this photo, World Trade
Organization Director-General
Pascal Lamy, center, consults
with Brazil’s Foreign Minister
Celso Amorim, left, and India’s
Commerce Minister Kamal
Nath during a G-20 meeting in
Rio de Janeiro, Brazil.

[having] the impression that they are circling in a different orbit. If they want to do
business, they should come back to Mother Earth. If they choose to continue their
space odyssey they will not get the stars, they will not get the moon, they will end up
with empty hands.”5
Despite the impasse, there was also wide recognition that failure to reach an
agreement might mean more than just no new progress; it might lead to an unrav-
eling of more than 50 years of progress toward ever freer international economic
exchange. As UN Secretary-General Ban Ki-moon put it, “Should this round of trade
talks fail, serious damage will be done . . . to the multilateral trading system and
to multilateralism itself.”6 Therefore negotiations have continued, but yet another
ministerial meeting (Hong Kong, 2005) and a number of other somewhat lower-level
negotiations yielded only scant results. Somewhat renewed hope arose in 2007 after
a White House meeting between President Bush and the EU’s top officials, the presi-
dent of the Council, German Chancellor Angela Merkel, and the president of the
Commission, José Manuel Barroso. The three agreed to try to reenergize negotia-
tions. “We told our trade ministers: Work hard, work often, work constructively,”
Bush said.7 Whether hard work will be enough remains to be seen. The problem,
according to WTO Director-General Pascal Lamy, is that even though all sides want
the Doha Round to succeed, they also “are somewhat paralyzed by fear that any move
in the negotiation by any one of them will be pocketed by the others and will not lead
to reciprocal moves.”8

Monetary Cooperation in Support of Development: The IMF

As trade and the level of other international financial transactions have increased, the
need to cooperate internationally to facilitate and stabilize the flow of dollars, euros,
yen, pounds, and other currencies has become vital. To meet this need, a number of
organizations, of which the International Monetary Fund (IMF) is the most impor-
tant, have been established. As with many other aspects of international economic
 Economic Cooperation and Development: The Institutions 425

cooperation, the focus of the IMF has shifted substantially toward concerns with
LDC development.
The genesis of the IMF in the early 1940s was rooted in the importance the United
States placed on monetary stability and the easy convertibility from one currency to
another, as discussed in chapter 12. To this end, Washington organized a conference
of World War II Allies in 1944 at Bretton Woods, New Hampshire. There the delegates
established the IMF. Thus, like the WTO, it was created by the West, with the United
States in the lead, as part of the liberalization of international economic interchange.
When the IMF began operations 1947, it had 44 member-countries. That number
stood at 185 in 2007. Its headquarters are in Washington, D.C, and its managing
director since 2004 is Rodrigo de Rato y Figaredo, formerly Spain’s economic minister.
At first the IMF followed a system under which currencies were exchanged against the
U.S. dollar on a “fixed-rate” tied to the price of gold. This worked for a time, but by
the early 1970s a new system was put in place that relied on “free-floating” currency
relations. Under this system, supply and demand is the principal determinant of the
exchange rate of currencies.
To fund its operations, the IMF utililizes hard currency reserves ($327 billion in
2007) placed at its disposal by EDCs and from interest on loans it has made to coun-
tries that draw on those reserves. On rare occasions, the IMF also sells part of its gold
reserve, currently at over 3,200 tons and worth over $68 billion, to support its oper-
ations. The agency can also borrow up to about $25 billion to meet emergency needs.
Whatever their source, the value of IMF resources are expressed in terms of special
drawing rights (SDRs), a virtual currency whose value is based on an average, or
market basket, value of the EU euro, Japanese yen, British pound, and U.S. dollar. In
mid-2007, the exchange rate was 1 SDR $1.53.

The Role of the IMF

The IMF’s primary function is to help maintain exchange-rate stability by making
short-term loans to countries with international balance-of-payments problems because
of trade deficits, heavy loan payments, or other factors. In such times, a country can
use the IMF’s loan to help meet debt payments, to buy back its own currency (thus
maintaining exchange-rate stability by balancing supply and demand), or take other
financial steps.
Over time, the focus of the IMF has turned almost entirely to LDCs. Reflecting
their increased number and their frequent monetary difficulties, the total loans that
the IMF has outstanding at any one time have grown significantly. As recently as 1980,
IMF loans were under $15 billion. The challenges of dealing with the crunch brought
on by the LDCs’ loan repayment crisis and by financial crises in Mexico (1995),
Asia (late 1990s), and Argentina (2001–2002) increased IMF’s outstanding loans
to a peak of $103 billion in 2003. After that through 2006, as detailed in Figure 13.9,
an easing of international monetary pressures allowed IMF lending to drop sharply.
Whether this change is a trend or an anomaly is unclear. To that end, IMF in 2006
had over $35 billion in loans outstanding to 74 countries, all of them LDCs. As part
of its program, the IMF has the Poverty Reduction and Growth Facility (PRGF)
program that provides loans at “concessional” (very low) interest rates to low-income
countries, and another program to provide loans at concessional rates to very poor
countries under the Heavily Indebted Poor Countries (HIPC) Initiative. Of the
overall 78 loans in mid-2007, 56 worth $9 billion were concessionals.
In addition to responding to monetary difficulties, the IMF tries to head them
off by encouraging member-countries to follow sound fiscal policies and providing
them technical support to achieve that goal. Under its “surveillance program,” the
426 CHAPTER 13 International Economic Cooperation: The Alternative Road

FIGURE 13.9 IMF Loans

IMF outstanding loans (US$ billions) $103
$90

$61
$57

$35

1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006

The IMF now extends all its loans to LDCs in an effort to increase their financial stability and advance
their development. As evident, the amount of loans that the IMF has outstanding in any given year
varies significantly and is based on the problems that it is addressing. Whether the recent easing of
needs for IMF loans is a trend or a short-term anomaly remains to be seen.
Note: Source expresses loans in SDRs; conversion to U.S. dollars by author using average SDR rate for year.
Data source: IMF.

IMF regularly conducts detailed analyses of each country’s economic situation and
discusses the findings of the appraisal with the country’s financial officials. The IMF
also offers countries technical assistance in such areas as developing monetary and
exchange rate policy, regulating banks and other financial institutions, and gathering
and interpreting statistics.

Criticisms of the IMF

Although the IMF has played a valuable role and has many supporters, it is often
criticized. The controversies regarding the IMF may be divided into two categories:
voting and conditionality.

Voting One criticism centers on the formula that determines voting on the IMF
board of directors. Voting is based on how much each member-country contributes
to the IMF’s resources. On this basis, the United States has over 17% of the votes,
242 times the voting strength of Palau’s 0.07%. By
another calculation, the United States and just seven
other large EDCs control a majority of the IMF vote
under the wealth-weighted system. The weight of the
EDC vote is a key reason why the director-general
of the IMF has always been a Western European.
This record and the voting apportionment leads
critics of the IMF to charge that it is undemocrati-
cally controlled by the North and is being used as a
tool to dominate the LDCs.

One of the criticisms of the International Monetary Fund

and the World Bank is that their voting formulas allow a few
wealthy countries to dominate decisions. This photograph
shows members of an NGO, Global Call to Action Against
Poverty, protesting what they charge is an unfair lack of
voice by poorer countries in the operations of the leading
economic IGOs.
 Economic Cooperation and Development: The Institutions 427

Conditionality Critics also accuse the IMF of imposing unfair and unwise condi-
tions on countries that borrow from it. Most IMF loans are subject to conditionality.
This refers to requirements that the borrowing country take steps to remedy the prac-
tices and conditions that, according to the IMF, either caused the recipient’s financial
problems or will retard its recovery. The IMF also often requires borrowing govern-
ments to make significant changes in domestic policy such as reducing their budget
deficits by cutting domestic programs and/or raising taxes. While such requirements
may seem reasonable, critics take exception. One objection is that IMF conditions
violate sovereignty by interfering in the recipients’ policy-making processes. When the
IMF and Argentina were negotiating the provisions of an IMF loan to that country in
2002 amid its financial crisis, many Argentine political leaders denounced the IMF’s
demand that they slash their budget deficit and make other changes in their domes-
tic policy. Reflecting a common view, one Argentine official growled, “The only thing
lacking is for us to pull down the Argentine flag and replace it with the IMF’s.”9
A second and closely related charge is that as part of its conditions, the IMF gen-
erally promotes the capitalist model by pressing LDCs to move toward easing restrictions
on their economies and adopting free international economic exchange. It advocates
such steps as privatizing state-run enterprises, reducing barriers to trade and invest-
ment, and devaluing currencies to increase exports and decrease imports. According
to one of the IMF’s detractors, such policies as the “liberalization and deregulation of
trade and finance” only serve to “bring about crises, widen inequalities within and
across countries, and increase global poverty.”10
Third, some critics have contended that given the North’s control of IMF policy,
conditionality promotes a neocolonial relationship. Argentina’s president decried this
status as the “domination” of the LDCs by the EDCs.11
Fourth, critics charge that IMF conditions often harm economies in LDCs by requir-
ing fiscal austerity and other stringent conditions that are counterproductive. During
the IMF-Argentina negotiations, economist Jeffrey Sachs compared the IMF’s approach
to “the 18th-century medical practice in which doctors ‘treated’ feverish patients by
drawing blood from them, weakening the patients further and frequently hastening
their deaths.”12 A fifth and related charge is that IMF conditions often destabilize
governments by forcing them to institute policies that cause a domestic backlash.
Reflecting on riots that occurred in Argentina, one observer commented, “The IMF
has the wrong idea if they think . . . any president can immediately make the kinds of
reforms they are demanding and still be left standing in the morning.”13 A sixth line
of criticism contends that the IMF conditions undermine social welfare by pushing
countries to cut their budget, thereby reducing social services, laying off government
workers, and taking other steps that harm the quality of life of their citizens. Taking
that view, Argentina’s president portrayed the IMF’s conditions as “delaying education
and the good health of Argentina’s children.”14

Defense of the IMF

Those who defend the IMF reject these charges. With respect to the voting formula,
defenders argue that since it is the EDCs that provide the funds, they should have a
proportionate share of the say in how they are invested. As for conditionality, the IMF
acknowledges that its demands often cause hardship. But it argues that the required
reforms are necessary to correct the problems that led the borrower-country into fi-
nancial difficulty in the first place in order to avoid a continuing cycle of crisis and
loans. Taking this view during Argentina’s economic meltdown, the head of the IMF,
argued that, “without pain, [Argentina] won’t get out of this crisis, and the crisis—at
its root—is homemade.”15
428 CHAPTER 13 International Economic Cooperation: The Alternative Road

It is also the case that the IMF has responded to the criticism of its conditionality
standards and eased them during Argentina’s monetary crisis and after formal reviews
that took place in 2002 and 2005. As is often true of compromises, those in Argentina
left many on both sides dissatisfied. Some talked of an IMF “cave in,” while others
protested that “if the national government . . . with the IMF . . . [causes] utility rate
increases, there will be more hunger and there will be more unemployment.”16
Web Link To the charge of promoting capitalism and economic internationalism, those who
The Heritage Foundation and
defend the IMF argue that it is doing just what it should do to promote global pros-
the Wall Street Journal compile perity. From this perspective, “Free markets and free trade and free choices transfer
an annual Index of Economic power to individuals at the expense of political institutions,” and, “People who have
Freedom, rating countries on acquired a taste of economic liberty and expanded horizons will not consent to be shut
how closely they adhere to
in again by walls or fences. They will work to create a better existence for themselves.
capitalism. The index is available
at www.heritage.org/research/
The aim of our politics should be to give them that freedom.”17 Those who agree with
features/index/. the IMF approach also point to statistics such as those found in Figure 13.10 to support
their position. Not everyone would agree with the “pro-capitalist” conclusions that
Figure 13.10 would seem to suggest. For example, closer inspection of the data raises
many questions. China, for one, is making rapid economic progress, yet its economic
freedom score puts it in the next to lowest 20% of all countries. There are some coun-
tries, including El Salvador, that are in the top 20% but remain poor. France has a
lower score than Botswana and Italy’s ranking is below that of Namibia, yet both the
European countries are much better off economically than either of the two southern
African states. The point is to do both macro and micro analysis, and the Web link in
the margin directs you to the source to begin that.

FIGURE 13.10 Capitalism and Prosperity

$27 Economic indicators by degree of economic freedom

Top 20% 3rd 20% Bottom 20%

2nd 20% 4th 20%
20%
18%
17%
16%

$12
11%

$7 7% 7%
6%
$5 5%
$4
2%

Per capita GDP Unemployment rate Annual inflation rate

(US$ thousands)

There is considerable pressure on countries from the IMF, WTO, and elsewhere to institute economic
reforms that reduce the presence of government in both the domestic and foreign economic systems.
The argument is that systems adhering to capitalism (free enterprise) and open international economic
exchange according to the economic internationalist model are the most likely to achieve prosperity.
One analysis annually ranks countries according to 10 criteria of their degree of “economic freedom.”
The resulting data, some of which is shown here, indicates a generally positive relationship between
how free a country’s economy is domestically and internationally and having a higher per capita GDP,
a lower unemployment rate, and a lower annual inflation rate. As the text notes, however, not everyone
agrees with such analyses.
Note: The 10 criteria were business, trade, fiscal, monetary, investment, financial, and labor freedom; freedom from
government and from corruption; and property rights.
Data source: Heritage Foundation and Wall Street Journal, Index of Economic Freedom 2007.
 Economic Cooperation and Development: The Institutions 429

Development Cooperation: The World Bank Group

A third type of multilateral economic cooperation involves granting economic de-
velopment loans and aid to LDCs. The most significant development agency today
is the World Bank Group, commonly referred to as just the World Bank. The desig-
nator “group” stems from the fact that the World Bank consists of several distinct
agencies.

World Bank Operations

Like the IMF, the World Bank was established in the World War II era to promote the
postwar economic prosperity of the United States and its allies. However, like the IMF,
the World Bank’s priorities have shifted to assisting the development of the South.
Almost every country is a member of each agency of the World Bank Group.
One agency, the International Bank for Reconstruction and Development (IBRD, estab-
lished 1946) has lending policies that resemble those of a commercial bank in that
the IBRD analyzes the financial worth of projects it funds and charges some interest.
In 2006, the IBRD made new loans totaling $14 billion to fund 87 projects in 33
countries and had total outstanding loans of $103 billion. By 2006, cumulatively
during its history the bank had loaned $367 billion to 130 countries; it additionally
had $35 billion in reserves. Its funding is based on $110 billion that member-
countries have given or pledged to it, from the interest it earns on its loans, and from
the returns it gets from investment activities. The country with the greatest amount
of loans was China ($16 billion), followed by Brazil, Mexico, India, and Turkey (all
$10 billion or more).
A second agency, the International Development Association (IDA, created 1960)
focuses on making loans at no interest to the very poorest countries to help them
provide better basic human services (such as education, health care, safe water, and
sanitation), to improve economic productivity, and to create employment. All of the
IDA’s loans are on a concessional basis, with no interest, no repayments for 10 years,
then a 15- to 30-year repayment schedule. During 2006, the IDA extended $9.5 bil-
lion in loans to fund 167 projects in 61 countries, most of them in sub-Saharan
Africa. As the numbers indicate, most loans are for small amounts. During its history,
IDA credits and grants have totaled $161 billion, about half of which has gone to
Africa. Some of the IDA’s funding comes from the income of the IRBD, but most
comes from member-country contributions. Of these, the United States has been the
largest donor, giving $29 billion, about 23% of the funds the association has received
from national governments.
The third agency, the International Finance Corporation (IFC, founded 1956)
makes loans to companies in LDCs and also guarantees private investment for proj-
ects supporting development. This contrasts with the IBRD and the IDA, which
mostly make loans to governments for public projects. The IFC’s loans for 2006 came
to $6.7 billion to 284 private enterprises in 66 countries. IFC also guaranteed
$2.8 billion in private investment in various LDCs. Because of the unstable business
climates in many countries, many of the IFC’s loans are risky. Nevertheless, it is
now largely self-sustaining and had a net income of $1.2 billion in 2006 based on
the interest from its loans and earnings from other investments. The fourth of the
World Bank Group agencies, the Multilateral Investment Guarantee Agency (MIGA,
created 1988) promotes the flow of private development capital to LDCs by provid-
ing guarantees to investors for about 20% of any losses they might suffer due to non-
commercial risks (such as political instability). In 2004, MIGA issued $1.3 billion in
41 guarantees.
430 CHAPTER 13 International Economic Cooperation: The Alternative Road

Controversy about the World Bank Group

Like the IMF, the World Bank has done a great deal of good, but it has also come
under criticism. Many object to the fact that, like the IMF, the World Bank is domi-
nated by the EDCs. It also uses a wealth-based voting formula. This gives the United
States 16% of the votes and, along with Western Europe, majority control of the
bank’s board of directors. One result is that the president of the World Bank is and
always has been an American. The informal rule that an American will head the bank
was reconfirmed in 2007 when the tenth president, former U.S. Deputy Secretary of
Defense Paul Wolfowitz, was forced to resign after only two years in office, amid a
scandal that involved his ongoing romantic relationship with a bank staff member.
He had arranged to have her placed temporarily at the U.S. State Department to avoid
a conflict of interest, but had also agreed to not only have the bank continue to pay her
salary but also to have it increased from $130,000 annually to $190,000. Yet despite
this clouded end, President Bush soon nominated yet another member of his admin-
istration, former U.S.Trade Representative Robert Zoellick, to be the bank’s eleventh
president and, despite some grumbling globally, he appeared virtually assured of the
support of the bank’s board of directors.
Beyond its immediate cause, the Wolfowitz imbroglio also illustrated some of
the other issues with the bank. One, the view expressed by the Financial Times of
Great Britain when Wolfowitz first became president, is that the bank is too much
of “an instrument of U.S. power and U.S. priorities.”18 Indeed, there were some
suspicions that Europeans and others seized upon Wolfowitz’s personal indiscre-
tion as an opening to unseat him in part because of his close association with the
Iraq War and in part to try to embarrass the Bush administration for its alleged uni-
lateral highhandedness. For one, the Wall Street Journal editorialized that Wolfowitz
was being “Euro-railroaded.”19 Wolfowitz was also vulnerable because his poli-
cies angered many of the staff at the bank. They especially opposed his stress on cor-
ruption on the grounds that it tended to stereotype LDCs and also, by laying part of
the blame for the lack of development on the LDCs themselves, it might strengthen
the forces that opposed greater aid to the South. Reflecting Wolfowitz’s rocky rela-
tionship with the bank staff, Zoellick was quick to say assuringly, “The most im-
portant thing, to start off, is to try to reach out to
the staff.”20
For now, then, the leadership of the World Bank
will remain in the hands of the North. From the
South’s perspective, the North’s ongoing domination
of the World Bank limits its ability to understand the
views and problems of the LDCs. A harsher inter-
pretation in line with economic structuralism is that
the EDCs use the World Bank and other IGOs to
maintain neoimperialist control of the South. For
example, Malaysian economist and activist Martin

The domination of the World Bank by the North in general

and the United States in particular was demonstrated anew
when its president, former U.S. Deputy Secretary of Defense
Paul Wolfowitz, was forced to resign in 2007 amid scandal. To
replace him, U.S. President George Bush, left, nominated and
the bank’s board accepted former U.S. Deputy Secretary of
State Robert Zoellick, right. There were no other candidates,
although any country could have nominated one.
 Economic Cooperation and Development: The Institutions 431

Kohr charges, “Economically speaking, we are more dependent on the ex-colonial

powers than we ever were. The World Bank and the IMF are playing the role that our
ex-colonial masters used to play.”21
Critics also grumble that the World Bank provides too little funding. Figures Web Link
such as the approximately $600 billion the World Bank has distributed in its history For a critique of the IMF
and the $30 billion it loaned LDCs in 2004 sound less impressive in light of the fact and World Bank, go to the
that in real dollars, World Bank funding is no greater than it was in 1995 despite the Bretton Woods Project site at
North’s rhetoric about being committed to increasing development funds for the South. www.brettonwoodsproject.org/.
The institutions defend them-
A third criticism charges that the World Bank is too conservative in the distribution of
selves at www.worldbank.org
its loans. Almost a third of World Bank loans in 2006 went to just five countries (Brazil, and www.imf.org.
China, India, Mexico, and Turkey), none of which was in dire economic straits.
In fact there is a growing question of whether the bank should be loaning money to
countries like China that can get loans on the world’s commercial credit markets,
have large foreign reserves (China: $1 trillion), or that spend huge sums on their nuclear
weapons and other military programs (China and India). Regarding this concern, con-
servative critics suggest that the bank is no longer needed at all, while liberal critics
urge the bank to devote most or all of its resources to giving grants, not loans, to the
poorest countries. Finally, liberal critics also charge that the World Bank’s conservatism
causes it, like the IMF, to use its financial power to impose the capitalist economic
model on recipient countries.

Economic Cooperation and Development: EDC Institutions

As globalization progressed in the latter half of the 20th century, the EDCs created
several organizations to help ensure their own post–World War II economic health.
While these IGOs still do that to some degree, they, like the IMF and other economic
IGOs, have expanded their focus to include development.

Organization for Economic Cooperation and Development

Of the two major EDC organizations, the first to be created was the Organization
for Economic Cooperation and Development (OECD). It was established in 1961
by the United States, Canada, 15 Western European countries, and Turkey. It has
subsequently admitted several LDCs that have close economic ties to an EDC, such
as Mexico, or that are relatively prosperous, such as South Korea. Still, the bulk of
the OECD’s 30 member-states are EDCs, making the organization something of a
“rich man’s club.” The OECD serves as a forum for member-countries to discuss
economic issues; it generates copious statistics and numerous studies and offers
economic advice and technical assistance. It has also become increasingly involved
with the LDCs and such issues as globalization and sustainable development, and it
has established links with some 70 LDCs, ranging from Brazil, China, and Russia to
the low-income, or least developed countries (LLDCs), in sub-Saharan Africa and
elsewhere.

The Group of Eight (G-8)

If the OECD is a reasonably exclusive club of prosperous member-countries, the Group
of Eight (G-8) is equivalent to the executive board. The G-8 does not have a formal
connection to the OECD, but it does represent the pinnacle of economic power, with
its members combining to generate 62% of the world’s GDP. The G-8 began in 1975
as the Group of Seven (G-7) to coordinate economic policy among the seven most
economically powerful noncommunist countries (Canada, France, Germany, Great
Britain, Italy, Japan, and the United States). In 1997 the G-7 became the G-8 when it
432 CHAPTER 13 International Economic Cooperation: The Alternative Road

added Russia in recognition of its economic potential and geostrategic importance.

The president of the Commission of the EU also regularly attends meetings.
The apex of G-8 activity comes at its annual summit meeting. These have increas-
ingly concentrated on development and other matters related to LDCs. One indication
of this focus on LDCs is that a number of them have been invited as participating
nonmembers to each G-8 summit since 2000. The leaders of Brazil, China, India,
Mexico, and South Africa now regularly attend. Additionally, the 2007 summit in
Heiligendamm, Germany, included UN Secretary-General Ban Ki-moon, the head of
the African Union, and leaders of Algeria, Ethiopia, Nigeria, Senegal, and South
Africa. The agenda of individual meetings is somewhat driven by events, with global
warming and global health threats the central items of the 2007 meeting. With respect
to climate change, most G-8 leaders had hoped to persuade President Bush to support
the Kyoto agreements, but he countered with a proposal calling for countries that
produce the most emissions leading to global warming to set targets to reduce them.
Critics denounced the proposal as meaningless, but it was the first public commit-
ment by the United States to reduce emissions, and its timing did reflect Bush’s desire
to avoid appearing completely obstructionist by arriving at the summit without any
proposal. On the second main agenda item, the G-8 leaders pledged their countries
would spend $60 billion to fight AIDS, tuberculosis, and other diseases in Africa.
However, some critics condemned the announcement as misleading in that it did not
indicate when the money would be given and also in that the amount mostly repre-
sented earlier commitments, with at most $3 billion in new money pledged. For one,
veteran AIDS activist Bono, of the group U2, described the seemingly large pledge as
“bureau-babble” based on the assumption that “rock stars might not be able to add

The Group of Eight (G-8) consists of the seven leading economic powers plus Russia. During its
annual summit, the G-8 leaders set goals, and those have increasingly included assistance for the
world’s poorest countries. This picture shows the G-8 leaders plus the president of the European Union
Commission seated under their respective flags during the 2007 summit in Heiligendamm, Germany.
From left to right are Prime Minister Shinzo Abe (Japan), Prime Minister Stephen Harper (Canada),
President Nicolas Sarkozy (France), President Vladimir Putin (Russia), Chancellor Angela Merkel
(Germany), President George Bush (United States), Prime Minister Tony Blair (United Kingdom),
Prime Minister Romano Prodi (Italy) and President of the EU Commission José Manuel Barroso.
 Regional and Bilateral Economic Cooperation and Development 433

and subtract or spell or read,” and he promised to move on to the “obscure village in
Japan” (Toyako), where the 2008 G-8 summit will convene.22
Opinions on the importance of the G-8 vary widely. One factor is that the high-
profile summits become an important part of the public diplomacy regarding develop-
ment. Prior to the 2005 meeting, for example, music promoter Bob Geldof organized
Live 8 popular music concerts in ten cities. They were broadcast around the world
and starred such groups and performers as U2, Coldplay, Sting, Elton John, the Who,
Pink Floyd, and Green Day. Adding to the public pressure, HBO aired a movie, The
Girl in the Café, about a young woman who travels to the G-8 summit with a British
financial expert and confronts the gathered leaders, charging them with not doing
enough to meet the UN Millennium Development Goals to alleviate poverty and its
related social ills. Like most major meetings of the leading economic institutions, the
summit also drew thousands of antiglobalization protesters, although there were far
fewer than previous summits held in less tightly controlled host countries.
As for the importance of the G-8 and its resolutions, one analyst depicts it as an Web Link
emergent “shadow world government.”23 A less expansive view, according to another The University of Toronto includes
scholar, is that G-8 members “do comply modestly with the decisions and consensus the G8 Information Centre at
generated [at their summit meetings].”24 There are also opinion differences over www.g7.utoronto.ca/.
whether the G-8 is a positive or negative force. Representing the range of opinions,
some observers applauded the decisions of the 2005 summit. U2 lead singer Bono, a
cofounder of DATA (Debt AIDS Trade Africa), exulted, “We’ve pulled this off. The world
spoke, and the politicians listened.” More cautiously, Bob Geldof advised, “It is only
time that will decide whether this summit is historic or not. The check has been writ-
ten and signed, now we need to cash it.”25 Yet other views were neutral or negative.
Sue Mbaya, director of the Southern Africa Regional Poverty Network, was even more
hesitant. “As optimistic as we would like to be,” she said, “we should be wary based
on [the G-8] track record, which has often been far short compared to the pledges.”
Mbaya expressed suspicion of the G-8’s sincerity in light of the fact that its pledge of
added aid had been made on the condition that African countries reduce corruption
and institute other reforms. She called demand for reform “the latest trick on the
conditionalities front,” and warned that it could be used “as a loophole” by the G-8
to renege on its pledge.26

REGIONAL AND BILATERAL ECONOMIC

COOPERATION AND DEVELOPMENT

In addition to activity promoting economic cooperation and development from a

global perspective, there are important efforts under way at the regional and bilateral
level to reduce the barriers to economic interchange. This activity does not exclu-
sively involve LDCs. Still, similar to global cooperation, regional and bilateral ties
have become extensively intermeshed with and important to the development of the
South.
Regionally, one area of cooperation is finance through nine regional development
banks. In terms of loan commitments, the largest of these (and their loans in 2006)
were the Asian Development Bank ($7.4 billion), the Inter-American Development
Bank ($6 billion), the African Development Bank ($1.8 billion), and the European Bank
for Reconstruction and Development ($5.6 billion), which focuses on projects in the
LDCs in Eastern Europe, and in Russia and the former Soviet republics. There are
other regional banks, but they are not as well funded, as exemplified by the Caribbean
434 CHAPTER 13 International Economic Cooperation: The Alternative Road

Development Bank which, despite its region’s pressing needs, only had the assets to
make $162 million in loans in 2006. In addition to the development banks, numerous
IGOs are dedicated to promoting economic cooperation and development among
groups of countries based on their geographical region (such as the 12-member
Black Sea Economic Cooperation Zone), culture, or some other link (for example,
the 21-member Arab Monetary Fund).
An even more common type of international effort involves one or another Free
Trade Agreement (FTA). These are treaties among two or more countries to reduce or
eliminate tariffs and other trade barriers and to otherwise promote freer economic
exchange. Before discussing FTAs in depth, it is important to note that different IGOs,
governments, and studies designate them with different names and accompanying
acronyms. Here we will use regional trade agreement (RTA) to designate an FTA
among three or more countries within a region, and bilateral trade agreement (BTA),
an FTA between two countries or between an RTA and any other non-member-country.
There is no precise count of FTAs, but the WTO estimates that there are about 30
RTAs and perhaps another 270 BTAs. We will begin with and emphasize multilateral
regional economic cooperation, but we will also take up bilateral activity at the end
of the section.
RTAs range from the tiny Melanesian Spearhead Group (Fiji, Papua New Guinea,
Solomon Islands, and Vanuatu) to the huge European Union. Indeed, there are very
few countries that are not members of an RTA, and numerous countries are in two or
more. Some are little more than shell organizations that keep their goals barely alive,
yet each represents the conviction of its members that, compared to standing alone,
they can achieve greater economic prosperity by working together through economic
cooperation or even economic integration. RTAs are particularly important to the
development plans of the South. One indication is that about 75% of them have
memberships that are exclusively made up of or include LDCs, and several others
mix EDCs and LDCs as members. This pattern is evident in our following discussion
of the major RTAs.

The Western Hemisphere

Proposals for regional economic cooperation date back to a U.S. effort in 1889 to
create a hemispherical customs union that would reduce trade barriers among the
hemisphere’s countries and adopt common external tariff and nontariff barriers. The
notion of RTAs in the Western Hemisphere then lay dormant for almost a century
until globalization began to convert the idea into reality.

The North American Free Trade Agreement

The largest RTA in the Western Hemisphere, measured in trade volume, is the
North American Free Trade Agreement (NAFTA) among Canada, Mexico, and the
United States. The 2,000-page agreement, which took effect in 1994, established
schedules for reducing tariff and nontariff barriers to trade by 2004 in all but a few
hundred of some 20,000 product categories and by 2009 for all products. NAFTA
also reduced or eliminated many restrictions on foreign investments and other
financial transactions and facilitated transportation by allowing trucking largely
unimpeded access across borders. There is a standing commission with representa-
tives from all three countries to deal with disputes that arise under the NAFTA
agreement.
NAFTA has had an important impact on the three trading partners. For example,
intra-NAFTA trade is a key component of the exports of all three partners, as can be
 Regional and Bilateral Economic Cooperation and Development 435

FIGURE 13.11 Intra-NAFTA Trade

Ex
po
$2 rts
a
on ad

11 to
lli n
bi Ca

bi Can

Ex
o

lli a

po 29
$4 ts t

on da

rts 1
o

$
r

on ic
po

Canada

to bill
lli x
Ex

bi Me

th ion
e
2 to

U
$1 rts

.S
.
po
Ex

Exports to Mexico
$120 billion

Exports to the U.S.

$173 billion
United States
Mexico
Total Intra-NAFTA trade for 2005: $811 billion

The North American Free Trade Agreement has accounted for a rapid rise in trade among Canada,
Mexico, and the United States since the treaty went into effect in 1994. There are now plans for a
Western Hemisphere free trade zone, the Free Trade Area of the Americas.
Data source: OECD.

seen in the data on merchandise trade in Figure 13.11. Mexico and Canada are
especially dependent on intra-NAFTA trade, with each sending between 80% and
90% of their exports to the United States and to one another. The United States
is least dependent, albeit still heavily so, with NAFTA trade accounting for 26% of
U.S. exports.
A vigorous debate continues in each of the three countries about the pros and
cons of NAFTA. Canada is the least affected because it has relatively little interchange www
with Mexico and because preexisting U.S.-Canada trade was already quite high. For
Americans, there certainly have been losses. Many American businesses have relocated ANALYZE THE ISSUE
their facilities to Mexico, establishing maquiladoras, manufacturing plants just south Is NAFTA a Success
of the border. These produce goods for export to the United States. According to a U.S. or Failure?
Department of Labor study, U.S. job losses from this shift of production and from
Mexican imports totaled 507,000 between late 1993 and late 2002. Yet economists
point out that those jobs would have probably gone to other LDCs if they had not been
shifted to Mexico. Furthermore, American consumers benefited from lower prices for
goods imported from Mexico. Such gains often are less noticed, however, than are losses.
As one economist explains, “The gains are so thinly spread across the country that
people don’t thank NAFTA when they buy a mango or inexpensive auto parts.”27
NAFTA has had the greatest effect on Mexico, in large part because both the size
and strength of its economy are so much less than those of the United States and
Canada. Some aspects have been clearly positive. For example, NAFTA has diversified
Mexico’s economic base by increasing the percentage of its exports that are manufac-
tured goods. The country’s maquiladora program, dating back long before NAFTA,
was set up to promote industrialization by giving special tax and other advantages to
436 CHAPTER 13 International Economic Cooperation: The Alternative Road

industries in a zone near the U.S. border. But after NAFTA went into effect, the
Did You Know That:
maquiladora zone boomed, doubling its production and tripling its workers by 2000.
Maquiladora is derived from
Then fortunes turned down in the zone, in part because of competition from China
the Spanish word maquila,
the charge levied by millers to for the U.S. market. More recent data, however, shows a new upswing. Moreover,
process grain, and was used Mexico’s GDP growth rate nearly tripled in the decade after NAFTA, compared to the
since most of the maquiladora decade before it. And the country’s 2005 per capita GNP of $7,310 was 25% higher
plants processed parts than that of Chile, the next wealthiest country in Central and South America. Reflect-
produced in the United
ing on such data, Mexican President Vincente Fox contended, “NAFTA gave us a big
States into finished products.
The verb maquilar means to push. It gave us jobs. It gave us knowledge, experience, technological transfer.”28
assemble. It is also true that for Mexicans, as well as for Americans and Canadians, NAFTA
has had some very negative effects on some, such as displaced workers. Some seg-
ments of Mexico’s economy have been particularly hard hit. For example, corn farm-
ers in central and southern Mexico have suffered greatly from the incoming tidal
wave of subsidized U.S. corn, which increased about 1,400% between 1993 and
2004. Many Mexicans also worry about the loss of their culture amid the influx of
Pizza Huts, KFC outlets, and other elements of American culture.

The Free Trade Area of the Americas

At the same time that NAFTA went into effect in 1994, efforts were under way to cre-
ate a much broader hemispheric RTA tentatively named the Free Trade Area of the
Americas (FTAA) that would include all or most of the countries in North, Central,
and South America, and in the Caribbean. To that end, the heads of every country in
the Western Hemisphere except Cuba, which was barred at U.S. insistence, met in 1994
at the Summit of the Americas in Miami, Florida, and agreed to create a free trade zone
in the hemisphere by 2005. Soon, the optimistic predictions of the summit meeting
gave way to difficult and slow negotiations. Subsequent summits in Santiago, Chile
(1999), Quebec City, Canada (2001), Monterrey, Mexico (2004) and Mardel Plata,
Argentina (2005) failed to reach any breakthroughs, and 2005, the original target
date for an FTAA agreement, passed into history without one.
The disagreements that have ensnared the FTAA negotiations are very similar to
the North-South issues that have beset the WTO’s Doha Round, as discussed earlier.
As much as the hemisphere’s LDCs are anxious to improve their access to U.S. mar-
kets, they are equally nervous about dropping their protections and being drowned
in a tidal wave of American imports and services, and about having American in-
vestors snap up local businesses and other property. The increasingly anti-American
tone of Venezuela’s Hugo Chávez and funds flowing into the country’s treasury from
surging oil prices have increased the opposition to the FTAA even more. In fact,
Chávez is trying to expand an existing limited trade agreement among his country,
Cuba, Bolivia, and Nicaragua into a much larger Bolivarian Alternative of the Americas
encompassing much of Latin America and the Caribbean. “The idea here is to pro-
mote cooperation between countries of the South—seeking out complementary
exchanges in terms of trade and technological transfer—rather than, as has tradi-
tionally been the case, further extending North-South dependencies,’” a Venezuelan
official explained.29
There is also resistance to the FTAA in the United States, especially among some
interest groups. Unions fear that American jobs will wind up in the hands of under-
paid Central and South Americans; agricultural organizations are determined to pro-
tect their subsidies. Other groups fear that an FTAA will eventually increase labor
migration, as the EU has done among its member-countries, leading to a greater
inflow of Latin Americans into the United States than already exists. For now, then,
the fate of the FTAA remains cloudy at best.
 Regional and Bilateral Economic Cooperation and Development 437

FIGURE 13.12 Mercosur

Gross
National
Population Product
Country (millions) (US$ billions)
Venezuela 27 $128

Colombia 46 $105

Ecuador 13 $35

Brazil 186 $644

Peru 28 $73

Bolivia 9 $9

Paraguay 6 $8

Uruguay 3 $15
Full member

Associate member
Chile 16 $96

Argentina 39 $173

Mercosur is an important RTA. A key issue for the Western Hemisphere is whether it, NAFTA, and
other RTAs will merge into a single FTAA or remain divided, overlapping, and to a degree competitive.
Data source: World Bank.

Mercosur
Whatever the future of the FTAA, a number of countries have undertaken or continued
efforts to establish or expand their own trade treaties. The Southern Common Market
(Mercosur) is of particular note. Mercosur was established in 1995 by Argentina,
Brazil, Paraguay, and Uruguay. Venezuela has joined since then as a full member, and
Bolivia, Chile, Colombia, Ecuador, and Peru have become associate members. Includ-
ing just its five full and five associate members, Mercosur is a market of 372 million
people with a combined GDP of over $1.2 trillion, as shown in Figure 13.12.
A number of issues, including Argentina’s economic crisis and some countries’
concerns about the powerful role that Brazil plays in Mercosur, have slowed the
negotiations to expand and strengthen it, but other factors exist that are pushing for
its enlargement and invigoration. One is the desire to provide a counterweight to the
United States in the hemisphere. “We have to unite,” Brazil’s President Lula da Silva
told an audience. “We need to create a South American nation. The more policies we
have in common, the better we will be able to succeed in big negotiations, above all in
trying to break down WTO’s protectionist barriers and prevent the FTAA becoming
an instrument that suffocates our chances of growth.”30
438 CHAPTER 13 International Economic Cooperation: The Alternative Road

Taking a step in that direction, the South American leaders agreed at summits
www in 2004 and again in 2007 to seek to merge Mercosur and the Andean Community
(Bolivia, Colombia, Ecuador, Peru, Venezuela) into a Union of South American Nations
that would eventually emulate the EU with its own currency, a continental parliament,
WEB POLL
How Far Should Western and a common passport. Mercosur itself also continues to develop, and all the coun-
Hemispheric Free Trade Go? tries of the Andean Community of Nations are now either full or associate members.
You Be the Judge Additionally, Mercosur may reach north, and there are at least informal membership
discussions with Mexico. Mercosur also established a parliament that convened for
the first time in 2007. It first members were appointed by their respective home gov-
ernments, but like the EU, Mercosur’s parliament will be elected by direct popular
vote beginning in 2010. The RTA has also expanded its scope by negotiating a number
of BFTAs with individual countries, including one with India in 2007.

Asia and the Pacific

In Asia, the first RTA was the Association of Southeast Asian Nations (ASEAN)
established in 1967. It now includes Brunei, Cambodia, Indonesia, Laos, Malaysia,
Myanmar (Burma), the Philippines, Singapore, Thailand, and Vietnam. The ASEAN
countries have a combined population of over 568 million, a GNP of just over $1 tril-
lion, and total exports of about $767 billion. Like the EU and some other RTAs,
ASEAN is also expanding its responsibilities to include development, health, and
other matters. For example, the disaster management program it developed in 2002
facilitated a coordinated response when in 2004 a tsunami devastated coastal areas in
Indonesia and other member-countries. ASEAN is working to forge greater political
cooperation among its members and to bargain as a group with external countries
and other trade organizations. Some observers view the RTA as a counterbalance to
China in the region.
More recently, the Asia-Pacific Economic Cooperation (APEC), an oddly named
structure, was founded in 1989. Its Web site declares that it is the “only intergovern-
mental grouping in the world operating on the basis of non-binding commitments . . .
[with] no treaty obligations required of its participants . . . decisions made by con-
sensus, and commitments . . . undertaken on a voluntary basis.” Despite its amor-
phous nature, APEC is important because among its 21 members are most of the
countries of the greater Pacific Ocean region, including China, Japan, Russia, and
the United States. Additionally, APEC members account for 41% of the world pop-
ulation, about half the global GDP, and over 40% of world trade. There is a small
APEC secretariat based in Singapore, but it is symbolic of APEC’s still-tentative
status that it has not added a word such as “organization” or “community” to the
end of its name.
Somewhat like the G-8, APEC facilitates numerous routine economic consulta-
www tions among members. Its focus, however, is the annual APEC summit meeting,
which serves as a forum for discussions among the United States, Japan, China, and
other leading members. Although APEC does not claim to be moving toward RTA
SIMULATION
APEC status, there have been agreements in principle, for example, to achieve “free and
open trade and investment” in the Asia-Pacific region. Japan and the United States
are to remove all their barriers by the year 2010, with the rest of the APEC members
achieving a zero-barrier level by 2020. It remains unclear whether this will occur,
given such factors as China’s huge trade surplus with the United States and Japan’s
uncertain economy. Beyond this, few specific agreements have resulted from these
summits, but they are part of a process of dialogue that helps keep lines of commu-
nication open. Among other Asia/Pacific RTAs are the 14 island-states of the South
 Regional and Bilateral Economic Cooperation and Development 439

In addition to having an annual summit meeting, the organization Asia-Pacific Economic Cooperation
(APEC) works through many lower level meetings to address common problems. This less-visible
interchange is represented in this photograph of an APEC ministerial meeting in Da Nang, Vietnam,
to address the potential avian influenza crisis. Here Vietnam’s Deputy Prime Minister Vu Khoan
addresses the meeting.

Pacific Regional Trade and Economic Cooperation Agreement, and the South Asian
Preferential Trade Agreement among India and six other countries.

Other Regions
The impulse for regional ties has not been confined to the Americas and the Asia-
Pacific region. In Europe, the 25-member European Union is by far the most exten-
sive regional effort. Other European or partly European RTAs are the four-member
European Free Trade Association and the Commonwealth of Independent States,
which includes the former Soviet republics. Given the expanded coverage of the EU
in chapter 7, further commentary here is unnecessary other than to point out that
with a population about 50% larger than the U.S. population and with a collective
GNP that rivals that of the United States, the EU is a powerful economic force. The
setback to EU political integration when French and Dutch voters rejected its con-
stitution in 2005 does not detract from its importance as an RTA. To some degree,
competing with it is one factor that has driven the creation of other RTAs, including
NAFTA.
Among the most important RTAs in Africa are the 19-member Common Market
for Eastern and Southern Africa, northern Africa’s 24-member Community of Sahel-
Saharan States, the 15-member Economic Community of West Africa States, the
11-member Economic Community of Central African States, and the 14-member South
Africa Development Community. Another range of RTAs are based in the Middle
East. These include the Gulf Cooperation Council and its six oil-wealthy members.
All these share a common purpose of increasing the members’ economic strength. Yet
because most RTAs are made up of countries with weak economies, their goal is
something akin to trying to build a solid structure on quicksand.
440 CHAPTER 13 International Economic Cooperation: The Alternative Road

Bilateral Trade Agreements

Countries have long concluded bilateral trade agreements with one another, but, as
with RTAs, recent years have seen a rapid expansion of BTAs between countries and
between RTAs and individual countries. As noted, the WTO estimates that at least 270
and probably many more RTAs are currently in effect. The United States, for example,
has concluded BTAs with 21 individual countries such as Australia, Chile, Israel,
Morocco, and South Korea, and with one RTA, the five-member Southern Africa
Customs Union (Botswana, Lesotho, Namibia, South Africa, and Swaziland). Among
the U.S. BTAs is the confusingly named Central American Free Trade Association—
Dominican Republic (CAFTA-DR). In addition to the United States and the Domini-
can Republic, it includes Costa Rica, El Salvador, Guatemala, Honduras, and
Nicaragua. Despite its RTA-like name, CAFTA-DR is a series of similar bilateral trade
agreements between the United States and the other countries, and those countries
with each other.
Before leaving our discussion of RTA and BTAs, it is important to inquire into
their impact. They have the advantages of opening trade, investment, and other
forms of economic interchange among countries. That is good insofar as it generally
improves the economic circumstances of most people in all the countries party to any
FTA. Such agreements can also potentially create commonalities and ease tensions
among nations and lead to greater regional cooperation on many fronts. The current
EU serves as an example of what can evolve from a very limited RTA.
Yet there are also downsides to RTAs and BTAs. One is that their proliferation
has created a patchwork of agreements that undermine global trade liberalization
(Haftel, 2004). This may harm, rather than advance the South’s economic develop-
ment. According to the WTO’s director-general, RTAs are an unsatisfactory substitute
for global trade liberalization because “they are by their very nature discriminatory.
None has really succeeded in opening markets in sensitive areas like agriculture.
They add to the complexities of doing business by creating a multiplicity of rules.
And the poorest countries tend to get left out in the cold.”31

COOPERATION AND DEVELOPMENT:

DEBATING THE FUTURE

There is no doubt that the expansion of world trade, investment, and currency exchange
has profoundly affected countries and their citizens. Economic interdependence has
inexorably intertwined personal, national, and international prosperity. Domestic
economics, employment, inflation, and overall growth are heavily dependent on for-
eign markets, imports of resources, currency exchange rates, capital flows, and other
international economic factors. Economic globalization is a reality.
The process of globalization has also brought the issue of development much
more to center stage than it was in the past. Globalization has had advantages and
disadvantages for all countries, but there is widespread agreement that both within
countries and among countries those with the greatest wealth have benefited the
most and those with the least wealth have gained the least and, in some cases, have
been harmed. That has brought increasing resistance to globalization in the South
and from those sympathetic to its stand (Drainville, 2004).
Globalization and the cooperation it entails are also beginning to have a significant
impact on the way we organize our world politically. Globalization and sovereignty
 Cooperation and Development: Debating the Future 441

are not mutually exclusive, but cooperation requires that countries surrender some
of their sovereign rights to make unilateral policy and accept international rules. The
authority of the WTO to find a country’s trade practices legal or illegal serves as
an example. Some see this diminution of sovereignty as acceptable, even a positive
development. Others are appalled by it.
There are yet other arguments for and against globalization and its accompany-
ing commitment to cooperate and support development, and it is to this debate that
we can now turn. Consider the arguments below, and then decide where you stand.
Even better, take action to support globalization, modify its course, or reverse it. This
much is sure: the script for the future remains unwritten. Because there is little likeli-
hood that the major upheavals favored by economic structuralists will take place, we
will shape the argument as a choice between economic internationalism and economic
nationalism.

The Case for Economic Internationalism

Economic internationalists make a number of arguments in favor of furthering free
economic interchange and increasing support for development. They advance both
economic and noneconomic reasons to support their case (Bhagwati, 2004).

Economic Advantages
According to economic internationalists, there are several economic advantages to
globalization and to assisting the LDCs as part of that process. These positive results
include general prosperity, the benefits of specialization, the cost of protectionism, the
advantages of competition, and the advancement of the LDCs through the provision
of development capital.

General Prosperity Economic internationalists argue that unhindered trade and

other forms of free economic exchange promote prosperity. Especially since the
mid-20th century, trade has accounted for a rapidly growing share of the world’s
economic activity. As Figure 5.4 on p. 138 shows, exports have grown from 11%
of the world’s collective GDP in 1955 to 29% in 2005. This means that more and
more of what countries and their workers produce goes abroad. Without trade,
then, or with a marked decline in trade, national economies would slow, perhaps
stall, or might even decline. Figure 13.13 further demonstrates that trade growth
helps drive economic expansion by comparing the annual growth of exports and the
world’s collective GDP. More specifically, for example, the U.S. government calcu-
lates that because of trade liberalization since the founding of GATT in 1947, the in-
come of the average American household is $9,000 higher than it would otherwise
have been.32
A corollary of this argument, according to economic internationalists, is that EDC
prosperity will be increased by the development of the South. Although assisting
the LDCs will require a substantial short-term cost to the North in aid, debt reduc-
tions, and other assistance, many analysts argue that in the long run this investment
would create a world in which many more of the 1.3 billion Chinese, 1.1 billion
Indians, and the other 3 billion people living in LDCs could buy products labeled
“Made in America,” visit the United States as tourists, and otherwise benefit the U.S.
economy.

Benefits of Specialization A second advantage of globalization according to eco-

nomic internationalists is based on the long-standing theory that all countries will
442 CHAPTER 13 International Economic Cooperation: The Alternative Road

FIGURE 13.13 World Trade and GDP

8.4% Average annual export growth
8.0% 8.2%
7.8%

7.0%
6.3%
5.7%
5.3%
5.0% 5.0%
5.4%
4.0% 4.2%
Average annual GDP growth
4.0% 4.0%
3.0%

2.4%
2.0%

1960– 1965– 1970– 1975– 1980– 1985– 1990– 1995– 2000–

1964 1969 1974 1979 1984 1989 1994 1999 2005

World trade measured in exports, which generate GDP, has grown faster in each period between
1960 and 2005 than did the collective GDPs of the world’s countries. This means that exports
have played an important role in driving overall economic growth. Globalization supporters point
to such data to show that freer trade is having an overall positive impact on world economic
circumstances.
Data source: IMF.

benefit if each sells what it can produce most efficiently. Among those who have
propounded this idea are English economists David Ricardo in On the Principles
of Political Economy and Taxation (1817) and John Stuart Mill in Principles of
Political Economy (1848). Ricardo developed the theory of “comparative advan-
tage,” which held that everyone would benefit if each country produced and
exported its most cost-efficient products. Based on this view, Mill argued that
trade’s “advantage consists in a more efficient employment of the productive forces
of the world.”

The Cost of Protectionism Protecting jobs from foreign imports has a tremendous
emotional appeal, but most economists argue that trade barriers result in higher
prices because tariff costs are passed on to consumers or because consumers are
forced to buy more expensive domestically produced goods. The U.S. Federal Reserve
Bank argues that “protectionism is pure poison for an economy” and estimates that
each American job that is saved by protectionism costs an average of $231,289, with
an overall cost of nearly $100 billion annually to U.S. consumers.33 How does a
protected job cost over $200,000? The cost includes not just the higher price of the
protected items but downstream products as well. For example, protecting sugar
not only raises its price to consumers, it also raises prices of candy, soft drinks, and
many other products. The higher price of candy also exposes that industry and
its jobs to foreign competition. LifeSavers, Jaw Breakers, and Red Hots used to be
made in the Chicago area. Now they are produced in Canada using cheaper sugar,
and Chicago has lost half its candy manufacturing jobs since 1970. These wages
are lost, unemployment compensation is paid, and the rippling costs add up higher
and higher.
 Cooperation and Development: Debating the Future 443

Promotion of Competition A fourth contention by economic internationalists is

that free economic interchange promotes beneficial competition. Without foreign
competition, the argument goes, domestic manufacturers have a captive market,
which can have a variety of ill effects, such as price fixing and lack of innova-
tion. For example, American automakers did not begin to offer U.S. consumers
well-built, inexpensive, fuel-efficient small cars until pressure from foreign com-
petition forced them to reshape their product and modernize their production
techniques.

Providing Development Capital Fifth, economic internationalists maintain that free

economic interchange increases the flow of investment capital to the LDCs. The IMF
calculates that between 1997 and 2005 alone, a net $1.3 trillion (investments minus
withdrawals) foreign direct investment (FDI) flowed into LDCs to bolster their eco-
nomic development, and FDI also benefits EDCs. It is also the case that MNC-directed
investments provide EDCs with a wide variety of economic benefits. Jobs are one
example. Foreign-owned MNCs employ 6.3 million people in the United States, pay
them $350 billion a year, and contribute tens of billions of dollars in U.S. federal,
state, and local taxes.

Noneconomic Advantages
Arguably, there are also several noneconomic advantages to economic international-
ism. These include advancing world cooperation, inhibiting conflict, and promoting
democracy.

World Cooperation A sixth, and this time political, argument made by economic
internationalists is that free economic interchange promotes world cooperation. The
logic is that if countries can trade together in peace, their interactions will bring
greater contact and understanding. Cooperation will then become the rule rather
than the exception, and this, it is thought, will lead to political cooperation and
interaction. The move toward the political integration of Europe, which began with
economic cooperation, is the most frequently cited example.

Decreased Violence A seventh, and again political, argument for free economic
interchange is that it restrains conflict by promoting interdependence, which
makes fighting more difficult and more unlikely (McDonald, 2004; Pevehouse,
2004). In the words of one study, “Higher levels of economically important
trade . . . are associated with lower incidences of militarized interstate disputes and
war” (Oneal & Russett, 1997:288). One link between peace and trade is the con-
tention that a high degree of interdependence among countries may dissuade or
even prevent them from fighting. If oil and iron are necessary to fight, and if Coun-
try A supplies Country B’s oil, and B supplies A’s iron, then they are too enmeshed
to go to war.
A related argument is that the North will be more secure as the South achieves
prosperity. This view contends that the poor are becoming increasingly hostile toward
the wealthy. Modern communications have heightened the South’s sense of relative
deprivation—the awareness of a deprived person (group, country) of the gap between
his or her circumstances and the relatively better position of others. Research shows
that seeing another’s prosperity and knowing that there are alternatives to your own
impoverished condition causes frustration and a sense of being cheated, often lead-
ing to resentment and sometimes to violence. Perhaps it was the 9/11 attacks that
provided the wake-up call, but when world leaders met in Monterrey, Mexico, in
444 CHAPTER 13 International Economic Cooperation: The Alternative Road

2002 to discuss LDC development, a constant theme was the connection between
poverty and violence (Li & Schaub, 2004). “Poverty in all its forms is the greatest
single threat to peace [and] security,” the head of the WTO told delegates.34 Similarly,
the UN secretary-general warned, “Left alone in their poverty, [very poor] countries
are all too likely to collapse or relapse into conflict and anarchy, a menace to their
neighbors and potentially, as the events of the 11th of September so brutally reminded
us, a threat to global security.”35

Promoting Democracy An eighth, and once more political, argument advanced by

some economic internationalists is that the openness required for free economic
www exchange promotes democracy. The idea is that it is difficult to simultaneously
have a free enterprise system and an authoritarian political system. Gradually the
ANALYZE THE ISSUE
habits of independent decision making inherent in a capitalist system, the flow of
International Economic
Cooperation ideas within the country and between it and the outside world, and the growth
of powerful financial interests all work to undercut the authoritarian political
regimes. For example, during the past few years, such newly industrializing coun-
tries as Mexico, South Korea, and Taiwan have had their first truly democratic
elections either ever, or in many decades. Particularly appealing is the thought
that globalization will eventually moderate China’s authoritarian government. Ac-
cording to one analyst, “Global markets and information technology are multiply-
ing the channels through which outside actors can influence Chinese society and,
simultaneously, undermining the regime’s strict control” (Moore, 2001:63; Li &
Reuveny, 2003).

The Case for Economic Nationalism

There are also several political and economic arguments for economic nationalism.
Some of these involve trade or some other single aspect of international economic ex-
change; other arguments are more general.

Economic Advantages
Economic nationalists advance a number of economic arguments to support their
position. These include the benefits of protecting the domestic economy, diversifica-
tion, and compensating for existing distortions.

Protecting the Domestic Economy The need for economic barriers to protect threat-
ened domestic industries and workers from foreign competition is a favorite theme
of economic nationalists. “I’m not a free trader,” one U.S. secretary of commerce
confessed. “The goal,” he said, “is to nurture American workers and industry. It
is not to adhere to some kind of strict ideology.”36 An associated argument seeks
protection for new or still small, so-called infant industries. This is an especially
common contention in LDCs trying to industrialize, but it is heard worldwide.
Many economists give the idea of such protection some credibility, at least in the
short term.
Economic nationalists also argue that the positive impact of creation or preserva-
tion of jobs by the inflow of investment is offset by the loss of jobs when MNCs move
operations to another country or when MNCs create new jobs in another country
rather than in their own home country. American MNCs, for example, employ about
1.9 million more workers in other countries than foreign MNCs employ American
workers in the United States. Furthermore, these opponents say, forcing well-paid
 Cooperation and Development: Debating the Future 445

A key debate about the world’s

future centers on the pros and
cons of economic globalization.
Critics charge that globalization
harms many people who lose
their jobs when the companies
they work for shift their produc-
tion or other operations
overseas. Among the antiglob-
alization forces are these
members of the Teamsters
Union in New Hampshire, seen
here during an appearance
of candidates in the state’s
approaching presidential
primary. The union members
are protesting the existing
North American Free Trade
Association and the proposed
Free Trade Area of the
Americas.

workers in the United States and elsewhere to compete with poorly paid workers in
LDCs depresses the wages and living conditions in EDCs in what they call “a race to
the bottom.” The U.S. clothing industry, for example, has been devastated, with its
workforce dropping 47% between 1990 and 2005 from 929,000 to 260,000. Some of
this loss is due to robotics and other forms of mechanization, but most is the result
of foreign competition.
Lost jobs and wages must also be measured in terms of the ripple effect that
multiplies each dollar several times. A worker without a job cannot buy from the
local merchant, who in turn cannot buy from the building contractor, who in turn
cannot buy from the department store, and so on, rippling out through the econ-
omy. Displaced workers also collect unemployment benefits and may even wind up
on public assistance programs. These costs are substantial and diminish the gains
derived from free trade. Finally, there is the psychological damage from being
laid off and from other forms of economic dislocation that cannot be measured in
dollars and cents.

Diversification Another economic nationalist argument holds that economic diver-

sification should be encouraged. Specialization, it is said, will make a country too
dependent on a few resources or products; if demand for those products falls, then
economic catastrophe will result. In reality, no modern, complex economy will
become that specialized, but the argument does have simplistic appeal.

Compensating for Existing Distortions Yet another economic nationalist argument

is that protectionism and other trade distortions continue, and that nice-guy free traders
will finish last when faced with such realities as cartels that set petroleum prices and
governments that use tariffs, subsidies, currency manipulation, and other techniques
to benefit themselves at our expense. As an example, take the issue raised in chapter
12 of China’s refusal to substantially revalue its artificially low currency, the yuan,
446 CHAPTER 13 International Economic Cooperation: The Alternative Road

against the dollar. The economic nationalist argument is that the United States
should retaliate against China by raising tariffs and setting quotas or even embargos
on Chinese goods (Shambaugh, 2004).

Putting Domestic Needs First According to economic nationalists, citizens forge a

government and support it to look after their welfare and safety, not to lead idealistic
quests to solve other people’s problems. From this perspective, the amounts of funding
recommended by the UN and other development advocates are prohibitive. It would
cost the EDCs nearly $147 billion extra a year to increase foreign aid to the recom-
mended level of 0.7% of their GNPs. Debt forgiveness, trade concessions, and other
financial measures would add to the annual expenses. With most EDCs already run-
ning annual budget deficits, the added funds would mean higher taxes for their peo-
ple, fewer social programs for them, or larger deficits.

Noneconomic Advantages
Economic nationalists also argue that their perspective protects national sover-
eignty, enhances national security, and permits the beneficial use of their country’s
economic power as a policy tool. There is an additional argument that globaliza-
tion is harming the welfare of many individuals and also increasing damage to the
environment.

National Sovereignty One of the fastest-growing sources of sentiment against global-

ization is the belief of many people that the process is eroding their country’s national
sovereignty. Many people are shocked to find that sometimes their country’s laws and
regulations must give way when they clash with rules of the WTO or some other
international organization or agreement.
A closely related phenomenon involves the fear that foreign investors will gain
control of your country’s economy and will be able to influence your political
processes and your culture. In the late 1980s the value of the dollar plunged and
set off a feeding frenzy of acquisition as foreign investors snapped up such quintes-
sential American brand names as Capitol Records (Great Britain), Roy Rogers (Canada),
Alka-Seltzer (Germany), and 7–Eleven ( Japan). Cries rang out that the British,
among others, were coming. One member of Congress fretted that “for the first time
since the Revolution, Americans are being subjected to decisions and dictates from
abroad.”37 In time, the flow of FDI reversed itself, and American acquisitions
abroad once again outpaced foreign buying of U.S. companies and other assets. But
American sensitivities are now rising anew, this time in response to the bids by
Chinese investors to take control of such brand names as Maytag, RCA, and IBM’s
personal computer line.

National Security A related economic nationalist argument involves national defense.

The contention is somewhat the reverse of the “conflict inhibition,” pro–free trade
argument made earlier. Protectionists stress that the country must not become so de-
pendent on foreign sources that it will be unable to defend itself. In recent years, the
U.S. government has acted to protect industries ranging from specialty steels to basic
textiles, partly in response to warnings that the country was losing its ability to pro-
duce weapons systems and uniforms. Economic nationalists also warn of the dangers
of unchecked FDI acquisitions by foreign investors. A Chinese company’s bid to take
control of the major U.S. oil company Unocal in 2005 sparked the warning from one
analyst that, “Clearly, in today’s China, we are up against a country that has a strategy
 Cooperation and Development: Debating the Future 447

to acquire U.S. critical technology companies. If we continue to ignore it—let alone

enable it by acquiescing to the sale of companies like Unocal—we will do so at our
peril.”38 Many Americans agreed, and the ensuing uproar in the United States ulti-
mately persuaded the Chinese company to withdraw its bid.
Also under the rubric of national security, there is the issue of what can be called
strategic trade. The question is how far a country should go in restricting trade and
other economic interchanges with countries that are or may become hostile. Currently,
the primary focus of the strategic trade debate is on dual-use technology that has
peaceful uses but also has military applications. Here too, China is the cause of the
greatest current concern. The export of U.S. computers and other high-tech items to
China has led one staff member in Congress to worry that there has been a serious
undermining of U.S. national security due to relaxed restrictions on export of “dual-use
technologies,” and that “The Chinese threat of a ‘high-tech Pearl Harbor’ is well
within their reach.”39

Policy Tool Yet another economic nationalist argument maintains that trade “follows
the flag” (Keshk, Pollins, & Reuveny, 2004). This means that politics determines eco-
nomic relations, more than the other way around, and that trade is a powerful political
tool that can be used to further a country’s interests. The extension or withdrawal of
trade and other economic benefits also have an important—albeit hard-to-measure—
symbolic value. Clearly, economic tools can be used to promote a country’s political
goals, and free economic interchange necessarily limits the availability of economic
tools to pursue policy. A current example is the U.S. embargo on most trade with and
travel to Cuba, which has existed since 1960. It is justified, President Bush has argued,
because “Well-intentioned ideas about trade will merely prop up this dictator, enrich
his cronies, and enhance the totalitarian regime.”40

Social and Environmental Protection The chairman of Dow Chemical Company

once confessed, “I have long dreamed of buying an island owned by no nation and
establishing the world headquarters of the Dow company on . . . such an island,
beholden to no nation or society” (Gruenberg, 1996:339). Critics of MNCs claim
that such statements confirm their suspicions that these global enterprises use their
ability to move operations around the world to undercut protections relating to child
labor, minimum wages, and many other socioeconomic standards and also to escape
environmental regulations. In the estimate of one analyst, “National governments
have lost much of their power to direct their own economies because of the power of
capital to pick up and leave.” The result of the “quantum leap in the ability of trans-
national corporations to relocate their facilities around the world,” he continues, is to
make “all workers, communities and countries competitors for these corporations’
favor.” This competition, he worries, has set off “a ‘race to the bottom’ in which wages
and social and environment conditions tend to fall to the level of the most desperate”
(Brecher, 1993:685).
Critics of globalization also charge that, among other evils, the race to the bot-
tom will mean gutting desirable social programs. Europe has built an extensive social
welfare support system through government programs and mandates on industries
(such as health insurance for workers, paid vacations, and other benefits). Such pro-
grams and benefits are costly, however, and European economies struggle to meet
them while also keeping the price of their products low enough to be competitive in
world markets or even at home compared to imported goods and services. Similarly,
critics worry that countries attempting to maintain high standards of environmental
448 CHAPTER 13 International Economic Cooperation: The Alternative Road

FIGURE 13.14 Regional Opinions on Globalization

Percentage whose opinion Positive
of globalization is:
Negative
68% 69% Unsure 66%
62%
57%
48%

40%
35%
28% 29%
23% 25% 23%
22% 21% 22% 22%

10% 10% 9% 11%

Latin America Western Europe Eastern Europe Africa Asia Middle/Near East U.S./Canada

A majority or plurality of people globally in every region but the Middle/Near East supports
globalization.
Note: Countries in the Middle/Near East stretch from Egypt to Pakistan. The question was: Do you think that globalization is a
very good thing, somewhat good, somewhat bad or a very bad thing? The data averages country results within a region, not
overall results.
Data source: Pew Research Center for the People and the Press (2003).

protection or institute new safeguards will be penalized by companies moving their

production facilities and jobs elsewhere.

The Globalization Debate in Perspective

To return to the point with which we began this section, the clash between the forces
of economic internationalism and those of economic nationalism will be one of the
most pivotal struggles in the years ahead (Helleiner & Pickel, 2005). The rapid glob-
alization process that began after World War II has brought the world much closer to
a truly global economy than seemed possible not long ago. The EDCs have generally
prospered, and even most of the LDCs have improved their health, education, and
many other social conditions. Moreover, globalization enjoys substantial public support
worldwide, as Figure 13.14 shows.
The advances that globalization has made and the general support for it do not
mean, however, that it is an unmitigated success. The changes associated with glob-
alization have occurred in a largely unregulated international system, and, as a result,
the benefits and costs that accompany most change have been unequally distributed.
Other countries, their citizens, and even many people in prosperous countries have
either not benefited or have been harmed. This has left the global public somewhat
cautious about globalization, as Figure 13.14 can also be interpreted (Kaltenthaler,
Gelleny, & Ceccoli, 2004).
For us here, the key question is not the world’s opinion, but yours. Should global-
ization proceed or be halted? You can also take the position that globalization is good
in theory, but the practice so far has been unsatisfactory and needs to be reformed. If
that is your view, what would you do to make globalization a positive process? Of course,
answering such questions in the abstract and responding to them in a specific situa-
tion are not quite the same, so the decision box, “Economic Nationalism or Economic
Internationalism?” asks you to make some policy choices.
 Chapter Summary 449

DEBATE THE POLICY SCRIPT

Economic Nationalism or Economic Internationalism?
Economic internationalists favor few restrictions on free trade what are your views about limiting the importation of foreign
and investment. They believe that a mostly unfettered flow of footwear to protect jobs of U.S. workers? Sixth, would you
goods, services, and capital will, in the long term, advance the abide by a ruling by the WTO that U.S. subsidies of Boeing
prosperity of all countries. Economic nationalists disagree. They were a violation of trade law?
see the international economy as a generally zero-sum game
in which prosperity of some often comes at the expense of What Do You Think?
others. Therefore, economic nationalists believe that restrictions
Assume that you are a member of Congress facing votes
are often warranted to protect their country’s economy and to
today on six issues. For each issue, a yea vote casts you as
advance its political interests.
an economic internationalist; a nay vote aligns you with the
You can test where you stand by deciding on several policy
economic nationalists. Cast your vote!
issues. Some have been put in generic terms, but each is related
to a current or recent U.S. policy decision. The first involves the
continuation of the long-standing economic embargo on Cuba. Yea Nay
The second is whether you think the United States should make Repeal the embargo on Cuba _____ _____
sufficient concessions on its agricultural subsidies to satisfy the Make concessions to reenergize
LDCs and move the Doha Round forward. The third involves the Doha Round _____ _____
whether you would approve of a Chinese company acquiring a
controlling interest in a major U.S. energy company, such as Permit Chinese acquisition of a U.S.
the move by Chinese investors to buy Unocal. Fourth, would energy company _____ _____
you renew the president’s “fast track” authority to negotiate Renew the president’s fast-track authority _____ _____
trade agreements? This limits congressional authority to only
Reject limits on footwear imports _____ _____
approving or disapproving the agreements. Congress cannot
amend them, which would require their renegotiation. Fifth, Abide by WTO ruling _____ _____

CHAPTER SUMMARY

ECONOMIC COOPERATION AND DEVELOPMENT: 4. To modernize their economies, the LDCs need to
BACKGROUND AND REQUIREMENTS get more development capital, the four main
1. This chapter assesses the alternative route of eco- sources of which are loans, investment, trade, and
nomic nationalism and focuses on the approach aid. Unfortunately, there are limitations and draw-
advocated by economic internationalists and struc- backs to each. The South also needs to undertake
turalists, which stresses global economic coopera- internal reforms.
tion with a particular emphasis on the economic
development of the South. ECONOMIC COOPERATION AND DEVELOPMENT:
2. The idea of creating global interdependence based THE INSTITUTIONS
on free economic interchange and cooperation for 5. Numerous IGOs and international programs focus
the economic good of all dates back several hun- on economic cooperation, and most give the de-
dred years, but it did not begin to significantly velopment of the South top priority. The largest
shape international economic relations until about general IGO, the UN, maintains a number of
60 years ago. efforts aimed at general economic development,
3. There has been considerable improvement in the with an emphasis on the less developed countries
socioeconomic development of the South, but (LDCs).
those positive indications should not obscure 6. The IMF is the primary IGO dedicated to stabiliz-
other, more distressing realities in many LDCs. ing the world’s monetary system. The IMF’s primary
450 CHAPTER 13 International Economic Cooperation: The Alternative Road

role in recent years has been to assist LDCs by sta- 10. Receiving particular attention here are NAFTA, the
bilizing their currencies and reducing their foreign FTAA, and Mercosur in the Western Hemisphere;
debt. There is, however, considerable controversy ASEAN and APEC in the Asia-Pacific Region. The
over how the IMF is run and the conditions it EU in Europe is detailed in chapter 7, and other
attaches to its loans. RTAs are of less significance.
7. The World Bank Group is the best known of 11. There is disagreement whether the growth in the
the IGOs that provide developmental loans and number and membership of regional trade organi-
grants to LDC. Like the IMF, there is controversy zations and the establishment of other forms of
about the governance of the World Bank and its preferential trade agreements is a positive or nega-
policies. tive development for global economic cooperation,
8. There are two main economic organizations asso- and, by extension, cooperation in other areas.
ciated with the North, the OECD and the G-8, but
they also devote considerable attention to LDC COOPERATION AND DEVELOPMENT:
development. DEBATING THE FUTURE
12. There are significant arguments on both sides
REGIONAL ECONOMIC COOPERATION of the question of whether or not to continue to
AND DEVELOPMENT expand economic globalization, including advanc-
9. In addition to the activity promoting economic ing both free international economic interchange
cooperation and development at the global level, and LDC development. Economic internationalists
there are important efforts under way at the re- advance a series of economic and noneconomic
gional level. The most important of these is the ex- arguments in support of their view. Economic na-
pansion in the number and size of regional trade tionalists counter with their own set of economic
organizations. and noneconomic contentions.

For simulations, debates, and other interactive activities, a chapter quiz, Web Links,
and much more, visit www.mhhe.com/rourke12/ and go to chapter 13. Or, while
accessing the site, click on Course-Wide Content and view recent international
relations articles in the New York Times.

KEY TERMS

Asia-Pacific Economic Doha Round International Monetary special drawing rights

Cooperation (APEC) Free Trade Area of the Fund (IMF) (SDRs)
Association of Americas (FTAA) multilateral aid UN Conference on Trade
Southeast Asian General Agreement on North American Free and Development
Nations (ASEAN) Tariffs and Trade Trade Agreement (UNCTAD)
bilateral aid (GATT) (NAFTA) UN Development
bilateral trade Group of Eight (G-8) Organization for Economic Programme (UNDP)
agreement (BTA) Group of 77 (G-77) Cooperation and Uruguay Round
conditionality hard currency Development (OECD) World Bank Group
debt service interdependence regional trade agreement World Trade Organization
Development Assistance International Conference (RTA) (WTO)
Committee (DAC) on Financing for Southern Common Market
development capital Development (ICFD) (Mercosur)
 C H A P T E R

14
THE NATURE OF HUMAN RIGHTS
Proscriptive and Prescriptive Human Rights
Preserving and
Universal and Culture-Based Rights
The Source of Rights
Applying Universalism and Relativism
Enhancing Human
Individual and Community Rights
PROSCRIPTIVE HUMAN RIGHTS
Human Rights: Problems and Progress
Rights and Dignity
Human Rights Problems
Human Rights Progress
Barriers to Progress on Human Rights
The sun with one eye vieweth all the world.
Women’s Rights —William Shakespeare, Henry VI, Part I
Women’s Rights Problems
Women’s Rights Progress
And your true rights be term’d a poet’s rage.
Children’s Rights —William Shakespeare, “Sonnet XVII”
Children’s Rights Problems
Children’s Rights Progress
Ethnic, Racial, and Religious Group Rights
Group Rights Problems
Group Rights Progress
The Rights of Indigenous Peoples
Indigenous Peoples’ Rights Problems
Indigenous Peoples’ Rights Progress
Refugee and Migrant Workers’ Rights
Refugee and Migrant Workers’ Rights
Problems
Refugee and Migrant Workers’ Rights
Progress
PRESCRIPTIVE HUMAN RIGHTS
Adequate Nutrition
Causes of the Food Problem
The International Response to the Food
Problem
Adequate Health Standards
Health Needs
International Response to Health Issues
Basic Education
Educational Needs
The International Response to Education
Issues
CHAPTER SUMMARY An important change in world affairs in the last half century is that the
topic of this chapter, human rights, has gone from being largely ignored to
becoming a significant concern. The change in focus is represented by
this photograph of UN High Commissioner for Human Rights Louise
Arbour, a former justice of Canada’s Supreme Court, addressing the UN
Human Rights Council in Geneva, Switzerland.
452 CHAPTER 14 Preserving and Enhancing Human Rights and Dignity

BUSES OF THE HUMAN RIGHTS of individuals, groups, and indeed, whole segments

A of humanity have existed throughout history and continue today. What is new is
a rising global consciousness and condemnation of such travesties and a resolve
to help the oppressed. That is what this chapter is about. We will begin by looking
at the nature of human rights, then turn to areas of concern and what is being done
at the international level to improve conditions.
Unlike chapters 4 through 13, which contrast the traditional and alternative
approaches to global affairs in successive chapters, this chapter includes both the tra-
ditional approach and the alternative approach to human rights. Addressing the tradi-
tional approach is relatively simple: It has been to largely ignore human rights abuses
in other countries or at best to denounce them without doing anything to alleviate
the situation. A separate chapter on the traditional approach to human rights would
have mostly blank pages. Sovereignty and nationalism are the two main reasons for a
history of hands-off policy. Sovereignty, the legal concept that countries have absolute
control over what happens within their borders, has kept human rights out of the
interplay of world politics because most violations occur within state borders and,
therefore, have been seen as domestic matters. Intervening to address them would
constitute a violation of sovereignty. What is worse, violating another country’s sov-
ereignty might set a precedent for the future violation of your own sovereignty by
others. Nationalism has created a we–they complex, as discussed in chapter 4. To a
significant degree, our sense of responsibility and even of human caring is much
greater for members of our we-group, our nation, than for people of other nations,
the they-groups. Thus, traditionally, if members of a they-group were suffering, well,
that was a shame, but not really something we were obligated to address.
While this traditional approach to human rights continues as the dominant
www modality of international politics, things are beginning to change slowly to provide an
alternative approach. Technology is one factor. There is a much more extensive and
MAP
graphic detailing of human rights through television and the Internet. Hearing and
Human Rights: Political reading about human rights abuses do not have anywhere near the emotional impact
Rights and Civil Liberties of seeing images of violence, torture, and other abuses in vivid color on the television
screens and computer monitors in the intimate surroundings of our family rooms
and bedrooms. Such images are harder to ignore than reporting in other media and
have added to slowly changing attitudes about abuses. The World War II era was an
important turning point. Shocked by the Holocaust, the horrendous treatment of the
Chinese, Koreans, and others by the Japanese, and other horrific abuses of human
rights, the victorious nations of the world proclaimed in the Preamble to the United
Nations Charter that they were establishing the UN in part, “To reaffirm faith in fun-
damental human rights, in the dignity and worth of the human person, [and] in equal
rights of men and women.” It is easy to dismiss such words as mere lofty rhetoric, and,
in truth, the “talk” has been far greater than the “action.”
Web Link Yet it is also the case, as we shall see, that real changes have begun to take hold.
For links to a wide variety of
Human rights are now “on the table” in diplomatic discussions within international gov-
human rights–oriented ernmental organizations (IGOs) and among countries, and there are hundreds, perhaps
organizations and material go to thousands, of international nongovernmental organizations (NGOs) whose focus is the
the “Human Rights, Globalization promotion of human rights. More importantly, the international community is some-
and Disaster Relief ” page of the
times taking action. To preview the many instances of action that are discussed below,
Human Rights Interactive Network
at www.webcom.com/hrin/.
the former presidents of Serbia and Liberia and dozens of other alleged criminals have
been brought to trial before an international tribunal for abusing human rights and
other crimes. Additionally, UN peacekeepers are in the Darfur region of Sudan trying to
protect the population from marauding militia backed by the government in Khartoum.
Such steps remain the exception to the rule of the still dominant traditional approach
of remaining uninvolved, but ignoring abuses is no longer the only alternative.
 The Nature of Human Rights 453

THE NATURE OF HUMAN RIGHTS

Before moving to a detailed discussion of human rights, it is important to explain

the broad concept of human rights used here and also some of the controversies in
defining human rights. This will entail discussions of proscriptive and prescriptive
rights, universal and culture-based rights, and individual and community rights.

Proscriptive and Prescriptive Human Rights

We generally think about human rights as freedom from specific abuses or restrictions
that are proscribed (forbidden). Most commonly, certain actions by governments are
proscribed. The U.S. Bill of Rights, for example, prohibits (except in extreme cases)
the government from abridging individual Americans’ rights to exercise their religion
or free speech. Proscriptive rights also include those things that the government cannot
do to groups, such as discriminate based on race, ethnicity, or gender. The obligation
to respect many of these proscriptive rights also extends to private individuals and
organizations. For instance, employers in the United States may not decide to hire
only white males. Such rights are also called negative rights, because they involve
what cannot be done legally.
Many people believe that humans also possess a range of prescriptive rights.
They include the basic necessities that a society and its government are arguably pre-
scribed (obligated) to try to provide in order to assure certain qualitative standards of
life for everyone in the community. These include receiving adequate education, nu-
trition, housing, sanitation, health care, and the other basics necessary to live with
dignity and security and to be a productive individual. Whether society is defined in
narrow national terms or broader global terms is a matter of controversy. Such rights
are also called positive rights because they place a positive obligation on societies and
their governments to ensure they are met.
Whatever the focus, though, one scholar suggests that the most fruitful way to
think about human rights is to begin with the idea that “ultimately they are supposed
to serve basic human needs.” These basic human needs, which generate corresponding
rights, include, among others (Galtung, 1994:3, 72):
■ “Survival needs—to avoid violence”: The right of individuals and groups to
be free from violence.
■ “Well-being needs—to avoid misery”: The right to adequate nutrition and
water; to movement, sleep, sex, and other biological wants; to protection
from diseases and from adverse climatological and environmental impacts.
■ “Identity needs—to avoid alienation”: The right to establish and maintain
emotional bonds with others; to preserve cultural heritage and association;
to contribute through work and other activity; and to receive information
about and maintain contact with nature, global humanity, and other aspects
of the biosphere.
■ “Freedom needs—to avoid repression”: The right to receive and express
opinions, to assemble with others, to have a say in common policy; and to
choose in such wide-ranging matters as jobs, spouses, where to live, and
lifestyle.

The degree to which proscriptive and prescriptive rights should be used as a standard
to judge countries is increasingly being debated internationally. For example, the
United States, which emphasizes proscriptive rights, regularly criticizes China for a
454 CHAPTER 14 Preserving and Enhancing Human Rights and Dignity

Most people accept the idea of negative, or proscriptive, human

rights, those that forbid certain actions like suppressing free
speech. More controversial are positive, or prescriptive, human
rights, those that arguably require a society to do certain
things. Ask yourself, Does this child standing in front of the
hovel where she lives in Nouakchott, Mauritania, have a right
to adequate health, education, and housing? If she does, and
her own government is too poor to honor her rights, then is the
global society obligated?

wide range of rights abuses. Typically, a U.S. State

Department annual review of global human rights
characterized China as an “authoritarian state” whose
“human rights record throughout the year remained
poor” on such matters as freedom of speech and reli-
gion.1 China countered by accusing the United States
of violating prescriptive human rights. “Human
rights protection provided by the U.S. Constitution
is very limited,” a Chinese government report asserted. It noted, for instance, that in
the United States there is no right to “food, clothing, shelter, education, work, rest,
and reasonable payment.”2
One source of differing views about prescriptive and proscriptive rights is linked
to a society’s conceptions of individual success or failure: Is it based on each person’s
effort or on outside forces such as that person’s place in society? Most Americans and
Canadians believe that individuals are responsible for their personal success and
other conditions, but throughout much of the rest of the world a majority disagree.
They believe that outside forces, not personal actions are the most important factor
in determining an individual’s success or failure in life. These contrasting views are
detailed for different regions in Figure 14.1. Given the differences, it is hardly surpris-
ing that there are different views of prescriptive and proscriptive liberty. This is ap-
parent in a survey that asked Americans, Western Europeans, and Eastern Europeans
which they thought more important for a government to do: (1) follow the proscrip-
tive liberty standard of not interfering in people’s freedom to pursue their goals, or
(2) adhere to the prescriptive liberty standard by acting to ensure that no one in the
society is in need. Among Americans, 58% favored the proscriptive liberty approach;
only 33% of Western Europeans and 29% of Eastern Europeans did. By contrast, 59% of
Western Europeans and 60% of Eastern Europeans favored the prescriptive approach;
only 33% of Americans agreed.
As you read the balance of this chapter, think about how you feel about pro-
scriptive rights and prescriptive rights. What proscriptive rights, “freedoms from”
specific abuses do you possess? Also ponder prescriptive rights. Doing so is more
challenging because they are probably less familiar to you and whether they even
exist is debatable. The ultimate question, which is posed in a decision box at the
end of the chapter, is what rights you would include and exclude in a global bill
of rights.

Universal and Culture-Based Rights

Scholars generally agree that a right is a justified claim to something. To say, for in-
stance, that you have a right to freedom of religion means you have a legitimate claim
to believe whatever you wish. However, a key question is what justifies claiming a
 The Nature of Human Rights 455

FIGURE 14.1 Views on Success in Life

Percentage who believe that success in life depends mostly on

Individuals Outside forces Unsure

34%

54% 59%
54% 59%
58% 59%

64%

39% 39% 37% 36%

31% 32%

U.S./Canada Latin Western Eastern Africa Asia Middle

America Europe Europe East

How a society perceives proscriptive and prescriptive rights is based in part on how it feels about the
importance of individual traits and effort in achieving success compared to the role of outside forces.
Examples of such outside forces may be what country a person is born in, or whether, within a country,
a person is a member of a privileged or disadvantaged demographic group. Most Americans and
Canadians believe that an individual’s personal qualities are more important than circumstances in
determining success or failure. By contrast, a majority of people in every other region believe that
circumstances play the dominant role. These different views are related to why Americans and
Canadians are more likely to see rights in proscriptive terms and others are more likely to also
support prescriptive rights.
Note: The question was, “Is success in life pretty much determined by forces outside our control?” For clarity, the “agree” answer
is labeled “outside forces,” and the “disagree” answer is labeled “individual traits.” Data points for “unsure” are omitted and can
be equated by subtracting the sum of the other two answers from 100%.
Data source: The Pew Research Center, “Views of a Changing World,” June 2003.

right. Where does it come from? As noted in chapter 9, there are two schools of
thought about where rights originate.

The Source of Rights

Universalists believe that all humans possess the same rights and that they are im-
mutable. This perspective begins with the idea that rights originate from outside a soci-
ety. Among the possible external sources, theology leads many universalists to believe
that rights are granted by a deity and therefore may not be transgressed by humans. A
second external source is the very nature of human existence. Universalists who believe
in natural rights contend that people inherently possess such rights as the right to life,
which may not be legitimately abridged. Whatever the specific source, those who con-
tend that rights originate outside a society and transcend it are called universalists.
Relativists contend that rights are relative to culture. That is, rights are the prod-
uct of a society’s contemporary values. Relativists therefore assert that in a world of
diverse cultures, no single standard of human rights exists or is likely to exist short
of the world becoming homogenized culturally. This point of view also means that
rights are not timeless; they can change with changing social norms.
456 CHAPTER 14 Preserving and Enhancing Human Rights and Dignity

To see the difference between the two views of

rights, consider capital punishment. Whether they
cite the theological commandment, “Thou shalt not
kill,” the natural right to life, or some other external
source, many universalists believe that the death
penalty is an abomination that violates the human
rights of the executed individual. Universalists would
note that about two-thirds of all countries have either
abolished the death penalty or have not used it in so
long that it has been de facto abolished. Moreover, in
2006, only 25 countries executed anyone, and six of
these countries carried out 91% of the estimated 1,591
executions. China, with 1,010 executions, accounted
for by far the most. It was followed by Iran (177),
Pakistan (82), Iraq (65), Sudan (65), and the United
States (53). Relativists would reply that the legitimacy
of executing criminals after judicial due process is
based on the cultural beliefs of their people reflected
in the policy of their government. To support their
case, relativists might point, for instance, to one survey
in which 70% of American respondents expressed the
belief that capital punishment is “morally acceptable,”
compared to 25% who held it be “morally unaccept-
able,” and 5% who were uncertain.3 Such disagree-
ments over whether a right is universal or culturally
This woman in India is one of many people globally who argue that relative are not simply abstract arguments. One polit-
human rights are universal: the same for everyone, everywhere. Others ical repercussion is that numerous countries refuse to
contend that human rights are based in culture and can vary across extradite accused individuals to a country if they
the world. Which view do you support? might be sentenced to death. At some point, also, the
global consensus against capital punishment might be
strong enough to make it a violation of international law under international custom
www and the general principles of law, as explained in chapter 9. Unlike in the United
States, as Figure 14.2 shows, opposition to the death penalty is strong enough in
many countries that majorities in them did not even support the execution of a figure
MAP
Capital Punishment
as diabolical as Saddam Hussein.

Applying Universalism and Relativism

Given the differences in perspective between cultures, the question arises as to
whether it is reasonable to try to apply human rights standards to international rela-
tions (Arat, 2006). Relativists contend that trying to impose human rights standards
on the world stage constitutes cultural imperialism. Advocates of this view are apt
to note that the prevailing definitions of human rights substantially reflect the values
of the dominant Western powers and are much less attuned to some of the beliefs
of Asian, African, and other societies. One American scholar writes, for instance,
“We must understand and learn from other traditions while seeing them as histori-
cally conditioned—and this includes our own tradition. What we must not do . . .
is elevate our own tradition to the status of ‘universalism.’ This is just rehashed
cultural imperialism and has its roots in the dogmatic religious outlooks of the past
and present.” In sum, he argues, “We should realize that we create our own values,
reacting to the times and climes, and rational people can disagree on what these
values are.”4
 The Nature of Human Rights 457

FIGURE 14.2 Views on Punishment for Saddam Hussein

Percentage favoring

Life in prison Death Unsure

Spain 72% 14% 14%

Italy 70% 20% 10%

Germany 60% 34% 6%

South Korea 56% 25% 19%

France 53% 38% 9%

Geat Britain 52% 38% 10%

Canada 48% 38% 14%

Mexico 45% 26% 29%

United States 36% 57% 7%

Even for an individual like Saddam Hussein, who directed horrific crimes, a majority or plurality of people
in every country but the United States favored life in prison rather than execution. At what point is the
weight of world opinion heavy enough to make capital punishment a violation of international law no
matter what the citizens of any individual country may think?
Data source: AP/Ipsos Poll, February 2006; data courtesy of World Public Opinion.org.

Others reject such claims of cultural imperialism as poor attempts to justify the
unjustifiable. They argue that the nature of humankind is not based on culture, and,
therefore, human rights are universal (Donnelly, 2003). For one, UN Secretary-
General Kofi Annan told an audience, there is “talk of human rights being a Western
concept, . . . [but] don’t we all suffer from the lack of the rule of law and from arbi-
trariness? What is foreign about that? What is Western about that? And when we talk
of the right [of people] . . . to live their lives to the fullest and to be able to live their
dreams, it is universal.”5

Individual and Community Rights

An issue closely related to the debate over cultural relativism is the controversy over
the respective rights of individuals and society. Imagine a scale that ranges, on one www
end, from individualism, a value system in which the rights of an individual are
more important than those of the society to, at the other end, communitarianism, WEB POLL
a value system in which the good of the community takes precedence over the good The Sources of Human
of the individual. Western states would generally fall toward the individualistic end of Rights: Are You a Universalist
the scale; non-Western states would generally fall farther toward the communi- or a Cultural Relativist?
tarian end of the scale. Singapore, for example, does not extend all the “Miranda
rights” and other legal protections given to suspects in the United States. Singapore also
imposes punishment that Americans might think is “cruel and unusual,” including
the extremely painful caning of a convict’s bared buttocks with a rattan cane for
about 30 crimes ranging from attempted murder through vandalism. To defend their
position, Singapore officials point to the fact that people there are threatened by a
vastly lower crime rate than found in most major U.S. cities. “We believe that the
458 CHAPTER 14 Preserving and Enhancing Human Rights and Dignity

legal system must give maximum protection to the majority of our people. We make
no apology for clearly tilting our laws and policy in favor of the majority.”6

PROSCRIPTIVE HUMAN RIGHTS

Most rights that societies and their states extend (the relativist view) or recognize as
inherent (the universalist view) are proscriptive rights that prohibit the government
and often others (such as organizations and companies) from doing certain things.
Although they overlap, these rights can be subdivided into individual rights, such as
freedom of speech and assembly, and group rights, which involve prohibitions against
discriminating against categories of people based on ethnicity, gender, race, and
other such “inborn” factors. These are often thought of as civil rights.
Rights are abused for many reasons. For example, oppression of individual
rights often comes at the hands of dictators, who violate them by arbitrarily arresting
and punishing people; by depriving them of their property without the due process
of law; and by abridging their freedom to freely speak, organize, travel, and associate
with other individuals and groups.
As for group rights, whether the focus is race, ethnicity, gender, sexual orientation,
religious choice, or some other trait, there are few human characteristics or beliefs
that have not been the target of discrimination and abuse somewhere in the world.
One important cause, as discussed in chapter 4, is the “we–they” sense of group iden-
tification often associated with nationalism. This leads people to value the group they
identify with and to see those in other (“they”) groups as different. Too frequently,
different does not mean “I’m OK, you’re OK,” but instead means that you are inferior
and someone to be feared or oppressed. Evidence of such attitudes extends as far
back into history as we can see. Genocide is a modern term, but the practice is ancient.
The Roman philosopher and statesman Seneca (ca. 8 B.C.–A.D. 65) wrote in Epistles
that Romans were “mad, not only individually, but nationally” because they punished
“manslaughter and isolated murders” while accepting “the much vaunted crime of
slaughtering whole peoples.”
Other sources of discrimination and abuse of groups within a society or across
borders come from any one or a combination of feelings of superiority, lack of tolerance,
or lack of concern. For example, the status of women has always been determined in
significant part by the traditional assumption of most men and even many women that
male dominance is natural. The reasoning, Plato explained in The Republic, is that
men are the “watchdogs of the flock” and should bear the burden of conducting war
and “the other duties of guardianship,” whereas “in these duties the light part must
fall to the women because of the weakness of their sex.” The work of Charles Darwin
also lent a patina of scientific theory to the practice of male dominance, based on his
argument in The Descent of Man (1871) that “man is more courageous, pugnacious
and energetic than woman, and has a more inventive genius.” Darwin went on to assert
that “the chief distinction in the intellectual powers of the two sexes is [shown] by
man’s attaining to a higher eminence, in whatever he takes up, than can woman—
whether requiring deep thought, reason, or imagination, or merely the use of the
senses and hands.” Such attitudes are less pervasive than they once were, but they
continue to exist widely, and are especially strong in some societies. This was docu-
mented in a survey’s finding that approval of gender equality ranged from a high of
82% in Western countries, through 60%–65% in Asia and sub-Saharan Africa, to 55%
in Muslim countries (Inglehart & Norris, 2002, 2003).
 Proscriptive Human Rights 459

Human Rights: Problems and Progress

With some exceptions, the abuses of individual and group rights occur within coun-
tries. As such, they have traditionally been treated as domestic matters and beyond
the scope of world politics. This attitude is changing, and that in turn has brought
international pressure on governments to respect the basic rights of their citizens.

Human Rights Problems

It is likely that you, like most of the people who read this book, live in the United
States, Canada, or some other country where individual and group rights, while far
from ideal, have progressed over time. Indeed, it is hard for those of us fortunate
enough to live in such countries to imagine how widespread and how harsh oppres-
sion can be. Whether or not you agreed with the U.S.-led invasion of Iraq in 2003,
there can be no doubt that President George Bush was correct in his 2004 State of the
Union message when he asserted, “Had we failed to act . . . Iraq’s torture chambers
would still be filled with victims—terrified and innocent. The killing fields of Iraq—
where hundreds of thousands of men and women and children vanished into the
sands—would still be known only to the killers.” The victims were not just individ-
uals who opposed Saddam Hussein’s regime. Whole groups were attacked with near
genocidal intensity. The Sunni-dominated regime ruthlessly oppressed Shiite Muslim
political activity and dealt even more harshly with the Kurds, many of whose villages
were attacked with chemical weapons during the 1980s and then razed after sur-
vivors had been herded into trenches and executed by bullets to the brain. Detailing
lurid tales of repression would be easy, for there are many, but perhaps it is best to
turn to the data about the continuing widespread abuse of individual rights. Among
other sources of evidence is one survey that ranked countries’ respect for civil liber-
ties such as freedom of religion and expression on a scale of 1 (free) to 7 (oppressive).
Figure 14.3 illustrates that individual rights are still moderately to severely restricted
in most of the world’s countries. Indeed, 30% of all
countries fall at or below the seriously oppressive FIGURE 14.3 Respect for Human Rights
score of 5. It is a sad note on the travails of the Iraqi Most Examples
people that their country had managed to progress free
from a 7 before the war to only a 6 in 2006. 1 United States 29%

2 Ghana 16%
Human Rights Progress
3 India 10%
It would be naïve to argue that the world has even
begun to come close to resolving its numerous 4 Venezuela 17%
human rights issues; it would be equally wrong to
5 Russia 16%
deny that a start has been made and that one aspect
of globalization is the increased concern for and ap- 6 China 8%
plication of human rights principles (Cardenas, 2004;
Tomuschat, 2004). The way to evaluate the worth of 7 Cuba 4% Percentage of countries
Least in each category and
the efforts that we are about to discuss is to judge their free an example
goals and to see them as the beginnings of a process
that only a few decades ago did not exist at all. What- Oppression of individual and group rights remains common. Although
ever country you live in, the protection of human 45% of all countries fall into the laudable 1 and 2 categories, 28% fall
rights has evolved over an extended period and is into categories 5–7, which includes those countries where rights are
tenuous at best and brutally abused at worst.
still far from complete. The global community has
now embarked on an effort similar to your country’s Note: Scores are based on a rating system of 1 to 7 used by Freedom House to
evaluate civil liberties.
effort (Hawkins, 2004). It will take time, however, and Data source: Freedom House, Freedom House Survey 2006 at www.freedomhouse.org/.
it will be controversial (Monshipouri, et al., 2003). Calculations by author.
460 CHAPTER 14 Preserving and Enhancing Human Rights and Dignity

Web Link The UN is at the center of the international human rights effort. It has sponsored
The Web site of the UN High
numerous human rights treaties that, along with human rights in general, are moni-
Commissioner for Human Rights tored by the Office of the United Nations High Commissioner on Human Rights
is www.ohchr.org/english/. (OHCHR).
From 1946 through early 2006, the UN Commission on Human Rights (UNCHR)
was also a leading UN organization on human rights. It consisted of 53 member-
countries elected for three-year terms by the United Nations Economic and Social
Council (ECOSOC), and during its annual meetings it was often the site of clashes
over human rights. However, it was plagued by numerous problems. One was a pen-
chant for regularly condemning Israel for violating the rights of Arabs while just as
www regularly ignoring the human rights violations of many other countries. Adding to the
dismay in many quarters about the commission, ECOSOC regularly named countries
ANALYZE THE ISSUE
with poor human rights records as members. Making matters even worse, in 2003 the
Human Rights commission elected authoritarian Libya, which has a deplorable human rights record,
to its chairmanship. Then in 2004, ECOSOC elected Sudan to the Commission
virtually at the same time the Security Council was calling on Khartoum to cease its
genocidal policies in Darfur.
Responding to such absurdities, the UN General Assembly in 2006 replaced the
UNCHR with a new organization, the UN Human Rights Council (UNHRC). It is a
47-member body elected by the General Assembly, and its members are supposed to
uphold the highest human rights standards. Nevertheless, the United States was one of
the few countries that voted against creating the UNHRC, arguing that there was little
to keep it from repeating the flaws of the UNCHR. Only time will tell, but the initial
election of members was not especially auspicious.
The scores of the 47 members using Freedom House’s
FIGURE 14.4 UNHCR Member Rankings 2006 rating of countries’ civil liberties record, from 1
(best) to 7 (awful), averaged a not-too-bad 2.6. How-
7 ever, 43% of the members fell into the dubious 4 and
2%
below categories, including Cuba with a bottom-
dwelling score of 7. The details of the distribution of
6 the council are in Figure 14.4. In another discouraging
1
9%
21%
turn, the council soon followed the defunct UNCHR’s
5
15%
practice of paying inordinate attention to alleged
human rights abuses by Israel. This issue of objective
2
4 21%
balance soon led the UN secretary-general to write
17% an open letter in which he said that to advance
3
15%
human rights, “We must realize the promise of the
Human Rights Council, which so far has clearly not
Percentage of council members with justified all the hopes that so many of us placed in it.”
civil liberties records from 1 (best) to 7 (worst) The secretary-general went on to say that he was
“worried by its disproportionate focus on violations by
When the UN Human Rights Council was created in 2006 to replace the Israel,” and he urged, “Instead, the Council’s agenda
discredited UN Commission on Human Rights, the membership on the should be broadened to reflect the actual abuses that
UNHRC was supposed to include only countries with good human rights occur in every part of the world.”7
records. Yet the initial 47 members elected by the General Assembly Concerns with the council led Washington to
fell short of that. This figure uses the Freedom House civil liberties
decline to seek a council seat in 2006 and again
score from 1 (best) to 7 (worst) that each council member earned in
2006. Laudably, 57% of the members earned scores of 3 and above, in 2007. A State Department official explained, “We
but 43% had dubious records of 4 and below. Indeed, 5 members (11%) believe that the [council] has thus far not proved
were in the woeful 6 or 7 categories. itself to be a credible body in the mission that it has
Data source: Civil liberties scores from Freedom House, Freedom House Survey 2006
been charged with. There has been a nearly singular
at www.freedomhouse.org/. Calculations by author. focus on issues related to Israel, for example, to the
 Proscriptive Human Rights 461

The UN’s Universal Declaration

of Human Rights was drafted
in 1948. It is the most
fundamental statement of
global human rights, and most
countries have agreed to it.
The decision box at the end of
this chapter asks your view of
the various clauses of the
declaration and whether you
would call for any changes in
these clauses or make
additions.

exclusion of examining issues of real concern to the international system, whether

that’s in Cuba or Burma or in North Korea. . . . We hope that over time, that this body
will expand its focus and become a more credible institution representative of the
important mission with which it is charged.”8
On a more positive note, there are a number of UN-sponsored human rights
treaties that serve as standards for conduct (Neumayer, 2005). The most far-reaching
is the Universal Declaration of Human Rights, which was overwhelmingly adopted
by the UN General Assembly in 1948. The Universal Declaration clearly supports the
universalist approach, rather than the relativist approach to human rights by declaring
in Article 1, “All human beings are born free and equal in dignity and rights,” and by
further proclaiming in Article 2, “Everyone is entitled to all the rights and freedoms
set forth in this Declaration, without distinction of any kind.”
Because it is not a treaty, the declaration does not directly bind countries, but its
overwhelming passage makes it arguably part of the global norms. Many of the rights
enunciated in the Universal Declaration are also included in two multilateral treaties:
the International Covenant on Civil and Political Rights (ICCPR, 1966) and the Inter-
national Covenant on Economic, Social and Cultural Rights (ICESCR, 1966). Each
pact has been ratified by more than 80% of all countries, but there are some major ex-
ceptions. For example, China has not become a party of the ICCPR, and the United
States has not ratified the ICESCR. In addition to these two basic treaties and the
Universal Declaration, there are numerous other UN-sponsored covenants that address
the rights of specific groups, as will be detailed below.
There are also several multilateral treaties that address specific types of abuse.
Of these, the Convention against Torture and Other Cruel, Inhuman or Degrading
Treatment or Punishment (1984) has drawn considerable recent attention because of
confirmed and alleged abuses of prisoners by U.S. personnel in Iraq, Afghanistan,
and elsewhere. The treaty, to which the United States became a party in 1994, defines
torture as “any act by which severe pain or suffering, whether physical or mental, is
462 CHAPTER 14 Preserving and Enhancing Human Rights and Dignity

Web Link intentionally inflicted on a person for such purposes as obtaining . . . information
Among the most well-known
[or a confession]. Additionally, the treaty specifies, “No exceptional circumstances
NGOs promoting human rights whatsoever, whether a state of war or a threat of war, internal political instability or
are Amnesty International at any other public emergency, may be invoked as a justification of torture.” Some low-
www.amnesty.org/ and Human ranking military personnel that committed indisputable abuses have been punished.
Rights Watch at www.hrw.org/.
However, the larger issue is whether the tactics authorized by the Bush adminis-
tration for use during questioning of suspected terrorists (see chapter 9) violate the
UN treaty.
A number of regional conventions and IGOs supplement the principles and
efforts of the UN. The best developed of these are in the European Union (EU) and in-
clude two human rights covenants and the European Court of Human Rights. Domes-
tic courts also increasingly apply human rights law (Jayawickrama, 2003). Additionally,
many NGOs, such as Amnesty International and Human Rights Watch, are concerned
www with a broad range of human rights. These groups work independently and in coop-
eration with the UN and regional organizations to further human rights. They add to
ANALYZE THE ISSUE the swell of information about, and criticisms of, abuses and help promote the adoption
The Rights of Our Enemies of international norms that support human rights.

Barriers to Progress on Human Rights

Unfortunately, being a party to one, some, or even all of these treaties does not by
itself prevent a country from abusing human rights. Iraq ratified both the ICCPR
and the ICESCR in 1971, yet throughout its 33 years, Saddam Hussein’s regime
egregiously abused many, even most, of the rights set forth in both covenants.
Indeed, the impact of such treaties, the efforts of IGOs and NGOs, and the general
progress of human rights have, as noted, been mixed. One problem is sovereignty.
Countries jealously guard it and reject outside criticism of their internal practices.
When in 2007 a reporter asked a Chinese Foreign Ministry spokesperson about
a resolution in Germany’s Bundestag criticizing China’s labor camps for political
dissidents, he replied testily, “The question you mentioned involves China’s internal
affairs. We are opposed to irresponsible remarks on China’s internal affairs by other
countries including the German parliament.”9 Although the sovereignty argument
as a defense has weakened, it still remains powerful. Smaller countries and those
of the South are particularly sensitive to what they see as a pattern of powerful
countries in the North criticizing weaker countries in the South while refusing to
accept criticism themselves and generally being unwilling to criticize one another.
Especially alarming for countries of the South is the assertion that such human
rights violations give other countries the right to intervene, a course of action
that is never contemplated with regard to a powerful EDC. Thus for many in the
South, the human rights campaign seems tinged with neocolonialism and perhaps
even racism.
A second and closely related impediment is the claim that cultural standards are
different, and, therefore, what is a human rights violation in one country is culturally
acceptable in another (De Bary, 2004). This is part of the argument discussed above
about the source of law and whether cultural relativism is an acceptable standard.
Like the matter of sovereignty, the issue of law based in cultural standards is particu-
larly sensitive for the South since the Universal Declaration of Human Rights and, to
a lesser degree, the ICCPR, the ICESCR, and some of the other major human rights
treaties were written at a time when the UN was dominated by the West much more
than it is today.
A third barrier is political selectivity, which disposes all countries to be shocked
when opponents transgress human rights and to ignore abuses by themselves, by their
 Proscriptive Human Rights 463

allies, and by countries that they hope to influence. The United States regularly
proclaims its commitment to the global spread of democracy, yet continues to sup-
port the governments of Saudi Arabia and several other unabashedly authoritarian
regimes. Making matters worse, the self-proclaimed U.S. role of championing democ-
racy and human rights was badly undercut by disclosures including secret prisons
abroad under CIA auspices where prisoners could be questioned using tactics illegal
in the United States; turning over prisoners for questioning by other governments
that operate without the limits on prisoner treatment that bind American officials;
and abuses inflicted on prisoners in Iraq at Abu Ghraib prison and elsewhere and on
Muslim detainees at Guantánamo Bay. When the U.S. State Department issued its
2005 report on human rights and criticized numerous other countries, many of them
retorted that, in essence, Americans should address their own abuses before pointing
a finger at anyone else. The Russian Foreign Ministry charged that the report once
again showed a “double standard” and that, “Characteristically off-screen is the am-
biguous record of the United States itself.” Venezuela’s vice president portrayed the
United States as “not qualified from any point of view” to lecture others on human
rights, and a Mexican official said that Washington criticizing other countries’ human
rights records was like “the donkey talking about long ears”—the Spanish-language
equivalent of “the pot calling the kettle black.”10
Fourth, concern with human rights remains a fairly low priority for most countries.
In the abstract, most people support advancing human rights, but in more applied
situations it becomes clear that support is shallow. For example, a recent survey that
asked people in the United States and India about important foreign policy goals for
their country found that promoting human rights ranked 11th of 14 possible goals
among Americans and 11th of 11 goals presented to Indians.11 It can also be said,
however, that while still not at the forefront of concern of most people, the importance
given to human rights has increased in recent years, as Figure 14.5 indicates, and that
increased sensitivity is strengthening international
pressure on those abusing the rights of others.
FIGURE 14.5 Human Rights Priority
Thus, while it would be wrong to overestimate
Percentage who want human rights policy to have
the advance of human rights, it would equally be an
error not to recognize that progress has been achieved 56% Some priority
54% 54%
in the advancement of human rights by declarations 50%
of principle, by numerous treaties, and by the work
of the UN, Amnesty International, and other IGOs 37%
and NGOs. The frequency and horror of the abuses 29%
27% Top priority
that they highlight are increasingly penetrating the 22%
international consciousness, disconcerting the global 22%
conscience, and having a positive effect on the world
15% 14%
stage. To see that more clearly and to also see how 11%
much remains to be done, it is appropriate to turn to No priority
the status of human rights for women, children, and 1993 1997 2001 2005
several other groups.
Most people, including Americans, give less foreign policy priority to
defending and promoting the human rights of others than to such
Women’s Rights matters as protecting jobs from foreign competition and combating
terrorism. Still, it is clear here that the percentage of Americans who
In our discussion of the status of the rights of a di-
rank human rights as their top priority has increased steadily and those
versity of demographic groups, it is appropriate that who see human rights as unimportant has declined steadily.
we begin with the largest of all minority groups,
Note: Data for those who were unsure, 2–3% each year, is omitted.
women. The status of women has improved in recent Data source: Pew Research Center and Chicago Council on Foreign Relations,
decades, but only somewhat and slowly. America’s Place in the World, 2005.
464 CHAPTER 14 Preserving and Enhancing Human Rights and Dignity

Women’s Rights Problems

Economic and educational deprivations seem to pale when compared to the violence
inflicted on women. They are subject to abuse during international and internal
armed conflicts and to domestic abuse in their homes.

Political, Economic, and Social Discrimination Females constitute about half the
world’s population, but they are a distinct political-economic-social minority because
of the wide gap in their societal power and resources compared to men. Chapter 6
detailed this gap with respect to political power, noting among other things that only
about 5% of countries are headed by women; they make up only about 8% of all
national cabinet ministers, 17% of the membership of national legislatures, and
about 9% of the world’s judges. In a few countries women are still not allowed to
vote, much less hold national office. Women are also disadvantaged economically.
Compared to men, women are much less likely to have a salaried job or to hold a pro-
fessional position. There is no country in the world where women wage earners
make as much as men, and in a majority of countries women earn salaries that
are less than half of what men make. An even more compelling statistic is that
women globally constitute 70% of all those living below the poverty line. Women
also suffer from a range of types of social discrimination. In many countries they are
less likely than men to be literate or, if educated, go on to secondary school, let alone
college or technical training. The degree of gender discrimination differs signifi-
cantly among countries, with the gap between men and women generally narrower
in economically developed countries (EDCs) than in less developed countries
(LDCs). Nevertheless, female disadvantages are universal, as the Gender Gap map in
chapter 5, page 160 shows.

Women, Armed Conflict, and Abuse The image of men fighting and dying in wars
while women wait safely at home is substantially a myth. In many armed conflicts,
women noncombatants suffer as much or more than male soldiers and civilians. A
recent UN Development Fund for Women (UNIFEM) report, War, Women, and Peace
(2002), begins with the observation of the study panel members that,
We were completely unprepared for the searing magnitude of what we saw and heard in
the conflict and post-conflict areas we visited . . . [and] for the horrors women described.
Wombs punctured with guns. Women raped and tortured in front of their husbands
and children. Rifles forced into vaginas. Pregnant women beaten to induce miscarriages.
Fetuses ripped from wombs. Women kidnapped, blindfolded, and beaten on their way
to work or school. We heard accounts of gang rapes, rape camps, and mutilation. Of
murder and sexual slavery. We saw scars of brutality so extreme that survival seemed
for some a worse fate than death.

The primary cause, according to the report, is that women’s “bodies become a battle-
ground over which opposing forces struggle.” Rape, forced impregnation and birth,
and sexual slavery are not uncommon, and women are also kidnapped and used as
servants to soldiers. To escape such fates, many women flee and become refugees. In
fact, up to 80% of all refugees from violence are women and their children. Such
women find themselves in dire conditions. Many die of disease; others “are forced . . .
to become sex workers . . . their bodies . . . a form of exchange that buys the necessi-
ties of life” (p. 11). Desperation often continues after women return home to face razed
dwellings, dead husbands and other family members, and no means of economic
support. Much of this goes unnoticed. As the UNIFEM report puts it, “Violence against
women in conflict is one of history’s great silences.”
 Proscriptive Human Rights 465

Women, Society, and Abuse All the abuses noncombatant women suffer are but a
Did You Know That:
small proportion of physical abuse that women endure globally. According to the
In a survey by the U.S.
UN, at least one-third of all women have been beaten, coerced into sex, or otherwise
Centers for Disease Control
abused at least once in their life, and, depending on the country, 40% to 70% of all and Prevention, 25% of
female murder victims are killed during domestic violence. American women reported
Another form of assault on women comes through sex-selective abortions or having been physically or
female infanticide. Globally, there are about 60 million fewer girls (age 0 to 15) than sexually assaulted by a
spouse, partner, or date.
normal population figures would expect. The reason is that female fetuses are
aborted more often than male fetuses after ultrasound technology is used to deter-
mine sex or, more grimly, infant girls are killed outright or allowed to die through
neglect more often than boys. The UN estimates that in India 7,000 fewer baby girls
are born each day than normally expected. The problem is even more severe in China,
as evident in Figure 14.6, where among the 85 million children through age 4, there are
6.4 million more boys than girls. “Society needs to recognize this discrimination,” a
recent UN Population Fund (UNFPA) study counsels. “Girls have a right to live just
as boys do. Moreover, a missing number of either sex, and the resulting imbalance
can destroy the social and human fabric as we know it.”12
Other girls are subjected to female genital mutilation (FGM), sometimes eu-
phemistically called female circumcision. This procedure ranges in severity from, at
minimum, a clitoridectomy (the excision of the clitoris), which deprives a female of all
sexual sensation, to infibulation, the cutting away of all of a female’s external geni-
talia and labial tissue. It is widely performed on adolescent and preadolescent girls in
central and North Africa, and the UN estimates that as many as 130 million women
and girls alive currently have undergone the procedure and that each year another
2 million are subjected to it. Beyond the psychological trauma, FGM, which is usually
performed by individuals without medical training operating in unsanitary settings,
is extraordinarily painful and dangerous, carrying a significant rate of infection.

FIGURE 14.6 Children Sex Ratios

96 96
95
96
95

93

91
89

Number of girls per 100 boys age 0–4 in

Western Europe India China 85

1950 1960 1970 1980 1990 2000 2005

Arguably a genocidal attack on females is occurring in some parts of the world through the abortion of
female fetuses and the killing of female infants. This figure shows how many girls there were for every
100 boys ages 0 to 4 in the populations of Western Europe, China, and India between 1950 and 2005.
Without outside intervention, it is normal for about 4% fewer girls than boys to be born. Therefore the
ratio of about 96 girls per 100 boys is “normal” in the natural sense. As you can see here, Western
Europe has maintained close to that ratio, but in India and even more in China, the ratio of girls has
declined considerably. The low ratio for China in 1950 probably reflects female infanticide during the
very difficult times surrounding World War II and the Communist Revolution.
Data source: UN Population Data Base.
466 CHAPTER 14 Preserving and Enhancing Human Rights and Dignity

Web Link Another unhappy fate awaits the impoverished women in many countries who
To read more on human traffick-
annually are sold or forced to go into de facto slavery in their own countries or
ing, see the UN Office on Drugs abroad. According to the UN, “human trafficking” is the world’s third largest com-
and Crime (UNODC) report, mercial enterprise, earning at least $39 billion annually. The International Labour
Trafficking in Persons: Global Organization (ILO) estimates that 1.2 million people a year are trafficked. About
Patterns (April 2006), at
80% of them are women and girls.13 Some become domestic servants, who are often
www.unodc.org/unodc/trafficking
_persons_report_2006-04.html.
mistreated. The sale of young women and even girls (and young men and boys) into
heterosexual or homosexual slavery is also relatively common in some places. Most
of the women in sexual servitude are located in the LDCs, but many are also in the
EDCs. All countries have laws against sexual slavery and child prostitution, but some
governments do little to enforce them. Economic incentives are one reason that
governments ignore the problem. Prostitution is a huge business in Southeast Asia,
as elsewhere, and the UN has estimated that the revenue generated by sex tourism
and other aspects of the illicit sexual trade ranges between 2% and 14% of the GNPs of
Indonesia, Malaysia, Thailand, and the Philippines.14
According to the UN report, the “revenues [the sex
trade] generated are crucial to the livelihoods and
earning potential of millions of workers beyond the
prostitutes themselves.”

Women’s Rights Progress

Numerous international human rights efforts in re-
cent years have focused on women, and progress has
been made in defining the maltreatment of women
as a global problem, identifying some of the causes
and worst abuses, and enumerating women’s rights
( Johnstone, 2006). This has placed the issue of women
solidly on the international agenda (Antrobus, 2004;
Kerr, Spenger, & Symington, 2004). A major symbolic
step occurred when the UN declared 1975 as Inter-
national Women’s Year and the kickoff of a Decade
for Women. Numerous conferences brought women
together to document their status. Funding for proj-
ects to benefit women was begun through the estab-
lishment of such structures as the UN Fund for
Women (UNIFEM). The adoption of the Convention
on the Elimination of All Forms of Discrimination
Against Women (CEDAW, the treaty) in 1979 led the
way in defining women’s rights on an international
level. As of May 2007, 185 countries had agreed to
the treaty, with the United States one of the few that
had not.
Women’s rights have advanced almost everywhere in the world in This rise in the level of consciousness also led
recent decades, but much remains to be done. First, there is no the UN to create the Division for the Advancement of
country where men and women are equal. Second, the advances that Women, which is responsible for addressing women’s
women have made are threatened in some places. These members of issues and promoting their rights. In this role, the
the Potohar Organization for Development Advocacy (PODA) are
division administratively supports both the Commis-
chanting “Down with Talibanization” during a 2007 rally in Islamabad,
Pakistan. The chant refers to the ousted Taliban regime in Afghanistan,
sion on the Status of Women (CSW), which is the main
which had denied almost all rights to women. Also reflected is the UN policy-making body for women, and the Com-
worry of the women shown here that the growing strength of Islamic mittee on the Elimination of Discrimination Against
fundamentalism in Pakistan will result in its Talibanization. Women (CEDAW, the committee), which monitors
 Proscriptive Human Rights 467

the implementation of the 1979 convention on women’s rights. The division has also
organized four UN world conferences on women.
Of these, the most important was the fourth World Conference on Women Web Link
(WCW). It convened in Beijing in 1995, and 180 countries sent some 3,000 delegates. One of the many NGOs promoting
Additionally, about 30,000 delegates representing some 2,000 NGOs gathered nearby the rights of women is the Inter-
at the parallel NGO convention. The combined meetings constituted the largest con- national Women’s Rights Action
clave of women in history. Not only were their already formidable network of women’s Watch at http://iwraw.igc.org/.
groups strengthened, but their message was carried outward by the 2,500 reporters
who covered the conferences. The WCW demanded an end to discrimination against
and the abuse of women, called for their economic empowerment, and urged pub-
lic and private organizations to lend their moral and economic support to the cause
of advancing the status of women worldwide. These stands were not binding on states,
but they set a standard that has had an impact. The following year, for example, the
Hague tribunal for war crimes in the Balkans for the first time held that sexual abuse
was a war crime and indicted eight Bosnian Serb soldiers for the rape of Bosnian
Muslim women.
Five years later a special UN General Assembly session and a parallel NGO
conference, collectively called the Beijing 5 Conference, brought 10,000 delegates
together in New York City to review the progress of the goals adopted by the WCW.
In addition to continuing with important networking and exerting pressure on
governments to address women’s issues, Beijing 5 adopted goals such as increas-
ing the availability and affordability of treatment for women and girls with HIV
and AIDS.
Finally, there have been advances in other contexts to further the rights of women.
One notable stride, which is discussed in chapter 9, was the recent founding of vari-
ous international tribunals that are trying individuals for rape, among other crimes
against humanity. To cite just one example, in 2007 the tribunal for war crimes in the
Balkans that sits in The Hague, the Netherlands, sentenced Bosnian Serb Radovan
Stankovic to 20 years in prison for the mass rapes, torture, and enslavement of Bosnian
Muslim women in 1992. The recent creation of the International Criminal Court
(ICC) offers further hope for the protection of women. Its charter defines war crimes
to include violence “committed as part of a widespread or systematic attack directed
against any civilian population,” including such offenses as “rape, sexual slavery,
enforced prostitution, forced pregnancy, enforced sterilization, or any other form of
sexual violence of comparable gravity.” The ICC, now investigating alleged war
crimes, including sexual abuse, in Sudan and other countries, is described by MADRE,
a U.S.-based women’s rights NGO, as “a critical new tool in the defense of human
rights for women and their families around the world.”15
There is also evidence that the rising international condemnation of the abuse of
women is having some impact on norms and practices within countries. Data for a
number of societal opportunity measures indicates that the gap between men and
women is narrowing. For example, the difference in the literacy rate of men and
women worldwide narrowed from 13% in 1990 to 10% in 2005. During that time,
there has been a 7% increase in percentage of national legislative seats held by women.
Women’s share of paying jobs in the manufacturing and service sectors has increased
3.5% to 35%. The percentage of countries with laws against domestic violence has
nearly doubled to 47%. Regarding a more specific concern, several countries where
FGM has been practiced have passed laws against it, and there are indications that
the procedure is on the decline. Women in Kuwait won the right to vote and to hold
office in 2005, and nearby Yemen ratified CEDAW, created a Ministry of Human Rights,
and appointed a woman as its first head. All these advances and many more are also
468 CHAPTER 14 Preserving and Enhancing Human Rights and Dignity

FIGURE 14.7 Gender Development evident in the upward trend shown in Figure 14.7 of
Index Change the Gender Development Index (GDI), a measure of
women’s conditions relative to men using a variety
1.000 of health, education, and economic measures. Surely,
0.951 reforms have come slowly, and there continues to
0.919
be significant global disparity in the conditions of
0.904 men and women across the political-social-economic
0.832 spectrum. Yet there has been progress.
0.798
0.800
0.790
0.720 Children’s Rights
Gender development index

Children are not commonly considered a political

Gender development score of group, but they are perhaps the most vulnerable of all
0.600 Sweden Portugal humans. Also, children have rights like all humans,
Colombia Libya and those rights are all too often violated (Ensalaco
0.534 Nigeria Guinea & Majka, 2005).
0.448
Children’s Rights Problems
0.445
0.400 0.383 If anything, the abuses that children suffer globally
have received even less notice than those of women.
In addition to the lack of adequate nutrition, med-
ical care, and education that prevent a vast number
0.214 of children in many countries from achieving a ful-
0.200 filling life or even surviving at all, they endure a
1995 2000 2006 variety of abuses. Being forced to work is one of
them. According the International Labour Organi-
The UN Development Programme’s Gender Development Index
zation (ILO), there are 246 million children aged 5
evaluates the status of women compared to men by country using
several health, education, and economic criteria. A score of 1.000
to 14 who are performing more than light or casual
would mean statistical equality. In general terms, a 0.900 means economic work. About 75% of these children do
women measure 90% compared to men’s 100%, a 0.600 means 60% hazardous work. Among children ages 5 to 9, 12%
as equal, and so on. This figure shows the scores since 1995 for that work, and nearly 25% between ages 10 and 14 do
year’s top-ranked country (Sweden) and the countries ranked 25 so. Adding further to the problem, about half these
(Portugal), 50 (Colombia), 75 (Libya), 100 (Nigeria), and 125 (Guinea) children age 10 and under work full-time and do not
of the 130 ranked countries. Notice the upward trend of all countries.
go to school. Child labor ranges from about 2% of
Data source: UNDP, Human Development Report (1995, 2000, 2006). Calculations all children in the EDCs to as high as 29% in sub-
by author.
Saharan Africa.
The most disturbing statistics of all relate to the 8.4 million children involved
in what the ILO terms “unconditional worst forms of child labor.” This includes
children in five categories (and the number of children in each): internationally
trafficked children (1.2 million), forced and bonded labor (5.7 million), armed con-
flict (so-called boy soldiers, 0.3 million), prostitution and pornography (1.8 million),
and illicit activities (such as drug sales, 0.6 million). Child prostitution is especially
prevalent in southern Asia and Latin America. There are many reasons—ranging
from abuse at home to economic desperation—why children turn to prostitution;
it is also the case that many children are sold by their families. A recent UN report
related the example of Lam, a 15-year-old Vietnamese girl who was sold by her
grandmother to purveyors for a brothel in Cambodia. According to the report, the
price for girls like Lam ranges between $50 and $200. Other individuals are kidnapped
by sex-slavers to supply the multibillion-dollar sex trade. An astronomical rate of
AIDS and other sexually transmitted diseases are among the myriad dangers these
children face.
 Proscriptive Human Rights 469

The treatment of children is certainly the proper con-

cern of national governments, but it is also an international
issue. It is estimated that each year 10 to 12 million men
travel internationally as “sex tourists” to exploit children. An
unknown but substantial number of children are transported
across international borders for sexual purposes, and
technology has brought child pornography to the Internet.
Clothes, shoes, and other products manufactured by chil-
dren are sold in international trade; you may be wearing
one of these products even as you read these words. The
wars and civil strife that ruin the lives of boy soldiers and
other children are often rooted in world affairs.

Children’s Rights Progress

Serious international efforts to protect children’s rights were
symbolically kicked off in 1979, which the UN designated
as the International Year of the Child. The United Nations
Children’s Fund (UNICEF) is the most important agency
promoting the rights of children, but it is supported by
numerous other IGOs and NGOs. Their common goal, in
the words of UNICEF’s executive director, is to “ensure that
exploitive and hazardous child labor becomes as unaccept-
able in the next century as slavery has become in this. Chil-
dren should be students in school, not slaves in factories,
fields, or brothels.”16
One advance is the Convention on the Rights of the
Child (1989). It defines a wide range of collective and in-
dividual rights in such areas as the sexual exploitation of Ending child labor is a major goal of the International Labor
Organization, a leader in the effort to create a world where
children, the use of boy soldiers, and the diversion of chil- scenes such as the one pictured here cease to exist. This
dren from their education to work. The convention garnered young girl is carrying bricks at a construction site in Myanmar
enough ratifications to go into force in less than a year and rather than going to school and playing as she should be.
also quickly became the most widely ratified human rights Bricks such as the eight she is carrying weigh between 3 and
treaty in history. Indeed, as of mid-2007, every country in the 4 kilos each, meaning that the total weight pressing down on
world save the United States and the failed state of Somalia her neck and spine is between 53 and 71 pounds.
was party to the treaty. Among other U.S. concerns was
whether the convention would abridge the possibility in some U.S. states that minors
convicted of capital crimes can be executed once they reach age 18. However as noted
in chapter 9, the U.S. Supreme Court declared such executions unconstitutional in the
2005 case Roper v. Simmons, and that could open the way for U.S. ratification of the
treaty. Whatever the U.S. concerns, the treaty has begun to protect children. Under
it and other global prohibitions against the use of boy soldiers, the UN’s tribunal
prosecuting war crimes in Sierra Leone convicted three former rebel commanders in
June 2007 of a range of offenses including, for the first time in any international
court, forcing children to be combatants.
Children’s rights have also been advanced through a series of global conferences.
In 1990, top officials from 156 countries met at the World Summit for Children at
UN headquarters, adopted the Declaration on the Survival, Protection and Develop-
ment of Children, and put forth a 10-point Plan of Action. The world’s countries also
joined together during the first (1996) and second (2001) World Congresses Against
Commercial Sexual Exploitation of Children. Such international meetings serve a
valuable function by focusing attention on issues and defining international norms.
470 CHAPTER 14 Preserving and Enhancing Human Rights and Dignity

As one official of the first congress noted, “There can be no more delusions—no one
can deny that the problem of children being sold for sex exists, here and now, in
almost every country in the world.”17
Web Link The increasing awareness of child labor and determination to end it is also evident
One way to learn more about
in many other ways. For example, an ILO-sponsored international conference led to
child labor is to see the docu- an agreement known as the Worst Forms of Child Labour Convention (1999). The
mentary Stolen Childhoods convention bars the use of children for any form of compulsory labor similar to slavery
released in 2005. More on the (including being forced to become a child soldier), for illicit activities (prostitution,
film and about how to get involved pornography, drug trafficking), and for work that is inherently dangerous. As of mid-
in halting child labor can be found
at www.stolenchildhoods.org/
2007, the treaty had been ratified by 163 countries and become part of international
mt/index.php. law, although the continuing absence of India as a party is a particular concern. A
report by the head of the ILO also cites evidence of progress in such factors as the
number of countries passing new or tougher child labor laws and the adoption of
codes of conduct by multinational corporations barring the use of child laborers. “The
global challenge remains daunting,” the ILO director-general concedes in the report,
but he also advised, “We can take heart that already there has been a great deal of
progress achieved in knowledge and experience, as well as an impressive worldwide
movement to combat child labor.”18

Ethnic, Racial, and Religious Group Rights

Among humans, the “we–they” complex is most destructive when it engenders hos-
tility toward “others” and often violent oppression of “others” based on their ethnic-
ity, race, and religion. There is hope, though. Tolerance can be taught to many, and it
can be enforced for those who do not want to learn.

Group Rights Problems

Strife and oppression based on ethnicity, race, and religion remain common. There are
racial and religious overtones in the gruesome violence in Sudan between the gov-
ernment dominated by Arab-heritage Muslims and the black Muslims in the western
region of Darfur. Fighting between the mostly Buddhist Sinhalese who control the
government and the mostly Hindu Tamil minority has beset Sri Lanka for many
years. People in Northern Ireland have traditionally divided themselves between
warring Protestant and Catholic factions, and in Cyprus fences and troops separate
Greek-heritage citizens from Turkish-heritage citizens. Religious fundamentalism
has strengthened in recent decades and has sparked numerous efforts in India, Israel,
several Muslim countries, and elsewhere to align the legal codes and religious laws of
their respective countries and to force everyone, regardless of their personal beliefs,
to follow those theocratic laws. It hangs in the balance whether Iraq will become a
tolerant democracy, an oppressive quasi-theocracy, or will dissolve into civil war
among Shiite Muslims, Sunni Muslims, and Kurdish Muslims. Even in countries
where there is no move to supplant civil with theocratic law, religious intimidation is
not uncommon.
Web Link Most of the worst instances of oppression are in the LDCs, but the EDCs do not
Learn more about the Roma and escape the stain. The persecution of Jews and Gypsies, properly called Roma, did not
their human rights concerns at perish with Adolf Hitler’s Nazi Third Reich. Instead, they persist in Europe and else-
http://www.romani.org /index.html. where. In 2005, the European Court of Human Rights found racist motivations in an
incident in Romania in which an altercation between Romas and ethnic Romanians
ended when Romanians, encouraged by police, surrounded a house where several
Roma men were hiding and set it on fire. One man burned to death; those who
fled the flames were beaten to death. Charges brought against the town police were
 Proscriptive Human Rights 471

dismissed by a Romanian court, which commented, “The Roma community has

marginalized itself, shown aggressive behavior and deliberately denied and violated
the legal norms acknowledged by society. Most of the Roma have no occupation
and earn their living by doing odd jobs, stealing, and engaging in all kinds of illicit
activities.”19
Anti-Semitism also troubles Europe and other EDCs. Between 1989 and 2006,
Tel Aviv University’s annual review on global anti-Semitism recorded a twelvefold
increase in major anti-Semitic incidents to 572. Russia is one country with a worri-
some record. There a poll found 59% of Russians agreeing with the statement, “Jews
have too much power in the world of business.” Such attitudes are evident even in
the government. In a 2005 incident, 20 members of the Duma, Russia’s parliament,
called for a ban of all Jewish groups. The legislators claimed, “The whole democratic
world today is under the financial and political control of the Jews. We would not
want our Russia, which is subject to a permanent illegal war seeking to prevent its
rebirth, to find itself among unfree countries.”20 President Vladimir Putin and the
Duma both condemned the idea, but they imposed no sanctions on the offending leg-
islators. The list of ethnic, racial, and religious divisions, oppression, and violence
could go on at length, but that is not necessary here. Chapter 4 details the world’s
ethnonational divisions and chapter 5 does the same for religion. The question is
what is being done to address the problem.

Group Rights Progress

The international effort to increase ethnic, racial, and religious tolerance and to
eliminate their worst forms quickly is only a few decades old. It has made progress,
but negative attitudes are so widespread and deep-seeded that change has been
limited.
One early notable advance came in South Africa. Years of international pressure
through economic sanctions and other penalties finally compelled South African
whites to surrender political power in 1994, ending official racism through the
apartheid system that permitted 6.5 million whites to dominate the other 29 million
black, Asian, and “colored” (mixed-race) people.
The global effort to combat intolerance has also been furthered by three interna-
tional conferences. The first two met in Geneva, Switzerland, in 1978 and 1983. The
third, the World Conference against Racism, Racial Discrimination, Xenophobia and
Related Intolerance (WCAR) convened in Durban, South Africa, in 2001 and brought
together official delegations from 160 countries. Like most UN conferences, there was
also an unofficial parallel conference that included representatives of hundreds of
NGOs ranging alphabetically from ABC Ulwazi (South Africa) to the Zoroastrian
Women’s Organization (Iran).
Unfortunately the Durban conference fell into acrimonious debate over two
issues. One was the demand by African delegates that the United States and the coun-
tries of Western Europe that had once been involved in the slave trade apologize
and pay reparations. The other sore point was the effort by Muslim countries to label
Israel a “racist apartheid state” and to demand an end to the “ongoing Israeli sys-
tematic perpetration of racist crimes, including war crimes, genocide, and ethnic
cleansing.”21 When some countries insisted on bringing a resolution with this
language to a vote, Canada and several European countries downgraded their dele-
gations, and the U.S. delegation walked out of the conference. Secretary of State
Colin Powell said he regretted doing so, but added, “I know that you do not combat
racism by conferences that produce declarations containing hateful language,” he
concluded.22
472 CHAPTER 14 Preserving and Enhancing Human Rights and Dignity

More positively, efforts to define the rights of ethnic, racial, and religious groups
have been part of the major human rights documents such as the International
Covenant on Economic, Social, and Cultural Rights and the Convention on the
Prevention and Punishment of the Crime of Genocide. There have also been some
specific agreements, such as the International Convention on the Elimination of
All Forms of Racial Discrimination (1969). It is a step forward that 170 countries,
including the United States, have been willing to agree to this document, which,
among other things, proclaims that its signatories are “convinced that . . . there is no
justification for racial discrimination, in theory or in practice, anywhere.”
There are also regional efforts. At a 2005 conference in Sofia, Bulgaria, eight coun-
tries (Bulgaria, Croatia, the Czech Republic, Hungary, Macedonia, Romania, Serbia and
Montenegro, and Slovakia) pledged to begin a 10-year program to improve the social
and economic status of Eastern Europe’s Roma people. One observer optimistically
noted, “There has been a huge lack of political will on behalf of the countries that are
now participating in this effort,” and called it “a huge leap forward in this respect.”
More cautiously, a Roma activist commented, “It is now at the level of good will and
speeches. How it will work we will have to wait and see.”23 Both were right.
Enforcement of the standards of tolerance and equality have been limited, but
they have not been absent. The earlier international pressure on South Africa to end
legal racism was an important step. The international tribunals investigating and try-
ing war crimes committed in the Balkans and in Rwanda are further evidence that
persecution based on ethnicity, race, or religion are increasingly considered an affront
to the global conscience, as are the investigations that the ICC has begun into atrocities
in Sudan and elsewhere.

The Rights of Indigenous Peoples

World history is a story of mass migrations and conquests that have often left in-
digenous people as minority groups in national political systems imposed on them. All
together, there are approximately 5,000 indigenous groups with more than 300 mil-
lion people residing in more than 70 countries on five continents.

Indigenous Peoples’ Rights Problems

Most of the world’s indigenous peoples live in socioeconomic circumstances below
those of the non-native population of their country. For example, the socioeconomic
status of Mexico’s indigenous peoples, such as the Mayas, is 21% below that of the
country’s general population according to the UNDP. There is also a long history in
many countries of trying to force indigenous groups to adopt mainstream culture by
giving up their language, customs, and other aspects of their culture.
One of the particular efforts of indigenous peoples in recent years has been their
attempt to protect their traditional home areas from the incursion of the surrounding
cultures. For example, the influx of people and commercial activities such as logging
and mining into the vast interior areas of the Amazon River system has increasingly
degraded the health, environment, and other aspects of the life of the indigenous
peoples of that region such as the Yanomami of Brazil and Venezuela. The Yanomami
(which means “human being”) had little contact with outsiders before the mid-1980s
when the lure of gold brought prospectors and miners far up Brazil’s rivers and into
the Yanomami’s forest retreats. The invasion has left the Yanomami devastated by dis-
eases, by mercury and other toxins brought by the miners, and, on occasion, by vio-
lence aimed at forcing the tribe off its lands. Their numbers have shrunk since the
mid-1980s by about 10%, to 19,000.
 Proscriptive Human Rights 473

Indigenous Peoples’ Rights Progress

The UN proclaimed 1993 to be the International Year of the Indigenous Peoples. The
following year, representatives of some of the more than 5,000 indigenous peoples
agreed to an International Covenant on the Rights of Indigenous Nations that pre-
scribed relations among the groups and between each of them and the country in
which it is located. The increased focus on the plight of many groups led the UN to
further designate 1995 to 2004 as the International Decade of the Indigenous Peoples
and to subsequently extend that to a second decade (2005–2014). Additionally, in
2000 the UN Economic and Social Council established the UN Permanent Forum on
Indigenous Issues (UNPFII) as an advisory body. Its purpose, declared Mary Robinson,
UN High Commissioner for Human Rights, is “to give indigenous peoples a unique
voice within the United Nations system.”24 The UNPFII has a permanent staff, meets
annually, and serves to study problems faced by indigenous populations and to bring
those issues to the attention of the UN and other IGOs. The efforts of indigenous
people have also been furthered by numerous NGOs, including the International
Indian Treaty Council, the World Council of Indigenous Peoples, the Inuit Circumpolar
Conference, and the Unrepresented Nations and Peoples’ Organization. The causes
of indigenous peoples were also furthered when the Nobel Peace Prize Committee
made its 1992 award to Rigoberta Menchú of Guatemala in recognition of her efforts
to advance the rights of her Mayan people in her country and to further the welfare
of indigenous people globally.

Refugee and Migrant Workers’ Rights

Driven by war, economic desperation, and other factors, the movement of humans
ranging from individuals to entire nations has occurred throughout history. “Migration
is the visible face of social change,” a report by UNFPA explains.25 This face is evident
in the early 21st century. In 2006 according to the United Nations High Commissioner
for Refugees (UNHCR) there were 8.4 million people in the UNHCR’s “core con-
stituency,” those who have fled their country to a neighboring country because of
violence, famine, or some other disaster. The largest single group is Afghanis, 1.9 mil-
lion of whom no longer live in their country. While
still distressingly high, the core constituency is below
its peak in the 1990s, as indicated in Figure 14.8. In FIGURE 14.8 International Refugees
addition to these international refugees, there were
Number of international refugees (millions)
12.4 million people who the UNHCR calls “internally
displaced persons,” those who have been displaced 17.4
within their own countries, or who otherwise fell into 14.9
one of the agency’s refugee categories. Beyond those
classes of people and beyond the UNHCR data, many 11.8 12.1
millions of others have legally or illegally entered
other countries to find work. 8.4 8.4

Refugee and Migrant Workers’ Rights Problems

1981 1986 1991 1996 2001 2006
Human history is a story of populations either mi-
grating in their entirety or expanding to new territo- Although the number of refugees living outside their home country
ries. When those on the move or expanding have has declined since its peak in the early 1990s because of reduced
come to dominate their new homes, they have often ethnonational violence (see chapter 4), there is still a huge number
reduced the indigenous population to second-class of displaced people in the world who have been forced from their
citizenship, as discussed in the section above. Where homelands by violence, hunger, and other causes.
the newcomers have not dominated, it is they who Data source: UNHCR.
474 CHAPTER 14 Preserving and Enhancing Human Rights and Dignity

have often been relegated to second-class status or even worse through discrimina-
tion and nativist violence against them. This latter pattern is a tale of current times,
and the tide of refugees and immigrants, legal and illegal, has been met with increas-
ing resistance. When asked whether immigrants have a good or bad effect on their
country, a plurality of people in almost two-thirds of the 41 countries surveyed
replied bad. Moreover, almost three-fourth of all respondents favored stricter con-
trols on immigration, with at least 61% of people in each geographic region taking
that position.26
To a degree, the feelings against immigrants, refugees, and others entering a
country may result from racial, ethnic, religious, and other biases. But there are
other causes. As discussed in chapter 5, people in most countries see their national
cultures being diluted by the cross-acculturation associated with globalization.
Coping with refugees and economically driven illegal immigrants is costly, whether
you are trying to keep people out or trying to assist those who have been admitted
or who have slipped in. Such costs can be a severe strain for LDCs that suffer a large
influx of refugees, and the funds available through the UN and other IGOs and pri-
vate NGOs are almost never adequate to fully house, feed, and otherwise care for the
refugees.
Whatever attitudes may be about refugees and immigrants, it is certain that the
tide will persist as long as people in some countries are subject to endemic violence
and poverty. Immigration reform has become a major issue in the United States, for
example, and a major component of the suggested response to the millions of illegal
aliens coming into the country from Mexico and elsewhere in Latin America is to in-
crease the number of border guards, build a long fence, and otherwise create physical
barriers. These can lower the stream, but in the long run it might be better to address
the cause by helping the South develop quickly and achieve political stability so that
it can provide its people reasonable sustenance and safety. It is conceivable that if
Mexico’s standard of living were to increase substantially, for example, many of its
citizens would no longer undergo the dislocation and risk the physical danger entailed
in leaving home and slipping into the United States. “We have a good argument now,
a very concrete one,” for helping the LDCs, the prime minister of Denmark told a UN
conference, “which is, if you don’t help the Third World . . . , then you will have these
poor people in your society.”

Refugee and Migrant Workers’ Rights Progress

International efforts on behalf of refugees have provided very mixed results. There
have been a number of efforts to define the status and the rights of both inter-
national and internal refugees. An early effort was the Convention Relating to the
Status of Refugees (1951). It charged the UN with providing assistance to people
who were being persecuted in their countries or who feared persecution if they returned
to their home countries. The convention also defined the basic rights of refugees
and minimum standards for their treatment and has served, among other things,
as a foundation for subsequent efforts on behalf of refugees. It is also true, though,
that it has gained ratifications only slowly because some countries worry that they
might be required to open their borders to refugees or extend rights to those who
managed to arrive unbidden. As of mid-2007, only 144 countries had ratified the
convention, with the United States and India prominent among the countries that
had not.
Aid to refugees, while scant compared to their actual need, presents a somewhat
brighter picture. The effort on behalf of displaced persons in the early 1950s led to
the creation of the UNHCR in 1951 with wide responsibility for refugee rights and
 Prescriptive Human Rights 475

needs. Among other things, it oversees the feeding

and sheltering of refugees and works toward restor-
ing them to their homes. The agency has a staff of
about 6,700, who are located in 116 countries, and a
budget of $1.5 billion (2005), or about $77 for each
of the 19.5 million people it was trying to help that
year. Most of the UNHCR’s funding comes from vol-
untary contributions by countries, with the United
States accounting for about one-third. A related IGO,
also formed in 1951, is the International Organization
for Migration (IOM). It has 120 member-countries
and an annual budget over $700 million, and it is
concerned with the movement of refugees either to
new homes or back to their former homes, as appro-
priate. Additionally, there are a number of NGOs,
such as the International Red Cross (and its Muslim
counterpart, the International Red Crescent), Oxfam,
and others, that are involved in providing food, clothes,
shelter, and other necessities.
Although migrant workers are not refugees as
such, their transnational status makes them an inter-
national issue. However, most countries have not
been willing to recognize any international role in
protecting the rights of migrant workers and their
families. Indicative of that attitude is the history of
the Convention on the Protection of the Rights of All
Migrant Workers and Members of Their Families. It
extends the rights noted in several other UN human
rights to all migrants, both legal and illegal, and Whether it is Latin Americans in the United States, North Africans in
obligates states to protect their rights equally with France, Turks in Germany, or other people in another country, the
presence and the rights of documented and undocumented
citizens. The UN submitted the treaty to states for
immigrants from poor countries is an increasing point of contention
ratification in 1990, but few have responded posi- globally. This man represents the side of the debate that such
tively. As of 2007, only 36 countries were party to immigrants should be given greater support. He is a participant in a
the treaties, and none of these included the United 2007 march in London and is displaying a sticker with the logo of the
States or any other EDC. British NGO, Strangers into Citizens.

PRESCRIPTIVE HUMAN RIGHTS

Compared to the proscriptive rights that we have been discussing, prescriptive

human rights are much less often recognized or enumerated by countries or in inter-
national law. Yet they exist. South Africa’s post-apartheid constitution (1996), for
one, obligates the government to ensure that everyone has access to adequate food.
The U.S. Constitution mostly includes proscriptive rights, but it does prescriptively
specify in Article IV, “The United States shall guarantee to every state in the union a
republican form of government, and shall protect each of them against invasion
and . . . domestic violence.” In other words, the U.S. federal government is obligated
to ensure that all states maintain a democratic form of government, to repel invaders,
and to preserve domestic order. Many U.S. state constitutions are more expansive
in extending prescriptive rights. For one, Connecticut’s constitution requires the
476 CHAPTER 14 Preserving and Enhancing Human Rights and Dignity

state legislature to “implement . . . free public elementary and secondary schools in

the state.” Less clearly, there has been an effort at both the U.S. federal and state
levels to establish the notion that providing many basic services (such as housing,
food, and health care for the needy) are obligations on the government, not merely
options. This move is evident in the vast array of federal programs, such as food
stamps and Medicare, which provide funding according to a formula (rather than
by specific legislative appropriation) and which are commonly referred to as “enti-
tlement programs.” Those who favor this phrase meant it to imply a prescriptive
obligation.
At the international level, the Universal Declaration of Human Rights mostly
contains proscriptive rights, but it does also enumerate prescriptive rights. Article 22
specifies that:
Everyone, as a member of society, has the right to social security and is entitled
to realization, through national effort and international co-operation and in accor-
dance with the organization and resources of each State, of the economic, social
and cultural rights indispensable for his dignity and the free development of his
personality.

Being more specific about some of these prescriptive rights, Article 25 states in part:
Everyone has the right to a standard of living adequate for the health and well-being
of himself and of his family, including food, clothing, housing and medical care and
necessary social services, and the right to security in the event of unemployment,
sickness, disability, widowhood, old age or other lack of livelihood in circumstances
beyond his control.

Certainly one set of pressing problems involves preserving and enhancing human
dignity by protecting and improving the physical condition of humans. These issues
are partly economic in nature and are being addressed by the international economic
cooperation efforts discussed in chapter 13. It is also the case, in the view of many, that
food, health, and the other quality of life matters that we will take up in this section
fall under the rubric of human rights. For example, the UN-sponsored World Food
Summit that met in 1996 reasserted the principle found in the Universal Declaration
by declaring that there is a “right to adequate food and the fundamental right of
everyone to be free from hunger.”27 If, indeed, there is such a right, then an obliga-
tion also exists. As one scholar explains it, “Since adequate food is a human right, the
obligations apply internationally. The rights and the corresponding obligations do
not end at national borders. Under human rights law, the international community is
obligated to create conditions that will end hunger in the world” (Kent, 2002). A
right to adequate nutrition, to a reasonable standard of health, and to a basic education
are not the only ones that some people lay claim to as prescriptive rights, but they
will serve to illustrate the need and the response.
A final important point about prescriptive rights is that those who are without
adequate health care, education, and the other necessities that support survival
and a decent level of dignity are not spread evenly across the globe. This is evident
in the accompanying map showing the pattern of the Human Development Index.
This is a measure established by the UNDP that includes various measures of
health, education, and per capita income. As you can see, the countries the UNDP
rates as having “high human development” (levels 8 and 9) are mostly in Europe
and North America. The low human development countries (levels 4 and below)
are in Africa and southern Asia, with the remaining medium human development
countries (levels 5 through 7) concentrated in South America, northern Asia, and
the Middle East.
 Prescriptive Human Rights 477

Index of Human Development

Levels of Human
Development
9 and above 4–4.99
8–8.99 3–3.99
7–7.99 2–2.99
6–6.99 1–1.99
5–5.99 No data

0 1000 2000 Miles

0 1000 20003000 Kilometers

The level of human rights and dignity around the world is measured in part by the Index of Human
Development. The index, which was developed by the United Nations Development Programme,
includes such gauges as health, literacy, income, and education. As you can see, the level of
development that people enjoy or endure, as the case may be, varies greatly.

Adequate Nutrition
Long ago, Thomas Malthus predicted in his Essay on the Principle of Population (1798)
that the population of the world would eventually outpace its agricultural capacity.
To date, human ingenuity has defied his predictions. The question is whether it can
continue to do so, given the increasing global population.
There are two basic food problems. One is the short-term food supply. The UN’s
Food and Agriculture Organization (FAO) estimates that 891 million people, about
14% of the world population, are undernourished. Sub-Saharan Africa, where 33% of
the people are undernourished, is the most severely affected region. In addition to the
death of 15 million people annually from starvation or diseases stemming from mal-
nutrition, food shortages rob individuals and their societies of part of their future.
Poor nutrition among pregnant women leads to 20 million “low birthweight” (less than
5.5 pounds) babies being born each year in the LDCs. In some countries, including
India, more than 30 percent of all children are born underweight. Infant mortality for
such infants is four times the normal rate. Moreover the malnourishment that they
have already suffered and continue to experience, not just in calories but also in pro-
tein, vitamins, minerals, and other nutritional necessities, stunts their growth both
physically and cognitively in ways that often limit them for the rest of their lives and
deprive their societies of talents and vigor they might have developed.
The long-term adequacy of the food supply is also a significant issue. There have
been important strides in the LDCs over the past few decades toward agricultural
self-sufficiency. The food supply and crop yields (amount produced per acre) have
grown over 50% since 1970 due to the “green revolution” (the development and
478 CHAPTER 14 Preserving and Enhancing Human Rights and Dignity

widespread introduction of high-yielding rice, wheat, and other grains), the increased
use of fertilizers and pesticides, better irrigation, more mechanization, and other
agricultural advances. For all LDCs, food production grew by 35% between 1994 and
2004, far outpacing their population growth (16%). But among the poorest countries
(the LLDCs, the low-income countries) where the problem has been most acute, the
food production index during the decade increased only at the same rate as the pop-
ulation, 30% each. One result is that undernourishment in middle-income LDCs
stood at 10% in 2004 and at 25% in the low-income LDCs.

Causes of the Food Problem

Web Link Population growth is one cause. The annual growth rate of the world population
The World Food Programme has has slowed measurably during the past two decades. However, the LLDCs still have
an interactive world hunger map a growth rate that is about 50% higher than the rest of the world. Growth rates are
at www.wfp.org/country_brief/ expected to continue to decline among all categories of countries, but the relative gap
hunger_map/map/hungermap between the LLDCs and other countries is not expected to narrow. As a result, agri-
_popup/map_popup.html.
culture will be hard pressed to keep up in some parts of the world. Additionally,
slower population growth does not mean no growth; it is estimated that the world
population may reach 9 billion by about 2050. The ability to increase yields per unit
of farmland is not infinite, which means that new acreage will have to be devoted to
agriculture. This clearing of land is causing deforestation, aggravating a range of
problems such as greenhouse warming, wildlife habitat destruction, and water pol-
lution from pesticide and fertilizer runoff. Accelerating the problem is the fact that a
great deal of current agricultural land is being lost to urbanization, degradation due
to ill-use, and other causes. The FAO calculates that 38% of the world’s original crop-
land (some 2.1 million square miles, almost two-thirds the area of the United States)
has been lost to agriculture, and that a combination of increasing population and loss
of arable land has cut the world’s cultivated land to six-tenths of an acre per mouth
to feed.
It is also important to note that some countries are already not keeping up.
Whether the problem is inability to afford modern methods and technology, lack of
adequate water and arable land, or political strife, many countries are in serious trou-
ble. There are 34 LDCs whose per capita food production declined between 1996 and
2005. More than half of these were in sub-Saharan Africa. As a region, its annual per
capita food production declined 0.2% annually between 1996 and 2005 after declin-
ing 0.4% annually the decade prior to that.
Maldistribution of food is a second problem. In 2000 the world produced enough
food to allow for 2,790 calories per person in the world. Thus, for now at least, the
world has the agricultural capacity to feed everyone adequately. Resources and con-
sumption, however, are concentrated in relatively few countries. In the EDCs, daily
food consumption averages a waist-expanding 3,490 calories a day. In significant seg-
ments of the South calorie intakes were at belt-tightening low levels. The sub-Saharan
countries of Africa, for example, averaged only 2,260 calories per capita daily. Some
countries in that region are in especially desperate shape. The people of Burundi
average only 1,640 calories a day, 67% of them are undernourished, one of every six
babies has a low birthweight, and 57% of the children are stunted.
Nutritional content represents a third, and even greater dietary problem. Protein
deficiency is particularly common in the LLDCs. Most people in Africa, for instance,
consume less than 60 grams of protein per day per capita and in some countries
they average as little as 30 grams. The recommended daily intake is about 55 grams
for sedentary individuals, which means that in the LLDCs, where manual labor
is the norm, protein deficiency is also the norm. The lack of protein is especially
 Prescriptive Human Rights 479

detrimental to children because of the role it plays in developing both healthy

bodies and brain tissue, and there are over 300 million children who suffer from
stunted growth, poor cognitive development, and other ills due to protein malnu-
trition. Vitamin A deficiency, also common in LLDCs, is the cause of visual impair-
ment in over 100 million children a year. Adding to the nutritional woes of the
South, over 800 million people suffer from iodine deficiency, which inhibits motor
skill development and also, according to the FAO, causes losses of 10 to 15 points
on IQ tests.
Political strife is a fourth problem. In many countries with severe food shortages,
farms have been destroyed, farmers displaced, and food transportation disrupted by
internal warfare. Sierra Leone, one of the recent tragic examples, now produces 23%
less food per capita than the already meager supply it managed to provide in 1991
before it was overtaken by strife.

The International Response to the Food Problem

A number of international efforts are under way. Some deal with food aid to meet
immediate needs, while others are dedicated to increasing future agricultural
productivity.

Emergency Food Aid Supplying food aid to areas with food shortages is a short-term
necessity to alleviate malnutrition and even starvation. Cereal grains, mostly rice and
wheat, constitute about 85% of food aid. Some of the aid is given bilaterally, but most
of the assistance goes through a number of multilateral food aid efforts. The UN’s
World Food Programme (WFP) is the largest. It distributes food in crisis situations,
delivering over 4 million tons of food in 2006 to feed 97 million people in 82 coun-
tries. About 90% of WFP aid goes to countries that have experienced food emergen-
cies because of natural causes or political strife; the other 20% goes to development
projects. In 2006, the WFP received $2.7 billion in grains and other foodstuffs. Of this,
41% came from the United States. While these contributions are laudable, they do not
meet all the emergency food needs identified by the WFP and amounted in 2006 to

The efforts of the World Food

Program (WFP) have saved
millions from starvation. Here
a WFP truck convoy brings
food to refugee camps in Chad
that house about 200,000
Sudanese who have fled the
killing in the Darfur region.
480 CHAPTER 14 Preserving and Enhancing Human Rights and Dignity

only about $28 per WFP individual recipient. There are also a variety of NGOs, such
as Food for the Hungry International, that are active in food aid.

Specific Nutritional Needs Numerous programs also exist to address the lack of
adequate dietary vitamins and minerals and other nutritional problems. Iodine defi-
ciency provides an example. The 1990 World Summit for Children set the goal of
eliminating iodine deficiencies by 2000. That did not occur, but substantial progress
has been made. With WHO and UNICEF in the lead among IGOs and such NGOs as
Kiwanis International also playing a leading role, the proportion of LDC households
using iodized salt has risen from less than 20% in 1990 to over 70% today. As a result,
50 million more children who are born each year are now protected against learning
impairment and other problems related to iodine deficiency than would have been
the case without the international programs.

Agricultural Development The development of agricultural techniques and capa-

bilities is crucial to remediate conditions in countries that already cannot adequately
feed their people and to meet the needs of the 9 billion people that will constitute
the world’s population less than five decades from now. On a bilateral basis, many
countries’ programs include agricultural development aid. There is also a multi-
lateral effort. The oldest agricultural IGO is the FAO. Founded in 1945, it has 189
members and an annual budget of approximately $770 million. The FAO sponsors
agricultural research and provides technical assistance to LDCs through field offices
in 74 countries. In the past, the agency had been criticized for a variety of its poli-
cies, including putting too much emphasis on short-term food aid and not enough
effort into long-range agricultural growth. This, in addition to the growing recogni-
tion of the food problem, has led to the establishment of several other global food
efforts.
One of these is the International Fund for Agricultural Development (IFAD), a
specialized UN agency. IFAD began operations in 1977 and is specifically dedicated
to environmentally sustainable agricultural development projects in rural areas of
the LLDCs. The agency raises its funds through the voluntary contributions of its 165
member-countries, and disburses about $400 million annually in loans and grants to
support projects in agriculturally struggling countries. These efforts are supplemented
by several UN-associated organizations involved in various donor, investment, and
research efforts in agriculture. Finally, there are a variety of regional and specialized
organizations that address agricultural issues.

World Food Conferences A key event in both the effort to increase both short- and
long-term food was the 1974 World Food Conference held in Rome. Among its other
actions, the conference sponsored the creation of IFAD and various structures asso-
ciated with the UN Economic and Social Council to monitor the global food supply
and its delivery to needy countries and people.
A second global conference, the 1996 World Food Summit, met in Rome and
was attended by representatives of 180 countries. It established the goal of reducing
the number of undernourished people from 800 million to 400 million by 2015, but
tensions between the EDCs and LDCs limited its accomplishments. The EDCs were
dismayed when the LDCs pushed to reaffirm the UN’s traditional standard that the
EDCs should devote 0.7% of their respective GDPs to development aid, including food
and agricultural assistance. Additionally, in a move that rankled Washington and some
other capitals, the conference resolved that “food should not be used as an instrument
for political and economic pressure.”28 This swipe at economic sanctions came just
 Prescriptive Human Rights 481

days after the UN General Assembly voted overwhelmingly to urge the United States to
end its embargo against Cuba. The delegates also declared their belief in “the right of
everyone to have access to safe and nutritious food [and] . . . the fundamental right of
everyone to be free from hunger.” The recognition of a prescriptive right to adequate
nutrition had little immediate meaning, but such rhetorical flourishes are often one of
the building blocks that change attitudes and eventually lead to action.
The continuing problems with supplying adequate calories and nutrition to a
large number of LDCs occasioned a review of the efforts since the 1996 conference.
The World Food Summit—Five Years Later conference, organized by the FAO, was
held in Rome during June 2002. The fifth year review was necessary, in the estimation
of Jacques Diouf, the FAO’s director-general, because little progress was being made
toward achieving the goal to cut the number of malnourished people in half, set by the
1996 conference. “There is very little evidence,” according to Diouf, “of the large-scale
purposive action needed to get to grips with the underlying causes of hunger.”29

Adequate Health Standards

Those who believe that humans have prescriptive rights would put living in reason-
ably healthy conditions and having access to adequate health care on the list of those
rights. Reality is far from this ideal.

Health Needs
The state of medical care, sanitation, and other conditions related to health in some
areas of the world is below a level imaginable by most readers of this book. While
health care is well below EDC standards in most LDCs, it is in the LLDCs that the
greatest need exists. As one measure, the EDCs annually spend $115 per capita on
health care for every $1 spent by the LLDCs (Ghobara, Huth, & Russett, 2004). By
another measure, there are 10 times as many physicians per person and 5 times as
many hospital beds per capita in the EDCs as there are in the LLDCs. The health
of people within these countries is an international concern for reasons beyond
altruism. A healthy population is vital to economic growth because healthy people
are economically productive and because unhealthy people often consume more of a
society’s resources than they produce.
The fate of children is one way to think about health care. In LLDCs, children under
age five die at a rate that is 16 times higher than for children in the North. Compared
to children in EDCs, those in LLDCs are more frequently exposed to disease because
of poor sanitation and other factors, they are more vulnerable to disease because of
malnutrition, and they more often succumb to disease because basic medical care is
not available. Overall, an estimated 70% of the children under age five in LDCs who
die each year perish from infectious and parasitic diseases that are easily preventable
and claim only 1% of the children in EDCs. “No famine, no flood, no earthquake, no
war has ever claimed the lives of this many children a year,” the director of UNICEF
once lamented.30
Adults also suffer from poor health conditions and lack of adequate health care.
Did You Know That:
Nearly all births in EDCs are attended by skilled health professionals; only 40% of
LLDCs are home to 37% of
the births in LLDCs are. That is one reason for the maternal mortality rate in the
the world population, yet
LLDCs being 49 times the rate in the EDCs. Also, diseases once thought to be on the they have 89% of children
decline can reassert themselves catastrophically. Tuberculosis is one such disease. It age 0–4 who die of diarrheal
has resurged in recent decades. Now each year over 9 million new cases occur and diseases.
about 1.7 million people die of the disease. TB is found everywhere, but the rate in
LLDCs is 13 times the rate in EDCs. Plague is another old disease that refuses to die.
482 CHAPTER 14 Preserving and Enhancing Human Rights and Dignity

FIGURE 14.9 Causes of Death

Communicable
Communicable Communicable
Injuries diseases Injuries Injuries
diseases diseases
5% 7% 10% 9%
15% 48%

Noncommunicable Noncommunicable
diseases diseases
88% 75%

Noncommunicable
diseases
43%

High-income countries Middle-income countries Low-income countries

People in poor countries die from readily preventable and curable diseases much more frequently
than do people in high-income and even middle-income countries. Communicable diseases such as
tuberculosis, malaria, and measles are responsible for 48% of the deaths in low-income countries, but
only 15% of the deaths in middle-income countries and 7% of the deaths in high-income countries. By
contrast, people in these two wealthier groups are much more likely to succumb to cancer and other
noncommunicable diseases. Injuries from accidents and violence claim the rest of the lives. Compared
to the noncommunicable diseases, many of the communicable ones are more likely to be contracted
earlier in life, and they are easier to prevent and to cure.
Data source: World Health Organization.

The plague, or “Black Death,” that killed one-third of Europe’s population in the
mid-1300s, still afflicts over 2,000 people a year, 99% of them in Africa. If strains re-
sistant to antibiotics develop, as has happened with TB, plague could once again
travel widely, as the Black Death did from Asia to Europe in 1347.
Figure 14.9 captures some of the impact of health conditions by comparing the
percentage of people who die of communicable diseases in the LLDCs, the low-income
countries, with people in middle-income LDCs and high-income EDCs. These are
diseases caused by “germs” such as viruses, bacteria, fungi, or protozoa. As you can
see, people in low-income countries are almost seven times as likely to perish from a
communicable disease. Since these tend to occur more often earlier in life than non-
communicable diseases, such as cancer and cardiovascular afflictions, the high rate
of communicable disease in the LLDCs means that tens of millions of people die each
year much earlier than they would have if they live in an EDC. In some regions of the
world the numbers are even more dramatic than those in the figure. Fully 70% of
Africans die of communicable diseases.
New problems add to these old worries. The worldwide AIDS epidemic, for
one, is a global killer. At the beginning of 2007, one of every 162 humans, almost
40 million people, worldwide were HIV-positive. That was a net annual increase of
1.4 million cases, a grim statistic derived from subtracting the 2.9 million people
who died from AIDS-related causes from the 4.3 million new HIV-positive people.
Sub-Saharan Africa has been especially devastated. The region has 63% of the world’s
HIV-positive people, and 6% of the region’s adults are HIV-positive. The incidence in
 Prescriptive Human Rights 483

some countries is horrific, ranging up to 33% of all adults in Swaziland. AIDS is a key Web Link
factor in the economic struggles of sub-Saharan Africa. It attacks the workforce, over- The beta version of the World
whelms the meager budgets of countries, creates millions of orphans, and diverts out- Health Organization’s World
side funding that could be used for development. During 2005 in Zambia, for example, Health Chart, which contains
40% of the teachers who left that country’s already-too-small corps of educators did so graphical information on a range
of health issues, is available at
because they had AIDS and could no longer work. Overall, as the World Bank puts it,
www.whc.ki.se/index.php.
“The epidemic continues to reverse life expectancy gains, erode productivity, decimate
the workforce, consume savings, and dilute poverty reduction efforts.”31
Yet other horrific emerging diseases lurk in the shadows and threaten to spread,
as AIDS has, to a world with few or no natural or manufactured immunological de-
fenses. SARS (severe acute respiratory syndrome) and West Nile virus (see chapter 1)
have broken out in recent years, but neither is as scary as the threat of avian influenza
(avian flu, bird flu). An outbreak in Southeast Asia that began in 2003 was traced to
a strain of avian flu that, unusually, had spread from domestic fowl to humans. Only
200 cases were confirmed through early 2007, and those have been confined to just
six countries: Cambodia, China, Indonesia, Thailand, Turkey, and Vietnam. How-
ever, half of all those stricken have died, and migrating birds with the H5N1 virus
have been found throughout Asia and as far away as Western Europe and Africa.
WHO officials warn that if the disease spreads globally it might kill 50 million peo-
ple within a year or two. Such numbers are not scare tactics: The great influenza
pandemic of 1918–1919 caused an estimated 40 to 50 million deaths worldwide.
In the United States, 28% of the population came down with the “Spanish flu,” and
675,000 died from it. Possibly a strain of avian influenza, the disease spawned its
own morbid child’s verse used to skip rope:
I had a little bird,
Its name was Enza.
I opened the window,
And in-flu-enza.

So far, preventive measures that include the slaughter of more than 140
million chickens and other domestic fowl in Southeast Asia have kept bird
flu in check. There is also a scramble to create vaccines, both for domestic Did You Know That:
fowl and for humans. But viruses mutate and with so few cases so far, clin- The impact of the Black Death on Europe is
ical trials for vaccines fall far short of ideal. That means, according to one evident in a children’s rhyme that reputedly
scientist in the field, “We can’t get the answer to [how effective any given originated in 14th-century England among
vaccine will be] until the pandemic comes. There’s just no way.”32 wagon drivers collecting plague victims for
burial:
At least to a minor degree, combating a potential avian flu outbreak
Ring-around the rosy,
has been hampered by North-South tension. Some LDCs took heed of the A pocket full of posies,
observation of World Health Organization (WHO) Director General Ashes, ashes!
Margaret Chan that “Faced with a universal threat, each country will We all fall down!
look after itself, at least in the immediate pandemic period. This is a nat- “Ring-around the rosy” refers to a plague
ural behavior of governments.” The LDCs worry that the EDCs, which symptom, a ring-shaped skin lesion caused
contain most of the major pharmaceutical companies, will horde their by internal bleeding that initially was rosy
red, but then turned black, hence the
vaccines or try to charge exorbitant prices for them. This led Indonesia, name Black Death. Europeans often
which has seen the most cases of avian flu, to withhold samples taken carried a “pocket full of posies,” hoping
from victims that researchers need to monitor any changes in the virus the flowers’ scent would mask the stench
and develop effective vaccines, while demanding the creation of an inter- of rotting bodies. “Ashes, ashes” is an
national stockpile of vaccine available to all. This move sparked outrage in interpretation of “atishoos,” the violent
sneezing sound plague victims made. As
some quarters, but an Indonesian editorial replied, “Self-defense is no for “We all fall down,” the unspoken final
crime. Withholding H5N1 samples is the only way Indonesia can protect word is “dead.”
its people.” Whatever the right or wrong of the policy, it was effective, and
484 CHAPTER 14 Preserving and Enhancing Human Rights and Dignity

the WHO has taken steps toward establishing a global stockpile. “This is a perfect ex-
ample of a small developing country standing up against a world body and developed
countries,” an editorial in an Indian newspaper noted approvingly.33
What makes these diseases even more of a world problem than they once were is
www the flow of humans and their products around the globe, which means that diseases can
be spread very quickly from continent to continent. A person who contracts an exotic
disease in one place can board an airplane and, 12 hours later, be stifling a sneeze while
SIMULATION
Threats to World Health sitting next to you in a restaurant. Such diseases are more than just a threat to individ-
ual health; they are also a national security risk. For example, a U.S. Central Intelli-
gence Agency report concludes that, “New and reemerging infectious diseases . . . pose
a rising global health threat and . . . complicate U.S. and global security over the next
20 years” because they “endanger U.S. citizens at home and abroad, threaten U.S.
armed forces deployed overseas, and exacerbate social and political instability in key
countries and regions in which the United States has significant interests.”34

International Response to Health Issues

Although avian influenza lurks alarmingly on the horizon, the greatest current threat
to global health is HIV/AIDS. Reflecting that, the most intense single international
health initiative is coordinated by the Joint United Nations Programme on HIV/AIDS
(UNAIDS), an alliance of ten UN agencies and other IGOs such as the World Bank.
Founded in 1995 and with a budget of about $320 million, UNAIDS gathers infor-
mation, works with national governments, and coordinates the international effort to
slow and someday halt new HIV infections, to care for those already infected, and to
ease the impact of the epidemic on the countries and families of the afflicted. The or-
ganization also works with other IGOs and NGOs, private donors, and governments,
which combined spend another $1.8 billion annually on the campaign against
HIV/AIDS. When national treatment efforts and other related spending is added in,
global spending on the disease came to about $8.5 billion in 2006. While the num-
ber of people infected each year is still climbing, the various international efforts
have reached many millions of people with AIDS prevention information and assis-
tance and have provided some who are already infected with medical help. For ex-
ample, the number of people in sub-Saharan Africa receiving antiretroviral treatment
increased tenfold to 1 million by 2007, a hopeful advance even if it represents only
25% of the need in that region.
Combating AIDS is proving frustrating, but much better progress is being made
on other health fronts. Overall, health conditions and health care in the LLDCs has
improved. A few decades ago only 5% of the children in LLDCs received any vacci-
nations; now 67% receive protection against diphtheria, whooping cough, tetanus,
and polio. For this and other reasons, child mortality in the LLDCs is down from one
in four children in 1960 to one in eight children now. Adults are also healthier in the
LLDCs. As discussed in chapter 13, their health prospects remain far below those in
EDCs, but also like the children in the LLDCs, the adults are in better health and live
longer than in previous decades.
Much of the credit for these advances goes to the World Health Organization
(WHO), headquartered in Geneva, Switzerland. The UN-affiliated WHO was created
in 1946. It has 193 members and an annual budget of about $2 billion from member-
countries and from other sources. The crusade against smallpox provides a heartening
example of WHO’s contributions. Smallpox was a scourge throughout human history.
There were over 131,000 cases worldwide in 1967 when WHO began a 10-year cam-
paign to eradicate the disease. It succeeded. The last case of smallpox, perhaps for-
ever, occurred in Somalia in 1977.
 Prescriptive Human Rights 485

Taking on another disease, WHO began a cam- FIGURE 14.10 Annual Polio Cases
paign against polio in 1988, and in 2004 organized an
all-out effort to finally eradicate polio. During 2005 350,000 Number of new polio cases
alone, 400 million children in 49 countries were im-
munized. As Figure 14.10 shows, the annual global
incidence has been cut by 99% since the campaign
began in 1988. From about 350,000 cases globally
that year, the incidence of polio dropped to 315 cases
in 2006, of which 285 were in just four countries:
Nigeria, India, Afghanistan and Pakistan. Perhaps
when the next edition of this text is written, polio will
have joined smallpox in the garbage can of history.

Basic Education
Education, like health, affects more than just the 100,000
quality of life. Education is also a key to increased
national and international productivity, population
control, and other positive social goals.

Educational Needs
7,000 1,255 325
As with most other socioeconomic indicators, there
is a vast gulf in the educational experience of chil- 1988 1993 1999 2004 2006
dren and young adults in the North and in the South.
The LLDCs, the lowest-income countries, manage to Global cooperation to provide better health wiped out smallpox and is
annually spend only about $50 per student. The on the verge of doing the same for polio. There were about 350,000
new cases of polio in 1988, the year that the World Health Organization
EDCs spend 110 times as much per student. Even resolved to eliminate the disease. With tens of millions of children
factoring in purchasing power parity (see chapter 12) being immunized each year, polio has become a rare disease. Overall,
to account for the lower cost of living in LLDCs, the the number of countries where it occurred dropped from 125 in 1988
gap narrows to 23:1. The overall teacher-pupil ratio to 17 in 2006, with only 325 new cases.
in EDC primary schools is 1:14; it is 1:43 in the Note: Cases for 1988, 1993, and 1999 are approximate.
LLDCs. About two-thirds of all students in EDCs go Data source: Global Polio Education Initiative and UNICEF.
on to college or technical postsecondary training; only
about 10% of students in the LLDCs do so. In our technological age, the lack of advanced
training is a major impediment to development. In the North there are nearly 80 times
as many scientists and technicians per capita as there are in the LLDCs.

The International Response to Education Issues

Promotion of education remains primarily a national function, but there are a
number of international efforts. For one, the United Nations Educational, Scien-
tific, and Cultural Organization (UNESCO) sponsors several programs. These
national and international efforts are slowly paying off. In the 1950s less than
30% of all children in LLDCs ever attended any school; now almost all children
begin the first grade and more than two-thirds complete primary school. This
means that while the adult literacy rate in the LLDCs is still only 61%, the liter-
acy rate for those ages 15 to 24 is now 73%. Data on secondary education is in-
complete, but the indications are that there is progress at these levels also. Fairly
typical of sub-Saharan Africa, only 8% of Malawi’s high-school-age children were
attending secondary school in 1990, now 33% are. Progress is also being made to
narrow and eventually eliminate the gender gap in education. Among adults
in LLDCs age 25 or older, men are 23% more likely to be literate than women.
486 CHAPTER 14 Preserving and Enhancing Human Rights and Dignity

DEBATE THE POLICY SCRIPT

Support a Global Bill of Rights?
It is easy to favor rights when ours are being violated. It is much obligate governments to assist people to achieve something,
harder to agree on what rights everyone, everywhere should not to just protect people from being denied something.
have and which, therefore, we and our governments are oblig- Clauses 23, 24, and 25 fall into that category; others may if you
ated to respect and protect. There is also considerable contro- believe that they carry with them a positive obligation for soci-
versy over whether rights are universal or culturally based and, eties and their governments to fulfill them.
even more, over whether prescriptive rights should be accorded
the same support as the more familiar proscriptive rights. What Do You Think?
The rights in the following list are paraphrased from most of In your class or with your friends, constitute yourselves as the
those contained in the Universal Declaration of Human Rights World Constitutional Convention, debate the various clauses
(1948). That document arguably rejects culturally defined rights of the UNDHR, and decide whether to ratify or reject each one
and favors universal rights in its preamble, which asserts the of them. You might also decide to open them up for amend-
existence of “inalienable rights of all members of the human ment. For example, would you add “sexual orientation” to
family.” Many of them are very close to the proscriptive rights clause 11? You could even add a new clause, such as one that
that most Americans and others are familiar with. For example, said, “The pronouns everyone and no one in this enumeration
the language in the Universal Declaration and in clause 3 of rights include men and women without distinction.” Also,
below is very much like the prohibition in the Eighth Amend- note clause 27 and ponder whether it provides too much of an
ment to the U.S. Constitution barring “cruel and unusual pun- escape clause that potentially allows governments to violate
ishments.” Other rights listed here are prescriptive. These rights. How say you to the propositions that:

1. Everyone has the right to life, liberty, and security of person. Ratify ______ Reject ______
2. No one shall be held in slavery or servitude. Ratify ______ Reject ______
3. No one shall be subjected to torture or to cruel, inhuman, or degrading Ratify ______ Reject ______
treatment or punishment.
4. Everyone is equal before the law and entitled to equal protection of the law. Ratify ______ Reject ______
5. No one shall be subjected to arbitrary arrest, detention, or exile. Ratify ______ Reject ______

6. Everyone charged with a crime shall be presumed innocent until proved Ratify ______ Reject ______
guilty according to law in a public trial and shall be guaranteed the necessities
for an adequate defense.
7. Everyone has the right to freedom of movement and residence in their country. Ratify ______ Reject ______

8. Everyone has the right to leave their country or any other and to return to their Ratify ______ Reject ______
country whenever they wish.
9. Everyone has the right to seek asylum in other countries to escape persecution. Ratify ______ Reject ______

10. No one shall be arbitrarily deprived of their citizenship or the right to change it. Ratify ______ Reject ______

11. Adults have the right to marry and have a family, without restrictions based on Ratify ______ Reject ______
ethnicity, race, or religion. Both adults are entitled to equal rights both during
marriage and at its dissolution.

That gap is only 14% among young people age 15 to 24, and indicating a further
narrowing in the future, the male-female gap primary school completion rate is
only 8%.
At the end of this section on prescriptive rights and the lengthier discussion
of proscriptive rights, it is worthwhile to ask yourself how you feel about them. If a
 Prescriptive Human Rights 487

12. Everyone has the right to own property alone. No one shall be deprived of Ratify ______ Reject ______
his property.

13. Everyone has the right to freedom of thought, conscience, and religion and to Ratify ______ Reject ______
express their beliefs in public and in private through teaching, practice,
worship, and observance.

14. Everyone has the right to freedom of opinion and expression to seek, Ratify ______ Reject ______
receive, and impart information and ideas through any media and
regardless of frontiers.

15. Everyone has the right to freedom of peaceful assembly and association. Ratify ______ Reject ______

16. No one may be compelled to belong to an association. Ratify ______ Reject ______

17. Everyone has the right to take part in their country’s government, either Ratify ______ Reject ______
directly or through freely chosen representatives.

18. Everyone has the right to equal access to public services in his country. Ratify ______ Reject ______

19. The will of the people shall be the basis of the authority of government; this Ratify ______ Reject ______
will shall be expressed in periodic and genuine elections which shall be by
universal and equal suffrage and shall be held by secret vote or by equivalent
free voting procedures.

20. Everyone has the right to work, to choose their work, to reasonable work Ratify ______ Reject ______
conditions, and to protection against unemployment.

21. Everyone has the right to equal pay for equal work. Ratify ______ Reject ______

22. Everyone has the right to form and to join trade unions. Ratify ______ Reject ______

23. Everyone has the right to an adequate standard of living, including food, Ratify ______ Reject ______
clothing, housing, medical care, and other necessary social services
regardless of age, health, or any other circumstance beyond their control.

24. Mothers and children are entitled to special assistance and to equal help, Ratify ______ Reject ______
regardless of marital or any other circumstance.

25. Everyone has the right to education. It shall be compulsory and free, at least Ratify ______ Reject ______
at the elementary level. Enrollment in more advanced levels shall be based
on merit.

26. Parents have a right to choose the kind of education given to their children. Ratify ______ Reject ______

27. Everyone must uphold these rights, except as determined by law to be Ratify ______ Reject ______
necessary to meet the just requirements of morality, public order, and the
general welfare in a democratic society.

right is a justifiable claim, are these claims justified by whatever standard you be-
lieve should apply? Also, to the extent that you believe various rights exist, do the
restraints of proscriptive rights and the obligations of prescriptive rights apply only
in your own country or are they universal? To begin to answer these questions, con-
sider the rights contained in the decision box, “Support a Global Bill of Rights?”
488 CHAPTER 14 Preserving and Enhancing Human Rights and Dignity

Educational opportunities in
much of the South are still far
below those of the North, but
important progress has been
made in recent decades.
These advances are
symbolized here by this
geography lesson using an
inflatable globe in a school in
Rwanda.

Think about and debate them, as the box suggests. While doing that, particu-
larly note which rights you believe are or should be prescriptive rights. If you be-
lieve that an obligation exists, does it end at national borders, or does it extend to
humankind?

CHAPTER SUMMARY

THE NATURE OF HUMAN RIGHTS PROSCRIPTIVE HUMAN RIGHTS

1. Rights may be designated as proscriptive rights, 5. The discussion of proscriptive human rights, the
those that others cannot violate, and prescriptive abuses of them, and the efforts to ease them fo-
rights, those that others are obligated to ensure cuses on women, children, ethnic and racial
everyone attains. groups, religious groups, indigenous peoples, and
2. The universalist and relativist schools of thought refugees and immigrants.
have different approaches to the origin of rights. 6. The area of human rights is one of the most diffi-
3. Universalists argue that human rights apply to all cult to work in because violations are usually po-
people; relativists contend that human rights are litically based. Therefore, efforts to redress them
culturally oriented, and imposing rights based on are often resented and rejected by target countries.
Western cultural traditions on non-Western peo- The greatest progress has been made in adopting a
ple is cultural imperialism. number of UN declarations, such as the Universal
4. Another clashing view is the slant of rights. In Declaration of Human Rights, and multilateral
Western countries, individualism is stressed. An treaties that define basic human rights. The en-
individual’s rights are accorded more weight than forcement of human rights is much less well de-
in non-Western societies that stress communitari- veloped, but the rising level of awareness and of
anism. The collective rights of the community disapproval of violations on a global scale are hav-
take precedence over an individual. ing a positive impact. There are also many IGOs,
 Key Terms 489

such as the UN Human Rights Commission, and 9. Many people in LDCs face disease and lack of
NGOs, such as Amnesty International, that work medical care to degrees that boggle the minds of
to improve human rights. most people in EDCs. Some of the diseases, such
as AIDS, can become a world health threat. The
PRESCRIPTIVE HUMAN RIGHTS World Health Organization, other IGOs, and many
7. The discussion of prescriptive human rights focuses NGOs are attempting to bring better health care
on what some people claim are the rights to ade- to people globally.
quate nutrition, health prevention and care, and 10. The ability of individuals to achieve a higher
education. quality of life and the ability of countries to de-
8. Population growth, the underproduction of food, velop economically depend in substantial part on
and the maldistribution of the food that is pro- education. More than 1 billion adults are still
duced are factors contributing to food shortages illiterate, many more have only the most rudimen-
and inadequate nutrition for many people in LDCs tary education, and the personal and societal pro-
and LLDCs. International organizations, such as the ductivity of these people is limited. The United
Food and Agriculture Organization, attempt to Nations Educational, Scientific, and Cultural Or-
provide short-term food relief and long-term agri- ganization is one of many international organiza-
cultural assistance to countries facing nutritional tions working to improve education in the LDCs
shortages. and LLDCs.

For simulations, debates, and other interactive activities, a chapter quiz, Web links,
and much more, visit www.mhhe.com/rourke12/ and go to chapter 14. Or, while
accessing the site, click on Course-Wide Content and view recent international
relations articles in the New York Times.

KEY TERMS

communitarianism cultural imperialism International Criminal universalists

Convention on the individualism Court (ICC) World Conference on
Elimination of All Forms International prescriptive rights Women (WCW)
of Discrimination Against Convention on the proscriptive rights World Food Summit
Women (CEDAW) Elimination of All relativists World Health
Convention on the Forms of Racial Universal Declaration Organization (WHO)
Rights of the Child Discrimination of Human Rights
C H A P T E R

15 THE ECOLOGICAL STATE OF THE WORLD

SUSTAINABLE DEVELOPMENT
The Conundrum of Sustainable Development

Preserving Option 1: Restrict/Rollback Development

Option 2: Pay for Environmentally
Sustainable Development
The Politics of Sustainable Development

and Enhancing Earth Summit I

Earth Summit II
SUSTAINABLE DEVELOPMENT: POPULATION

the Biosphere PROBLEMS AND PROGRESS

Global Recognition of the Population Problem
Approaches to Reducing the Birthrate
The Impact of International Population
Comfort’s in heaven, and we are on the earth. Control Efforts
—William Shakespeare, Richard II
SUSTAINABLE DEVELOPMENT: RESOURCE
PROBLEMS AND PROGRESS
Dear earth, I do salute thee with my hand. Petroleum, Natural Gas, and Minerals
—William Shakespeare, Richard II Forests and Land
Forest Depletion
Land Degradation
Forest and Land Protection
Wildlife
Global Pressure on Wildlife
Protecting Wildlife
Freshwater
The Seas and Fisheries
Pressures on the Seas and Fisheries
Protecting Fisheries
SUSTAINABLE DEVELOPMENT: THE ENVIRONMENT
Ground Quality
International Ground Quality Issues
International Efforts to Protect
Ground Quality
Water Quality
International Water Quality Issues
International Efforts to Protect
Water Quality
Air Quality
International Air Quality Issues
Protecting Air Quality
The Ozone Layer
Ozone Layer Depletion
Of all the concerns about the biosphere that this chapter covers, the one Protecting the Ozone Layer
many people consider the most critical is the increasing discharge of Global Warming
carbon dioxide (CO2) and other “greenhouse gases” into the atmosphere. Global Warming: What We Know
Most scientists believe that this trend is accelerating global warming. The Global Warming: What Is in Dispute
campaign to cut CO2 emissions is depicted in this photograph of a light The International Response to Global
display orchestrated by the NGO Greenpeace on a darkened building in Warming
New Delhi, India. CHAPTER SUMMARY
 The Ecological State of the World 491

with the biosphere: Earth’s ecological system (ecosystem)

T
HIS CHAPTER DEALS
that supports life—its land, water, air, and upper atmosphere—and the living
organisms, including humans, that inhabit it. One certainty and two issues related
to it are at the center of our discussion here. What is certain is that the well-being of
each of us is connected to the ecological state of the world. As one scientist warns,
“Common sense . . . tells us that if we ruin the Earth, we will suffer grievously.”1
We will begin our examination of the biosphere by asking two questions: Are there
major problems and, if so, how threatening are they? If there are significant concerns—
and there are—then the next step is to consider such topics as what is being done
to address problems, what the politics of environmental protection are, and what
more should be done. A final note before turning to our topic is that this chapter, like
chapter 14 on human rights, combines both the traditional and alternative approaches.
The reason is that, like human rights, environmental issues have only very recently
become part of the international dialogue. Thus the traditional approach was to con-
sider the environment a domestic issue with little or no relevance to world politics.
Some people continue to favor that approach, arguing that each country should set
its own standards and not compromise its sovereignty by submitting to international
regulation. By contrast, others see their country’s interests as inextricably tied to those
of the world and, therefore, favor protecting the biosphere through a cooperative
approach that includes international standards and regulations.

THE ECOLOGICAL STATE OF THE WORLD

Just as the U.S. president delivers an annual State of the Union address each year,
a regular evaluation of Earth is a worthwhile exercise. A good place to start our www
survey of the state of the world is green accounting. This measures a country’s
strength by beginning with overall and per capita gross national product (GNP) SIMULATION
and other traditional measures of national wealth and then adding two other factors. Worldwatch Issue Alerts
One is “human capital,” the productive capacity of a country’s population as deter-
mined by its education, health, and other factors (see chapter 8). “Natural capital”
including land, air, water, and natural resources is the second factor. Some of these
factors, such as the importance of petroleum and other natural resources and agri- Web Link
cultural capacity, are also included in chapter 8’s discussion of national power. Other
For an interactive green
aspects of green accounting, such as clean air and water, are less standard, but they accounting site, go to
too impact present and future power and prosperity. Therefore, as one scholar advises, http://web.nmsu.edu/~dboje/
green accounting “is a valuable thing to do even if it can only be done relatively TDgreenaccounting.html.
crudely.”2
“How are we doing?” is the question that the bottom line of any accounting sys-
tem seeks to answer. On this issue, there is agreement on the immense financial value
of the biosphere and our dependence on it. Consensus ends, however, when we turn
to the question of the current and future ecological state of the world. Here the range
of opinions can be roughly divided into two camps: the environmental pessimists
and the environmental optimists.
Environmental pessimists are those analysts who assess the state of the world
and believe that humans are causing serious, even irreversible, damage to the envi-
ronment. They further worry that the environmental damage will increasingly cause
human suffering: severe and devastating storms due to global warming, skin cancer
due to ozone layer depletion, warfare over scarce natural resources, and other problems.
Representing this camp, a WorldWatch Institute study warns that, “depending on the
492 CHAPTER 15 Preserving and Enhancing the Biosphere

degree of misery and biological impoverishment that we [humans]

are prepared to accept, we have only one or perhaps two genera-
tions [20 to 40 years] in which to reinvent ourselves.” It is impera-
tive to do so, the study continues, because, “by virtually every broad
measure, our world is in a state of pervasive ecological decline.”3
Some pessimistic analysts even foresee environmental issues or re-
source scarcities as the cause of future warfare among states desper-
ate to sustain their economies and quality of life. Oil is one obvious
example, but we shall also see that countries may increasingly clash
over water or even over such matters as “invasions” of acid rain and
similar pollutants from other countries.
Environmental optimists are those who reject this gloomy
view of the world environment and its future. Some optimists believe
that the pessimists resemble Chicken Little, the protagonist in a
children’s story who was hit on the head by a shingle that had fallen
off the barn roof. Convinced that he had been struck by a piece of the
sky, Chicken Little panicked and raced around the barnyard crying,
“The sky is falling, the sky is falling,” thereby creating unfounded
pandemonium. Optimists tend to chastise the ecology movement for
promoting “green guilt” by alarming people. “On average we over-
worry about the environmental areas,” one such critic notes. That is
not necessary, he continues, because “things are actually getting
As does the annual publication, The State of the better and better, and they’re likely to do so in the future.” He con-
World, environmental pessimists give the biosphere a
cedes that “problems exist,” but reassuringly argues they “are getting
checkup, find it seriously ailing, and advocate strong
measures to restore its health. Environmental optimists
smaller” (Lomborg, 2003:312). This school of thought is especially
come to a different diagnosis. They argue that any optimistic that most biosphere problems can be solved through tech-
problems that do exist are not severe and that they nological innovation. They believe that new technology can find
can be addressed without taking dramatic measures. and develop additional oil fields. Synthetics can replace natural re-
sources. Fertilizers, hybrid seeds, and mechanization can increase
crop yields. Desalinization and weather control can meet water demands. Energy can
be drawn from nuclear, solar, thermal, wind, and hydroelectric sources.

SUSTAINABLE DEVELOPMENT

Throughout most of history, Earth has provided humans with the necessities of life,
has absorbed their waste, and has replenished itself. Now, the mounting human pop-
ulation and technology have changed this, and environmental pessimists warn that we
are straining Earth’s carrying capacity: the largest number of humans that the planet
can sustain indefinitely at current per capita rates of consumption of natural resources
and discharges of pollution and other waste. Not only are there more than six times
as many people as there were just a little over 200 years ago, but our technological
progress has multiplied our per capita resource consumption and our per capita
waste and pollutant production. Whether or not technological wizardry will eventu-
ally provide solutions remains uncertain, but if that does not happen soon, then the
world is approaching, or may have even reached a crisis of carrying capacity—the
potential of no longer being able to sustain its population in an adequate manner or
being able to absorb its waste. To put this as an equation:
Exploding Spiraling per capita Mounting waste and Biosphere
population resource consumption pollutant discharges catastrophe
 Sustainable Development 493

If the environmental pessimists are correct in their equation, then a primary goal
should be to ensure we do not reach or, for safety’s sake, even approach full carrying
capacity. That will not be easy, however, because another fundamental goal of humans
has been and remains to increase their economic well-being and to reap the other
benefits, such as better health, that come with prosperity. The world’s economically
developed countries (EDCs) have largely achieved that goal; the world’s less devel-
oped countries (LDCs) are intent on also doing so. Industrialization and science are
key elements of development, yet they are two-edged swords in their relationship
to the environment and the quality of human life. On the positive side, industrializa-
tion has vastly expanded global wealth, especially for the EDCs. Science has created
synthetic substances that enhance our lives; medicine has dramatically increased
our chances of surviving infancy and has extended adult longevity. Yet, on the nega-
tive side, industry consumes natural resources and discharges pollutants into the
air, ground, and water. Synthetic substances enter the food chain as carcinogens,
refuse to degrade, and have other baleful effects. Similarly, decreased infant mortality
rates and increased longevity have been major factors promoting the world’s rapid
population growth.
Given that all these factors are part of modernization and unlikely to be reversed, Web Link
the dilemma is how to achieve sustainable development, the process of protecting More information on sustainable
the biosphere while simultaneously advancing human socioeconomic development. development is available on the
Can the biosphere survive if we bring the 5.4 billion people who live in the LDCs up Web site of the Canada-based
to the standard of living—with all its cars, air conditioners, throwaway plastic con- IGO, International Institute for
Sustainable Development at
tainers, and other biosphere attacking amenities—enjoyed by the 1 billion people in
www.iisd.org/.
the EDCs? If so, how?

The Conundrum of Sustainable Development

Central to what you should ponder as you read the rest of this chapter is if and how
we can meet the legitimate but resource-consuming and waste-creating moderniza-
tion goals of LDCs without severely damaging the environment. For example, think
about what consumption would be like if India with its 1.1 billion people was as eco-
nomically developed as the United States and had the same resource use and waste
patterns. There are now 6.6 million cars in India; there would be 535 million if auto-
mobiles were as commonplace there as in the United States. One impact would be
astronomically increased pressure on petroleum supplies. The additional cars and
other accoutrements of a developed economy would put India on the road to consum-
ing as much petroleum per capita as Americans. Since the United States uses 31 times
more petroleum per capita than does India, annual oil consumption in India would
skyrocket from 36 billion gallons to 1.1 trillion gallons. In addition to the drain on
the world’s oil supply, this would increase pollution enormously. For one, carbon
dioxide (CO2) emissions would rise ominously. Americans discharge 20 times more
CO2 per capita than do Indians, and India already emits 1.2 billion metric tons of
CO2 annually. That figure would rise to 24 billion metric tons, escalating the threat
to the environment. It is not necessary to continue this example to make the point
that if Indians, as they have a right to do, achieve the same level of prosperity as
Americans and also have the same resource consumption and waste pattern as pre-
vails today in the United States, that would be very bad for the ecological future of
the planet. Furthermore, if you were to bring the rest of the LDCs up to the U.S. level
of resource use and emissions discharge, then you would hyperaccelerate the deple-
tion of natural resources and the creation of pollution. Figure 2.5 on p. 61 indicates
that at existing current rates of increase, LDC emissions of CO2 will surpass those of
494 CHAPTER 15 Preserving and Enhancing the Biosphere

FIGURE 15.1 Current and Projected EDCs in about 10 years, and if LDCs discharged CO2
CO2 Emissions at the same per capita rate as the EDCs, then current
world emissions would be 133% greater than the
Annual CO2 emissions 56.8
already-too-high level, as Figure 15.1 details. Clearly,
(billions of metric tons)
this is not acceptable. Less clear is what to do. Other
Economically developed countries 44.1 than doing nothing, the options fall into two broad
Less developed countries
categories: restricting development and paying the
World
price for environmentally sustainable development.
24.4
Option 1: Restrict/Rollback Development
12.7 11.7 12.7 Preserving the environment by consuming less is one
possibility. Those who advocate stringent programs
believe that even if they seem unpalatable to many
Current Projected if LDC per capita emissions people now, eventually we will be better off if we make
equaled those of the EDCs the sacrifices necessary to restrain development and
preserve the environment.
One challenge of sustainable development is restraining pollution. If Objections to such solutions leap to mind. Are
LDCs were as economically developed as the EDCs and had per capita
we, for instance, to suppress LDC development? If
carbon dioxide (CO2) discharges equal to those of the EDCs, then LDC
discharges would be 277% greater than they are now and overall world people in India do not acquire more cars, if Chinese
discharges would be 133% greater than now. Global warming would are kept in the fields instead of in factories, and if
speed up disastrously. Africans continue to swelter in the summer’s heat
Data source: World Bank.
without air conditioners, then accelerated resource
use and pollution discharges can be partly avoided.
As we saw in chapter 12, however, the LDCs are asserting their right to industrialize
and to acquire the conveniences of life, such as cars and air conditioning, on an equal
basis with the EDCs. As such, the LDCs reject any suggestion that they restrain their
development. No one can “try to tell the people of Beijing that they can’t buy a car or
an air-conditioner” because they pollute, cautions one Chinese energy official. “It is
just as hot in Beijing as it is in Washington.”4
Another possible answer is for the people of the North to use dramatically fewer
Did You Know That:
resources and to take the steps needed to reduce pollution by drastically curtailing
Texas, population 22 million,
discharges 50% more CO2
some of the luxuries they currently enjoy. This could include forfeiting SUVs and
than sub-Saharan Africa, other large passenger vehicles, commuting by public transportation instead of by car,
population 511 million. or keeping the heat down in winter and using air conditioners only sparingly in the
summer. Polls show that most people favor the theory of conservation and environ-
mental protection. Yet practice indicates that, so far, most people are also unwilling
to suffer a major reduction in their own conveniences or standards of living. Efforts
to get more Americans to use mass transit, for example, have had very little success.
There are other possibilities that would apply greater pressure on the public to con-
serve. A steep “gas guzzler” tax could be levied on any private passenger vehicle that
gets, say, less than 25 miles per gallon (mpg). How would you react to such a tax of
$1,000 at the time of sale for each mpg under 25 mpg that the vehicle got? That
would raise the price of a 17-mpg SUV an extra $8,000. Yet another approach would
be to dramatically raise gasoline taxes, an option presented to you in the decision
box, “Pay More at the Pump?”

Option 2: Pay for Environmentally Sustainable Development

A second possibility is to pay the price to create and distribute technologies that
will allow the LDCs to maximize the balance between economic development and
environmental protection. Without modern technology and the money to pay for it,
China, for example, poses a serious environmental threat. China now stands second
behind the United States in terms of national CO2 emissions. China’s increased
 Sustainable Development 495

DEBATE THE POLICY SCRIPT

Pay More at the Pump?
Americans make up less than 5% of the world population, yet driving habits of Americans would be to drastically hike gaso-
they consume about 25% of its petroleum. With a private pas- line taxes. Figure 15.2 shows that per capita use of the fuel is
senger vehicle for every two Americans, the largest single item much lower in the three countries with high gasoline taxes than
(45%) in U.S. petroleum consumption is gasoline. Private ve- in the three countries with lower gasoline taxes. The United
hicles use about two-thirds of all gasoline in the United States; States was the least taxed of these three, with an 18 cents a
Americans drive their private vehicles about 9,800 miles a year gallon federal tax and an average 21 cents a gallon gas tax. If
per capita or about 26,500 miles a year per household. increasing the U.S. tax to the level of the Netherlands resulted
This freedom of movement comes at a price. U.S. depen- in American motorists adopting the driving habits of the Dutch,
dence on foreign petroleum imports is high (75%) and expen- U.S. gasoline consumption would drop 77%, resulting in billions
sive ($325 billion in 2006 for oil imports). Pollution is another of dollars in saving on imports and about 938 million metric tons
cost. Carbon dioxide (CO2) is one of several pollutants produced less of annual CO2 emissions. This would roll U.S. CO2 emis-
by motor vehicles. Given Americans’ free-wheeling driving habits sions almost all the way back to the U.S. level in 1990.
and preference for large vehicles, it is not surprising that the
United States emits about 24% of all the world’s CO2. Private What Do You Think?
(noncommercial) driving by Americans generates one-fifth of Would you support an increase in federal and state taxes on
that, or about 5% of world CO2 emissions. gasoline from the current average of 39 cents a gallon to
American motorists could thus make a major contribution $4.11 a gallon? In mid-2007, that would increase the price
to reducing CO2 emissions and easing global warming by driving per gallon at the pump from $3.25 ($2.86 for the product,
less or using more fuel-efficient cars. So far, most Americans $0.39 in taxes) to $6.97 a gallon ($2.86 for the product,
seem little inclined to do either. One way to try to impact the $4.11 in taxes). What is the reasoning behind your position?

FIGURE 15.2 Gasoline Taxes and Consumption

Gasoline tax per gallon (US$) 5.7

Weekly per capita gasoline use (gallons)
4.8

$4.18 $4.11

$3.59 3.5

1.7
1.3 1.4 $1.38
$0.96

$0.39

Netherlands Italy United Kingdom Australia Canada United States

Countries with high gasoline taxes and Countries with low gasoline taxes and
low per capita gasoline consumption high per capita gasoline consumption

The pre-tax cost of gasoline in these six countries was about the same, ranging from $1.83 in Canada
and the United Kingdom to $2.15 in the Netherlands. Taxes were the biggest difference in gasoline costs
at the pump. The group of three countries to the left had high gasoline taxes and an average total price
per gallon of $5.93. The group of three to the right had much lower gasoline taxes and an average total
price per gallon of $2.85. At least partly because of these price differences, the three high-tax, high-total-
cost countries used a per capita average of 1.5 gallons of gasoline weekly, while the three low-tax, low-
total-cost countries used a per capita average of 4.7 gallons of gasoline weekly.
Data source: “Ranking the Rich,” Foreign Policy, September/October, 2006, p. 73.
496 CHAPTER 15 Preserving and Enhancing the Biosphere

industrialization is one reason. But a second impor-

tant factor is that China generates most of its com-
mercial power by burning coal. The problem is that
coal produces 45% more CO2 per unit of energy gen-
erated than gasoline, 41% more than heating oil, and
97% more than natural gas. China annually consumes
over 2 billion tons of coal, about 38% of the world
total. This combined with the country’s economic de-
velopment, is a major reason why China’s CO2 emis-
sions rose 57% between 1990 and 2004, while the
rest of the world’s emissions went up 19%. Even on a
per capita basis, China’s emissions increased more
than four times the global per capita increase.
There are choices, but each has trade-offs. One
option is to install pollution control equipment such
as “stack scrubbers” to clean the emissions from
burning coal. That would aid the environment, but it
would be hugely expensive. For example, a recent
proposal to retrofit a huge coal-fired generating plant
in Bulgaria with stack scrubbers and other equip-
ment, which would clean up its sulfur dioxide emis-
sions by 95%, came with an estimated price tag of
$650 million. Bulgaria had EU backing for the project,
and China and other LDCs would need similar sup-
port to meet the costs of reducing the discharge of
The economic leaps that China and some other less developed
countries are making highlight the problem of sustainable
pollutants. Another approach China could take is to
development. China’s development is captured in these high-voltage consume more oil to decrease the use of coal. Oil
transmissions lines and towers. The problem is that the electricity is imports are vastly expensive, however, and act as a
almost certainly produced either by coal-burning power plants that drag on the country’s socioeconomic development.
put massive amounts of greenhouse gases into the atmosphere or by Increased oil consumption at the level China would
oil-burning power plants, which discharge less, but still substantial need would also rapidly accelerate the depletion of
amounts of greenhouse gases and additionally increase the strain on
the world’s finite petroleum reserves. Moreover, the
the world’s finite petroleum reserves.
new oil fields that are being found often lie offshore,
and drilling endangers the oceans.
A third possibility is using hydroelectricity to provide relatively nonpolluting
energy. This requires the construction of dams that flood the surrounding country-
side, displace its residents, and spoil the pristine beauty of the river valley down-
stream. China, for example, is trying to ease its energy crunch and simultaneously
develop clean hydroelectric power by building the massive $25 billion Three Gorges
Dam and hydroelectric project on the Yangtze River. The project, which rivals the
Great Wall of China in scope, will vastly increase the availability of clean power to
www rural provinces by generating 18,200 megawatts of electricity without burning highly
polluting coal. The dam will also help stem floods that have often caused cata-
WEB POLL strophic damage and death downstream. To accomplish these benefits, however, the
Opportunity and Costs dam will create a 370-mile-long reservoir, inundating over 200 cities, towns, and vil-
lages, forcing 1.3 million people from their homes. The rising water will submerge
numerous archeological sites and what many consider one of the most scenic natural
areas in the world. Moreover, a collapse of the dam from structural failure, earthquake
or other natural disaster, or military attack could cause a flood of unimaginable pro-
portions. Critics also charge that as the reservoir covers some 1,500 factories, hospitals,
dumps, and other sites containing human and industrial waste, the water will become
 Sustainable Development 497

contaminated as the pollutants seep into it. Thus, the Three Gorges project is an
almost perfect illustration of the difficulty of sustainable development.
Although the project will ease some environmental problems (in this case, coal
burning) it will also have an adverse impact on people and create or worsen other
environmental problems. Even if you can cut such Gordian knots, you will encounter
other problems: the short-term costs of environmental protection in terms of taxes to
pay for government programs; the high costs of products that are manufactured in an
environmentally acceptable way and that are themselves environmentally safe; and
the expense of disposing of waste in an ecologically responsible manner.
Moreover, since the LDCs are determined to develop economically, yet must
struggle to pay the costs of environmentally sound progress, the North will have to
extend significant aid to the South to help it develop in a relatively safe way. Money
is needed to create nonpolluting energy resources, to install pollution control devices
in factories, and to provide many other technologies. The costs will be huge, with
some estimates exceeding $120 billion a year. Billions more are needed each year to
help the LDCs stem their—and the world’s—spiraling population.
Is the North willing to pay this price? Polls show that people in many countries Web Link
are concerned about global warming, ozone layer destruction, deforestation, wildlife An excellent informational and
destruction, and acid rain. Cross-national polls also regularly find that a majority of visual site, including film clips,
respondents say that their governments should do more to protect their country’s on the Three Gorges Dam is
environment and also to be involved in the global environmental effort. Yet surveys associated with the PBS Great
Wall across the Yangtze program
additionally find that a majority of citizens think that their tax burdens are already
at www.pbs.org/itvs/greatwall/
too heavy and are reluctant to support large expenditures on environmental pro- yangtze.html.
grams. In an indication about how Americans might respond to the question posed
in the earlier box “Pay More at the Pump?” a 2007 survey recorded 58% of Americans
rejecting and only 38% approving (with 4% unsure) the idea of increased gasoline taxes
as a way to cut consumption and ease global warming.5 Given Americans’ historic
antipathy to foreign aid, it is hard to imagine much support for higher taxes to pay
other countries to protect the environment.

The Politics of Sustainable Development

There is not a great deal of debate over the fact that future development has to occur
in a way that does not lay further waste to the biosphere. But what to do and who is
responsible for doing it is a much more difficult question, and the lack of resolution
of that issue has hampered efforts to fashion an overall global approach to achieving
the goal of sustainable development. There are sections later in this chapter that
address problems and programs associated with the atmosphere, water, land, and other
elements of the biosphere, but before taking those up, it is appropriate to review the
global approach to sustainable development and its politics at its broadest level.
The first step to dealing with any problem is recognizing that it exists. This
has occurred with regard to sustainable development, as indicated by the two
UN-sponsored “Earth Summits” in 1992 and 2002. However, both illustrate the
limits to progress and the political disagreements that stand in the way.

Earth Summit I
The 1992 United Nations Conference on Environment and Development (UNCED)
in Rio de Janeiro symbolized the growing concern with the environment and how to
achieve sustainable development. Popularly dubbed Earth Summit I, most of the 178
countries in attendance were represented by their head of state. Additionally, 15,000
representatives of NGOs attended a nearby parallel conference. The official conference
498 CHAPTER 15 Preserving and Enhancing the Biosphere

produced Agenda 21 (a 112-topic, nonbinding blueprint for sustainable development

in the 21st century) and two treaties (the Biodiversity Convention and the Global
Warming Convention).
Earth Summit I also featured the often-divisive politics of environmental protec-
tion. In particular, the North and the South were at odds on many issues. First, the
LDCs argued that the burden of sustainable development should fall substantially on
the EDCs because they were responsible for most of the pollution and depletion of
resources. Second, LDCs also contended that they should be exempt wholly or in
part from environmental restrictions because the EDCs had already developed and
it was unfair to ask LDCs not to achieve the same national standards as the EDCs.
Indeed, some in the LDCs suspect that EDC efforts to restrict their development may
be part of a neocolonial effort to keep the LDCs poor, weak, and dependent. Third,
LDCs maintained that they were too poor to develop their considerable resources in an
environmentally sustainable way and, therefore, EDCs should significantly increase
aid to help LDCs do so. For their part, most of the EDCs, especially the United States,
disagreed with each of these LDC positions.
A stand-off occurred. The EDCs averted LDC efforts to set binding timetables for
the EDCs to reduce their emissions of CO2 and other gases that contribute to global
warming. The North also resisted making major financial commitments. “We do not
have an open pocketbook,” President George H. W. Bush observed.6 Similarly, the
South avoided restrictions on such activities as deforestation. “Forests are clearly a
sovereign resource. . . . We cannot allow forests to be taken up in global forums,”
Malaysia’s chief negotiator asserted.7 Given the various divisions, it was not surpris-
ing that neither the Biodiversity nor Global Warming Convention created legally
binding mandates. It would be an overstatement to call the conference a failure, how-
ever, because important global initiatives normally gestate for an extended period,
and the two treaties, Agenda 21, and the attention the conference generated all
helped firmly plant the environment on the world political agenda.

Earth Summit II
A decade later, delegates from almost all of the world’s countries and representatives
from some 8,000 NGOs gathered in Johannesburg, South Africa, at Earth Summit II,
the World Summit on Sustainable Development (WSSD) to address what the UN
secretary-general called the “gap between the goals and the promises set out in Rio
and the daily reality [of what has been accomplished].”8 However, the political dis-
putes that had bedeviled Earth Summit I also afflicted the WSSD, creating what an
Indonesian diplomat portrayed as “a battle, a conflict of interest between developed
and developing countries.”9 The United States and some other EDCs were unwilling
to provide LDCs with substantially increased aid for sustainable development or to
accept environmental restrictions that did not also apply at least partly to LDCs. The
EDCs also opposed the creation of international agencies to monitor conditions and
enforce mandatory standards. Articulating this view, one U.S. official insisted that the
only path to progress was for “both developing and developed nations” to agree to
mutual restrictions.10 Taking the opposite view, the secretary-general asserted, “The
richest countries must lead the way. They have the wealth. They have the technology.
And they contribute disproportionately to global environmental problems.”11
In the end, the EDCs did announce some new funding commitments, and the
conference also adopted some important new, albeit voluntary, targets for reducing
pollution and resource depletion, and for easing other biosphere problems. Although
it is impossible to be satisfied with these modest steps, it would be wrong to judge
the WSSD a dismal failure. Providing a good perspective, the UN secretary-general
 Sustainable Development: Population Problems and Progress 499

advised, “I think we have to be careful not to expect conferences like this to produce
miracles. It is not one isolated conference that is going to do this whole thing.” Instead,
he suggested, “What happens is the energy that we create here, the commitments that
have been made, and what we do on the ground as individuals, as civil society, as
community groups and as governments and private sector.”12
We can gain further perspective on the problems facing Earth Summits I and II by
examining some of the key issues regarding the biosphere and the possibility of achiev-
ing international cooperation toward sustainable development. We will first consider
population. Then we will turn to concerns over such resources as minerals, forests,
wildlife, and water. Last, the chapter will take up environmental issues, including
pollution of the ground, water, air, and upper atmosphere.

SUSTAINABLE DEVELOPMENT:
POPULATION PROBLEMS AND PROGRESS

On Tuesday, October 12, 1999, the world population passed the 6 billion mark. That
is a stunning number. Humans in their modern form date back about 40,000 years,
and their number did not reach 1 billion until 1804. It took only another 195 years,
to 1999, to get to the 6 billion mark. The jump from 5 billion to 6 billion had only
taken 12 years. The world is awash in humanity, with China alone having more peo-
ple than had been on Earth in 1804. The upward spiral has begun to slow, but only
slightly. Current UN projections, as depicted in Figure 15.3, show the world popula-
tion continuing to grow to 9 billion by midcentury. Given a reasonably finite amount
of resources and ability to absorb waste, this growing population presents a challenge
to Earth’s carrying capacity. That will be an especially acute problem in some regions
because their populations will continue to grow at a relatively rapid rate. Sub-Saharan

FIGURE 15.3 World Population Growth

World population (billions) 9.2 9.2 9.1
8.7 8.5
8.0

6.1

4.1

2.5
2.0
1.7

1900 1925 1950 1975 2000 2025 2050 2075 2100 2125 2150

The UN expects the world population to peak at 9.2 billion by midcentury, to stabilize briefly at that
level, and then to gradually decline. Adding another 2.7 billion more people between 2005 and 2050
will strain Earth’s resources, especially given the increased use of resources and the generation of
waste due to economic development.
Data source: UN Population Division.
500 CHAPTER 15 Preserving and Enhancing the Biosphere

Africa will be the most troubled. Its population is projected to grow annually by 2.43%
www between 2005 and 2115, while the world population is projected to grow at an
annual rate of just 1.14%. The percentages may seem small, but they mean that
Sub-Saharan Africa will have about 9 million more people a year than it would have
MAP
Population Growth Rate at the 1.14% rate.
The acceleration of population growth beginning about 1950 that is evident in
Figure 15.3 occurred for several reasons. High fertility rates is one. Between 1950 and
1970 the average woman had five children, with an average between 6 and 7 children
per family in the LDCs. That overall rate has fallen, but the world population con-
Web Link
tinues to grow too fast. Fewer deaths is a second and increasingly important factor.
You can watch the number of
Better health means that more infants survive to grow up and adults live longer. In
births, deaths, and other popula-
tion data mount for the current
1950, 20 of every 1,000 people worldwide died each year; now only 9 of every 1,000
day and other periods at do. A third factor causing population growth is the population base multiplier effect.
www.worldometers.info/. This problem is one of mathematics. During the next decade, some 3 billion women
will enter their childbearing years. At the current fertility rate, these women will have
7.5 billion children, who in turn will have yet more children. Thus the population
will continue to grow until the world fertility falls to 2.1, the approximate “replace-
ment rate” at which each set of parents has two surviving children.

Global Recognition of the Population Problem

The United Nations has led the effort to control global population growth. Among the
UN divisions and associated agencies involved, the United Nations Population Fund
(UNFPA) is the largest. It began operations in 1969 and focuses on promoting family
planning services and improving reproductive health in LDCs. During its history,
UNFPA has provided over $6 billion to support population programs in the vast
majority of the world’s countries. In addition to its own programs, the agency helps
coordinate programs of other related IGOs and national governments. UNFPA’s efforts
are further supplemented by and often coordinated with NGOs such as the Interna-
tional Planned Parenthood Federation (IPPF). This British-based organization, which
was founded in 1952, operates its own international family planning programs and also
links the individual planned parenthood organizations of about 150 countries.
Additionally, the need to control global population growth led the UN to sponsor
three world population conferences. The most recent of these was the 1994 United
Nations Conference on Population and Development (UNCPD) in Cairo, Egypt. It
brought together delegates from over 170 countries and a large number of NGOs and
focused on population control and on reproductive health. Each year, for example,
about 529,000 women (99% of whom live in LDCs) die from complications of preg-
nancy and childbirth. Abortion was the most controversial issue at the conference.
Abortion is widely available in about 60% of all countries, fairly restricted in another
15%, and very restricted or unavailable in the remaining 25% of the world’s countries.
According to the World Health Organization (WHO), about 22% of all pregnancies
are ended by induced abortions (those that occur for other than natural causes).
Abortions performed in unsafe conditions, either in countries where it is illegal or
severely restricted or in countries with an inadequate health care system, are a major
threat to women’s health. WHO estimates that about 68,000 women a year die from
unsafe abortions. There are estimates that in some countries, which both restrict
abortions and are exceptionally poor, over half of all maternal mortality is the result
of illegal abortion.
Controversy at the conference centered on how far it should go toward supporting
abortion as a health measure or even as a population control approach. Predominantly
 Sustainable Development: Population Problems and Progress 501

Muslim countries were particularly opposed to the conference’s support of abortion,

with the Sudanese government charging that this would result in “the spread of
immoral and irreligious ideas.”13 The Roman Catholic Church was also critical, with
the pope warning the conference not to “ignore the rights of the unborn.”14 Among
those with the opposite view was Norway’s Prime Minister Gro Harlem Brundtland,
who charged, “Morality becomes hypocrisy if it means accepting mothers’ suffering or
dying in connection with unwanted pregnancies and illegal abortions and unwanted
children.”15
The result of this conflict was a compromise, with the language in the conference
report promoting safe abortion qualified by the phrase, “in circumstances in which
abortion is legal,” and the caveat, “In no case should abortion be promoted as a method
of family planning.” The 1994 Cairo conference unanimously approved a “Program of
Action” calling for spending $5.7 billion annually by the year 2000 on international
programs to foster family planning. Funding never reached that goal, but the height-
ened awareness of the population problem and the closely associated issue of women’s
reproductive health and the postconference activity of the delegates and others did help
to increase funding from $1.3 billion in 1993 to $2.2 billion in 2000. Most importantly,
maternal mortality has declined by about one-third since the conference.

Approaches to Reducing the Birthrate

There are two basic approaches to reducing the birthrate. Social approaches provide
information about birth control and encouragement to practice it by making birth
control devices and pills, sterilization, and, in some cases, abortion programs available.
The combined efforts of national governments, UNFPA and other IGOs, and NGOs,
have had an impact. During the early 1960s, the contraceptive prevalence rate (the
percentage of couples practicing contraception) in the LDCs was only 9%. Now it is
60%. This contraceptive prevalence rate falls off drastically in the least developed
countries (LLDCs), where it is only 40%.
Economic approaches to population growth also work. There is a clear relation-
ship between poverty and the number of children a woman bears. The fertility rate
(average number of children a woman will have) is 1.7 in high-income countries, 2.1
in middle-income countries, and 3.7 in low-income countries. How does one explain
the link between population and wealth? One view is that overpopulation causes
poverty. This view reasons that with too many people, especially in already poor
countries, there are too few resources, jobs, and other forms of wealth to go around.
Perhaps, but that is only part of the problem, because it is also true that poverty causes
overpopulation. The low-income countries tend to have the most labor-intensive
economies, those in which children are economically valuable because they help their
parents with farming or, when they are somewhat older, provide cheap labor in min-
ing and manufacturing processes. As a result, cultural attitudes in many countries
have come to reflect economic utility. Having a large family is also an asset in terms of
social standing in many societies with limited economic opportunities.
Furthermore, women in low-income countries have fewer opportunities to limit
the number of children they bear. Artificial birth control methods and counseling
services are less readily available in these countries. Another fact is that women in
LDCs are less educated than are women in EDCs. It is therefore harder to convey birth
control information, especially written information, to women in LDCs. Addition-
ally, they have fewer opportunities than do women in EDCs to gain paid employment
and to develop status roles beyond that of motherhood. The lack of educational and
economic opportunities are related to both the use of contraception and the fertility
502 CHAPTER 15 Preserving and Enhancing the Biosphere

FIGURE 15.4 Opportunities rate, as evident in Figure 15.4, which compares Togo
and Childbearing and the United States.
The evidence that poverty causes population in-
99% Togo United States creases has spurred efforts to advance the economic
and educational opportunities available to women as
70% 76%
an integral part of population control. This realization
52% 50
38% was one of the factors that led the UN to designate
26% 20 1975 as International Women’s Year and to kick off
the Decade for Women. That year the UN also con-
Female Women in Women using Births per vened the first World Conference on Women (WCW).
literacy paid workforce contraception 10 women These initiatives were followed in 1976 by the estab-
Opportunities for women Women and childbearing lishment of the UN Development Fund for Women
(UNIFEM, after its French acronym). The Fund works
The greater the educational and economic opportunities that women through 10 regional offices to improve the living
have, the more likely they are to use contraception and to have fewer standards of women in LDCs by providing technical
babies. The two measures on the left show educational opportunities
and financial support to advance the entry of women
(the percentage of adult women who are literate) and economic
opportunities (the percentage of working-age women who have a paid into business, scientific and technical careers, and
job). The two measures on the right show the likelihood that women other key areas. UNIFEM also strives to incorporate
(ages 15–49) are using contraception and how many children they have women into the international and national planning
on average. Notice that American women have better educational and and administration of development programs and to
economic opportunities compared to women in Togo and are also more ensure that issues of particular concern to women
likely to use contraception and less likely to have numerous children. such as food, security, human rights, and reproductive
Data source: World Bank. health are kept on the global agenda. The UN also
established the International Research and Training
Institute for the Advancement of Women with the task
of carrying out research, training, and information
FIGURE 15.5 Fertility Rates activities related to women and the development
5.1 World fertility rate process. Headquartered in the Dominican Republic,
the institute conducts research on the barriers that
impede the progress of women in social, economic,
and political development.

The Impact of International

Population Control Efforts
The effort to reduce global population growth is a
success story. Part of the credit goes to the work of
IGOs, NGOs, and national governments. Improved
2.7 economic conditions in many LDCs and the slowly
improving economic and educational status of
women in many countries have also played a role. As
a result, the average global fertility rate has declined
2.1 = stable population dramatically, as evident in Figure 15.5. The goal is
2.1, which is about the stable replacement rate. The
1955 1965 1975 1985 1995 2005 UN expects that standard to be reached by mid-
The number of children the average woman bears has dropped by
century. Indeed, after that the UN expects the fertility
almost 50% since the 1950s. This welcome change is the result of rate to drop below the replacement rate, which will
numerous factors, including the work of international agencies to for a time at least decrease the world population late
improve educational and economic opportunities for females and to in this century. As recently as 1994, the population
provide information and other forms of assistance to women who wish was expanding at 94 million a year, and the UN was
to practice planned parenthood. estimating that it would reach 11.6 billion by 2150.
Data source: UN Population Division, World Population to 2003 (UN: New York, 2004). Now the population is projected to peak at more
 Sustainable Development: Resource Problems and Progress 503

than 2 billion people short of that. That is stellar news, but it merits two cautions.
One is that population is hard to predict; a UN “worse-case scenario” projects the
population at 14 billion at the end of this century and peaking at 36 billion in 2300.
Second, despite the slowdown, the substantial population increase that is looming
will challenge Earth’s carrying capacity.

SUSTAINABLE DEVELOPMENT:
RESOURCE PROBLEMS AND PROGRESS

Recent decades have witnessed increased warnings that we are using our resources
too quickly. Most studies of the rates at which we are depleting energy, mineral, forest,
land, wildlife, fishery, and water resources have expressed a level of concern ranging
from caution to serious alarm.

Petroleum, Natural Gas, and Minerals

The supply of oil, gas, and mineral resources is one area of concern. At the forefront
Did You Know That:
of these worries are the cost and supply of energy resources. World energy needs are
The world’s first oil well was
skyrocketing. Global energy production increased 80% between 1960 and 2005. drilled in 1859 in Titusville,
Seventy-five percent of the output is generated by burning fossil fuels (coal, oil, and Pennsylvania. Sold as a
gas); following in declining order are burning wood, crop residue, and other forms of lubricant, oil initially averaged
biomass; then, nuclear energy. Only about 3% of energy is produced by such envi- $25 a barrel, compared to
ronmentally friendly sources as hydroelectric, solar, geothermal, and wind power. At over $75 a barrel in August
2007. Adjusted for inflation,
one time the world had an estimated 2.3 trillion barrels of oil beneath its surface. the 1859 price is equal to
Current known reserves are a bit more than half of that. At the rate that oil is being about $624 a barrel today.
consumed—34 billion barrels in 2007—simple math would suggest that the world’s
oil wells will go dry in 2046. Natural gas supplies are a bit better, but at current reserves
and use they will be depleted in 2072. But projections are tricky because demand
changes, because new sources of oil and gas are sometimes discovered, and because new
techniques such as deep sea drilling are developed to tap previously unusable de-
posits. For example, known reserves of petroleum actually increased from 1.01 trillion
barrels in 1996 to 1.32 trillion barrels in 2007. Nevertheless, petroleum and natural
gas reserves are a concern because the supply is indisputably exhaustible and because
new finds are smaller and less attractive to utilize (deeper, under the ocean, in envi-
ronmentally sensitive land areas).
The story for natural gas is nearly the same. New discoveries, enhanced extraction
methods, and other factors may have an impact on the timing, but the bottom line is
that the supply is finite and at some point, perhaps within the lifetime of those being
born today, it will be exhausted. Coal will last almost 500 years at current consump-
tion rates, but it is a major pollutant if not controlled by expensive technology. The
development of hydroelectric power is attractive in some ways, but it is expensive to
develop, and damming rivers creates environmental and social problems. Nuclear
power is yet another alternative, and some countries rely heavily on it. For one,
France generates 80% of its electricity by nuclear power. However, only 30 countries
generate nuclear power, and on average it amounts to only about 20% of their total
commercial energy production. Additionally, there are high costs and obvious haz-
ards to nuclear power. Some people advocate developing wind, solar, geothermal,
and other such sources of power. So far, though, cost, production capacity, and other
factors have limited the application of these energy sources and will continue to do
so unless there are major technological breakthroughs.
504 CHAPTER 15 Preserving and Enhancing the Biosphere

Another factor in the supply and demand for energy is usage patterns. With 10%
www of the world population, the EDCs consumed 50% of the energy. But in terms of
increasing use, LDC energy consumption increased 105% between 1975 and 2005,
while the increase in energy consumption by EDCs was lower at 76%. This pattern
JOIN THE DEBATE
Is a Government-Sponsored indicates that while the North may bear much of the responsibility to date for the re-
Clean Energy Program the sources used to create the energy and the waste products discharged, no solution is
Answer to Rising Oil Prices possible unless the South is a full participant. In addition to oil and natural gas, many
and Overall Economic and other minerals are also being rapidly depleted. Based on world reserves and world use,
Environmental Security?
some minerals that are in particularly short supply (and estimates of the year that
Earth’s supply will be exhausted given known reserves) include copper (2056), lead
(2041), mercury (2077), tin (2053), and zinc (2042). Certainly, discoveries of new
sources or the decline of consumption based on conservation or the use of substitutes
could extend those dates. But it is also possible that the time interval to depletion
could narrow if, for instance, extraction rates accelerate as LDCs develop.
The resource puzzle, as mentioned, is how to simultaneously (1) maintain the
industrialized countries’ economies and standards of living, (2) promote economic
development in the South (which will consume increased energy and minerals), and
(3) manage the problems of resource depletion and environmental damage involved
in energy and mineral production and use. If, for instance, the South were to develop
to the same economic level as the North, if the LDCs’ energy-use patterns were the
same as the North’s currently are, and if the same energy resource patterns that now
exist persisted, then petroleum reserves would almost certainly soon be dry. Natural
gas and many other minerals probably would also quickly follow oil into the museum
of geological history.

Forests and Land

For many who will read this book, the trees that surround them and the very land on
which they stand will hardly seem like natural resources and will certainly not seem
to be endangered. That is not the case. There are serious concerns about the depletion
of the world’s forests and the degradation of its land.

Forest Depletion
The depletion of forests and their resources concerns many analysts. Data compiled
by the UN Food and Agriculture Organization (FAO) and other sources indicates
that the increase in world population and, to a lesser degree, economic development
have been destroying the world’s forests. Some 1 billion people depend on wood as
an energy source, and many forests have been depleted for fuel to cook food and heat
homes. Forests are also being cleared to make room for farms and grazing lands.
Forests and woodland still cover about 30% of Earth’s land area. Once, however, they
occupied 48% of the land area, and tree cover has been declining by about 1% every
ten years. Logging is a major factor, but forests are also being drowned by hydroelec-
tric projects and being strip-mined for minerals. Acid rain and other environmental
attacks increase the toll on trees. The result is that in recent years an average 35,000
square miles of forest, an area about the size of Portugal, have been lost annually.
Forest loss is greatest in the LLDCs, whose forests are disappearing at the rate of
1% every two years. Tropical forests, which account for over 80% of all forest losses,
are in particular peril. Fifty years ago, 12% of Earth’s land surface was covered by
tropical forest; now just 6% is. The Amazon River basin’s tropical forest in Brazil and
the surrounding countries is an especially critical issue. This ecosystem is by far the
largest of its kind in the world, covering 2.7 million square miles, about the size of
 Sustainable Development: Resource Problems and Progress 505

The charred remains shown

here of what was once lush rain
forest in Brazil are just a minute
fraction of the forest lands that
have been destroyed around
the world. The environmental
costs of deforestation are
enormous. They include loss
of trees to convert CO2 into
oxygen, runoff that fills rivers
with silt, destruction of
endangered flora and fauna,
loss of human life from
mudslides, and exhaustion
of the land’s fertility.

the 48 contiguous U.S. states. The expanding populations and economic needs of
the region’s countries have exerted great pressure on the forest. For example, the
Amazon basin has recently been losing 9,000 square miles (an area about the size of
Massachusetts) of forest every year.
LDCs recognize the problem, but economic need drives them to continue to
clear forestland for farming, building material, roads and other facilities, and many www
other domestic uses. Wood and wood products (such as paper, pulp, and resins) are
also valuable exports, annually bringing in about $100 billion in needed earnings to MAP
the LDCs. It is easy to blame the LDCs for allowing their forests to be overcut, but Hot Spots of Diversity
many in those countries ask what alternative they have. “Anyone . . . who comes in
and tells us not to cut the forest has to give us another way to live,” says an official of
Suriname. “And so far they haven’t done that.” Instead, what occurs, charges the
country’s president, is “eco-colonialism” by international environmental organizations
trying to prevent Suriname from using its resources.16
Deforestation has numerous negative consequences. One is global warming,
which we will discuss in a later section. Another ill effect of forest depletion is that
wood in many areas has become so scarce and so expensive that poor urban dwellers
have to spend up to a third of their meager incomes to heat their homes and cook.
Poor people in rural areas have to devote the entire time of a family member to gather
wood for home use. The devastation of the forests is also driving many forms of life into
extinction. A typical 4-square-mile section of the Amazon basin rain forest contains
some 750 species of trees, 125 kinds of mammals, 400 types of birds, 160 different
kinds of reptiles and amphibians, and perhaps 300,000 insect species. The loss of bio-
diversity has an obvious aesthetic impact, and there are also pragmatic implications.
Some 25% of all modern pharmaceutical products are “green medicines” that contain
ingredients originally found in plants. Extracts from Madagascar’s rosy periwinkle,
for example, are used in drugs to treat children’s leukemia and Hodgkin’s disease.
Taxol is a drug derived from the Pacific yew for use in cancer chemotherapy, and a
soil fungus is the source of the anticholesterol drug Mevacor. Many plants also
506 CHAPTER 15 Preserving and Enhancing the Biosphere

contain natural pesticides that could provide the basis for the development of eco-
logically safe commercial pesticides to replace the environmental horrors (such as
DDT) of the past.
Fortunately, the story of the world’s forests is not all bleak. Recent research indi-
cates that overall forest depletion may have stopped. One study found that about
half of the countries with the largest forests are having positive forest growth. “This
is the first time we have documented that many countries have turned the corner,
that gradually forests are coming back,” commented a scholar involved in the study.
The head of the FAO’s forest division cautioned that while he was glad about the
study’s “positive indications of an important change,” he also felt that the lack of
good data on forests in many parts of the world meant it would be wise not to be
overly optimistic.17

Land Degradation
Not only are the forests beleaguered, so too is the land. Deforestation is one of the many
Did You Know That:
causes of soil erosion and other forms of damage to the land. Tropical forests rest on
Eating less meat has environ-
thin topsoil. This land is especially unsuited for agriculture, and it becomes exhausted
mental benefits. Producing
one pound of beef requires quickly once the forest is cut down and crops are planted or grazing takes place. With
7 pounds of grain, which use no trees to hold soil in place, runoff occurs, and silt clogs rivers and bedevils hydro-
7,000 gallons of water to grow. electric projects. Unchecked runoff can also significantly increase the chances of down-
For each resulting pound river floods, resulting in loss of life and economic damage, and deadly mudslides
of meat, cattle discharge
down barren slopes with no trees to hold the dirt in place.
12 pounds of manure and
other organic pollutants and According to the United Nations Environmental Programme (UNEP), 3.5 million
copious amounts of ozone square miles (about the size of China or the United States) of land are moderately
layer–depleting methane. degraded, 1.4 million square miles (about equal to Argentina) are strongly degraded,
Of all U.S. grain produced, and 347,000 square miles (about the same as Egypt) are extremely degraded (beyond
70% goes to feed livestock.
repair). At its worst, desertification occurs. More of the world’s surface is becom-
ing desertlike because of water scarcity, timber cutting, overgrazing, and overplant-
ing. The desertification of land is increasing at an estimated rate of 30,600 square
miles a year, turning an area the size of Austria into barren desert. Moreover, that rate
of degradation could worsen, based on UNEP’s estimate that 8 billion acres are in
jeopardy.

Forest and Land Protection

Because almost all of the world’s land lies within the boundaries of a sovereign state,
international programs have been few. Desertification is one area in which there
has been international action. Almost all countries are party to the Convention on
Desertification (1994), which set up a structure to monitor the problem and to assist
countries in devising remedial programs to reclaim barren land. There have also been
some advances at the regional level. Most European countries abide by a 1979 treaty
to reduce acid rain, and addressing that issue was the main goal of the Canada-U.S. Air
Quality Agreement (1991). More recently, and addressing another problem, leaders of
seven central African countries agreed in 2005 to a treaty to protect their region’s rain
forest, which is second in size to the one in the Amazon basin.
Progress is also being made at the national level in the preservation of forest and
land resources, as well as on other resource and environmental concerns. Member-
ship in environmental groups has grown dramatically. In several European countries
and in the European Union, “green parties” have become viable political forces. For
example, they have 42 (5%) of the seats in the European Parliament and Germany’s
Green Party has 51 seats (8%) in the Bundestag. The growing interest in flora and
fauna is also increasing the so-called ecotourism trade, which some sources estimate
 Sustainable Development: Resource Problems and Progress 507

makes up as much as a third of the nearly $500 billion annual tourism industry. For
this reason, many countries are beginning to realize that they can derive more eco-
nomic benefit from tourists than from loggers wielding chain saws.

Wildlife
World wildlife is amazingly diverse. These life forms (and the approximate number
of known species for each) include mammals (4,300), reptiles (6,800), birds (9,700),
fish (28,000), mollusks (80,000), insects ( 1,000,000), and arachnids (44,000).

Global Pressure on Wildlife

The march of humankind has driven almost all the other creatures into retreat and, in
some cases, into extinction. Deforestation, land clearing for settlement and farming,
water diversion and depletion, and pollution are but a few of modernization’s by-
products that destroy wildlife habitat. There are pragmatic, as well as aesthetic, costs.
The blood-pressure drug Capoten is derived from the venom of the Brazilian pit
viper, and vampire bat saliva is the basis of an anti–blood-clotting drug being tested
to prevent heart attacks and stroke.
While some species are the unintended victims of development, others are threat-
ened because they have economic value. The estimated $10 billion annual illegal
trade in feathers, pelts, ivory, and other wildlife products is leading to the capture and
sale or slaughter of numerous species, including many that are endangered. Tigers
are dying because their bodies are so valuable. A pelt fetches up to $15,000; pow-
dered tiger humerus bone, said to cure typhoid fever and other ailments, sells for
$1,450 a pound; and men in some parts of the world pay $1,200 for a tiger’s penis
in the hope that eating it will improve their virility. Other endangered animals wind
up on someone’s dinner plate. Rising prosperity in China has increased the number
of ye wei (wild taste) restaurants, where for $100 or so a buffet of elephant, tiger, and
other exotic fare can be eaten (Marshall, 2006). Much of the slaughter occurs in
LDCs, but the EDCs are not guiltless. For example, poachers illegally kill more than
40,000 bears each year in the United States in part to harvest their gall bladders.
These supposedly relieve a range of ailments (including hemorrhoids) and sell for up
to $3,000 when smuggled abroad.
It should be noted that on the issue of wildlife, like many other matters discussed
in this chapter, there are optimists who believe that the problem is being grossly
overstated. According to one, “a fair reading of the available data suggests a rate of
extinction not even one–one-thousandth as great as the one the doomsayers scare us
with.” He cautioned against ignoring “possible dangers to species,” but stressed, “We
should strive for a clear and unbiased view of species’ assets so as to make sound
judgments about how much time and money to spend on guarding them.”18 Other
analysts have agreed with that assessment (Lomborg, 2001).

Protecting Wildlife
Although the world’s list of endangered species is still growing, these threatened
species are also now gaining some relief through the Convention on the International
Trade in Endangered Species (CITES, 1975) and the 167 countries that are party to it.
Elephants were added in 1989 to the CITES list of endangered species, and the legal
ivory trade has dropped from 473 tons in 1985 to zero. About 500 elephants a year
are still being killed for their ivory by poachers, but that is far better than the annual
toll of 70,000 elephants during the last decade before they were protected under
CITES. Wild cats, reptiles, and other types of wildlife have also found greater refuge,
508 CHAPTER 15 Preserving and Enhancing the Biosphere

and the international sale of their skins has declined

drastically. The global trade in live primates, birds,
and reptiles has seen similar decreases. Individual
countries have also acted to suppress poaching and
punish those engaged in the illegal sales of wildlife.
In 2003, for example, Chinese officials impounded
1,276 illegal pelts from 32 tigers, 579 leopards, and
665 otters that had been smuggled into the country.
It was the largest seizure in China’s history, and a
particularly helpful sign from a region that is the des-
tination of a great deal of the illegal trade in wildlife,
especially in parts used in traditional medicine.
Penalties, it should be noted, are especially stringent
for such activity in China, which has executed at
least 28 wildlife smugglers since 1990.

Freshwater
“Water, water everywhere, Nor any drop to drink,”
cries out an adrift seaman in Samuel Taylor Coleridge’s
Rime of the Ancient Mariner (1798). That cannot quite
be said of the world’s freshwater, but there is less of
it than you might think. Yes, 71% of Earth’s surface is
covered by water, but 97% of it is salt water and an-
other 2% is frozen in the polar ice caps. This leaves
only 1% readily available for drinking, watering live-
stock, and irrigating crops. Moreover, some of the
freshwater supply that exists is being depleted or
being tainted by pollution. Freshwater use, after
tripling between 1940 and 1975, has slowed its
growth rate to about 2% to 3% a year. Much of this is
The Convention on the International Trade in Endangered Species due to population stabilization and conservation
(CITES) has provided some relief to many endangered species
measures in the EDCs. Still, because the world pop-
by banning the international sale of live wildlife or wildlife products,
such as skins. However, the limits of CITES are evident in this recent
ulation is growing and rainfall is a constant, the
photograph of a woman in the street market in Tachileik, Myanmar world needs to use an additional 7.1 trillion gallons
(Burma), openly selling wildlife parts including monkey skulls and the each year just to grow the extra grain needed to feed
pelt of a clouded leopard, an endangered species. the expanding population.
Complicating matters even more, many coun-
tries, especially LDCs, have low per capita supplies
of water, as you can see in the map on page 509. The world per capita availability
is 8,549 cubic meters (1 m3 264.2 gallons), but it is unevenly distributed. In-
deed, about 20% of all countries have an annual availability of less than 1,000 cubic
meters of water per person. Given the fact that Americans annually use 1,682 cubic
meters of water per capita, the inadequacy of less than 1,000 cubic meters is readily
apparent.
To make matters worse, the water usage in LDCs will increase as they develop
their economies. These increases will either create greater pressure on the water sup-
ply or will limit a country’s growth possibilities. Globally, most freshwater is used for
either agriculture (70%) or industry (20%), with only 10% for domestic (personal)
use. Industrialized countries, however, use greater percentages for industry and more
water per capita overall than LDCs. It follows then, that as LDCs industrialize, their
 Sustainable Development: Resource Problems and Progress 509

Per Capita Water Availability

Thousands of Cubic
Meters of Water
Available Per Capita
Very low (0.9 or less)
Low (1.0–4.9)
Medium (5.0–9.9)
High (10.0 or more)
Ice/no population

0 1000 2000 Miles

Scale: 1 to 180,000,000
0 1000 2000 3000 Kilometers

A report by the United Nations Commission on Sustainable Development warns that 1.2 billion people
live in countries facing “medium-high to high water stress.”
Data source: World Resources Institute, 2006.

water needs will rise rapidly. China provides an example: Water use for industry,
which was 46 billion cubic meters in 1980, has increased 107% to 95 billion cubic
meters. Adding to the problem in many countries, a great deal of the water needed
for drinking is being contaminated by fertilizer leaching, industrial pollution, human
and animal wastes, and other discharges.
Compounding demands on the water supply even further, global popula-
tion growth means that the water supply worldwide will decline by one-third
by 2050, leaving 7 billion people in 60 countries facing a water shortage. “Of all
the social and natural crises we humans face, the water crisis is the one that lies at
the heart of our survival and that of our planet Earth,” the director-general of the
United Nations Educational, Scientific, and Cultural Organization (UNESCO) has
commented.19
If this projection proves accurate, it could lead to competition for water and to
international tensions. There are, for example, 36 countries with a water “dependency
ratio” above 50, that is they get more than 50% of their freshwater from rivers that
originate outside their borders. The security of these countries would be threatened if
upstream countries diverted that water for their own purposes or threatened to limit
it as a political sanction. For example, Israel, which only has 2.041 cubic meters of
water per capita to begin with, also has a dependency ratio of 55, with a majority of
its water sources originating in the surrounding, often hostile Arab states. Such possi-
bilities have led some analysts to suggest that in the not-too-distant future the access
to water supplies could send “thirsty” countries over the brink of war.
Such concerns are not new. The first known water treaty was negotiated 4,500 years
ago by two Sumerian city-states to end their dispute over water in the Tigris River.
510 CHAPTER 15 Preserving and Enhancing the Biosphere

Just since 1820, according to the UN, more than 400 treaties have been concluded
relating to water as a limited and consumable resource. Nevertheless, old disputes
reemerge and new ones break out. Such disputes recently moved the head of UNEP to
contend that there is an “urgent need” for IGOs to “act as the water equivalent of
marriage counselors, amicably resolving differences between countries . . . [that] may
be straying apart.”20

The Seas and Fisheries

The saltwater oceans and seas cover about two-thirds of Earth’s surface. The water may
not be useful for drinking or irrigation, but the seas are immensely valuable resources.
Their fish and the food they provide are covered in this section; marine pollution is
taken up later in this chapter under environmental concerns.

Pressures on the Seas and Fisheries

Human food requirements put increasing pressure on the ocean’s fish, mollusks, and
crustaceans. The importance of marine life as a source of food plus the demands of a
growing world population increased the marine (saltwater) catch from 17 million tons
in 1950, to 62 million tons in 1980, to 84 million tons recently. Saltwater accounts
for 63% of the world’s fisheries production, with aquaculture providing 30%, and
freshwater wild fisheries supplying the remaining 7%. Given an estimate by the Food
and Agriculture Organization (FAO) that the sustainable annual yield of Earth’s
oceans is no more than 96 million tons, it is clear that a critical point is approaching
rapidly. One recent study concluded that 29% of species that provide seafood had
either been fished so heavily or so damaged by pollution or loss of habitat, such as
reef destruction, that they had been reduced to 10% of peak levels. Most other species
were also depleted to a greater or lesser degree. “I don’t have a crystal ball and I don’t
know what the future will bring, but this is a clear trend,” one researcher commented.
“There is an end [to the marine fisheries] in sight, and it is within our lifetimes.”21
Given that the world’s fisheries supply 15% of the animal protein humans consume,
the danger to the fisheries poses a health threat to countries that rely on fish for vital
protein supplies. Especially imperiled would be Asia and Africa, where fish con-
tribute 20% or more to the often inadequate animal protein in the diet of the regions’
inhabitants (Williams, 2005).

Protecting Fisheries
One major step at the international level came in 1994 when the UN’s convention on
the Law of the Sea went into effect. Agreed to by 148 countries, not including the
United States, the treaty gives countries full sovereignty over the seas within 12 miles
of their shores and control over fishing rights and oil and gas exploration rights
within 200 miles of their shores. That should improve conservation in these coastal
zones. Additionally, an International Seabed Authority, headquartered in Jamaica,
has been established. It will help regulate mining of the seabed in international
waters and will receive royalties from those mining operations to help finance ocean-
protection programs.
National and international efforts are also being made in other areas. A huge de-
cline in demersal fish (such as cod, flounder, and haddock) in the northwest Atlantic
prompted Canada and the United States to severely limit catches in rich fishing
grounds such as the Grand Banks and the Georges Bank off their North Atlantic coasts.
On an even broader scale, 99 countries, including all the major fishing countries,
 Sustainable Development: Resource Problems and Progress 511

agreed in 1995 to an international treaty that will FIGURE 15.6 Fisheries Treaties
regulate the catch of all the species of fish (such as
53
cod, pollock, tuna, and swordfish) that migrate be- Number of multilateral treaties in force
tween national and international waters. As evident
in Figure 15.6, the treaty was part of the rapidly grow-
ing number of international pacts to regulate the
marine catch that have made fishing, as one diplomat
put it, “no longer a free-for-all situation.”22
Despite its relatively minor economic impact,
1
there is no issue of marine regulation that sparks
more emotion than the control of whaling. At the
1930 1940 1950 1960 1970 1980 1990 2000 2006
center of the controversy is the International Whal-
ing Commission (IWC), which was established in The world’s marine fisheries are in danger of being exhausted.
1946. With whale populations plummeting and International recognition of this fact is evident in the rapid growth in
some species nearing extinction, the IWC banned the number of treaties regulating fishing, whaling, crabbing, and other
commercial whaling in 1986. That did not end whal- forms of wildlife harvests in international waters. In addition to the 53
multilateral treaties, there are over 700 bilateral treaties regulating
ing, however. Norway, although an IWC member, shared freshwater and marine fisheries.
objects to the ban and under a loophole in the IWC
treaty takes about 1,000 whales a year; Japan takes Data source: Internet Guide to Fisheries Law, at http://www.oceanlaw.net/texts/index.htm.
another 700 whales under the pretext of scientific
study, which is permitted under IWC rules; and Iceland takes 60 for science. A num-
ber of other counties or indigenous peoples add to the annual whale harvest, which
totals about 1,900. About 80% of all whales taken each year are minke whales, but
more than a half dozen other types, including sperm and humpback whales, are also
harpooned.
The controversy over whaling has occasioned strong clashes at each year’s Web Link
IWC meeting. Japan leads the move to abolish the moratorium, and in 2006 managed For a prowhaling point of view,
to get a one-vote majority in the IWC saying that the number of many species of visit the Web site of the Japan
whales makes the ban no longer necessary. However, abolishing the prohibition Whaling Association at
requires a three-fourths vote of the IWC’s 73 members, and Japanese diplomacy has www.whaling.jp/english/.
not mustered nearly that many votes. Critics accuse Japan of using its foreign aid to Whale-Watch has one of the
numerous antiwhaling sites at
win votes on the IWC and point, for example, to the decision of landlocked Laos to www.whalewatch.org.
join the IWC in 2007 soon after the Laotian prime minister visited Tokyo and recon-
firmed its aid package to his country. However, Great Britain and other countries that
oppose Japan have also been active in encouraging other landlocked, but anti-
whaling countries like Slovakia to join the IWC. Those who advocate whaling claim
that the minke population, which is between 300,000 and 1,000,000, will support
Did You Know That:
limited commercial whaling. They also argue that whaling can provide an important
In 2006, whale meat was
source of food and income. As an official from Dominica put it, “This is a creature
selling for about $10 a
like all others that people depend upon for food, and therefore because of its abun- pound in Japan.
dance we think that we can take a limited amount and make some money out of it.”23
The whaling issue has also become enmeshed with issues of national pride. “There
is a consensus in Japan that as part of the natural right for a sovereign nation it
is perfectly right to continue whaling,” explained a Japanese Ministry of Foreign
Affairs official.24 Advocates for the moratorium argue that too little is known about
whale numbers and reproduction to allow commercial whaling. As for whaling
for supposedly scientific study, the antiwhaling view is typified by a U.S. govern-
ment statement, “The United States believes that lethal research on whales is not
necessary, and that the needed scientific data can be obtained by well-established
nonlethal means.”25
512 CHAPTER 15 Preserving and Enhancing the Biosphere

SUSTAINABLE DEVELOPMENT:
THE ENVIRONMENT

In the environmental equation on p. 492, the growing world population and its in-
creasing consumption of resources are only part of the problem. The third part of that
equation is the increasing waste and pollution from the excretions of over 6 billion
people and the untold billions of domestic animals they keep for food or compan-
ionship and from the discharges of polluting gases, chemicals, and other types of
waste into the water, air, and ground by industry, governments, and individuals.
The state of the biosphere is related to many of the economic and resource issues
we have been examining. Like the concerns over those issues, international awareness
and activity are relatively recent and are still in their early stages. Several concerns that
have an environmental impact, such as desertification, deforestation, and biodiver-
sity loss, have already been discussed. The next sections will look at threats to the
quality of the ground we walk on, the water we drink, the air we breathe, and to the
dangers posed by global warming and ozone layer depletion.

Ground Quality
It seems almost comical to observe that there are serious concerns about the dirt get-
ting dirty. Ground quality is no joke, however. Industrial waste and other discharges
have polluted large tracts of land, some of the largest construction projects engineered
by mankind are garbage dumps (euphemistically called landfills), and destructive
farming techniques have depleted the soil of its nutrients in many areas.

International Ground Quality Issues

The pollution of the land is a significant problem, but the territorial dominance of
Did You Know That:
states usually leaves this issue outside the realm of international action. Exporting
A dumped computer monitor
solid waste for disposal does, however, have an international impact. With their dis-
contains up to 8 pounds of
toxic lead. posal sites brimming and frequently dangerous, EDCs annually ship millions of tons
of hazardous wastes to LDCs. Financial considerations have persuaded some LDCs
to accept these toxic deliveries. Along with sending old tires, batteries, and other
refuse to LDCs, the EDCs also practice so-called e-dumping, shipping millions of dis-
carded computers and other electronic devices overseas for disposal. Some 63 million
computers become obsolete in the United States each year, and many of those are
shipped overseas, supposedly for recycling. According to one report, “The Digital
Dump: Exporting Reuse and Abuse to Africa,” Nigeria alone receives 400,000 such
computers each month.26 What occurs, though, is that small amounts of valuable
minerals (gold, platinum, silver, copper, and palladium) found on some motherboards
are sometimes extracted, and the rest of the unit is dumped, where it adds to ground
and water pollution. In the view of one NGO report, “The export of e-waste remains
a dirty little secret of the high-tech revolution.”27
Although this practice—in essence, using LDCs as disposal sites—is widely
condemned and illegal in some shipping and receiving countries, the UN reports
that “the volume of transboundary movements of toxic wastes has not diminished.”
Even more alarmingly, the report warns, “The wastes are sent to poor countries
lacking the infrastructure for appropriate treatment. They are usually dumped in
overpopulated areas in poor regions or near towns, posing great risks to the environ-
ment and to the life and health of the poorest populations and those least able to pro-
tect themselves.”28 A closely associated international aspect of ground pollution
 Sustainable Development: The Environment 513

Although exporting toxic wastes is banned by

treaty, wealthier countries regularly send
millions of tons of castoffs such as obsolete
computers that contain toxic material to
poorer countries for “recycling.” In this
photograph, Filipino activists outside the
Japanese Embassy in Manila are re-creating
the iconic raising of the American flag over
Mount Suribachi on Iwo Jima during World
War II, to protest what the demonstrators said
were Japan’s efforts to export toxic wastes
throughout Asia under various bilateral trade
agreements. The symbol on the flag is for
Japan’s currency, the yen.

is that it is often caused by waste disposal by multinational corporations (MNCs),

which may set up operations in LDCs because they have fewer environmental
regulations.

International Efforts to Protect Ground Quality

There has been progress on international dumping. The 1992 Convention on the
Control of Transboundary Movements of Hazardous Wastes and Their Disposal (the
Basel Convention), which was signed by 105 countries in Switzerland, limits such
activity. It has been ratified by 170 countries, with the United States among the miss-
ing. There have also been several regional agreements including the Bamako Con-
vention (1998), which includes almost all African states and bans the transboundary
trade in hazardous wastes on their continent, and the Waigani Convention (2001),
which takes the same measures for its parties in the South Pacific. The limits in the
Basel Convention were stiffened further in reaction to the continued export of haz-
ardous wastes under the guise of declaring that the materials were meant for recycling
514 CHAPTER 15 Preserving and Enhancing the Biosphere

or as foreign aid in the form of recoverable materials. At one time Great Britain alone
annually exported up to 105,000 tons of such toxic foreign aid to LDCs, a practice
that one British opposition leader called the “immoral . . . dumping of our environ-
mental problems in someone else’s backyard.”29 Now all such shipments for recycling
and recovery purposes are banned.

Water Quality
There are two water environments: the marine (saltwater) environment and the
freshwater environment. The quality of both is important.

International Water Quality Issues

Marine pollution has multiple sources. Spillage from shipping, ocean waste dumping,
offshore mining, and oil and gas drilling combine for a significant part of the pollu-
tants that are introduced into the oceans, seas, and other international waterways.
Petroleum is a particular danger. Spills from tankers, pipelines, and other parts of the
transportation system during the 1990s dumped an annual average of 110,000 tons of
oil into the water, and discharges from offshore drilling account for another 20,000 tons.
The flow of oil from seepage and dumpsites on land or oil discharge into inland
waters making their way to the ocean is yet another large man-made source, with
these sources annually adding about 41,000 tons of oil to the marine environment.
Some spills are spectacular, such as the August 2003 grounding on Pakistan’s coast of
the Greek oil tanker Tasman Spirit, which spilled 28,000 tons (7.5 million gallons),
but less noticed are the many smaller spills that add to the damage.
Other major carriers of marine pollution are rivers, which serve as sewers trans-
porting human, industrial, and agricultural waste and pollutants into the seas. The
runoff from fertilizers is a major pollutant, and their annual global use at about
153 million metric tons is nearly quadruple what it was in 1960. The exploding world
population, which creates ever more intestinal waste, adds further to pollution. Many
coastal cities are not served by sewage treatment facilities. Sewage is the major pol-
luter of the Mediterranean and Caribbean seas and the ocean regions off East Africa
and Southeast Asia. Industrial waste is also common. Because they often have neither
modern equipment nor standards, discharges are especially common and dangerous
in LDCs. During 2006, for example, China’s State Environmental Protection Admin-
istration (SEPA) recorded 161 “serious” spills and many more minor ones off the
coast of China, leading SEPA’s deputy director to characterize 2006 as “the most grim
year for China’s environmental situation.”30
Of these pollutants, the influx of excess nitrogen into the marine system is espe-
cially damaging. Human activities, such as using fertilizers and burning fossil fuels,
add about 210 million metric tons to the 140 million metric tons of nitrogen gener-
ated by natural processes. Excess nitrogen stimulates eutrophication, the rapid
growth of algae and other aquatic plants. When these plants die in their natural
cycle, the decay process strips the water of its dissolved oxygen, thereby making it
less and less inhabitable for aquatic plants, fish, and other marine life. To make mat-
ters worse, some algae blooms are toxic and take a heavy toll on fish, birds, and ma-
rine mammals. The Baltic Sea, Black Sea, the Caribbean, Mediterranean Sea, and
other partly enclosed seas have been heavily afflicted with eutrophication, and even
ocean areas such as the northeast and northwest coasts of the United States have seen a
significant increase in the number of algae blooms in the last quarter century. Inasmuch
as 99% of all commercial fishing is done within 200 miles of continental coasts, such
pollution is especially damaging to fishing grounds.
 Sustainable Development: The Environment 515

Freshwater pollution of lakes and rivers is an in- FIGURE 15.7 Marine Oil Spills
ternational as well as a domestic issue. The discharge
of pollutants into lakes and rivers that form interna- Average annual number
tional boundaries (the Great Lakes, the Rio Grande) of small spills
57
or that flow between countries (the Rhine River) is a Average annual number
source of discord. Additionally, millions of tons of of large spills
organic material and other pollutants that are dumped
into the inland rivers around the world eventually
find their way to the ocean. Freshwater pollution is
35
also caused by acid rain and other contaminants that
drift across borders. 27
25
International Efforts to Protect Water Quality
17
Marine pollution control has been on the interna-
tional agenda for some time, and progress has been
9 8
made. One of the first multilateral efforts was the In-
4
ternational Maritime Organization, founded in 1958
in part to promote the control of pollution from ships.
Increased flows of oil and spills led to the Interna- 1970s 1980s 1990s 2000s
tional Convention for the Prevention of Pollution from While improvements in some areas of environmental concern have
Ships (1973). More recently, 43 countries, including been frustratingly slow or even absent, other areas such as preventing
the world’s largest industrial countries, agreed to a oil spills in the oceans have made impressive advances. As evident
global ban effective in 1995 on dumping industrial here, overall incidents in the 2000s are down 74% from the 1970s
wastes in the oceans. The countries also agreed not to and large spills are down 84%.
dispose of nuclear waste in the oceans. These efforts Notes: Small spills are those from 7 tons to 699 tons. Large spills are those of 700 tons
have made a dramatic difference for marine oil spills and over. 2000s is through 2006.
Data source: International Tanker Owners Pollution Federation, “Oil Tanker Spill
as Figure 15.7 demonstrates. During the 1970s, the Statistics,” at www.itopf.com.
average year saw 314,000 tons of oil spew into the
oceans and seas; that spillage was down to 29,000 tons a year during 2000–2004.
National governments are also taking valuable enforcement steps, with, for instance,
the U.S. Justice Department fining 10 cruise lines a total of $48.5 million between
1993 and 2002.
On another front, 146 countries (not including Russia or the United States) have
ratified the Stockholm Convention on Persistent Organic Pollutants (2001), a treaty
that bans 12 so-called dirty dozen pollutants, such as various insecticides, PCBs, and
dioxins, which have been linked to birth defects and other genetic abnormalities.
These pollutants contaminate water either directly, through seepage from the land,
or from rainfall and eventually enter the food chain. Some also cause other forms of
destruction. DDT, for example, has attacked eagle and other populations by signifi-
cantly reducing the chances that eggs will hatch.

Air Quality
Air is the most fundamental necessity of the biosphere. It sustains life, but it can
also contain pollutants that can befoul lungs as well as the land and water. More-
over, the world’s air currents ignore national boundaries, making air quality a major
international concern.

International Air Quality Issues

The quality of the air we breathe has deteriorated dramatically since the begin-
ning of the industrial revolution. Now, air pollution from sulfur dioxide (SO2),
516 CHAPTER 15 Preserving and Enhancing the Biosphere

Web Link nitrogen dioxide (NOx), and particulate matter (PM, such as dust and soot) cause
For information on the health
about 2 million deaths a year, according to WHO. The majority of those are in Asia,
and other impacts of SO2, NOx, where most of the major cities exceed WHO guidelines for suspended particles. For
PM, and other air pollutants, go example, Beijing’s SO2 concentration is 4.5 times higher than the WHO’s health stan-
to the site of the U.S. Environ- dard, the city’s NOx level is 3 times higher, and its suspended particulate matter is
mental Protection Agency at
5 times higher.
http://www.epa.gov/air/urbanair/
6poll.html.
Using SO2 as an illustration, we can dig a bit deeper in air quality issues. Sulfur
is common in raw materials such as petroleum, coal, and many metal ores. SO2 is
emitted when such materials are burned for fuel or during such industrial processes
as petroleum refining, cement manufacturing, and metal processing. SO2 has numer-
ous deleterious effects. It can cause or aggravate respiratory problems, especially in
the very young and the elderly. The sulfurous gas in the atmosphere forms an acid
when combined with water, and the resulting acid rain contaminates water resources
and attacks forests. The damage done by acid rain has followed development. The
United States, Canada, and Europe were the first to suffer. Especially in the northern
part of the United States and in Canada there has been extensive damage to trees, and
many lakes have become so acidified that most of the fish have been killed. Europe
has also suffered extensive damage. About a quarter of the continent’s trees have sus-
tained moderate to severe defoliation. The annual value of the lost lumber harvest to
Europe alone is an estimated $23 billion. The ecotourism industry in once-verdant
forests around the world is also in danger, imperiling jobs. The death of trees and their
stabilizing root systems increases soil erosion, resulting in the silting-up of lakes and
rivers. The list of negative consequences could go on, but that is not necessary to
make the point that acid rain is environmentally and economically devastating.

Protecting Air Quality

On the positive side, annual EDC emissions of air pollutants have declined dramat-
ically. Since 1940, for instance, U.S. emissions have dropped 51% for SO2, 30% for
NOx, and 80% for particulate matter. Unfortunately, the improvement in the EDCs
is being more than offset by spiraling levels of air pollution in the LDCs. This is par-
ticularly true in Asia. There, rapid industrialization combined with the financial
inability to spend the tens of billions of dollars needed to control SO2 emissions is
expected to more than triple annual SO2 emissions from 34 million tons in 1990 to
about 115 million tons in 2020. Even now, according to the World Bank, China has
16 of the 20 most polluted cities globally. Among the ill effects, China’s Ministry of
Science and Technology estimates that air pollution annually kills 50,000 newborn
babies.
There have also been several international efforts to address air quality. Some re-
gional agreements, such as the 1985 Helsinki Protocol for reducing SO2 emissions in
Europe, have been followed by improved air quality (Ringquist & Kostadinova,
2005). Various international agencies, such as UNEP and WHO work to warn against
the danger of air pollution and help countries reduce it. Some funding is also avail-
able. For example, about 6% of the loans the World Bank made in 2004 were for en-
vironmental improvement programs. In the end, though, countries will have to be at
the forefront of the effort to improve air quality. The costs are significant. In 2007,
China’s government pledged to spend $180 billion over five years on environmental
protection. With 90% of the country’s SO2 emissions, 70% of its NOx emissions, and
a significant part of its PM discharges produced by burning coal, China plans to de-
vote about 10% of its environmental funds to such efforts as flue gas desulfurization.
China predicts that it can meet WHO SO2 standards by 2020, but that is a significant
technological and budgetary challenge.
 Sustainable Development: The Environment 517

One of the by-products of economic development in the South has been rapidly declining air quality as
a result of emissions from factories, cars, and other sources of pollution. The often dire conditions are
captured in this 2007 photograph of a woman wearing a mask to try to shield her lungs from the murky
air in Linfen, a city in China’s Shangxi province. Linfen may be the world’s most polluted city. Illustrating
one dilemma of sustainable development, an official of the province’s environment agency commented,
“If we closed all Linfen’s polluting factories, the environment would clear up. . . . But then a new
problem would emerge—how would people afford to eat?”

The Ozone Layer

Atmospheric ozone (O3) absorbs ultraviolet (UV) rays from the sun. About 90% of
all O3 is found within the ozone layer, which rings Earth 10 to 30 miles above the
planet. Without it, human life could not exist.

Ozone Layer Depletion

There is little doubt that the ozone layer has been thinned or that the consequences are
perilous. The ozone layer is being attacked by emissions of chlorofluorocarbons
(CFCs), a chemical group used in refrigerators, air-conditioners, products such as
Styrofoam, many spray can propellants, fire extinguishers, and industrial solvents.
The chemical effect of the CFCs is to deplete the ozone by turning it into atmospheric
oxygen (O2), which does not block ultraviolet rays. This thinning of the ozone layer
increases the penetration through the atmosphere of ultraviolet-B (UV-B) rays, which
cause cancers and other mutations in life forms below. The impact of this on Americans
was noted in chapter 1. Australia and New Zealand have measured temporary in-
creases of as much as 20% in UV-B radiation, and light-skinned Australians have the
world’s highest skin cancer rate. Another possible deleterious effect of increased
UV-B bombardment came to light during a study of the water surrounding Antarctica.
Over the area, a hole 3.86 million square miles in size—about the size of Europe and
with as much as a 70% depletion of atmospheric O3—occurs annually. There scien-
tists found evidence of a 6% to 12% decline in plankton organisms during the period
of the annual ozone hole. Such losses at the bottom of the food chain could restrict
518 CHAPTER 15 Preserving and Enhancing the Biosphere

the nutrition and health of fish and eventually of humans farther up the food chain.
Ozone levels over the rest of the world have declined less than over the South Pole,
but they are still down about 10% since the 1950s.

Protecting the Ozone Layer

Among its other accomplishments, the UNEP sponsored a 1987 conference in
Montreal to discuss protection of the ozone layer. There, 46 countries agreed to re-
duce their CFC production and consumption by 50% before the end of the century.
Subsequent amendments to the Montreal Convention were negotiated at quadrennial
conferences, the last of which was held in Nairobi, Kenya, in 2003. The major issue
was a U.S. move to increase its permitted use of methyl bromide, a pest control. The
effort was rejected.
Overall, there is relatively good news on ozone depletion. The annual buildup
of CFC concentrations reversed itself from 5% in the 1980s to a slight decline begin-
ning in 1994, only seven years after the Montreal Convention. Somewhat modifying
this good news is the fact that the CFC buildup had increased so rapidly in the years
before 1987 that it will take many decades before the damage is substantially reversed.
Moreover, even that is far from certain. The most important caveat has to do with the
economic advancement of the LDCs. The substitutes for CFCs in refrigerants and
other products are expensive, and the estimates of phasing out CFCs worldwide range
up to $40 billion. Therefore LDCs will be hard-pressed to industrialize and provide
their citizens with a better standard of living while simultaneously abandoning the pro-
duction and use of CFCs. For example, refrigerators, which not long ago were rare in
China, are becoming more and more commonplace. China has pledged to end CFC
production by 2010, but it still has 27 CFC plants operating, and ending production
with outside help now would be better than ending it (hopefully) alone later.

Global Warming
During the past few years, global warming, the increase in Earth’s average annual
temperature has become the leading environmental concern and point of controversy.
Global warming’s place at center stage was symbolized in 2007 by former Vice Presi-
dent Al Gore Jr., as he stepped up to center stage to claim his Oscar award for the
documentary An Inconvenient Truth. Gore told the Hollywood audience and several
hundred million television viewers that addressing global warming was not just a
political issue, but a “moral issue.” “We have everything we need to get started,” he
urged, “with the possible exception of the will to act.” As if to second the call to action,
singer Melissa Etheridge also received an Oscar for the movie’s theme song, “I Need
to Wake Up.” There can be little doubt that Earth is warming, but what Gore and
many others believe is that its cause is the accumulation in the upper atmosphere of
carbon dioxide (CO2) and other greenhouse gases (GHGs), especially methane and
chlorofluorocarbons (CFCs), generated mostly by human activity. These gases create
a blanket effect, trapping heat and preventing the nightly cooling of Earth. Reduced
cooling means warmer days, producing what is known as the greenhouse effect based
on the way an agricultural greenhouse builds up heat by permitting incoming solar
radiation but hindering the outward flow of heat.

Global Warming: What We Know

Three things are clear. Each is detailed in Figure 15.8. First, global emissions of green-
house gases have risen significantly. The primary cause has been a huge increase in the
emissions of GHGs from burning fossil fuels because of industrialization and the
 Sustainable Development: The Environment 519

FIGURE 15.8 Global Warming Causality

Annual carbon dioxide emissions 7,923 Carbon dioxide in atmosphere
(millions of metric tons) (parts per million) 382

292

236

1880 1900 1920 1940 1960 1980 2006 1880 1900 1920 1940 1960 1980 2006
Annual carbon dioxide emissions Carbon dioxide in the atmosphere

Average 5 year temperature

(˚ Fahrenheit) 58.1˚

56.8˚

1880 1900 1920 1940 1960 1980 2006

Average world temperature

To understand global warming, it is helpful to consider these three graphs together. Each covers the
period 1880–2006. The top left graph shows that during that period carbon dioxide (CO2) emissions
increased nearly 34 times. These increased emissions caused a significant build-up of CO2 in the
atmosphere, which is evident in the upper-right graph. Most, but not all, scientists believe that the
increase in atmospheric CO2 has created a greenhouse effect that is substantially or wholly responsible
for the steady increase in Earth’s average temperature, as shown in the last of the three graphs.
Data sources: World Resources Institute, U.S. Energy Information Agency, and U.S. Carbon Dioxide Information Analysis
Center.

need of the growing world population to warm itself and cook its food. The rate of
increase has accelerated in recent decades. For example, CO2 emissions more than
tripled between 1960 and 2006 alone. Deforestation accelerates the build up of CO2
in the atmosphere because it destroys trees needed to convert CO2 into oxygen by the
process of photosynthesis. One way to calculate this is to compare the CO2 impacts
of an SUV and a big tree. Based on the amount of CO2 discharged by an SUV, which
burns 800 gallons of gas to go 12,000 miles a year (at 15 miles per gallon), and the
amount of CO2 a large tree can absorb and convert to oxygen, it takes 333 trees to
absorb the CO2 emitted annually by each SUV.
A second certainty is that atmospheric CO2 concentrations have risen, as also clear
in Figure 15.8. That most of this added CO2 comes from human intervention is evident
520 CHAPTER 15 Preserving and Enhancing the Biosphere

in the fact that the start of the growing increases coincides with the beginning of the
industrial revolution in the mid-1700s. Not only did factories and other commercial
uses of fossil fuels put more CO2 into the atmosphere, but it built up because the
greenhouse gases emitted into the atmosphere linger there for up to 200 years before
dissipating. As a result, CO2 concentrations have increased 38% over the last 250 years
or so. The increase was slow at first, then gradually grew steeper before accelerating
even more beginning in the 1950s. Of the overall increase between 1750 and 2006,
half occurred after 1975.
Third, there is no doubt that the global temperature is rising, that is, global warm-
Did You Know That:
ing is occurring. Between 1880 and 2006, as Figure 15.8 additionally shows, Earth’s
As of 2006, the ten hottest
average temperature has risen 0.7°C/1.3°F. In fact, the 10 warmest years since records
years since records have
been kept were, in order: were first kept in 1856 occurred during the ten-year span 1997–2006. The warmest
2005, 1998, 2002, 2003, year on record was 2005, 2006 was fifth, and at this writing 2007 appears headed to
2006, 2004, 2001, 1997, being warmer than 2006. Almost certainly the first decade of the 21st century will
1999, and 2000. replace the last decade of the 1900s as the hottest decade since the mid-1800s and
probably much earlier. Because it can be shown experimentally that a CO2 buildup
traps heat, there is certainly a strong prima facie case that the causality chain is:
greater CO2 emissions ¡ a buildup of atmospheric CO2 ¡ global warming. Most,
but as we shall see, not all believe that this causal chain is valid.

Global Warming: What Is in Dispute

Four things about global warming are controversial. One is whether or what part of
www global warming is caused by humans. It is possible that some or all of it is a natural
phenomenon. As one atmospheric scientist notes, no one is “arguing over whether
there’s any global warming. The question is, What is the cause of it?”31 The second
ANALYZE THE ISSUE
Global Warming issue is whether global warming will have dire environmental consequences or an
impact that will in some cases be beneficial and in other cases can be addressed using
modern technology. Third, what will the economic consequences of global warming
be? Fourth, what economic and lifestyle changes will be necessary to halt or at least
significantly slow down the rate of global warming?

The Cause of Global Warming To restate the question: What are the relative contri-
Did You Know That:
butions, if any, of human activity and natural phenomena to global warming? Repre-
The first warning about
senting the environmental optimists’ point of view, a former U.S. secretary of energy
global warming was issued in
1896 by Swedish chemist rejects the “political alarmism over global warming” and argues that the “cold, hard
Svante Arrhenius, who wrote, facts take the heat out of global warming.”32 One counterargument that optimists
“We are evaporating our coal make is to point out that Earth has natural warming and cooling trends, and they
mines into the air.” attribute a good part of the current global warming to this natural cycle, rather than
human activity. They note, among other things, that many scientists believe that the
world experienced a gradual temperature rise for at least a millennium that was
interrupted beginning in about 1200 by the “Little Ice Age.” This period of sharply
cooler temperatures reached its frosty nadir in the 1600s and it was not until around
1850 that temperatures once again reached what they had been over 600 years earlier.
There is no disputing that temperatures have continued to rise since that point. What
optimists contend is that all or most of the increase is an extension of the natural
warming cycle that brought Earth out of the Little Ice Age or, from an even longer
perspective, has been going on for at least 2,000 years, interrupted only by the Little
Ice Age. If all this is the case, as optimists claim, then human activity has only a
limited role, at best, in global warming. Therefore, taking on large costs and making
significant lifestyle sacrifices to curb GHG emissions will have little impact on global
warming.
 Sustainable Development: The Environment 521

Environmental pessimists contend that humans are the cause of all or most of cur-
rent global warming. The most recent report (2007) of the UN-sponsored Intergov-
ernmental Panel on Climatic Change (IPCC) declares that there is “high agreement”
among scientists based on “much evidence” that, “since pre-industrial times, increas-
ing emissions of GHGs due to human activities have led to a marked increase in at-
mospheric GHG concentrations.” Moreover, the report found that the “widespread
warming of the atmosphere and ocean, together with ice mass loss, [make it] extremely
unlikely that global climate change of the past 50 years can be explained without
external forcing, and very likely that it is not due to known natural causes alone.”33
While the IPCC does not rule out some role for natural global warming, it notes sev-
eral things. One is that GHGs are higher than they have ever been. Methane levels, for
example, are three times what they ever were. Second, the rate of temperature increase
in the past 50 years or so is much faster than earlier, whether that increase was driven Web Link
by human activity or natural warming, and this sharp upturn coincides with the sharp The Arctic Climate Impact
upturn in the emissions of GHGs. Third, temperatures are now beyond what even Assessment, which has great
accepting natural warming would predict. For example, the temperatures at the poles maps, photographs, and data
are higher today than in any time in the last 125,000 years. presentations, is available at
http://amap.no/acia/.

The Environmental Impact of Global Warming Environmental pessimists predict

dire consequences from global warming. The IPCC estimates that the world’s aver-
age temperature could rise several more degrees by the year 2100, about doubling
the temperature increase since the last ice age. Potential global temperature changes
are shown in the map on page 522. The pessimists believe this change has already Web Link
altered rainfall, wind currents, and other climatic patterns, and that the deleterious Information and graphics on
effects, such as the melting of the polar ice caps and the rise of sea levels, will El Niño/La Niña are available
escalate during the coming century as temperatures continue to rise. For example, a from the National Oceanic and
2004 study, “Arctic Climate Impact Assessment” found that in the previous 30 years Atmospheric Administration at
www.elnino.noaa.gov/.
the area of the Arctic ice had shrunk by 8% (the equivalent of Norway, Sweden,
and Denmark disappearing) and that the average thickness of the ice had declined
10% to 15%. According to IPCC, such melting could cause sea levels in different
regions to rise up to 3 feet, with the floods displacing well over 100 million people
during this century. Particularly at risk are island countries. Expressing their con-
cerns during the UN Millennium Summit in 2000, the president of the Maldives,
an Indian Ocean island country, asked rhetorically, “When the UN meets [in 2100]
to usher in yet another century, will the Maldives and other low-lying nations be
represented here?”34
Did You Know That:
Destructive weather changes are yet another possible peril because global
warming affects ocean temperatures and currents and upper atmosphere wind pat- La Niña is marked by
unusually cold water in the
terns, which, in turn, control rainfall, temperature, and other climatic variables. mid-Pacific; El Niño is
Droughts could occur in some places; other areas could see much heavier precipita- marked by unusually warm
tion including periods of torrential rainfall. “It’s going to be a wild ride, especially water in the same region.
for specific regions,” one climatologist recently predicted.35 An important factor in The term El Niño originated
such weather changes are the El Niño/La Niña (unusual warming/cooling) condi- with South American fisher-
men who noticed that unex-
tions that are natural but have been occurring with increasing frequency and inten- pectedly warm water would
sity in the equatorial Pacific Ocean. Just one impact, according to the head of the appear some years near
U.S. Bureau of Land Management’s weather program, is “increasing fire problems Christmas. This led to the
because of global warming” because “drier conditions will exist over the next 10 to name, which means “little
20 years.”36 boy” and refers to the Christ
child. Since La Niña is the
The IPCC projects many other negative impacts of global warming, but detail- opposite of El Niño, that
ing them is not as important as the panel’s primary point: Global warming is disrup- name soon came into use.
tive. The panel concedes that there are and will be some benefits. For example, some
522 CHAPTER 15 Preserving and Enhancing the Biosphere

Potential Global Temperature Change

– –
– – –
– + +
+ + – + +
+ – + +
–
– + + – + + +
+ + – +
+ – + –
+
– – – – +
–
+ – +
– –
– + – –
+ +
Potential Global Climate – + –
Change by 2025 – –
+ +
0.0–0.9˚C –
1.0–1.9˚C
– –
2.0–2.9˚C +
3.0–3.9˚C – – +
4.0–4.9˚C +
5.0–6.9˚C –
7.0–8.9˚C
9.0–10.9˚C
11.0–15.0˚C
+ Soil humidity expected to
increase by more than 20% 0 1000 2000 Miles
Scale: 1 to 180,000,000
– Soil humidity expected to 0 1000 2000 3000 Kilometers
decrease by more than 20%
Note: Temperature increases in the
Antarctic region are predicted to fall
into the 0–4˚C range.

Climate shifts from global warming will range from dramatic to modest if this map’s projected
changes in temperature and precipitation (measured by soil humidity) are correct. It would be an
error to assume that you can necessarily feel relieved if you live in a low-change area or even one
in which the climate will improve. Shifts in one part of the world can have impacts far away. For
example, some scientists believe warmer ocean temperatures fuel more and stronger hurricanes.
If that is correct, then hurricanes such as Katrina in 2005 may become the rule instead of the
exception.

areas that were once very dry or extremely cold are becoming more agricultur-
ally productive. Overall, though, the IPCC concludes that the positive results “are
expected to diminish as the magnitude of climate change increases. In contrast
many identified adverse effects are expected to increase in both extent and severity
with the degree of climate change. When considered by region, adverse effects are
projected to predominate for much of the world, particularly in the tropics and
subtropics.”
Web Link Environmental optimists downplay the damage from global warming. “It should
A global warming site represent-
be pretty clear,” says one, “that warming to date didn’t demonstrably dent health and
ing the environmental optimists’ welfare very much.” There is no reason, he added, “to expect a sudden [greater dan-
point of view is that of the ger] in the next 50 years.”37 Moreover, the optimists predict that some areas could
Cooler Heads Coalition at benefit and most could adapt to the changes brought on by global warming. Drought
www.globalwarming.org/. The
in some regions would damage their present agricultural areas, but new arable areas
environmental pessimists’ per-
spective is presented by a coali-
would be created and would prosper in other regions. Farmers in colder regions
tion of environmentalist groups might have their growing seasons and bounty increased. Moreover, optimists contend
at www.climatehotmap.org/. that the world can use its technological and financial resources to deal with whatever
climate change does occur without causing major changes to our economies or
 Sustainable Development: The Environment 523

lifestyles. Optimists believe for example, that nuclear power plants can safely replace
environmentally unfriendly coal- and oil-fueled power plants. France and Great Britain
have similar economies, yet Great Britain, which generates only 25% of its electricity
from nuclear power, emits 50% more CO2 per capita than does France, where nuclear
plants generate 75% of its electricity. In sum, according to one optimistic scientist,
“The prospects for having a modest climate impact instead of a disastrous one are
quite good.”38

The Economic Impact of Global Warming Projections of what it will cost to protect
against the damage from global warming range very widely. One problem is that
studies make different assumptions about how much danger there is from flooding,
more violent weather, the loss of agricultural land to arid conditions, and many other
factors that environmental pessimists stress and environmental optimists minimize.
Another problem is the diverse cost estimates of preventing or repairing damage. At
the pessimistic end of the spectrum, a recent study by the British government esti-
mates that global warming costs could eventually rise to 5% to 20% of the world’s
annual GDP, a level associated with world wars and the Great Depression. The lead
author of the report warned that “delaying action [to address global warming], even
by a decade or two, will take us into dangerous territory.”39 At the other end of the
spectrum, one economist predicts that global warming will cost the EDCs less than
1% of their collective GDPs through 2050. Similarly, a Danish scientist argued in
2002 that the damage from global warming of the next half century would come to
between $5 trillion and $8 trillion. This can be put into context by taking that year’s
global GNP ($31.5 trillion), projecting it out over 50 years ($1.56 quadrillion), and
calculating that $8 trillion would come to one-half of 1% of that total. Compounding
the puzzle even more, the longer-term the economic projections are, the less reliable
they inevitably become. Regarding such projections, one economist commented,
“Going past 2050, the cleverness really has to kick in.”40

The Costs of Halting or Substantially Slowing Global Warming Projections of what

it will cost economically and in terms of lifestyle to address global warming also
range widely, with pessimists saying that the cost will be high and the optimists
prone to diminishing them. It would take volumes to cover the different cost esti-
mates, and resolving them is impossible because they rest on vastly different assump-
tions, just as do the estimates of the economic impact of global warming. What it
is safe to say is that there will be significant costs that will impact people’s wallets
or their lifestyles or both. Consider, for example, one existing proposal for a U.S.
tax on CO2 emissions of $14 a ton to promote conservation and to raise money
to combat global warming.41 That would mean an added tax of about 12 cents a
gallon on gasoline. Given that Americans drive 9,800 miles a year per capita (not
per driver) and the U.S. government estimate that the average private vehicle gets
17.1 mpg, that comes to an added annual tax of $69 per person, or $276 for a family
of four. The cost of electricity from coal- and oil-fuel plants would also go up,
and people would pay more for a wide range of goods because of the added cost of
producing and delivering them. Surely, such costs might be lower than the expense
of dealing with the damage from global warming. The bottom line, as one econo-
mist puts it, is “There’s no easy way around the fact that if global warming is a
serious risk, there will be serious costs” from its damage, the costs to address it,
or both.42 There is also wisdom in the observation, “It’s important for the people
arguing for action to make the case that it’s worth it, rather than the promise that
it will be free.”43
524 CHAPTER 15 Preserving and Enhancing the Biosphere

The International Response to Global Warming

The early movement toward addressing global warming came at the World Climate
Conference (WCC, 1990), at which most EDCs other than the United States made
nonbinding pledges to stabilize or reduce greenhouse gas emissions, and Earth
Summit I’s Global Warming Convention (1992, more formally the United Nations
Framework Convention on Climate Change, UNFCCC), whereby virtually all coun-
tries, including the United States, agreed to ease pressure on the climate and to work
toward a global solution through annual meetings to discuss policy.

The Kyoto Protocol During the 1997 round of these discussions in Kyoto, Japan,
conferees drafted a supplement to the treaty called the Kyoto Protocol. This agree-
ment came after intense negotiations, often divided along familiar North-South lines.
The South wanted the EDCs to cut GHG emissions by 12–15% by 2012 and to pro-
vide the LDCs with massive new aid to cut pollution. Most EDCs found neither of
these proposals acceptable. The EDCs wanted the LDCs to commit to upper limits
on future emissions, but the LDCs rejected this idea, arguing, “Very many of us are
struggling to attain a decent standard of living for our people. And yet we are con-
stantly told that we must share in the effort to reduce emissions so that industrialized
countries can continue to enjoy the benefits of their wasteful lifestyle.”44 The com-
promise was to require the EDCs to reduce GHG emissions by about 7% below their
1990 levels by 2012 and to urge, but not require LDCs to do what they can to restrain
GHG emissions. The protocol specified that it would go into effect when ratified
by at least 55 countries representing at least 55% of the world’s emissions of GHG at
that point. Those standards were met in 2005, and by mid-2007, 173 countries had
ratified the treaty (Fisher, 2004).
Of the handful of countries that have not ratified the treaty, the United States
is the most prominent. Although Vice President Gore was the chief U.S. negotiator
in Kyoto and signed the protocol on behalf of the United States, President Clinton
did not send it to the Republican-controlled Congress for ratification because he
knew it faced certain death there. Among other indications, the Republican leader
in the Senate condemned the Kyoto Protocol as a “flawed treaty” that would cripple
the U.S. economy.45 The election of President Bush in 2000 ended any immediate
chance of U.S. adherence to the treaty. One reason he cites for his opposition is
the lack of requirements for LDCs. “It is ineffective, inadequate, and unfair to America,”
he told reporters, “because it exempts 80% of the world, including major popula-
tion centers such as China and India, from compliance.”46 Bush also argues that com-
plying with “the Kyoto treaty would severely damage the United States’ economy.”
Placing himself squarely in the camp of environmental optimists, he argued, “We
can grow our economy and, at the same time, through technologies, improve our
environment.”47

Recent Developments More recently, the debate over what to do about global warm-
ing has heated up anew. The change has been driven by the increasingly certain IPCC
declarations that global warming is manmade, amid more and more dramatic warn-
ings about the impact of global warming; by the campaign of Al Gore and such other
events as the Live Earth concerts held around the world in July 2007, featuring
entertainers including Bon Jovi, Madonna, and Snoop Dogg; and by the recapture
of Congress by the Democrats in 2007 and the impending end of Bush’s presidency
in 2009.
Among other initiatives, Great Britain in 2007 introduced global warming for
the first time as a topic in the UN Security Council, arguing that it presented a threat
 Sustainable Development: The Environment 525

When the leaders of the Group

of Eight gathered in Germany
in 2007, all but President
Bush of the United States were
in agreement that countries
should agree to strict limits of
greenhouse gases (GHGs).
President Bush’s plan to call a
new conference to negotiate
voluntary targets for, not
mandatory limits on GHGs is
captured in this editorial
drawing of seven of the G-8
leaders dressed for one form
of football (soccer in American
parlance), and a lone one for
American-style football.

to world security. British Foreign Secretary Margaret Beckett contended, “Our re-
sponsibility in this Council is to maintain international peace and security, including
the prevention of conflict. An unstable climate will exacerbate some of the core driv-
ers of conflict, such as migratory pressures and competition for resources.”48 But
the ongoing North-South divide stymied the British effort, with China’s representa-
tive rejecting the initiative on the grounds that, “The developing countries believe
that the Security Council has neither the professional competence in handling cli-
mate change, nor is it the right decision-making place for extensive participation
leading up to widely acceptable proposals.”49 The European countries and Canada
also pushed hard for a strong statement of the Group of Eight leaders (see chapter 13)
at their 2007 meeting in Germany, but the United States insisted on moderating the
language.
In part all such efforts were skirmishes leading up to the 2007 round of WCC
talks scheduled for Bali, Indonesia, and its agenda for extending the Kyoto Protocol
beyond 2012 (the year that it expires) and expanding its limitations on GHG emis-
sions. Japan, for example, proposed a 50% mandatory cut in emissions by 2050. The
diplomatic maneuvering that precedes the talks features familiar themes in environ-
mental politics. First the EU countries, most other EDCs, and the LDCs were pres-
suring the United States to reengage with the Kyoto process and agree to roll back its
emissions. The prospects of that were dim, though, with the U.S. delegate to the talks
commenting, “I just think that it’s not going to happen. It’s certainly not something
we think the time is right for.”50 Second, the EDCs were insisting that China, India,
and other LDCs that have become major sources of GHG emissions accept limits.
These are needed because of the rapid increase in LDC emissions, as detailed in
Figure 2.5 on p. 61, which gives substance to one scholar’s view that, “Unless China
and India are brought in, it won’t matter much what the developed world does.”51
Third, the LDCs will resist limits. “Any legally mandated measures [on the LDCs] for
526 CHAPTER 15 Preserving and Enhancing the Biosphere

reducing emissions are likely to have significant adverse impacts on GDP growth
and this will have serious implications for poverty alleviation efforts,” India’s minister
of the environment complained.52 The LDCs also restated their long-standing posi-
tion, as China’s chief environmental negotiator put it, that the “developing countries
need assistance in technology and financial resources from developed countries.”53
Looking on the upside, one UN official noted the strong commitment of the EU,
Japan, and other EDCs to GHG emissions controls and the willingness of Brazil,
South Africa, and some other LDCs to contemplate limits on LDC emissions. He de-
clared optimistically, “I think there are quite encouraging signals from both developed
and developing countries that they are willing to go to the next level.”54 Perhaps, but
the barriers to the United States and to China, India, and other LDCs agreeing to lim-
its left Japan’s delegate characterizing himself as “really, really pessimistic” about the
negotiations at Bali.55 Thus for all the debate over the scientific evidence, the future of
global cooperation to address global warming “is not something that goes on inside a
computer,” according to one analyst, “but a grand political calculation.”56

CHAPTER SUMMARY

THE ECOLOGICAL STATE OF THE WORLD and Development in Cairo marked the latest step in
1. This chapter deals with international ecological the effort to control population and the associated
concerns and cooperation. Self-interest—some attempts to improve women’s reproductive and
people would say self-survival—compels us to at- other rights. There are also numerous international
tend to issues concerning the world’s expanding organizations, such as the United Nations Popula-
population, the depletion of natural resources, the tion Fund, working in the area. The most effective
increase of chemical discharges into the environ- way to control population is to improve the educa-
ment, and the impact of these trends on the global tional and economic status of women and to make
biosphere. contraceptive services widely available.

SUSTAINABLE DEVELOPMENT SUSTAINABLE DEVELOPMENT:

2. A key concept and goal is sustainable develop- RESOURCE PROBLEMS AND PROGRESS
ment. The key questions are how to ensure that 5. Increasing population and industrialization have
LDCs develop industrially, how to maintain the rapidly accelerated the use of a wide range of
standard of living in the EDCs, and how to also natural resources. It is possible, using known re-
simultaneously protect the environment. Given sources and current use rates, to project that petro-
the justifiable determination of the LDCs to de- leum, natural gas, and a variety of minerals will
velop economically, the potential for accelerated be totally depleted within the present century.
resource depletion and pollution production is The world’s forests, its supply of freshwater, and
very high. its wildlife are also under population and indus-
3. There is a wide range of views about how great the trialization pressure. There are many international
threats to the biosphere are and what can and governmental and nongovernmental organizations
should be done to address them. and efforts, symbolized by the 1992 Earth Summit,
to address these problems.
SUSTAINABLE DEVELOPMENT:
POPULATION PROBLEMS AND PROGRESS SUSTAINABLE DEVELOPMENT: THE ENVIRONMENT
4. Population is a significant problem facing the world, 6. Population growth and industrialization are also
with the global population surpassing the 6 billion responsible for mounting ground pollution, water
mark. The 1994 UN Conference on Population pollution, air pollution, global warming, and ozone
 Key Terms 527

layer depletion due to atmospheric pollution. Work resolve them, and to dismiss the entire subject of
in other areas, such as reducing CO2 emissions, international cooperation as superficial. It is true
has only just begun and is difficult because of the that not nearly enough is being done. But it is also
high costs. true that only a very few decades ago nothing was
7. The efforts at international cooperation in the being done. From that zero base, the progress
areas discussed in this chapter return us to the made since World War II is encouraging. The only
question of standards of judgment. It is easy to question is whether or not we will continue to ex-
view the vast extent of the problems facing the pand our efforts and whether or not we will do
globe, to measure the limited effort being made to enough, soon enough.

For simulations, debates, and other interactive activities, a chapter quiz, Web links,
and much more, visit www.mhhe.com/rourke12/ and go to chapter 15. Or, while
accessing the site, click on Course-Wide Content and view recent international
relations articles in the New York Times.

KEY TERMS

biosphere green accounting sustainable development UN Conference on

carrying capacity greenhouse effect UN Conference on Population and
environmental optimists greenhouse gases Environment and Development (UNCPD)
environmental pessimists (GHGs) Development World Summit on Sustainable
global warming Kyoto Protocol (UNCED) Development (WSSD)
An Epilogue to the Text/
A Prologue to the Future
Where I did begin, there shall I end.
—William Shakespeare, Julius Caesar

O HERE IT is some months later, and we are at the end of this book and this course.

S Finals await, and then, praise be, vacation. That well-deserved break from your
academic labors brings you to an implicit point of decision about what to do
with this text, the other course readings, and the knowledge you have gained from
your instructor. One option is to sell what books you can back to the bookstore and
forget the rest. I can remember from my undergraduate days how attractive an idea
that sometimes seemed.
But then, is that really the best option? Probably not. We began our semester’s
journey with the idea that we are all inescapably part of the world drama. There may
be times when we want to shout, “Stop the world, I want to get off,” but we cannot.
We have also seen that we are both audience and actors in the global play’s progress.
At the very least, we are all touched by the action in ways that range from the foreign
designer jeans that we wear to, potentially, our atomized end.
We can leave it at that, shrug our shoulders, and complain and mumble at the forces
that buffet us. But we also can do more than that. We do not have to be just passive
victims. We can, if we want and if we try, help write the script. The plot is ongoing
and improvisational. The final scene is yet unwritten. We are not even sure when it
will occur. It could be well into the far distant future—or it could be tomorrow. This,
more than any particular point of information, is the most important message. You
are not helpless, and you owe it to yourself and your fellow humans to take an active
role in your life and in the world’s tomorrows.
The world is beset by great problems. War continues to kill without cessation. The
specter of terrorism increasingly haunts many people as they go about their daily
lives. A billion-dollar diet industry prospers in many countries of the North because
many of its citizens are overweight, while in the South, infants and the elderly starve to
death in the dry dust. As if localized malnutrition were too slow and selective, we glob-
ally attack our environment with the waste products of our progress, and the human
population tide threatens to overwhelm Earth’s ability to sustain the people who live
on it. Of even more immediate peril, an expanse of nuclear mushroom clouds could
instantly terminate our biosphere’s more evolutionary decay.
To face these problems, we have, at best, a primitive political system. Sovereignty
strengthens nationalities but divides the world. Frontier justice is the rule. As in a
grade-B western, most of the actors carry guns on their hips and sometimes shoot it out.
The law is weak, and the marshals have more authority in theory than in practice.
There are few anymore who really try to defend the system of assertive sovereignty
as adequate for the future. Clearly, it is not. What is less certain is what to do next and
how to do it. Cooperation, humanitarianism, enlightenment, and other such words

529
530 An Epilogue to the Text/A Prologue to the Future

provide easy answers, but they are vague goals. Real answers are difficult to come by.
They may involve tough choices; we may be asked to give up some things now so
that they will not be taken later, to curb our lifestyle, to risk arms control in the hope
of avoiding nuclear war, and to think of the world in terms of “we.”
At every step there will be those who urge caution, who counsel self-preservation
first, who see the world as a lifeboat. Maybe they will be right—but probably not. We
have begun to move toward a more rational order. Many chapters clearly show this. But
they also show how limited and fragile this progress has been. This is where you
come in. Your job is to work to make the world the place you want it to be. It is your
job to consider the problems, to ponder possible solutions, to reach informed opinions,
and to act on your convictions. Think? Yes, of course. But also DO!! That is what is
really important.
We began this study with the thought from Shakespeare’s Henry V that “the world
[is] familiar to us and [yet] unknown.” My hope is that this text and the course you
have just about completed have made the world more familiar, less unknown to
you. What you do with what you have learned is now the issue. Will you treat this
moment as an end? Or is it a beginning? Heed, if you will, the counsel of Shakespeare’s
King Lear:

Be governed by your knowledge and proceed.

Endnotes

CHAPTER 1 CHAPTER 3
1. Pew Research Center report, July 30, 2006. 1. The interview was with Dan Rather and aired on CBS
2. National Geographic Society, “National Geographic—Roper News, February 26, 2003.
2002 Global Geographic Literacy Survey,” November 2002. 2. Washington Post, February 12, 2002.
3. Former Assistant Secretary of Defense Lawrence J. Korb, 3. Washington Post, October 30, 2002.
quoted in the New York Times, January 22, 1996. 4. Washington Post, January 10, 2007.
4. CNS News, October 26, 2004. 5. Washington Post, January 27, 2002.
5. Paul Epstein, associate director of the Center for Health 6. New York Times, September 21, 2001.
and Global Environment at Harvard University’s medical 7. Frank Newport, editor-in-chief of the Gallup Poll at
school, quoted in the Hartford Courant, May 4, 2003. http://www.gallup.com/poll/summits/islam.asp.
6. Analyst William Schneider on Cnn.com, November 8, 2006. 8. New York Times, June 1, 1998.
7. Wilson’s address to Congress asking for a declaration of 9. Hartford Courant, June 18, 1998.
war, April 2, 1917. 10. The adviser was Arthur Goldberg, and the quote is
8. Washington Post, January 21, 2001. from Robert B. Dallek, Flawed Giant: Lyndon Johnson
9. New York Times, November 28, 1995. and His Times, 1961–1973 (New York: Oxford University
10. New York Times, January 21, 2005. Press, 1998), as quoted in Sean Wilentz, “Lone Star
11. New York Times, July 29, 1996. Setting,” New York Times Book Review, April 12, 1998, p. 6.
12. Washington Post, February 3, 2005. 11. Washington Post, March 4, 2003.
13. Washington Post, March 25, 2005. 12. Pew Research Center, “Global Gender Gaps,” May 2004.
13. This section relies on quotes drawn from Kenneally (2006)
Debate the Policy Script box, “Applying Theory to Policy” p. 26 and the pages in Mansfield (2006) cited therein rather than
1. James A. Baker, III and Lee H. Hamilton, co-chairs, The Iraq from the original.
Study Group Report, Washington, D.C., December, 2006, p. 3. 14. Pew Research Center, “Views of a Changing World: War
2. Washington Post, December 7, 2006. with Iraq Further Divides Global Publics,” June 3, 2003.
3. Walter Isaacson, “The Return of the Realists,” Time, 15. New York Times, October 12, 2001.
November 20, 2006. 16. Pew Research Center, “Views of a Changing World: War
with Iraq Further Divides Global Publics,” June 3, 2003.
17. Washington Post, January 27, 2002.
CHAPTER 2 18. Interview of retired Marine General Joseph P. Hoar, televised
1. French Foreign Minister Hubert Védrine, quoted by Joseph February 15, 2005 on Frontline, a PBS program.
Nye (2002) in The Economist, October 23, 1999. 19. All quotes from the Washington Post, January 11, 2007. The
2. New York Times, February 8, 2005. security official was Kori Schake, then director for defense
3. Putin was quoted in the Moscow Times, May 28, 2003; strategy on the National Security Council staff; the senator
Vajpayee was quoted in the Hartford Courant, May 29, 2003. was Lindsey Graham (R-SC).
4. Hartford Courant, September 5, 1995. 20. Charles Duelfer, “Comprehensive Report of the Special
5. Speech by President Hugo Chávez, at the opening of Advisor to the DCI on Iraq’s WMD,” September 30, 2004.
XII G-15 Summit, March 1, 2004, in Caracas, Venezuela. 21. New York Times, October 2, 1993.
6. U.S. Government, White House, “A National Security 22. Washington Post, February 3, 2002.
Strategy for the United States: A Report to the Nation,” 23. Charles Duelfer, “Comprehensive Report of the Special
September 17, 2002. Advisor to the DCI on Iraq’s WMD,” September 30, 2004.
7. Hartford Courant, September 5, 1995. 24. New York Times, June 17, 1991.
8. U.S. Government, White House, “A New Security Strategy 25. Interview of former U.S. Deputy Secretary of State Strobe
for a New Century,” January 5, 2000. Talbot, May 30, 2002, Salon.com at http://www.salon.com/
9. Time, June 1, 1992. books/.
26. Bush’s remarks were made during an interview with
Debate the Policy Script box, “Is Preemptive War Good Policy?” p. 51 Linda Douglas of KNBC, Jim Lampley of KCBS, and Paul
1. Hartford Courant, March 20, 2003. Moyer of KABC in Los Angeles, California, June 15,
2. New York Times, September 24, 2003. 1991.

E-1
E-2 Endnotes

27. Doug Wead, “Bush Completes Father’s Unfinished Business,” 2. BBC online, November 22, 2006.
op-ed piece, USA Today, June 15, 2003.Wead was an aide to 3. Masoud Barzani, head of the Kurdistan Democratic Party,
George H. W. Bush. quoted in the New York Times, February 18, 2005.
28. Albany Times-Union, November 10, 2002. 4. Voice of America online, November 30, 2006.
29. Richard Brookhiser, “The Mind of George W. Bush,” 5. Martha Brill Olcott of the Carnegie Endowment for
Atlantic Monthly, April 2003, pp. 55–69. International Peace, quoted in The Kansas City Star,
30. Guardian Unlimited, April 15, 2003. November 26, 2001.
31. Investor’s Business Daily, Christian Science Monitor poll, 6. Quoted on the Web site of Consortiumnews.com,
2002. Data provided by The Roper Center for Public February 7, 2000.
Opinion Research, University of Connecticut. 7. Washington Times, March 14, 2005.
32. “Letter from the President to the Speaker of the House of 8. New York Times, October 6, 1995.
Representatives and the President Pro Tempore of the 9. Program for International Policy Attitudes, September
Senate,” October 9, 2001, State Department Web site at 2006.
http://usinfo.state.gov. 10. New York Times, June 8, 1994.
33. Transcript of joint press conference, October 21, 2001, 11. Chicago Council on Foreign Relations, Global Views 2004:
White House Web site at http://www.whitehouse.gov. American Public Opinion and Foreign Policy (Chicago:
34. New York Times, September 17, 1995. Chicago Council on Foreign Relations, 2004).
35. Fox News, July 11, 2004. 12. Chicago Council on Foreign Relations, German Marshall
36. Washington Post, July 23, 2003. The official was Stephen Fund. Methodology survey, June 2002. Data provided by
J. Hadley. The Roper Center for Public Opinion Research, University
37. All quotes in this paragraph are from the Washington Post, of Connecticut.
July 25, 2003. 13. From “Patrie” in Dictionaire Philosophique, 1764.
38. New York Times, October 12, 2003. 14. Comment by anthropologist Eugene Hammel in the
39. Representative James Leach, quoted in the New York Times, New York Times, August 2, 1994.
September 26, 2003. 15. New York Times, April 10, 1994.
40. New York Times, February 20, 2005. 16. Statement in “Report of the Secretary-General on the
41. From the American Machinist, December 22, 2006, at Work of the Organization,” quoted in the Hartford Courant,
http://www.americanmachinist.com/304/Issue/Article/False/ September 9, 1999.
43786/Issue. 17. Time, March 12, 1990.
42. Fox News/Opinion Dynamics poll, August 2006, data 18. Irakli Gogava, chairman of the Georgian parliamentarian
provided by The Roper Center for Public Opinion Research, subcommittee on CIS issues, quoted in the Hartford Courant,
University of Connecticut. July 17, 2001.
43. Washington Post, February 1, 2002. 19. BBC News, December 9, 2006.
44. New York Times, December 15, 2005. 20. Financial Times, December 13, 2006.
45. Washington Post, February 11, 2007. 21. Wilson’s speech to Congress was on February 11, 1918.
46. BBC News, December 12, 1999. 22. Political scientist Rupert Emerson of Harvard University,
47. Washington Post, April 30, 2003. quoted in Wiebe (2001), p. 2.
48. New York Times, May 5, 1994. 23. Washington Post, September 23, 1996.
49. CBS News, November 15, 2002.
50. Robert Dreyfuss, “The Thirty-Year Itch,” Mother Jones, CHAPTER 5
March/April 2003, online. 1. Pauline Maier, “No Sunshine Patriot,” a review of Tom
51. Michael Klare, professor of peace and world security Paine: A Political Life (Boston: Little Brown, 1995) in the
studies at Hampshire College, quoted in Dreyfuss, “The New York Times Book Review, March 12, 1995, 1–et. seq.
Thirty-Year Itch.” 2. Thomas L. Friedman, “It’s a Flat World, After All,” Sunday
52. Michael Lynch, managing director, Strategic Energy and Eco- Magazine, New York Times, April 3, 2005.
nomic Resources, quoted in Faye Bowers, “Driving Forces in 3. Washington Post, November 19, 2000. President Clinton’s
War-Weary Nations,” The Nation, February 25, 2003, online. remark was during a speech at the Vietnam National
53. Investor’s Business Daily, Christian Science Monitor poll, University, Hanoi, Vietnam, November 17, 2000.
April 2003. Data provided by The Roper Center for Public 4. BBC News, January 30, 2004.
Opinion Research, University of Connecticut. 5. Washington Post, January 29, 2000.
6. Time, November 18, 1993.
Debate the Policy Script box, “Who Should Decide on War?” p. 83
7. State of the Union message transcript, Washington Post,
1. “Letter from the President to the Speaker of the House of January 28, 2000.
Representatives and the President Pro Tempore of the 8. Washington Post, December 23, 2006.
Senate,” October 9, 2001, State Department Web site at 9. Randall L. Tobias, Director of U.S. Foreign Assistance &
http://usinfo.state.gov. USAID Administrator Address Before the U.S. Conference
2. Washington Post, January 27, 2007. of Catholic Bishops, Washington, D.C., December 13,
2006.
CHAPTER 4 10. The former diplomat was Jonathan Clarke, president of the
1. All quotes from the Sydney Morning Herald, November 26, American Journalism Foundation, quoted in The Washington
2006. Historian John English was the scholar. Diplomat, June 2001.
 Endnotes E-3

11. All data on attitudes toward European and national political 14. Hartford Courant, April 2, 2005.
identification in this section are drawn from Eurobarometer 15. Hartford Courant, April 4, 2005.
59, Spring 2003. 16. Shigeru Omi, director of WHO’s Western Pacific regional
12. Richard M. Nixon, Beyond Peace (New York: Random office, quoted in a Reuters dispatch, November 30, 2004.
House, 1994), excerpted in Time, May 2, 1994. 17. CNN.com, April 2000.
13. The Pew Research Center for People and the Press, “Views 18. Opening statement by Han Seung-soo, president of the
of a Changing World,” June 2003. General Assembly of the UN, at the International
14. The Reverend J. Bryan Hehir of Harvard University, quoted Conference on Financing for Development, Monterrey,
in the New York Times, August 24, 1994. Mexico, March 21, 2002.
15. Time, April 11, 2005. 19. CNN.com, January 24, 2003.
16. New York Times, June 9, 1996. 20. Hartford Courant, February 25, 1994.
17. New York Times, January 25, 2004.
18. Pew Research Center poll, June 2004.
19. “Why Evangelical Christians Support Israel,” a speech at CHAPTER 7
the Herzliya Conference, Lauder School of Government, 1. “The History of the European Union and European
Diplomacy, and Strategy, December 17, 2003. Citizenship,” on the Web site www.historiasiglo20.org.
20. The Pew Research Center for People and the Press, “What 2. Group of 77, Declaration of the Twenty-Seventh Annual
the World Thinks in 2002.” Ministerial Conference, United Nations headquarters,
21. New York Times, February 27, 1998. New York City, September 25, 2003.
22. Gallup Poll Web site at http://www.gallup.com/poll/ 3. Senator Richard Lugar (R-IN), quoted on CNN.com,
releases/pr020308.asp. April 12, 2005.
23. USA-CNN-Gallup poll, reported in the Arizona Republic, 4. BBC News, February 11, 2003.
March 5, 2002. 5. Valery Fyodorov, director of the Center for Political Trends
24. All quotes from the Washington Post, February 12, 2007. The in Moscow, quoted in the Christian Science Monitor,
second quote is by Ghassan Charbel, editor of the Arabic- February 11, 2003.
language daily al-Hayat. The Egyptian man in the third 6. Churchill made the widely quoted statement on June 26,
quote was Abdel-Hamid Ibrahim, a “man on the street.” 1954, while visiting the United States.
25. UNDP, 2003. 7. Address to the General Assembly, July 16, 1997, UN
26. UNDP, 1995, p. 1. Document SG/SM/6284/Rev.2.
27. Hartford Courant, July 10, 1992. 8. The Web site of the World Federalist Movement is at
28. Survey in the New York Times, June 7, 2000. www.wfm.org/.
29. New York Times, September 16, 1995. 9. President Frederick J. T. Chiluba of Zambia, quoted in the
30. New York Times, April 10, 1995. New York Times, October 23, 1995.
31. New York Times, April 10, 1995. 10. Permanent Mission of Germany to the United Nations at
32. David Shenk of the Columbia University Freedom Forum http://www.new-york-un.diplo.de/Vertretung/newyorkvn/
Media Studies Center, quoted in the New York Times, en/Startseite.html.
April 14, 1996. 11. UN press release GA/9692, December 20, 1999.
12. New York Times, March 6, 1995.
13. Press conference, January 15, 2007, UN press release.
CHAPTER 6 14. Time, October 8, 2006.
1. New York Times, February 26, 1992. 15. New York Times, March 6, 1995.
2. Washington Post, January 15, 2007. 16. CNN.com, September 23, 2003.
3. From Woodrow Wilson’s The State: Elements of Historical 17. BBC, March 29, 2005.
and Practical Politics (1911), quoted on the Web site of the 18. UN Secretary-General Ban Ki-moon’s address to the Center
Woodrow Wilson International Center for Scholars at for Strategic and International Studies in Washington,
www.wilsoncenter.org. D.C., January 16, 2006. UN press release.
4. Maurice Glele-Ahanhanzo, UN Special Rapporteur of the 19. BBC online, October 16, 2006.
Commission on Human Rights. InterPress Service World 20. BBC online, December 12, 2006.
News, September 20, 1998. 21. Address to the Council on Foreign Relations, New York,
5. Le Monde, May 8, 1998. January 19, 1999, UN Document SG/SM/6865.
6. National Public Radio transcript, November 21, 2006. 22. James Traub, “Kofi Annan’s Next Test,” New York Times
7. Spiegel Online, January 9, 2007. Magazine, March 29, 1998.
8. New York Times, January 28, 1998. 23. Asia Times, January 10, 2007.
9. International Herald Tribune, October 26, 2006. 24. UN, Secretary-General, “Renewing the United Nations: A
10. The Pew Research Center for People and the Press, “Views Programme for Reform,” Report to the General Assembly,
of a Changing World,” June 2003. Document A/51/950, July 14, 1997.
11. New York Times, September 24, 2006. 25. Washington Post, April 29, 2006.
12. The Pew Research Center for People and the Press, “Views 26. U.S. General Accounting Office, “United Nations Reforms
of a Changing World,” June 2003. Progressing, but Comprehensive Assessments Needed to
13. Chicago Council on Foreign Relations, “Americans on Measure Impact,” Report GAO-04-399, February 2004.
Promoting Democracy,” September 2005. 27. New York Times, September 12, 1995.
E-4 Endnotes

28. Address to “Empower America,” Washington, D.C., 11. Retired General Andrei Nikolayev, who chairs the
October 16, 1998, UN Document SG/SM/6754. defense affairs committee in the lower house of
29. Time, October 30, 1995. parliament, the State Duma, quoted in the Boston Globe,
30. 16 January 2007—Address at the Center for Strategic May 9, 2003.
and International Studies, January 16, 2007. UN press 12. Washington Post, July 20, 2003.
release. 13. Jacob Heillbrunn and Michael Lind, “The Third American
31. Press conference, December 16, 2006, UN press release. Empire,” an op-ed piece in the New York Times, January 2,
32. Address at Princeton University, November 24, 1997, 1996.
UN Document SG/SM/6404. 14. New York Times, February 24, 1998.
33. New York Times, July 17, 1997. 15. Washington Post, April 13, 2001.
34. Washington Post, April 12, 2005. 16. Elements for success are from Alexander L. George, David K.
35. New York Times, January 8, 1997. Hall, and William R. Simons, The Limits of Coercive Diplo-
36. New York Times, September 18, 1994. macy (Boston: Little Brown, 1971) and include (1) strong
37. Jacques Santer, president of the European Commission determination, (2) a less determined opponent, (3) clear
(1995–1999), quoted in the Manchester Guardian Weekly, goals, (4) a sense of urgency to accomplish these goals, (5)
July 27, 1997. adequate domestic political support, (6) usable military op-
38. Daily Mail, February 2, 2007. tions, (7) fear of escalation by the opponent, and (8) clarity
39. BBC, March 29, 2005. concerning terms of the peaceful settlement. Other ele-
40. Eurobarometer poll, June 2005. ments of success are from Barry Blechman and Stephen
41. Eurobarometer poll, June 2005. Kaplan, Force without War: U.S. Armed Forces as a Political
42. New York Times, January 17, 2007. Instrument (Washington, DC: Brookings, 1978) and include
43. CNN and BBC, April 15, 2005. (1) opponent finds the threat credible, (2) opponent is not
44. Christian Science Monitor, December 12, 2003. yet fully committed to a course of action, (3) goal is main-
taining the authority of a particular regime abroad,
Debate the Policy Script box, “Santa or Scrooge? The United (4) force is used to offset force by an opponent, (5) goal
States and the UN Budget” p. 217 is to have an opponent continue current behavior, that is,
1. Pew Research Center poll, December 2006; data provided to deter a change in behavior, (6) action is consistent with
by The Roper Center for Public Opinion Research, University prior policy, (7) there has been previous U.S. action in the
of Connecticut. area, (8) involvement begins early in the crisis, (9) military
2. Worldview 2002 survey, June 2002; data provided by The action is taken rather than threatened, and (10) strategic
Roper Center for Public Opinion Research, University of forces become involved, thus signaling seriousness of
Connecticut. purpose. Secretary of Defense Caspar Weinberger’s six
3. Gallup Poll, February 2003; data provided by The Roper criteria included (1) vital interests at stake, (2) a clear
Center for Public Opinion Research, University of intention of winning, (3) clear political and military
Connecticut. objectives, (4) sufficient military force to succeed employed,
(5) reasonable congressional and public support, and
(6) combat as a last resort. General Colin Powell basically
CHAPTER 8 subscribed to the Weinberger Doctrine, as evident in the
1. From Henry A. Kissinger, Diplomacy (1994), quoted in New York Times, September 29, 1992.
Newsweek, April 11, 1994. 17. New York Times, February 10, 2007.
2. George W. Bush, “The National Security Strategy of the 18. New York Times, October 23, 1995.
United States of America,” a report to Congress, 19. Time, April 9, 1990.
September 19, 2002. 20. Hans-Ulrich Klose, head of the foreign affairs committee in
3. Ambassador Howard H. Baker Jr. and Foreign Minister the German parliament, quoted by the Associated Press,
Nobutaka Machimura quoted in the Washington Post, May 18, 2003.
November 7, 2004. 21. Ambassador J. Stapleton Roy’s recollection of what President
4. Newsweek, November 26, 1994. Jiang Zemin said. New York Times, July 3, 1995.
5. Washington Post, January 11, 2002. 22. Los Angeles Times, February 25, 2003.
6. National Center for Education Statistics, Comparative 23. Associated Press, March 17, 2003.
Indicators of Education in the United States and other 24. Washington Post, February 1, 2002.
G-8 Countries, 2002. The study looked at eighth-grade 25. MSNBC online, March 7, 2006.
students. 26. Washington Post, February 2, 2002.
7. Andrei Memin, president of the Public Health Association, 27. KnightRidder News Service, October 19, 2003.
quoted in the Hartford Courant, November 24, 1995. 28. New York Times, February 27, 2000.
8. New York Times, June 8, 1997. 29. Undersecretary of Defense for Policy Walter Slocombe
9. Commission on the Intelligence Capabilities of the quoted in the New York Times, March 6, 2000.
United States Regarding Weapons of Mass Destruction. 30. Acting Assistant Secretary of State Michael G. Kozak
Report to the President of the United States, March 31, quoted in the Washington Post, March 29, 2005.
2005. 31. Washington Post, March 14, 2005.
10. “Scientific Balance of Power,” Nature, 439 (February 9, 32. Washington Post, March 22, 2005.
2006), pp. 646–647. 33. New York Times, April 30, 1988.
 Endnotes E-5

34. Assistant to the President for National Security Affairs 3. Gallup/CNN/USA Today polls of June 2005 and May 2005
Stephen Hadley, quoted in the Hartford Courant, May 9, 2005. respectively; data provided by The Roper Center for Public
35. Hartford Courant, May 8, 2004. Opinion Research, University of Connecticut.
36. New York Times, March 18, 1996. 4. Al Nofi, “Statistical Summary: America’s Major Wars,”
37. New York Times, September 13, 2002. online at http://www.cwc.lsu.edu/other/stats/warcost.htm,
38. Kurt Campbell of the Center for Strategic and International February 12, 2003.
Studies, quoted in the Washington Post, December 29, 5. Global Views 2004: American Public Opinion and Foreign
2002. Policy, The Chicago Council on Foreign Relations.
39. New York Times, March 3, 1998. 6. Interpress Service World News, November 29, 2001.
40. CBS News, January 16, 2003. 7. Hartford Courant, May 19, 2005.
41. Washington Post, November 8, 2006. 8. Washington Post, April 24, 2002.
9. Hartford Courant, March 12, 1999.
Debate the Policy Script box, “Is Immigration a Solution to 10. World Islamic Front Statement, “Jihad Against Jews and
Demographic Graying?” p. 245 Crusaders,” February 23, 1998, on the Web site of the
1. NBC News, Wall Street Journal poll, April 2005. Data pro- Federation of American Scientists at http://www.fas.org/irp/
vided by The Roper Center for Public Opinion Research, world/para/docs/980223-fatwa.htm.
University of Connecticut. 11. Washington Post, January 11, 2002.
2. Gallup Poll, June 2004. Data provided by The Roper Center 12. John Pike, director of the Global Security Organization,
for Public Opinion Research, University of Connecticut. testifying before the U.S. Senate Committee on Foreign
Relations, quoted in an ABC News report, March 6,
CHAPTER 9 2002.
13. Associated Press, November 15, 2003.
1. Washington Post, October 23, 2006.
14. Amy Smithson testifying before the U.S. House Committee
2. Reuters, February 8, 2007.
on Energy and Commerce, October 10, 2001.
3. Address at Ditchley Park, United Kingdom, June 26, 1998,
15. BBC News, March 22, 2002.
UN Document SG/SM/6313.
16. Paul Wilkenson, “The Strategic Implications of Terrorism,”
4. All quotes from President George W. Bush are from his
on the Web site of the Center for the Study of Terrorism
address to the nation, March 17, 2003.
and Political Violence at www.ciaonet.org/wps/wip05/.
5. CNN.com, February 24, 2003.
17. Senator Pat Robert of Kansas, quoted in the Washington
6. New York Times, March 11, 2003.
Post National Weekly Edition, October 1–7, 2001.
7. Quoted on the Web at http://www.why-war.com/news/2002/
18. U.S. Department of State, Patterns of Global Terrorism 2002,
10/12/iraqwarn.html.
p. iii.
8. Phyllis Bennis of the Institute for Policy Studies, quoted in
19. Bill Christison, a retired CIA official, “Why the War on
Margot Patterson, “Beyond Baghdad: Iraq Seen as First Step
Terror Won’t Work,” Counterpunch, March 4, 2002.
to Extend U.S. Hegemony,” National Catholic Reporter,
20. BBC, March 26, 2005.
December 12, 2002.
21. Boston Globe, November 13, 2006.
9. Radio Free Europe release, April 9, 2003.
22. Elizabeth A. Fenn, “Biological Warfare, Circa 1750,” an
10. Taken from the Web at http://worldnews.miningo.com/
op-ed piece in the New York Times, April 11, 1998.
msub.12.htm. (URL no longer operative.)
23. John M. Deutch quoted in the New York Times, February 25,
11. CNN.com, June 1, 2000.
1996.
12. New York Times, August 13, 1997.
24. New York Times, January 9, 2007.
13. New York Times, June 15, 1998.
25. New York Times, February 14, 2003.
14. Washington Post, April 12, 2002.
26. Fox News, May 5, 2005.
15. Interview of April 29, 2002, in Judicial Diplomacy on the
27. Time, May 19, 1997.
Web at http://www.diplomatiejudiciaire.com/UK/ICCUK7
28. Associated Press, February 3, 2007.
.htm. (URL no longer operative.)
29. General Nikolai Y. Solovtsov quoted in the New York Times,
16. Statement of the Islamic Resistance Movement, Hamas-
February 21, 2007.
Palestine, issued December 17, 2001, in reaction to the
speech of President Arafat on the Web at http://www.jmcc
.org/new/01/dec/hamasstate.htm. CHAPTER 11
17. Newsweek poll, November 2005; data provided by The
1. Labor, September 6, 1947.
Roper Center for Public Opinion Research, University of
2. Time, September 18, 1995.
Connecticut.
3. Pravda, December 16, 2003.
18. Kennedy’s remark on June 24, 1963, can be found in the
4. Chicago Council on Global Affairs, Global Views 2006: The
Public Papers of the President of the United States: John F.
United States and the Rise of China and India. Results of a
Kennedy, 1963.
2006 Multination Survey of Public Opinion.
5. New York Times, May 12, 1996.
CHAPTER 10 6. BBC News online, March 16, 2007.
1. Pew Research Center poll, March 2006. 7. Los Angeles Times, May 25, 2005.
2. John Shalikashvili, “Second Thoughts on Gays in the 8. United Nations Foundation, UN Wire, July 14, 2003.
Military,” op-ed piece, New York Times, January 2, 2007. 9. New York Times, May 16, 1998.
E-6 Endnotes

10. New York Times, May 29, 1998. Mexico, as quoted in the Hartford Courant, March 23,
11. Testimony before the Senate Armed Services Committee, 2002.
February 6, 2007. 9. Pew Research Center, “Views of a Changing World,” 2003.
12. Majority Leader Trent Lott in the Congressional Record, 10. Gallup Poll, February 2004; data provided by The Roper
October 13, 1999, p. S12549. Center for Public Opinion Research, University of
13. New York Times, September 12, 1996. Connecticut.
14. Newsweek, May 25, 1998. 11. BBC online, March 25, 2007.
15. New York Times, May 31, 1998. 12. An unnamed U.S. trade official quoted by the BBC, June 25,
16. Washington Post, March 11, 2003. 2005.
17. High-Level Panel on Threats, Challenges, and Change, 13. Productivity Commission, Government of Australia,
2004, “A More Secure World: Our Shared Responsibility,” a “Measures of Restrictions on Trade in Services Database,”
report commissioned by the Secretary-General of the United Canberra, March 8, 2005.
Nations, Anand Panyarachun, former prime minister of 14. BBC.com, April 24, 2007.
Thailand, chair (December 2, 2004). 15. New York Times, February 1, 1999.
18. Report of the Panel on United Nations Peace Operations, 16. Address to the World Economic Forum, January 28, 2001,
2000. at http://www.weforum.org/.
19. J. Stephen Morrison, the director of Africa programs at the 17. Klaus Schwab, director of the Davos Forum, quoted in
Center for Strategic and International Studies in Washington, Thomas L. Friedman, “The Revolt of the Wannabees,” a
quoted in the New York Times, May 10, 2000. column in the New York Times, February 7, 1996.
20. Report of the Panel on United Nations Peace Operations,
2002. Debate the Policy Script box, “Sanctions on China?” p. 398
21. Guardian Unlimited, September 5, 2006. 1. Senator Lindsey Graham (R-SC) quote by CNN, May 5,
22. Kofi Annan, quoted in the New York Times, January 6, 2005.
1995.
23. All quotes in the paragraph from the Washington Post,
October 6, 2006. CHAPTER 13
24. New York Times, May 4, 1997. 1. New York Times, March 2, 1997.
25. New York Times, October 3, 1999. 2. New York Times, October 26, 2006.
3. Hartford Courant, March 12, 1995.
Get Involved box, “Adopt a Minefield” p. 355 4. Washington Post, September 15, 2003.
1. New York Times, May 1, 1996. 5. Guardian Unlimited, September 5, 2003.
2. CNN, June 18, 1997. 6. BBC, April 24, 2007.
7. Reuters, April 30, 2007.
Debate the Policy Script box, “Is Zero Nukes a Good Goal?” p. 359 8. Speech to the U.S. Chamber of Commerce, Washington,
1. Time, March 14, 1955. April 23, 2007.
2. Time, April 27, 1987. 9. Inter Press Service News Agency, April 17, 2002.
3. C. Paul Robinson, president and director, Sandia National 10. Walden Bello, from “Justice, Equity and Peace Are the
Laboratories, “A White Paper: Pursuing a Nuclear Thrust of Our Movement,” acceptance speech at the Right
Weapons Policy for the 21st Century,” March 22, 2001. Livelihood Award ceremonies, Swedish Parliament, Stock-
4. Attributed to Churchill by Prime Minister Margaret holm (December 8, 2003).
Thatcher in an address to a joint session of the U.S. 11. President Eduardo Duhalde of Argentina (2002–2003),
Congress, February 20, 1985. quoted in the Washington Post, January 15, 2002.
12. Jeffrey D. Sachs, “IMF ‘Cure’ Is Adding to Crisis in Ar-
gentina,” op-ed piece in the Irish Times, May 4, 2002.
CHAPTER 12 13. Artemio Lopez, chief economist for Equis Research, quoted
1. Michael Ranneberger, testifying at U.S. Congress, House in the Washington Post, May 3, 2002.
of Representatives, Hearings Before the Subcommittee 14. President Nestor Kirchner, quoted by BBC News, May 26,
on Trade of the Committee on Ways and Means, May 7, 2003.
1998. 15. Washington Post, April 30, 2002.
2. Press release, office of Senator Olympia J. Snowe, October 30, 16. BBC News, September 11, 2003.
2006. 17. Johan Norberg, “Three Cheers for Global Capitalism,”
3. Wall Street Journal, December 4, 2006. American Enterprise Online (June 2004).
4. Federal Reserve Bank of Chicago, Strong Dollar, Weak 18. BBC, March 21, 2005.
Dollar: Foreign Exchange Rates and the U.S. Economy 19. Wall Street Journal, May 1, 2007.
at www.chicagofed.org. 20. International Herald Tribune, June 11, 2007.
5. Chicago Council on Foreign Relations, Global Views 2004: 21. Comments in a speech, January 22, 1999, on the Web at
American Public Opinion and Foreign Policy. www.oneworld.net/guides/imf_wb/front.shtml.
6. Hartford Courant, April 14, 2005. 22. BBC.com, June 9, 2007.
7. www.g77.org/southsummit2/en/intro.html. 23. Professor John Kirton of the University of Toronto
8. President Bush’s comments were made to the International G-8 Information Centre, quoted by the BBC, July 12,
Conference on Financing for Development in Monterrey, 2005.
 Endnotes E-7

24. Nicholas Bayne, “Impressions of the Evian Summit, 12. UN Population Fund (UNFPA), Missing: Mapping the
1–3 June 2003,” 2003 Evian Summit: Analytical Studies, Inverse Child Sex Ratio in India, June 2003, p. 1.
G-8 Information Center, University of Toronto, 13. United Nations Population Fund, State of the World Popula-
http://www.g7. tion 2006, chapter 3, “Selling Hope and Stealing Dreams:
25. Rolling Stone, July 11, 2005. Trafficking in Women and the Exploitation of Domestic
26. Reuters, July 13, 2005. Workers.”
27. Gary Hufbauer of the Institute for International Economics, 14. International Labour Organization, The Sex Sector: The
quoted in the Virginian-Pilot, January 14, 2004. Economic and Social Bases of Prostitution in Southeast Asia,
28. BusinessWeek, December 22, 2003. 1998.
29. Miami Herald, April 28, 2007. 15. MADRE press release, April 12, 2002, on the Web at
30. Miami Herald, September 13, 2003. http://www.madre.org.
31. New Zealand Herald, January 14, 2004. 16. Hartford Courant, December 12, 1996.
32. John K. Veroneau, “Introduction,” eJournal USA, an 17. Report on the World Congress Against Commercial Sexual
Electronic Journal of the U.S. Department of State, Exploitation of Children, taken in December 1996 from the
January 2007. UNICEF Web site at http://www.childhub.ch/webpub/.
33. U.S. Federal Reserve Bank of Dallas, “2002 Annual Report, 18. International Labour Organization, Juan Somavia, director-
The Fruits of Free Trade,” W. Michael Cox and Richard general, Eliminating Child Labor: A Moral Cause and a
Alm. Development Challenge, May 2005.
34. BBC, March 22, 2002. 19. European Union, Council of Europe press release 397a,
35. Associated Press, February 5, 2002. July 12, 2005.
36. New York Times, November 2, 1996. 20. The Telegraph, January 26, 2005.
37. Representative Joseph Gaydos in the Congressional Record, 21. Draft resolution presented to the conference, quoted in the
April 13, 1988. Guardian Unlimited, September 3, 2001.
38. Frank J. Gaffney Jr., “China’s Charge,” National Review, 22. Secretary of State Powell on the State Department Web site
June 28, 2005. at www.state.gov/p/io/uncnf/wcar/.
39. Quoted in Charles R. Smith, “Rand Report Warns of Conflict 23. Hartford Courant, September 8, 2001.
with China,” June 20, 2001, on the NewsMax Web site at 24. UN High Commissioner for Human Rights press release,
http://www.newsmax.com/. May 12, 2002.
40. White House press release, May 20, 2002. 25. New York Times, March 31, 1996.
26. The Pew Research Center, “Views of a Changing World,”
June 2003.
CHAPTER 14 27. Final document of the World Food Summit, November 17,
1. U.S. State Department, Bureau of Democracy, Human 1996.
Rights, and Labor, Country Reports on Human Rights 28. Final document of the World Food Summit, November 17,
Practices, 2002, released March 31, 2003. 1996.
2. New York Times, March 5, 1997. 29. United Nations Chronicle, 2001, Issue 3.
3. Gallup Poll, May 2005. Data provided by The Roper 30. Hartford Courant, December 17, 1992.
Center for Public Opinion Research, University of 31. www.worldbank.org. Search for AIDS.
Connecticut. 32. Dr. Robert Webster, a flu researcher from St. Jude Children’s
4. Thomas Riggins, “Why Humanists Should Reject the Social Hospital, Memphis, TN, quoted on the CBC, May 14, 2007.
Contract,” March 20, 2001, Corliss Lamont Chapter of the 33. All quotes from R. Prasad, “Bird Flu Vaccine: Benefit to
American Humanist Association Web site at http://www Developing Countries,” Hindu, May 10, 2007.
.corliss-lamont.org/hsmny/contract.htm. Professor Riggins 34. Central Intelligence Agency, “The Global Infectious Disease
teaches the history of philosophy at the New School for Threat and Its Implications for the United States” (2000).
Social Research and at New York University.
5. Address at the University of Tehran on Human Rights Day,
December 10, 1997, UN Document SG/SM/6419. CHAPTER 15
6. New York Times, May 5, 1994. 1. New York Times, May 20, 1997.
7. Secretary-General Kofi Annan, “Address to Mark Interna- 2. Robert Repetto of the World Resources Institute quoted in
tional Human Rights Day,” New York City, December 8, the New York Times, September 19, 1995.
2006, text in a UN press release, December 8, 2006. 3. Christopher Flavin, et al., State of the World 2003 (World-
8. U.S. State Department, Daily Press Briefing, Sean McCormack, Watch Institute: Washington, D.C. 2005), p. 5.
spokesman, March 6, 2007. 4. New York Times, November 29, 1995.
9. China, Ministry of Foreign Affairs, Foreign Ministry 5. CBS News/New York Times poll, April, 2007; data provided
spokesperson Jiang Yu’s regular press conference, May 8, by The Roper Center for Public Opinion Research, University
2007. of Connecticut.
10. Washington Post, March 4, 2005. 6. Hartford Courant, June 8, 1992.
11. Chicago Council on Global Affairs, The United States and 7. Hartford Courant, June 6, 1992.
the Rise of China and India: Results of a 2006 Multination 8. September 2, 2003, on the WSSD site at http://www.un.org/
Survey of Public Opinion (Chicago: Chicago Council on events/wssd/.
Global Affairs, 2006). 9. Reuters, June 7, 2002.
E-8 Endnotes

10. Under Secretary of State for Global Affairs Paula Dobriansky, 33. IPCC, Working Group III Report, “Mitigation of Climate
on the Web site of the U.S. Embassy in Indonesia at Change,” May 4, 2007, and Working Group I Report “The
http://www.usembassyjakarta.org. Physical Science Basis,” February 2, 2007.
11. September 2, 2003, on the WSSD site at http://www.un.org/ 34. New York Times, September 6, 2000.
events/wssd. 35. Claudia Tebaldi, a scientist at the National Center for
12. September 4, 2003, on the WSSD site at http://www.un.org/ Atmospheric Research quoted in the Washington Post,
events/wssd. October 21, 2006.
13. New York Times, August 31, 1994. 36. CNN.com, May 31, 2003.
14. L’Observatore Romano, n.d. 37. New York Times, February 29, 2000.
15. New York Times, September 6, 1994. 38. New York Times, August 19, 2000.
16. New York Times, September 4, 1995. 39. Nicholas Stern, head of the U.K. Government Economic
17. Quotes are from the New York Times, November 14, 2006, Service, quoted in the Washington Post, October 31,
reporting on an article by Pekka Kauppi, Jesse Ausubel, 2006.
and others in The Proceedings of the National Academy of 40. John M. Reilly, an economist at the M.I.T. Joint Program on
Sciences. the Science and Policy of Global Change, quoted in the
18. Julian Simon, “Environmentalists May Cause the Truth to New York Times, December 12, 2006.
Become Extinct,” an op-ed piece in the Hartford Courant, 41. The proposal was made by Harvard economist Richard
June 15, 1992. Cooper.
19. Washington Post, March 5, 2003. 42. W. David Montgomery, economist at Charles River
20. Arizona Republic, March 23, 2003. Associates, quoted in the New York Times, December 12,
21. Boris Worm of Dalhousie University in Nova Scotia, 2006.
Canada, quoted in the New York Times, November 3, 2006. 43. Yale environmental law and policy professor Dan Esty
22. Satya Nandan of Fiji, chairman of the conference that in quoted in the Washington Post, October 31, 2006, A18.
1995 concluded the Agreement for the Implementation of 44. Mark Mwandosya of Tanzania, head of the LDC caucus
the Law of the Sea Convention Relating to the Conservation in Kyoto quoted in the New York Times, November 20,
and Management of Straddling Fish Stocks and Highly 1997.
Migratory Fish Stocks; quoted in the Hartford Courant, 45. New York Times, December 12, 1997.
August 4, 1995. 46. New York Times, December 13, 1997. Bush’s remark was
23. BBC, June 22, 2005. made while still a presidential hopeful.
24. BBC, June 15, 2006. 47. Washington Post, June 5, 2002.
25. U.S. Department of State press release, August 7, 2003. 48. New York Times, April 7, 2007.
26. Report by the NGO, Basel Action Group, quoted in the 49. New York Times, April 7, 2007.
New York Times, October 24, 2005. 50. BBC.com, May 18, 2007.
27. Quote is from the Asia Times, August 8, 2003. The NGOs 51. Scott Barrett, professor of environmental economics,
that issued the report were the Basel Action Network and School of Advanced International Studies, The Johns
the Silicon Valley Toxics Coalition. Hopkins University, quoted in the New York Times,
28. UN Human Rights Commission, UN Document E/CN.4/ December 12, 2006.
1998/10, “Adverse Effects of the Illicit Movement and 52. Reuters, May 28, 2007.
Dumping of Toxic and Dangerous Products and Wastes on 53. MSNBC.com, May 18, 2007.
the Enjoyment of Human Rights,” January 20, 1998. 54. Yvo de Boer, executive secretary of the United Nations
29. Manchester Guardian Weekly, March 20, 1994. Framework Convention on Climate Change quoted in
30. Guardian Unlimited, January 6, 2007. ShanghaiDaily.com, May 19, 2007.
31. New York Times, February 29, 2000. 55. Reuters, May 18, 2007.
32. James Schlesinger, an op-ed piece in the Hartford Courant, 56. Stephen H. Schneider of Stanford University, quoted in the
January 27, 2004. New York Times, December 12, 2006.
Glossary

Absolute power An element of power, such as nuclear Appeasement policy A policy advocated by the British and
weapons, that indisputably exists and can be potentially French toward the Germans following World War I. The
used irrespective of other considerations. 237 hope was to maintain peace by allowing Hitler to annex
Adjudication The legal process of deciding an issue through the Sudentenland region of Czechoslovakia. 45
the courts. 284 Arms control A variety of approaches to the limitation of
African Union The continent’s leading intergovernmental weapons. Arms control ranges from restricting the future
organization; all of Africa’s countries but Morocco are growth in the number, types, or deployment of weapons;
members. The successor to the Organization of African through the reduction of weapons; to the elimination of
Unity. 360 some types of (or even all) weapons on a global or regional
Amorality The philosophy that altruistic acts are unwise basis. 344
and even dangerous, or that morality should never be the Asia-Pacific Economic Cooperation (APEC) A regional
absolute guide of human actions, particularly in regard to trade organization founded in 1989 that now includes 21
international law. 300 countries. 438
Anarchical international system The traditional structure Association of Southeast Asian Nations (ASEAN) A re-
of world politics in which there is no central authority to gional organization that emphasizes trade relations,
set and enforce rules and resolve disputes. 3 established in 1967; now includes Brunei, Cambodia,
Anarchical political system An anarchical system is one in Indonesia, Laos, Malaysia, Myanmar (Burma), the Philip-
which there is no central authority to make rules, to en- pines, Singapore, Thailand, and Vietnam. 438
force rules, or to resolve disputes about the actors in the Asymmetrical warfare A strategy by which a national mil-
political system. Many people believe that a system with- itary or other armed force, including a terrorist organiza-
out central authority is inevitably one either of chaos or tion, that is relatively small and lightly equipped attacks a
one in which the powerful prey on the weak. There is, militarily stronger opponent by using unconventional
however, an anarchist political philosophy that contends means, such as terrorism, or with limited unconventional
that the natural tendency of people to cooperate has been weapons, such as nuclear explosives and material, biolog-
corrupted by artificial political, economic, or social insti- ical agents, or chemical agents. 56
tutions. Therefore, anarchists believe that the end of these Authoritarian government A political system that allows
institutions will lead to a cooperative society. Marxism, little or no participation in decision making by indi-
insofar as it foresees the collapse of the state once capital- viduals and groups outside the upper reaches of the
ism is destroyed and workers live in proletariat harmony, government.
has elements of anarchism. 41 Authoritarianism A type of restrictive governmental system
Anti-Ballistic Missile Treaty (ABM) A treaty signed by the where people are under the rule of an individual, such as
United States and the Soviet Union (now Russia) in 1972 a dictator or king, or a group, such as a party or military
that barred the two countries from developing and de- junta. 175
ploying a system to shoot down ballistic missiles. The
United States withdrew from the treaty in 2001 in order to Balance of payments for current accounts A measure of
pursue the development and deployment of a national the entire flow of money into and out of a country’s econ-
missile defense system. 347 omy except funds for investments. 254
Anti-Personnel Mine Treaty (APM) A treaty signed in Balance of power A concept that describes the degree
1997 and effective in 1999 that commits its adherents not of equilibrium (balance) or disequilibrium (imbalance) of
to produce, stockpile, or transfer antipersonnel land power in the global or regional system. 44, 93
mines, to destroy any current inventory of mines, and to Beijing 5 Conference A meeting held at the UN in
remove all mines they have planted. The United States is New York City in 2000 to review the progress made
among the handful of countries that has not agreed to the since the fourth World Conference on Women held in
treaty. 354 1995. 162

G-1
G-2 Glossary

Bilateral diplomacy Negotiations between two countries. Classic realism A subdivision of realist thought, which be-
263 lieves that the root cause of conflict is the aggressive nature
Bilateral (foreign) aid Foreign aid given by one country of humans. 21
directly to another. 417 Codify To write down a law in formal language. 281
Bilateral trade agreement A free trade agreement between Coercive diplomacy The use of threats or force as a diplo-
two countries or between a regional trade agreement and matic tactic. 269
any other non-member country. 434 Cognitive decision making Making choices within the
Biological Weapons Convention A multilateral treaty limits of what you consciously know. 66
concluded in 1972. The parties to the treaty agree not to Cold war The confrontation that emerged following World
develop, produce, stockpile, or acquire biological agents War II between the bipolar superpowers, the Soviet
or toxins of types and in quantities that have no justifi- Union and the United States. Although no direct conflict
cation for prophylactic, protective, and other peaceful took place between these countries, it was an era of great
purposes and to destroy any such material that they tensions and global division. 46
might have. 348 Collective security The original theory behind UN peace-
Biopolitics This theory examines the relationship between keeping. It holds that aggression against one state is
the physical nature and political behavior of humans. 68 aggression against every member and should be defeated
Biosphere Earth’s ecological system (ecosystem) that sup- by the collective action of all. 362
ports life—its land, water, air, and upper atmosphere— Communism An ideology that originated in the works of
and the living organisms, including humans, that Friedrich Engels and Karl Marx; it is essentially an eco-
inhabit it. 491 nomic theory. As such, it is the idea that an oppressed
Bipolar system A type of international system with two proletariat class of workers would eventually organize and
roughly equal actors or coalitions of actors that divide the revolt against those who owned the means of production,
international system into two poles. 45 the bourgeoisie; a political system of government applied
Bureaucracy The bulk of the state’s administrative struc- in China, and elsewhere, wherein the state owns the
ture that continues even when leaders change. 84 means of production as a system to expedite Engels and
Marx’s economic theory. 176
Capitalism An economic system based on the private own- Communitarianism The concept that the welfare of the
ership of the means of production and distribution of collective must be valued over any individual rights or
goods, competition, and profit incentives. 378 liberties. 457
Carrying capacity The number of people that an environ- Comprehensive Test Ban Treaty (CTBT) A treaty that
ment, such as Earth, can feed, provide water for, and oth- bans all testing of nuclear weapons. The treaty was signed
erwise sustain. 492 in 1996 but will not go into force until ratified by the
Cartel An international agreement among producers of a major nuclear weapons powers. The U.S. Senate rejected
commodity that attempts to control the production and ratification in 2001. 350
pricing of that commodity. 403 Conditionality A term that refers to the policy of the Inter-
Chemical Weapons Convention (CWC) A treaty that national Monetary Fund, the World Bank, and some
was signed and became effective in 1995 under which other international financial agencies to attach conditions
signatories pledge to eliminate all chemical weapons to their loans and grants. These conditions may require
by the year 2005; to submit to rigorous inspection; recipient countries to devalue their currencies, to lift con-
to never develop, produce, stockpile, or use chemical trols on prices, to cut their budgets, and to reduce barri-
weapons; and to never transfer chemical weapons to an- ers to trade and capital flows. Such conditions are often
other country or assist another country to acquire such politically unpopular, may cause at least short-term eco-
weapons. 350 nomic pain, and are construed by critics as interference in
Civil society The voluntary and private (not controlled by recipient countries’ sovereignty. 427
the government) economic, cultural, and other interac- Confederation A group of states that willingly enter into
tions and associations of individuals. 131 an alliance to form a political unit for a common purpose,
Clash of civilizations Samuel P. Huntington’s thesis such as economic security or defense; it is highly interde-
(1996, 1993) that the source of future conflict will be pendent, but has a weak directorate organization, thus
cultural. 151 allowing the individual states to maintain a fairly high
Classic liberalism A subdivision of liberal thought that is degree of sovereignty. 203
optimistic about human nature and believes that people Constructivism The view that the course of international re-
can achieve more collectively than individually, that peo- lations is an interactive process in which the ideas of and
ple understand this, and therefore given the opportunity, communications among “agents” (or actors: individuals,
people will seek to work together in their common, long- groups, and social structures, including states) serve to cre-
term interests. 24 ate “structures” (treaties, laws, international organizations,
 Glossary G-3

and other aspects of the international system), which, in turn support of policy goals. The study of decision making seeks
influence the ideas and communications of the agents. 30 to identify patterns in the way that humans make decisions.
Containment doctrine U.S. policy that sought to contain This includes gathering information, analyzing informa-
communism during the cold war. 46 tion, and making choices. Decision making is a complex
Convention on the Elimination of All Forms of Discrimina- process that relates to personality and other human traits, to
tion Against Women (CEDAW) Adopted by the UN the sociopolitical setting in which decision makers func-
General Assembly in 1979 and subsequently adhered to tion, and to the organizational structures involved. 65
by over 90% of all countries, the treaty defines what con- Democracy A system of government that at minimum ex-
stitutes discrimination against women and sets forth an tends to citizens a range of political rights and a range of
agenda for national action to end it. 466 civil liberties that are important to free government. 177
Convention on the Rights of the Child Adopted unani- Democratic government The governmental system a coun-
mously by the UN General Assembly in 1989, with suffi- try has in terms of free and fair elections and levels of
cient ratifications to go into effect in 1990, the convention participation. 78
outlines a wide range of collective and individual rights Democratic peace theory The assertion that as more coun-
for all persons under the age of 18. 469 tries become democratic, the likelihood that they will
Conventional Forces in Europe Treaty (CFE) A treaty enter into conflict with one another decreases. 183
negotiated between the countries in NATO and the (now- Democratized diplomacy The current trend in diplo-
defunct) Soviet-led Warsaw Pact that placed numerical macy where diplomats are drawn from a wider segment
limits on a range of conventional “heavy” weapons, in- of society, making them more representative of their
cluding tanks and other armored combat vehicles, nations. 265
artillery, and fixed-wing and rotary combat aircraft permit- Demographic graying The aging of a population, with the
ted in the so-called Atlantic-to-the-Urals Zone (ATTU) median age and the percentage of people who reach
region. 354 retirement age increasing. 244
Conventional warfare The application of force by uni- Dependency theory The belief that the industrialized
formed military units usually against other uniformed mil- North has created a neocolonial relationship with the
itary units or other clearly military targets using weapons South in which the less developed countries are depen-
other than biological, chemical, or nuclear weapons. 326 dent on and disadvantaged by their economic relations
Council of the European Union The most important with the capitalist industrial countries. 379
decision-making body on the EU. The Council represents Détente A cold war policy involving the United States, the
the member-states through each member’s representa- Soviet Union, and China, which sought to open relations
tives, which can range from the head of state to special- among the countries and ease tensions. 48
ized ministers (such as agriculture). Formerly known as Deterrence Persuading an opponent not to attack by having
the Council of Ministers. 226 enough forces to disable the attack and/or launch a pun-
Court of Auditors An oversight institution within the EU. ishing counterattack. 333
It is staffed by one individual from each member-country Development Assistance Committee (DAC) The 22
and monitors the implementation of EU budgets and member-countries of the Organization for Economic
policies. 228 Cooperation and Development that give official develop-
Court of Justice The most important court in the Euro- ment aid. 417
pean Union. 228 Development capital Monies and resources needed by less
Crisis situation A circumstance or event that is a surprise developed countries to increase their economic growth
to decision makers, that evokes a sense of threat (particu- and diversify their economies. 413
larly physical peril), and that must be responded to Direct democracy Policy making through a variety of
within a limited amount of time. 79 processes, including referendums, by which citizens
Cultural imperialism The attempt to impose your own directly cast ballots on policy issues. 17
value system on others, including judging others by how Doha Round The ninth and latest round of GATT negotia-
closely they conform to your norms. 456 tions to reduce barriers to international free economic
Current dollars The value of the dollar in the year for interchange. The round is named after the 2001 WTO
which it is being reported. Sometimes called inflated dol- ministerial meeting in Doha, Qatar, where agreement to
lars. Any currency can be expressed in current value. See try to negotiate a new round of reductions in barriers by
also Real dollars. 375 2005 was reached. 423
Domestic terrorism Attacks by local nationals within their
Debt service The total amount of money due on principal country against a purely domestic target for domestic
and interest payments for loan repayment. 414 reasons. 316
Decision-making process The manner by which humans Dual-use technology Technology that has peaceful uses
choose which policy to pursue and which actions to take in but also has military applications. 354
G-4 Glossary

East-West axis A term used to describe the ideological Community, the European Economic Community, and the
division between hemispheres following World War II. European Atomic Energy Community under one organi-
The East was associated with communism, while the zational structure. The EC evolved into the European
West was associated with democracy. 46 Union beginning in 1993. 223
Economic Community of West African States (ECOWAS) European Economic Community (EEC) The regional
A regional group of 15 countries founded in 1975. Its trade and economic organization established in Western
mission is to promote economic integration, and it has Europe by the Treaty of Rome in 1958; also known as the
also taken on some peacekeeping activities through its Common Market. 223
nonpermanent function called Economic Community’s European Ombudsman An official of the European Union
African States Monitoring Group (ECOMOG). 361 appointed by the European Parliament to investigate EU
Economic interdependence See Interdependence. 57 citizens’ complaints about maladministration in the activ-
Economic internationalism The belief that international ities of EU bodies, excluding the Court of Justice and the
economic relations should and can be conducted cooper- Court of First Instance. 228
atively because the international economy is a non- European Parliament (EP) The 626-member legislative
zero-sum game in which prosperity is available to all. branch of the European Union. Representation is deter-
29, 377 mined by population of member-countries and is based
Economic nationalism The belief that the state should use on five-year terms. 228
its economic strength to further national interests, and European Union (EU) The Western European regional or-
that a state should use its power to build its economic ganization established in 1983 when the Maastricht
strength. 29, 376 Treaty went into effect. The EU encompasses the still
Economic sanctions Economic measures imposed by a legally existing European Community (EC). When the EC
country or international governmental organization on one was formed in 1967, it in turn encompassed three still
or more countries to change their behavior. These sanc- legally existing regional organizations formed in the 1950s:
tions include such tools as refusing to purchase another the European Coal and Steel Community (ECSC), the
country’s product, refusing to sell it something that it European Economic Community (EEC), and the European
needs, freezing its accounts in your country, or imposing Atomic Energy Community (EURATOM). 223
punitive tariffs and quotas on its products. 260 Eurowhites A term to distinguish the whites of Europe and
Economic structuralism The belief that economic struc- of Australia, Canada, New Zealand, the United States, and
ture determines politics, as the conduct of world politics other countries whose cultures were founded on or con-
is based on the way that the world is organized economi- verted to European culture from other races and ethnic
cally. A radical restructuring of the economic system is groups, including Caucasian peoples in Latin America,
required to end the uneven distribution of wealth and the Middle East, South Asia, and elsewhere. 42
power. 29, 378 Exceptionalism The belief of some that their nation or
Economically developed country (EDC) An industrial- group is better than others. 119
ized country mainly found in the Northern Hemisphere. Exchange rate The values of two currencies relative to each
58, 376 other—for example, how many yen equal a dollar or how
Environmental optimists Those analysts who predict that many yuans equal a euro. 383
the world population will meet its needs while continu- Extreme poverty A World Bank term for the condition of
ing to grow economically through conservation, popula- those living on less than $1 per day. 389
tion restraints, and technological innovation. 492
Environmental pessimists Those analysts who predict Failed states Countries in which all or most of the citizens
environmental and ecological problems, based on current give their primary political loyalty to an ethnic group, a
trends in ecology and population pressure. 491 religious group, or some other source of political identity.
Escalation Increasing the level of fighting. 327 Such states are so fragmented that no one political group
Ethnonational group An ethnic group in which a significant can govern effectively and, thus, these states are more
percentage of its members favor national self-determination legal entities than functioning governments. 114
and the establishment of a nation-state dominated by the Fascism An ideology that advocates extreme nationalism,
group. 55, 104 with a heightened sense of national belonging or ethnic
Ethology The comparison of animal and human behavior. identity. 176
68 Federation Also called a federal government, this power-
European Commission A 20-member commission sharing governance structure is one in which the central
that serves as the bureaucratic organ of the European authority and the member units each have substantial
Union. 226 authority. 203
European Communities (EC) Established in 1967, the EC Feminism The view that women have been suppressed and
was a single unit whose plural name (Communities) re- ignored in both politics and political scholarship and
flects the fact that it united the European Coal and Steel have had to strive to achieve greater equality. 28
 Glossary G-5

Feudal system Medieval political system of smaller units, specialized agencies, such as the World Health Organiza-
such as principalities, dukedoms, and baronies, ruled by tion, associated with the United Nations. 197
minor royalty. 38 Fundamentalism Religious traditionalism and values in-
First-use option The possibility of a nuclear country using corporated into secular political activities. 153
its nuclear weapons first in a war with another nuclear
country or using its nuclear weapons against a non- Gender opinion gap The difference between males and
nuclear country. 333 females along any one of a number of dimensions,
Fiscal year (FY) A budget year, which may or may not be including foreign policy preferences. 69
the same as the calendar year. The U.S. fiscal year runs General Agreement on Tariffs and Trade (GATT) The
from October 1 through September 30 and is referred to world’s primary organization promoting the expansion
by its ending date. Thus, FY2007 ran from October 1, of free trade. Established in 1947, it has grown to a
2006, through September 30, 2007. 10 membership of over 100. 421
Foreign direct investment (FDI) Buying stock, real estate, General and complete disarmament (GCD) The total
and other assets in another country with the aim of gain- absence of armaments. 369
ing a controlling interest in foreign economic enterprises. Global warming The increase over time in Earth’s average
Different from portfolio investment, which involves annual temperature and other associated climate changes.
investment solely to gain capital appreciation through 518
market fluctuations. 138, 382 Globalism The view of the world as a whole, a single unit
Foreign policy The international goals of a country and with many commonalities and connections that cut
how it uses its national capabilities to achieve those across political borders, national identities, and cultural
goals. 235 differences. 131
Foreign policy–making actors The political actors within Globalization A multifaceted concept that represents
a state—including political executives, bureaucracies, the increasing integration of economics, communica-
legislatures, political opponents, interest groups, and the tions, and culture across national boundaries. 54,
people—who influence the foreign policy process. 81 131, 380
Foreign policy process A concept that includes the influ- Green accounting An approach to measuring the compre-
ences and activities within a country that cause its hensive wealth of countries by calculating “human capi-
government to decide to adopt one or another foreign tal” (such as education, health, and equality) and “natural
policy. 65 capital” (the quality and quantity of air, land, water, and
Foreign portfolio investment (FPI) Investment in the natural resources), as well as such traditional economic
stocks and the public and private debt instruments (such measures as gross national product. 491
as bonds) of another country below the level where the Greenhouse effect The process by which the accumula-
stock or bondholder can exercise control over the poli- tion of carbon dioxide and other gases in Earth’s upper
cies of the stock-issuing company or the bond-issuing atmosphere arguably cause an increase in temperature
debtor. 138, 382 by creating a thermal blanket effect; this prevents some
Formal powers Authority to act or to exert influence of the cooling that occurs at night as Earth radiates
that is granted by statutory law or by the constitution heat. 518
to a political executive or to another element of gov- Greenhouse gases (GHGs) Carbon dioxide, methane,
ernment. 82 chlorofluorocarbons, and other gases that create a blanket
Fourth World Conference on Women (WCW) The largest effect by trapping heat and preventing the nightly cooling
and most widely noted in a series of UN conferences on of Earth. 518
the status of women. This international meeting took Gross domestic product (GDP) A measure of income
place in Beijing, China, in 1995. 467 within a country that excludes foreign earnings. 375
Free Trade Area of the Americas (FTAA) The tentative Gross national product (GNP) A measure of the sum of all
name given by the 34 countries that met in December 1994 goods and services produced by a country’s nationals,
at the Summit of the Americas to a proposed Western whether they are in the country or abroad. 58, 375
Hemisphere free trade zone. 436 Group of Eight (G-8) The seven economically largest free
Frustration-aggression theory A psychologically based market countries: Canada, France, Germany, Great
theory that frustrated societies sometimes become collec- Britain, Italy, Japan, and the United States, plus Russia (a
tively aggressive. 68 member on political issues since 1998). 431
Functional relations Relations that include interaction in Group of 77 (G-77) The group of 77 countries of the South
such usually nonpolitical areas as communication, travel, that cosponsored the Joint Declaration of Developing
trade, and finances. 279 Countries in 1963 calling for greater equity in North-
Functionalism International cooperation in specific areas South trade. This group has now come to include about
such as communications, trade, travel, health, or envi- 133 members and represents the interests of the less
ronmental protection activity. Often symbolized by the developed countries of the South. 421
G-6 Glossary

Groupthink How an individual’s membership in an organi- Imperial overstretch thesis The idea that attempting to
zation/decision-making group influences his or her maintain global order through leadership as a hegemon,
thinking and actions. In particular there are tendencies especially through military power, is detrimental to the
within a group to think alike, to avoid discordance, and to hegemon’s existence. 252
ignore ideas or information that threaten to disrupt the Imperialism A term synonymous with colonization, mean-
consensus. 72 ing domination by Northern Eurowhites over Southern
nonwhites as a means to tap resources to further their
Hard currency Currencies, such as dollars, euros, pounds, own development. 42
and yen, that are acceptable in private channels of inter- Individualism The concept that rights and liberties of the
national economics. 413 individual are paramount within a society. 457
Hard power Assets that can be used negatively as a threat Individual-level analysis An analytical approach that em-
or a sanction, or positively as an inducement by one phasizes the role of individuals as either distinct person-
country to shape the behavior of another country. 236 alities or biological/psychological beings. 65
Head of government The ranking official in the executive Industrial revolution The development of mechanical and
branch who is politically and constitutionally invested industrial production of goods that began in Great Britain
with the preponderance of authority to administer the in the mid-1700s and then spread through Europe and
government and execute its laws and policies. 82 North America. 42
Hegemonic power A single country or alliance that is so Informal powers Authority to act or to exert influence
dominant in the international system that it plays the key that is derived from custom or from the prestige within
role in determining the rules and norms by which the sys- a political system of either an individual leader or an
tem operates. As the dominant power in the system, it has institution. 82
a central position in both making and enforcing the Instrumental theory of government The notion that
norms and modes of behavior. Hegemon is a synonym for the purpose of political units and their governments
a hegemonic power. 49, 93 is to benefit the people who established them and that
Heuristic devices A range of psychological strategies the continued legitimate existence of these organiza-
that allow individuals to simplify complex decisions. tions rests on whether and how well they perform their
Such devices include evaluating people and events tasks. 174
in terms of how well they coincide with your own Instruments of foreign policy Tools countries use to im-
belief system (“I am anticommunist; therefore all plement their policies. 256
communists are dangerous”), stereotypes (“all Muslims Interdependence The close interrelationship and mutual
are fanatics”), or analogies (“appeasing Hitler was dependence of two or more domestic economies on each
wrong; therefore all compromise with aggressors is other. 137, 380
wrong”). 66 Interest group A private (nongovernmental) associa-
Holy Roman Empire The domination and unification tion of people who have similar policy views and
of a political territory in Western and Central Europe who pressure the government to adopt those views as
that lasted from its inception with Charlemagne in 800 policy. 87
to the renunciation of the imperial title by Francis II Intergovernmental organizations (IGOs) International/
in 1806. 37 transnational actors that are composed of member-
Horizontal authority structure A system in which author- countries. 2, 195
ity is fragmented. The international system has a mostly Intermediate-Range Nuclear Forces Treaty (INF) A treaty
horizontal authority structure. 91 between the United States and Soviet Union signed in
1987 that pledged the two countries to destroy all their
Ideological/theological school of law A set of related ideas ground-launched ballistic and cruise missiles with ranges
in secular or religious thought, usually founded on iden- of between 500 and 5,500 kilometers. 378
tifiable thinkers and their works, that offers a more or less Intermestic The merger of international and domestic con-
comprehensive picture of reality. 280 cerns and decisions. 8, 80
Ideology Interconnected theological or secular ideas that International Conference on Financing for Development
establish values about what is good and what is not, (ICFD) A UN-sponsored conference on development
and that indicate a course of action, create perceptual links programs for the South that met in Monterrey, Mexico,
among adherents, and perceptually distinguish those who during March 2002. Fifty heads of state or government, as
adhere to a given ideology from those who do not. 104 well as over 200 government cabinet ministers, leaders
Idiosyncratic analysis An individual-level analysis approach from NGOs, and leaders from the major IGOs attended
to decision making that assumes that individuals make the conference. 421
foreign policy decisions and that different individuals are International Convention on the Elimination of All
likely to make different decisions. 73 Forms of Racial Discrimination Adopted in 1965 and
 Glossary G-7

in effect in 1969, the treaty defines and condemns racial about 7% below their 1990 levels by 2012 and encourages,
discrimination and commits the states that are party to but does not require less developed countries to reduce
it to “pursue by all appropriate means and without emissions. 524
delay a policy of eliminating racial discrimination in all
its forms and promoting understanding among all Leader-citizen opinion gap Differences of opinion between
races.” 472 leaders and public, which may have an impact on foreign
International Court of Justice (ICJ) The world court, policy in a democratic country. 90
which sits in The Hague, the Netherlands, with 15 judges Leadership capabilities A range of personal job skills
and is associated with the United Nations. 285 including administrative skills, legislative skills, public
International Criminal Court (ICC) The permanent crim- persuasion abilities, and intellectual capacity that affect
inal court with jurisdiction over genocide and other crimes the authority of political leaders. 82, 248
against humanity. The court, seated in The Hague, the League A governmental arrangement in which the central-
Netherlands, began its operations in 2003. 467 ized government is mostly symbolic and has little or no
International investment capital The flow of money in functional authority. 198
and out of a country to buy companies, stocks, bonds, League of Nations The first, true general international
real estate, and other assets. 9 organization. It existed between the end of World War I
International Monetary Fund (IMF) The world’s primary and the beginning of World War II and was the immediate
organization devoted to maintaining monetary stability predecessor of the United Nations. 198
by helping countries to fund balance-of-payment deficits. Least developed countries (LLDCs) Those countries in
Established in 1947, it now has 170 members. 424 the poorest of economic circumstances. In this book, this
International political economy (IPE) An approach to the includes those countries with a per capita GNP of less
study of international relations that is concerned with the than $400 in 1985 dollars. 386
political determinants of international economic relations Less developed countries (LDCs) Countries, located mainly
and also with the economic determinants of international in Africa, Asia, and Latin America, with economies that
political relations. 375 rely heavily on the production of agriculture and raw ma-
International system An abstract concept that encom- terials and whose per capita GDP and standard of living
passes global actors, the interactions (especially pat- are substantially below Western standards. 58, 376
terns of interaction) among those actors, and the fac- Levels of analysis Different perspectives (system, state,
tors that cause those interactions. The international individual) from which international politics can be
system is the largest of a vast number of overlapping analyzed. 65
political systems that extend downward in size to mi- Liberals Analysts who reject power politics and argue
cropolitical systems at the local level. See also System- that people are capable of finding mutual interests and
level analysis. 36 cooperating to achieve them. 23
International terrorism Terrorists involved in attacking Liberalism The view that people and the countries that
a foreign target, either within their own country or represent them are capable of finding mutual interests
abroad. 316 and cooperating to achieve them, by forming ties be-
Iron triangle An alliance between interest groups, bureau- tween countries and also by working together for the
cracies, and legislators that forms a military-industrial- common good through international organizations and
congressional complex. 360 according to international law. See Classic liberalism and
Irredentism A minority population’s demand to join its Neoliberalism. 23
motherland (often an adjoining state), or when the moth- Limited membership council A representative organiza-
erland claims the area in which the minority lives. 111 tion body of the UN that grants special status to members
Issue areas Substantive categories of policy that must be who have a greater stake, responsibility, or capacity in a
considered when evaluating national interest. 79 particular area of concern. The UN Security Council is an
example. 206
Jus ad bellum The Western concept meaning “just cause of Limited unipolar system A configuration of the interna-
war,” which provides a moral and legal basis governing tional system in which there is one power center that plays
causes for war. 292 something less than a fully dominant role because of a range
Jus in bello The Western concept meaning “just conduct of of external and/or internal restraints on its power. 50
war,” which provides a moral and legal basis governing
conduct of war. 292 Maastricht Treaty The most significant agreement in the
recent history of the European Union (EU). The Maas-
Kyoto Protocol A supplement to the Global Warming tricht Treaty was signed by leaders of the EU’s 12 member-
Convention (1992) that requires the economically devel- countries in December 1991 and outlined steps toward
oped countries to reduce greenhouse gas emissions by further political-economic integration. 225
G-8 Glossary

MAD (mutual assured destruction) A situation in which Moral pragmatism The idea that there is a middle ground
each nuclear superpower has the capability of launching between amorality and moral absolutism that acts as
a devastating nuclear second strike even after an enemy a guide to human actions, particularly in regard to inter-
has attacked it. The belief that a MAD capacity prevents national law. 302
nuclear war is the basis of deterrence by punishment Moral relativism A philosophy that human actions must
theory. 333 be placed in context as a means to inform international
Majority voting A system used to determine how votes law. 300
should count. The theory of majoritarianism springs from Multilateral diplomacy Negotiations among three or more
the concept of sovereign equality and the democratic countries. 263
notion that the will of the majority should prevail. This Multilateral (foreign) aid Foreign aid distributed by inter-
system has two main components: (1) each member casts national organizations such as the United Nations. 417
one equal vote, and (2) the issue is carried by either a Multilateralism Taking important international actions,
simple majority (50% plus one vote) or, in some cases, an especially those using military force, within the frame-
extraordinary majority (commonly two-thirds). 208 work of a multilateral organization such as the United
Manufactured goods Items that required substantial pro- Nations. 263
cessing or assembly to become usable. Distinct from pri- Multinational corporations (MNCs) Private enterprises
mary products, such as agricultural and forestry products, that have production subsidiaries or branches in more
that need little or no processing. 379 than one country. 138, 382
Marxist theory The philosophy of Karl Marx that the eco- Multinational states Countries in which there are two or
nomic (material) order determines political and social more significant nationalities. 109
relationships. Thus, history, the current situation, and the Multipolar system A world political system in which
future are determined by the economic struggle, termed power is primarily held by four or more international
dialectical materialism. 378 actors. 42
McWorld This concept describes the merging of states into Multistate nation A nation that has substantial numbers of
an integrated world. Benjamin Barber coined this term to its people living in more than one state. 110
describe how states are becoming more globalized, espe- Munich analogy A belief among post–World War II leaders,
cially with the growth of economic interdependence. 54 particularly Americans, that aggression must always be
Merchandise trade The import and export of tangible met firmly and that appeasement will only encourage an
manufactured goods and raw materials. 137, 380 aggressor. Named for the concessions made to Hitler by
Microstate A country with a small population that cannot Great Britain and France at Munich during the 1938
survive economically without outside aid or that is inher- Czechoslovakian crisis. 67
ently so militarily weak that it is an inviting target for for- Munich Conference A meeting between France, Germany,
eign intervention. 123 Great Britain, and Italy in 1938, during which France and
Mirror-image perception The tendency of two countries or Great Britain, unwilling to confront Hitler, acquiesced
individuals to see each other in similar ways, whether with Germany’s decision to annex the Sudetenland (part of
positive or negative. 71 Czechoslovakia). This appeasement of Germany became
Missile Technology Control Regime (MTCR) A series of synonymous with a lack of political will. 45
understandings that commits most of the countries capa-
ble of producing extended-range missiles to a ban on the Nation A group of culturally and historically similar people
export of ballistic missiles and related technology and who feel a communal bond and who feel they should
that also pledges MTCR adherents to bring economic and govern themselves to at least some degree. 103
diplomatic pressure to bear on countries that export National interest A term that is often loosely applied to
missile-applicable technology. 348 mean the interests of a country or its government as
Monarchism A political system that is organized, gov- defined subjectively by those in power in the country,
erned, and defined by the idea of the divine right of kings, but which more accurately means the interests of the
or the notion that because a person is born into royalty, he country’s nation, its people. 188
or she is meant to rule. 176 National technical means (NTM) An arms control verifica-
Monetary relations The entire scope of international tion technique that involves using satellites, seismic mea-
money issues, such as exchange rates, interest rates, loan suring devices, and other equipment to identify, locate,
policies, balance of payments, and regulating institutions and monitor the manufacturing, testing, or deployment
(for example, the International Monetary Fund). 383 of weapons or delivery vehicles, or other aspects of treaty
Moral absolutism A philosophy based on the notion that compliance. 357
the ends never justify the means, or that morality should Nationalism The belief that the nation is the ultimate basis
be the absolute guide of human actions, particularly in of political loyalty and that nations should have self-
regard to international law. 300 governing states. See also Nation-state. 44, 104
 Glossary G-9

Nation-state A politically organized territory that recognizes nuclear weapons or in any way to “assist, encourage, or
no higher law, and whose population politically identifies induce any nonnuclear state to manufacture or other-
with that entity. See also State. 105 wise acquire nuclear weapons.” Nonnuclear signatories
Naturalist school of law Those who believe that law of the NPT also agree not to build or accept nuclear
springs from the rights and obligations that humans have weapons. 347
by nature. 280 Nontariff barrier (NTB) A nonmonetary restriction on
Neocolonialism The notion that EDCs continue to control trade, such as quotas, technical specifications, or unneces-
and exploit LDCs through indirect means, such as eco- sarily lengthy quarantine and inspection procedures. 401
nomic dominance and co-opting the local elite. 376 Non-zero-sum game A contest in which gains by one or
Neofunctionalism The top-down approach to solving more players can be achieved without offsetting losses for
world problems. 197 any other player or players. See Zero-sum game. 23, 237
Neoliberalism The view that conflict and other ills that North The economically developed countries (EDCs) in-
result from the anarchical international system can be cluding those of Western Europe, the United States and
eased by building global and regional organizations and Canada in North America, Japan in Asia, and Australia
processes that will allow people, groups, countries, and and New Zealand in Oceania. 58, 386
other international actors to cooperate for their mutual North American Free Trade Agreement (NAFTA) An
benefit. 24 economic agreement among Canada, Mexico, and the
Neoliberals Analysts who believe that conflict and other United States that went into effect on January 1, 1994. It
ills resulting from the anarchical international system can will eliminate most trade barriers by 2009 and will also
be eased by building global and regional organizations eliminate or reduce restrictions on foreign investments
and processes that will allow people, groups, countries, and other financial transactions among the NAFTA
and other international actors to cooperate for their countries. 434
mutual benefit. 24 North Atlantic Treaty Organization (NATO) An alliance
Neorealism The view that the self-interested struggle of 26 member-countries, established in 1949 by Canada,
for power among countries is caused by the anarchical the United States, and most of the countries of Western
nature of the international system, which leaves each Europe to defend its members from outside, presum-
state solely responsible for its safety and welfare and ably Soviet-led, attack. In the era after the cold war,
forces each state to pursue its interests in competition NATO has begun to admit members from Eastern
with other states. 21 Europe and has also expanded its mission to include
Neorealists Analysts who believe that the distribution peacekeeping. 46, 360
across and shifting of power among states in the anarchi- NUT (Nuclear Utilization Theory) The belief that because
cal international system is a causal factor that determines nuclear war might occur, countries must be ready to
the actions of states and, thus, the dynamics of world fight, survive, and win a nuclear war. NUT advocates
politics. 21 believe this posture will limit the damage if nuclear war
Net trade The difference between exports and imports, occurs and also make nuclear war less likely by creating
either overall or for specific commodities. For example, retaliatory options that are more credible than massive
if a state exports $10 billion in agricultural products retaliation. 333
and imports $8 billion dollars in agricultural products,
that country has a net agricultural trade surplus of Objective power Assets a country objectively possesses
$2 billion. 254 and has the will and capacity to use. 239
New International Economic Order (NIEO) A term that On-site inspection (OSI) An arms control verification
refers to the goals and demands of the South for basic technique that involves stationing your or a neutral coun-
reforms in the international economic system. 395 try’s personnel in another country to monitor weapons
Newly industrializing countries (NICs) Less developed or delivery vehicle manufacturing, testing, deployment, or
countries whose economies and whose trade now include other aspects of treaty compliance. 357
significant amounts of manufactured products. As a re- Open diplomacy The public conduct of negotiations and
sult, these countries have a per capita GDP significantly the publication of agreements. 266
higher than the average per capita GDP for less developed Operational code A perceptual phenomenon that de-
countries. 58, 386 scribes how an individual acts and responds when faced
Nongovernmental organizations (NGOs) International with specific types of situations. 76
(transnational) organizations with private memberships. Operational reality The process by which what is per-
2, 147 ceived, whether that perception is accurate or not, as-
Non-Proliferation Treaty (NPT) A multilateral treaty sumes a level of reality in the mind of the beholder and
concluded in 1968, then renewed and made permanent becomes the basis for making an operational decision (a
in 1995. The parties to the treaty agree not to transfer decision about what to do). 76
G-10 Glossary

Organization for Economic Cooperation and Development political community. Nationalism is the dominant politi-
(OECD) An organization that has existed since 1948 cal identity of most people, but others, such as religion,
(and since 1960 under its present name) to facilitate the do exist as a primary political identity and are becoming
exchange of information and otherwise to promote coop- more common. 102, 146
eration among the economically developed countries. Political theory An idea or connected set of ideas about
In recent years, the OECD has started accepting a few why things happen and how events related to one
newly industrializing and former communist countries in another. 18
transition as members. 431 Popular sovereignty A political doctrine that holds that
Organization for Security and Cooperation in Europe sovereign political authority resides with the citizens of a
(OSCE) Series of conferences among 34 NATO, former state. According to this doctrine, the citizenry grant a cer-
Soviet bloc, and neutral European countries that led to tain amount of authority to the state, its government, and,
permanent organization. Established by the 1976 Helsinki especially, its specific political leaders (such as monarchs,
Accords. 360 presidents, and prime ministers), but do not surrender
ultimate sovereignty. 41, 106
Pacificism A bottom-up approach to avoidance of war Positivist school of law Those who believe that law re-
based on the belief that it is wrong to kill. 370 flects society and the way that people want the society to
Pacta sunt servanda Translates as “treaties are to be served/ operate. 280
carried out” and means that agreements between states are Postmodernism This theory holds that reality does not
binding. 281 exist as such. Rather, reality is created by how we think
Parliamentary diplomacy Debate and voting in interna- and our discourse (writing, talking). As applied to world
tional organizations to settle diplomatic issues. 265 politics, postmodernism is the belief that we have become
Peace enforcement The restoration of peace or the preven- trapped by stale ways of conceiving of how we organize
tion of a breach of the peace by, if necessary, the assertive and conduct ourselves. Postmodernists wish, therefore,
use of military force to compel one or more of the sides to “deconstruct” discourse. 27
involved in a conflict to cease their violent actions. 365 Power The totality of a country’s international capabilities.
Peacekeeping The use of military means by an international Power is based on multiple resources, which alone or
organization such as the United Nations to prevent fight- in concert allow one country to have its interests prevail in
ing, usually by acting as a buffer between combatants. The the international system. Power is especially important in
international force is neutral between the combatants and enabling one state to achieve its goals when it clashes with
must have been invited to be present by at least one of the the goals and wills of other international actors. 235
combatants. See also Collective security. 363 Power capacity The sum of a country’s power assets that
Perceptions The factors that create a decision maker’s determine its potential for exercising international
images of reality. 70 power. 238
Plenary representative body An assembly, such as the Power elite A relatively small group of people with similar
UN’s General Assembly, that consists of all members of backgrounds, values, and policy preferences who occupy
the main organization. 206 most of the leadership positions in government, busi-
Poliheuristic theory A view of decision making that holds it ness, media, social, and other societal institutions and
occurs in two stages. During the first stage, nonrational move back and forth among leadership positions in those
considerations such as how an issue and the response to it institutions. 188
will affect a decision maker’s political or professional future Power pole An actor in the international system that has
are applied to narrow the range of choices. Then in the sec- enough military, economic, and/or diplomatic strength to
ond stage decision makers use strategic considerations and often have an important role in determining the rules and op-
other rational criteria to make a final policy choice. 78 eration of the system. Power poles, or simply poles, have gen-
Political culture A concept that refers to a society’s general, erally been either (1) a single country or empire or (2) a group
long-held, and fundamental practices and attitudes. of countries that constitute an alliance or bloc. 44, 93
These are based on a country’s historical experience and Power to defeat The ability to overcome in a traditional
on the values (norms) of its citizens. These attitudes are military sense—that is, to overcome enemy armies and
often an important part of the internal setting in which capture and hold territory. 313
national leaders make foreign policy. 81 Power to hurt The ability to inflict pain outside the imme-
Political executives Those officials, usually but not always in diate battle area; sometimes called coercive violence. It is
the executive branch of a government, who are at the center often used against civilians and is a particular hallmark of
of foreign policy–making and whose tenures are variable terrorism and nuclear warfare. 313
and dependent on the political contest for power. 82 Prescriptive rights Obligations on a society and its govern-
Political identity The perceived connection between an ment to try to provide a certain qualitative standard of life
individual and a political community (a group that has that, at a minimum, meets basic needs and perhaps does
political interest and goals) and among individuals of a not differ radically from the quality of life enjoyed by
 Glossary G-11

others in the society. These rights are usually expressed in Regional government A possible middle level of gover-
such terms as “the government shall . . .” 453 nance between the prevalent national governments of
President of the Commission Comparable to being presi- today and the world government that some people favor.
dent of the European Union (EU), this person is the The regional structure that comes closest to (but still
director of the 25-member European Commission, the well short of) a regional government is the European
policy-making bureaucratic organ of the EU. 226 Union. 203
Primary products Agricultural products and raw materials, Regional trade agreement A broad term used by the
such as minerals. 379 World Trade Organization to define bilateral and cross-
Procedural democracy A form of democracy that is defined regional agreements as well as multilateral regional
by whether or not particular procedures are followed, ones. 434
such as free and fair elections or following a set of laws or Relative power Power measured in comparison with the
a constitution. 178 power of other international actors. 237
Proscriptive rights Prohibitions to having something done to Relativists A group of people who subscribe to the belief
an individual or a group. These rights are usually expressed that human rights are the product of cultures. 455
in such terms as “the government may not . . .” 453 Renaissance A period of cultural and intellectual rebirth
Protectionism Using tariffs or nontariff barriers such as and reform following the Dark Ages from approximately
quotas or subsidies to protect a domestic economic sector 1350 to 1650. 40
from competition from imported goods or services. 400 Role How an individual’s position influences his or her
Protestant Reformation The religious movement initiated thinking and actions. 72
by Martin Luther in Germany in 1517 that rejected the
Catholic Church as the necessary intermediary between Secretariat The administrative organ of the United Na-
people and God. 40 tions, headed by the secretary-general. In general, the
Public diplomacy A process of creating an overall interna- administrative element of any IGO, headed by a secretary-
tional image that enhances your ability to achieve diplo- general. 209
matic success. 273 Self-determination The concept that a people should have
Purchasing Power Parity (PPP) A measure of the relative the opportunity to map their own destiny. 106
purchasing power of different currencies. It is measured Services trade Trade based on the purchase (import) from or
by the price of the same goods in different countries, sale (export) to another country of intangibles such as ar-
translated by the exchange rate of that country’s currency chitectural fees; insurance premiums; royalties on movies,
against a “base currency,” usually the U.S. dollar. 59, 375 books, patents, and other intellectual properties; shipping
services; advertising fees; and educational programs.
Rally effect The tendency during a crisis of political and 137, 380
other leaders, legislators, and the public to give strong Situational power The power that can be applied, and is
support to a chief executive and the policy that leader has reasonable, in a given situation. Not all elements of power
adopted in response to the crisis. 79 can be applied to every situation. 240
Real dollars The value of dollars expressed in terms of a Social contract The implicit understanding agreed to by
base year. This is determined by taking current value and those who merged into a society and created a govern-
subtracting the amount of inflation between the base year ment. The social contract details the proper functions of
and the year being reported. Sometimes called uninflated and prohibitions on government. 173
dollars. Any currency can be valued in real terms. See also Social overstretch thesis The idea that spending money
Current dollars. 375 on altruistic social welfare programs to support the
Realism The view that world politics is driven by competi- least productive people in society financially drains that
tive self-interest, and, therefore, that the central dynamic of economy. 253
international system is a struggle for power among coun- Soft power Traits of a country that attract other countries
tries as each tries to preserve or, preferably, improve its to emulate it or otherwise follow its lead through the
military security and economic welfare in competition power of example. 236
with other states. See classic realism and neorealism. 20 South The economically less developed countries (LDCs),
Realists Analysts who believe that countries operate in primarily located in Africa, Asia, and Latin America.
their own self-interests and that politics is a struggle for 58, 386
power. 20 Southern Common Market (Mercosur) A regional organi-
Realpolitik Operating according to the belief that politics zation that emphasizes trade relations, established in
is based on the pursuit, possession, and application of 1995 among Argentina, Brazil, Paraguay, and Uruguay,
power. 45 with Bolivia, Chile, Peru, and Venezuela as associate
Regime A complex of norms, treaties, international organi- members. 437
zations, and transnational activity that orders an area of Sovereignty The most essential characteristic of an in-
activity such as the environment or oceans. 201 ternational state. The term strongly implies political
G-12 Glossary

independence from any higher authority and also sug- Strategic Arms Reduction Talks Treaty II (START II) A
gests at least theoretical equality. 2, 36 nuclear weapons treaty signed by the Soviet Union and
Special drawing rights (SDRs) Reserves held by the Inter- the United States in 1993, which established nuclear war-
national Monetary Fund that the central banks of member- head and bomb ceilings of 3,500 for the United States and
countries can draw on to help manage the values of their 2,997 for Russia by the year 2003 and that also eliminated
currencies. SDR value is based on a “market-basket” of some types of weapons systems. As of February 1997 the
currencies, and SDRs are acceptable in transactions treaty had not been ratified by the Russian parliament and,
between central banks. 425 therefore, the treaty is not legally in effect. 348
Special operations The overt or covert use of relatively Strategic Offensive Reductions Treaty (SORT) A treaty
small units of troops or paramilitary forces, which con- signed in 2002 by President George W. Bush and Presi-
duct commando/guerrilla operations, gather intelligence, dent Vladimir Putin. Under the treaty’s provisions, the
and perform other specialized roles. Special operations United States and Russia agree to reduce their nuclear ar-
forces in the U.S. military include such units as the U.S. senals of nuclear warheads and bombs to no more than
Green Berets, Seals, and Delta Force; Great Britain’s 2,200 by 2012. When presidents Bill Clinton and Boris
Special Air Services (SAS); and Russia’s Special Purpose Yeltsin had earlier committed to the general levels estab-
Force (SPETSNAZ). 325 lished in the treaty, they had referred to the potential ac-
State A political actor that has sovereignty and a number cord as the third Strategic Arms Reduction Treaty
of characteristics, including territory, population, organi- (START III), but that name was abandoned by Bush and
zation, and recognition. 40 Putin. 349
State building The process of creating both a government Strategic-range delivery vehicle A missile or bomber
and other legal structures of a country and the political capable of delivering weapons at a distance of more than
identification of the inhabitants of the country with the 5,500 kilometers (3,416.8 miles). 330
state and their sense of loyalty to it. 107 Subjective power A country’s power based on other coun-
State of nature A theoretical time in human history tries’ perception of its current or potential power. 239
when people lived independently or in family groups Substantive democracy A form of democracy that is de-
and there were no societies of nonrelated individuals or fined by whether qualities of democracy, such as equality,
governments. 173 justice, or self-rule, are evident. 178
State terrorism Terrorism carried out directly by, or encour- Supermajority voting A voting formula that requires a
aged and funded by, an established government of a state two-thirds vote or some other fraction or combination of
(country). 317 fractions for passage of a measure. 208
State-centric system A system describing the current world Superpower A term used to describe the leader of a system
system wherein states are the principal actors. 91 pole in a bipolar system. During the cold war, the Soviet
State-level analysis An analytical approach that emphasizes Union and the United States were each leaders of a bipolar
the actions of states and the internal (domestic) causes of system pole. 46
their policies. 78 Supranational organization An organization that is
Statecraft The use of military, economic, diplomatic, and founded and operates, at least in part, on the idea that in-
informational policy instruments to achieve the foreign ternational organizations can or should have authority
policy goals of countries. 235 higher than individual states and that those states should
Stateless nation A nation that does not exercise political be subordinate to the supranational organization. 203
control over any state. 111 Sustainable development The ability to continue to im-
Strategic Arms Limitation Talks Treaty (SALT I) The Strate- prove the quality of life of those in the industrialized
gic Arms Limitation Talks Treaty signed in 1972. 347 countries and, particularly, those in the less developed
Strategic Arms Limitation Talks Treaty (SALT II) The countries while simultaneously protecting Earth’s bio-
Strategic Arms Limitation Talks Treaty signed in 1979 sphere. 61, 493
but withdrawn by President Carter from the U.S. Senate System-level analysis An analytical approach that empha-
before ratification in response to the Soviet invasion of sizes the importance of the impact of world conditions
Afghanistan. 347 (economics, technology, power relationships, and so
Strategic Arms Reduction Talks Treaty I (START I) A forth) on the actions of states and other international
nuclear weapons treaty signed by the Soviet Union and actors. 91
the United States in 1991 and later re-signed with Belarus,
Kazakhstan, Russia, and Ukraine that will limit Russia Tariff A tax, usually based on percentage of value, that im-
and the United States to 1,600 delivery vehicles and 6,000 porters must pay on items purchased abroad; also known
strategic explosive nuclear devices each, with the other as an import tax or import duty. 400
three countries destroying their nuclear weapons or Terrorism A form of political violence conducted by indi-
transferring them to Russia. 348 viduals, groups, or clandestine government agents that
 Glossary G-13

attempts to manipulate politics by attacking noncombat- UN Conference on Environment and Development

ants and nonmilitary targets in order to create a climate (UNCED) Often called Earth Summit I or the Rio Con-
of fear. 316 ference, this gathering in 1992 was the first to bring to-
Theocracy A political system that is organized, governed, gether most of the world’s countries, a majority of which
and defined by spiritual leaders and their religious were represented by their head of state or government, to
beliefs. 175 address the range of issues associated with sustainable
Third World A term once commonly used to designate the development. 497
countries of Asia, Africa, Latin America, and elsewhere UN Conference on Population and Development (UNCPD)
that were economically less developed. The phrase is at- A UN-sponsored conference that met in Cairo, Egypt, in
tributed to French analyst Alfred Sauvy, who in 1952 used September 1994 and was attended by delegates from more
tiers monde to describe neutral countries in the cold war. than 170 countries. The conference called for a program
By inference, the U.S.-led Western bloc and the Soviet-led of action to include spending $17 billion annually by the
Eastern bloc were the other two worlds. But since most year 2000 on international, national, and local programs
of the neutral countries were also relatively poor, the to foster family planning and to improve the access of
phrase had a double meaning. Sauvy used the older tiers, women in such areas as education. 500
instead of the more modern troisième, to allude to the pre- UN Conference on Trade and Development (UNCTAD) A
Revolutionary (1789) third estate (tiers état), that is, the UN organization established in 1964 and currently con-
underprivileged class, the commoners. The nobility and sisting of all UN members plus the Holy See, Switzerland,
the clergy were the first and second estates. Based on this and Tonga, which holds quadrennial meetings aimed
second meaning, Third World came most commonly to at promoting international trade and economic devel-
designate the less developed countries of the world, what- opment. 421
ever their political orientation. The phrase is less often UN Development Programme (UNDP) An agency of the
used since the end of the cold war, although some ana- UN established in 1965 to provide technical assistance to
lysts continue to employ it to designate the less developed stimulate economic and social development in the
countries. 46 economically less developed countries. The UNDP has
Transnational advocacy networks (TANs) IGOs, NGOs, 48 members selected on a rotating basis from the world’s
and national organizations that are based on shared val- regions. 421
ues or common interests and exchange information and UN General Assembly (UNGA) The main representative
services. 148 body of the United Nations, composed of all 192 member-
Transnational terrorism Terrorism carried out either states. 206
across national borders or by groups that operate in more UN Security Council The main peacekeeping organ of the
than one country. 317 United Nations. The Security Council has 15 members,
Transnational terrorist groups Those that operate across including 5 permanent members. 207
borders or that have cells and members in more than one Unanimity voting A system used to determine how
country. 317 votes should count. In this system, in order for a vote to
Transnationalism Extension beyond the borders of a be valid, all members must agree to the proposed mea-
single country; applies to a political movement, issue, or- sure. Abstention from a vote may or may not block an
ganization, or other phenomena. 131 agreement. 208
Treaty of Westphalia The treaty that ended the Thirty Unconventional force The application of force using the
Years’ War (1618–1648). The treaty signals the birth of techniques of guerrilla warfare, covert operations, and ter-
the modern state system and the end of the theoretical rorism conducted by military special forces or by paramili-
subordination of the monarchies of Europe, especially tary groups. Such groups frequently rely on external sources
those that had adopted Protestantism, to the Roman for funds and weapons. Unconventional warfare is some-
Catholic Church and the Holy Roman Empire. While the times waged against nonmilitary targets and may use con-
date of 1648 marked an important change, the state as a ventional weapons or weapons of mass destruction. 323
sovereign entity had begun to emerge earlier and continues Unilateralism Occurs when a single country perhaps leading
to evolve. 40 a small coalition of other countries, takes an important
Tribalism A term used by scholar Benjamin Barber to de- international action, such as using force, without the
scribe the internal pressure on countries that can lead to approval of an IGO. 263
their fragmentation and even to their collapse. 55 Unipolar system A type of international system that de-
Two-level game theory The concept that in order to arrive at scribes a single country with complete global hegemony.
satisfactory international agreements, a country’s diplomats 93
actually have to deal with (at one level) the other country’s Unitary government One in which the central government
negotiators and (at the second level) legislators, interest has all or most of the power and the subordinate units
groups, and other domestic forces at home. 84, 265 have little or no functional authority. 203
G-14 Glossary

United Nations (UN) An international body created with Westernization of the international system A number of
the intention to maintain peace through the cooperation factors, including scientific and technological advances,
of its member-states. As part of its mission, it addresses contributed to the domination of the West over the inter-
human welfare issues such as the environment, human national system that was essentially created by the Treaty
rights, population, and health. Its headquarters are lo- of Westphalia (1648). 42
cated in New York City, and it was established following Will to power The willingness of a country to use its power
World War II to supersede the League of Nations. 198 capacity to influence global events. 238
Universal Declaration of Human Rights Adopted by the World Bank Group Four associated agencies that grant
UN General Assembly, it is the most fundamental interna- loans to LDCs for economic development and other finan-
tionally proclaimed statement of human rights in exis- cial needs. Two of the agencies, the International Bank for
tence. 461 Reconstruction and Development (IBRD) and the Interna-
Universalists A group of people who subscribe to the be- tional Development Association (IDA), are collectively re-
lief that human rights are derived from sources external ferred to as the World Bank. The other two agencies are
to society, such as from a theological, ideological, or nat- the International Finance Corporation (IFC) and the Mul-
ural rights basis. 455 tilateral Investment Guarantee Agency (MIGA). 429
Uruguay Round The eighth round of GATT negotiations to World Conference(s) on Women (WCW) A series of UN-
reduce tariffs and nontariff barriers to trade. The eighth sponsored global conferences on the status of women. Of
round was convened in Punta del Este, Uruguay, in 1986 these, the most recent was the fourth WCW held in
and its resulting agreements were signed in Marrakesh, Beijing in 1995. 162, 467
Morocco, in April 1994. 423 World Food Summit Specifically, a 1996 meeting in Rome
attended by almost all the world’s countries and dedicated
Vertical authority structure A system in which subordi- to addressing both the short-term and long-term food
nate units answer to higher levels of authority. 91 needs of less developed countries. More generically,
Veto A negative vote cast in the UN Security Council by world food summit refers to any of a number of global
one of the five permanent members; has the effect of de- meetings held on the topic. 480
feating the issue being voted on. 209 World government The concept of a supranational world
authority to which current countries would surrender
Weapons of mass destruction (WMDs) Generally deemed some or all of their sovereign authority. 203
to be nuclear weapons with a tremendous capability to World Health Organization (WHO) A UN-affiliated
destroy a population and the planet, but also include organization created in 1946 to address world health
some exceptionally devastating conventional arms, such issues. 484
as fuel-air explosives, as well as biological, and chemical World Summit on Sustainable Development (WSSD)
weapons. Weapons of mass destruction warfare refers to Often called Earth Summit II, this conference was held in
the application of force between countries using biologi- Johannesburg in 2002. It was attended by almost all
cal, chemical, and nuclear weapons. 56, 328 countries and by some 8,000 NGOs, and it established a
Weighted voting A system used to determine how votes series of calls for action and timetables for ameliorating
should count. In this system, particular votes count more various problems. 498
or less depending on what criterion is deemed to be most World systems theory The view that the world is some-
significant. For instance, population or wealth might be thing of an economic society brought about by the spread
the important defining criterion for a particular vote. In of capitalism and characterized by a hierarchy of coun-
the case of population, a country would receive a particu- tries and regions based on a gap in economic circum-
lar number of votes based on its population, thus a coun- stance, by a division of labor between capital-intensive
try with a large population would have more votes than a activities in wealthy countries and labor-intensive activi-
less-populated country. 208 ties in poor country, and by the domination of lower tier
West Historically, Europe and those countries and regions countries and regions by upper tier ones. 379
whose cultures were founded on or converted to Euro- World Trade Organization (WTO) The organization that
pean culture. Such countries would include Australia, replaced the General Agreement on Tariffs and Trade
Canada, New Zealand, and the United States. The major- (GATT) organization as the body that implements GATT,
ity of the populations in these countries are also “white,” the treaty. 421
in the European, not the larger Caucasian, sense. After
Xenophobia Fear of others, “they-groups.” 119
World War II, the term West took on two somewhat dif-
ferent but related meanings. One referred to the countries Zero-sum game A contest in which gains by one player can
allied with the United States and opposed to the Soviet only be achieved by equal losses for other players. See
Union and its allies, called the East. The West also came Non-zero-sum game. 20, 237
to mean the industrial democracies, including Japan. See Zionism The belief that Jews are a nation and that they
also Eurowhites. 42 should have an independent homeland. 112
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Index

Page numbers in italics indicate boxes, economic infrastructure, 117 Akhand Bharat, 153
tables, photos, charts, etc. Page num- ethnonational rivalries, 184 Albright, Madeleine, 17, 222
bers in bold indicate definitions. female genital mutilation, 465 altruism, 33, 181
female leaders in, 64 Al-Zawraa TV, 272
A foreign aid, 119, 260, 432, 433 American Declaration of
Abe, Shinzo, 432 International Criminal Court Independence, 106, 122
ABM. See Anti-Ballistic Missile Treaty and, 297 American exceptionalism, 81
abolition of war, 342, 342f, 369, 372 IGOs and, 198 American Revolution, 41, 314
complete disarmament, 369–70 immigration from, 230 costs of, 312
pacifism, 370–71 imports/exports, 394 American Servicemembers’ Protection
absolute power, 237–38 life expectancy, 119 Act (2002), 298
Abu Ghraib Prison, 294, 463 Muslims in, 151, 156, 160 “American way,” 31
actors poverty in, 56 Amherst, Jeffrey, 328
foreign policy-making, 81–91 protein deficiency, 478, 510 Amnesty International, 462, 463
in global drama, 185 rain forest protection, 506 amorality, 300
IGOs as independent international, sewage pollution, 514 Amorim, Celso, 424
202 United Nations and, 210, 212 anarchical international system, 3
in power relationships, 93, 95 uranium in, 66, 85 anarchical political system, 41
religion as transnational, 152 World Conference in Sustainable anarchy, 32
sovereign states as primary, 41 Development, South Africa, 148 al-Ani, Riyad, 74
states as political, 192 African Development Bank, 433 Annan, Kofi, 51, 121, 201, 212–14,
on world stage, 2, 4f–5f African Union (AU), 199, 223, 360 219, 362–63, 405
adjudication, 284–86 peacekeeping of, 361 on diplomacy, 256
administration soldiers, 361 on human rights, 457
effectiveness of, 247 age distribution, 243 on Iraq war, 221
of global IGOs, 213–15 dependency ratios and, 244f on sovereignty, 291
of UN, 213–15 in world population, 244 anthrax, 328
Afghanistan, 56, 322 Agenda 21, 498 Anti-Ballistic Missile Treaty (ABM),
blood kinship in, 114 agricultural output, 256 334, 335, 345t, 347, 393
peacekeeping in, 368 ahimsa, 370 Bush, George W., and, 348
Soviet Union in, 318 Ahmadinejad, Mahmoud, 176 Anti-Personnel Mine Treaty (APM),
U.S. invasion of, 82, 83, 89, 267 AIDS, 2, 188 345t, 354
Afghans, 114 children and, 468 anti-satellite system (ASAT), 337
Africa, 45. See also individual countries, in India, 290 apartheid, 186, 291
South Africa, and sub-Saharan as transnational disease, 13 APEC. See Asia-Pacific Economic
Africa women and, 467 Cooperation
AIDS in, 13 as world epidemic, 482 APM. See Anti-Personnel Mine Treaty
anti-imperialism movement in, 126 air quality appeasement policy, 45
CO2 emissions in, 494 in China, 517 Arab Cooperation Council, 223
colonization/decolonization of, issues, 515–16 Arabs, 156, 159
43f, 107 protecting, 516–17 Arafat, Yasser, 113
cultural imports and, 145 Airbus, 403 Arbour, Louise, 451

I-1
I-2 Index

Arctic Climate Impact Assessment, 521 atomic age, 199 Bharatiya Janata Party (BJP), 153–54
Ardrey, Robert, 68–69 AU. See African Union Bhutan, 169
Aristotle, 36, 292, 306 Aurelius, Marcus, 132 Biden, Joseph, 50
Arizona, world countries and, 187f Austro-Hungarian empire, 45 bilateral aid, 417
armies, 192, 251, 287. See also military authoritarian governments, 78, bilateral diplomacy, 263
personnel 175–77, 183 bilateral trade agreement (BTA),
arms control, 57, 344, 372 authoritarianism, 175 434, 440
achieving, 344–46 authority. See also universal authority bin Laden, Osama, 136, 152, 169,
categorical restrictions, 344 challenges to, 54–56 294, 318
cold war blocking, 347 fast track, 80 biological factors
conventional weapons and, 353–56 horizontal authority structure, 91 ethology, 68–69
deployment restrictions, 344 local, 38 gender, 69–70
domestic barriers to, 358–60 macroauthority, 54 biological terrorism, 320–21
doubts over, 357 microauthority, 54 biological weapons, 328
geographic restrictions, 344–45 organization of, 91–92 Biological Weapons Convention
history of, 346–56 political, 38 (BWC), 328, 348, 358
IGOs promoting, 218 religious, 37 biopolitics, 68
international barriers to, 356–58 secular, 38 biospheres, 491, 512
through limited self-defense, states challenging, 54–56 bipolar system, 45, 94f
344–60 vertical authority structure, 91 cold war and, 45–48
NPT and, 351–53 avian flu, 483 end of, 48
numerical restrictions, 344 Axis Rule in Occupied Europe rise/decline of, 46–48
transfer restrictions, 345 (Lemkin), 281 in 20th century, 45–48
treaties, 345t, 346f Azerbaijanis, 111 U.S.-Soviet Union, 47f
UN promoting, 218 birthrate reduction
WMDs, 348–51 B economic approaches to, 501–2
arms transfers, 324f Bajpayee, Atal Behari, 50 social approaches to, 501
costs of, 324–25 Baker, James, 26, 97 von Bismarck, Otto, 20
drawbacks, 324–25 balance of payments for current BJP. See Bharatiya Janata Party
hypocrisy and, 325 accounts, 254 Black Death, 482
LDCs and, 324–25 balance-of-payments deficits, 254 black gold, 255
motives for, 323–24 balance of power, 44 Blagojevic, Vidoje, 296
unconventional force, 323–25 balance-of-power politics, 22, 93, 242 Blair, Tony, 362, 432
violence increase with, 325 Balkans, 10 Iraq invasion and, 66
weapons in, 325 tribunal, 295–96 public approval of, 79
Arrhenius, Svante, 521 ballistic missile defense (BMD), blogging, 146
arsenals See national military defense Blood Diamond, 296
nuclear, 330f, 349f Ban Ki-moon, 17, 210, 212–13 BMD. See national military defense
states/nuclear weapons and, Bangladesh, peacekeeping in, 365 Boeing, 92, 403
330–31 Barber, Benjamin, 54, 123 Bolívar, Simón, 196
Arthashastra (Kautilya), 20 Barroso, José Manuel, 17, 227, 228, Bolsheviks, 45
The Art of War (Sun Tzu), 20, 326 424, 432 Bolton, John, 222
ASAT. See anti-satellite system Basel Convention (1992), 513 Bonaparte, Napoleon, 242
ASEAN. See Association of Southeast al-Bashir, Omar, 366 Bosnia, 25, 85
Asian Nations Beckett, Margaret, 525 Bosnians, 120
Asia, 45 Beijing 5 Conference, 162 bottom-up political theory, 139, 197
Asian Development Bank, 433 Beijing Pop Festival (2006), 55 pacifism as, 370
Asia-Pacific Economic Cooperation Belang, Vlaams, 177 botulism, 328
(APEC), 438–39 Belize armies, 251 bounded rationality, 66
Association of Southeast Asian Benedict XVI (Pope), 37 Boutros-Ghali, Boutros, 211–13, 216
Nations (ASEAN), 58, 223, 438 Bentham, Jeremy, 278 Bozorgmehr, Shirzad, 358
asymmetrical warfare, 56–57 Berlin Wall, 48 Brazil income distribution, 391f
Athenian democracy, 37 Bethmann-Hollweg, Theobald von, 257 Bretton Woods, 425, 431
 Index I-3

Bruntland, Gro Harlem, 179, 501 SORT and, 349 Central Commission for the
BTA. See bilateral trade agreement on torture, 459 Navigation of the Rhine, 197–98
the Buddha, 132 2003 state of the union, 85 Central Intelligence Agency (CIA),
bureaucracy, 84 2004 election of, 88–89 2, 86
filtering information, 85 as war criminal, 293 CFCs. See chlorofluorocarbons
of foreign policy-making actors, on WMDs, 293 CFE. See Conventional Forces in
84–85 worldview of, 76 Europe Treaty
implementation, 85–86 Bush, Laura, 70 Chad, 479
recommendations, 85 Bush, Prescott, 77 Chamberlain, Neville, 45
Burundi, 107 BWC. See Biological Weapons Chan, Margaret, 483
Bush administration Convention Charlemagne, 37
critics of, 271 Chávez, Hugo, 58, 182, 324, 397, 436
North Korea and, 271–72 C Chechens, 115
nuclear strategy of, 334 Cable News Network (CNN), 55, 137 chemical terrorism, 320–21
pressure on, 95 CAFTA-DR. See Central American Free chemical weapons
time lines and, 268 Trade Association–Dominican children and, 329
war on terror and, 260 Republic as conventional force, 329
Bush, Barbara, 77 Cambodia tribunal, 296–97 Hussein on, 329
Bush Doctrine, 77, 315, 334 Cambodian Buddhist monk, 130 Chemical Weapons Convention
Bush, Dorothy, 77 Canada-U.S. Air Quality Agreement (CWC), 218, 345t, 350–51
Bush, George H. W., 77, 311, (1991), 506 Cheney, Dick, 68, 266
326, 348 capitalism, 377, 378 children
assassination attempt, 257 IMF and, 428 AIDS and, 468
intelligence/success of, 84t prosperity and, 428f chemical weapons and, 329
Persian Gulf War and, 75 pure, 378 child labor among, 468, 469
as “The Wimp Factor,” 75 carbon dioxide (CO2), 61 child mortality rates, 262f
Bush, George W., 12, 16, 22, 26, 70, current/projected, 494f in LLDCs, 481
77, 84–85, 166, 264, 271, 362, emissions, 61f, 493–94 in Myanmar, 469
396, 430, 432 in sub-Saharan Africa, 494 in Nouakchott, Mauritania, 454
ABM and, 348 in Texas, 494 sex ratios, 465f
as active-positive, 74 Caribbean Development Bank, terrorism and, 316
CTBT and, 350 433–34 children’s rights
on democracy, 183 Carr, Edward H., 21 problems, 468–69
family ties of, 75–76, 77 carried aboard ballistic missile nuclear progress, 469–70
foreign policy of, 393 submarines (SSBNs), 331 China, 25, 31, 45, 95–96, 117, 190
Hussein and, 75–76 carrying capacity, 492 air quality in, 517
ICC and, 299, 393 cartels, 403 armies of, 251
intelligence/success of, 84t Carter, Jimmy as authoritarian, 454
Iraq invaded by, 25–26, 66, 79, 82, anger of, 67–68 basketball and, 141–42
83, 241 intelligence/success of, 84t Christmas in, 140, 145–46
on Iraq troop surge, 67 Iran hostage crisis and, 78 compared to San Marino, 168, 168f
jus ad bellum and, 293 Castro, Fidel, 261, 271 as competitor, 409
national security policy of, 50 on sanctions, 261 cultural globalization in, 140,
perception of, 71 U.S. attempt to overthrow, 266 141–42, 145–46
as positive-passive, 74 CEDAW. See Convention on the demographic graying and, 245
public approval of, 79 Elimination of All Forms of exports of, 388
religious convictions of, 87, 154 Discrimination Against Women; foreign policy of, 81
role sense of, 72 Elimination of All Forms of GDP in, 256
in Russia, 273 Discrimination against Women GNP of, 254
Schröder and, 265 Central American Court of Justice, 286 Hehnan Province, 117
September 11, 2001 terrorist attacks Central American Free Trade human rights and, 366
and, 68, 79 Association–Dominican Republic location and, 242
soft power and, 237 (CAFTA-DR), 440 military spending, 250f
I-4 Index

China (continued ) heuristic devices, 66–67 conflict inhibition, 446

national identity in, 247 wishful thinking, 66 Confucianism, 54
nuclear weapons in, 331 cold war, 2, 46, 71, 111 constitutions, 280
political culture in, 81 arms control blocked by, 347 EU, 405
power and, 241–42 bipolar system and, 45–48 U.S., 83
rise of, 48 imperialism during, 366–67 constructivism, 30
sanctions on, 398b–399b resistance to, 47 course of world politics, 31–32
sustainable development and, in 20th century, 45–48 nature of politics and, 30–31
496, 496 Coleridge, Samuel Taylor, 508 views of, 19t
Taiwan and, 170, 269–71 collective security, 362 constructivist theory, 30–32
trade of, 397 Iraq and, 362–63 consumer products, 141–42
U.S. relations, 96, 301 preemptive war and, 362–63 containment doctrine, 46–47
U.S. trade, 398f theory, 362 Contra rebels, 286
Chirac, Jacques, 50–51, 95, 145, college demonstrations, 14, 16 Convention against Torture/Cruel,
200, 230–31, 292, 297, 336 colonialism, 376. See also imperialism; Inhuman or Degrading Treatment
on EU, 394 neocolonialism or Punishment, 283, 461
chlorofluorocarbons (CFCs), experience of non-western Convention on the Elimination of
12–13, 518 countries, 53f All Forms of Discrimination
Christian Coalition, 87 Columbus, Christopher, 39 Against Women (CEDAW),
Christianity, 37, 151 Commission on the Status of Women 466–67
Christians (CSW), 466 Convention on the International
conflicts with Muslims, 156 commodity price changes, 417f Trade in Endangered Species
nationalism and, 157f Common Market for Eastern and (CITES), 507
Churchill, Winston, 74 Southern Africa, 439 Convention on the Preservation and
on resolving disputes, 201 Commonwealth of Independent Protection of Fur Seals, 201
CIA. See Central Intelligence Agency States, 439 Convention on the Prevention and
CIA Counter-Terrorism Center, 86 communications Punishment of the Crime of
CITES. See Convention on the diplomacy as process, 266–67 Genocide (1948), 281, 472
International Trade in global, 135–37 Convention on the Protection of the
Endangered Species globalization of, 135–37 Rights of All Migrant Workers
Citigroup, 385 growth of, 135–36 and Their Families, 475
civil liberties, 177 impact of globalized, 136–37 Convention on the Rights of the Child
civil society, 131 communism, 176, 177 (1989), 469
clash of civilizations, 151 Communist Manifesto (Marx/Engels), Convention Relating to the Status of
classic liberalism, 24 28, 132–33, 378 Refugees (1951), 474
classic realism, 21 Communist Party, 176 conventional force, 326, 338
climate, 243 communitarianism, 457 chemical weapons, 329
Clinton, Bill, 25, 73, 75, 79, 117, 298 Community of Sahel-Saharan goals/conduct of war, 326–27
as active-positive, 74 States, 439 nuclear deterrence strategy, 333–37
CTBT and, 350 Community Tribunal of Economic nuclear weapons, 330–32
on globalization, 134–35, 143 Community of West African unchecked escalation, 327–28
intelligence/success of, 84t States, 286 Conventional Forces in Europe Treaty
as most traveled, 264 competition, 3 (CFE), 345, 354
worldview of, 76 North-South, 396–97 conventional warfare, 326
CNN. See Cable News Network promoting, 443 conventional weapons
CO2, See carbon dioxide complex interdependence, 24 arms control, 353–56
codify, 281 Comprehensive Test Ban Treaty inventories, 354
coercion, 283 (CTBT), 79, 345t, 349–50, 357 transfers, 354–56
coercive diplomacy, 269–70 Bush, George W., and, 350 conventional weapons terrorism, 319
cognitive consistency, 66 Clinton and, 350 cooperation, 3. See also economic
cognitive decision making, 66 computing capacity, 249f cooperation
cognitive factors conditionality, 427–28 global, 197, 443
cognitive consistency, 66 confederation, 203 IGOs as center for, 201–2
 Index I-5

liberalism in, 24–25 dar al-Islam, 155 international security and, 183
in states, 190 DATA. See Debt AIDS Trade Africa monarchs eroded by, 44
“cooperative multipolar world Darfur, 60, 186, 220 nationalism promoting, 116
order,” 50 ethnic cleansing in, 260, 291 policy impacts of, 182–84
corruption, 413f peacekeeping in, 366, 368 procedural, 178
Council of the Baltic Sea States, 201 Darwin, Charles, 458 promoting, 444
Council of the European Union, 226 Darwinian world, 22 prosperity and, 180f
Court of Auditors, 228 De Jure Belli et Pacis (Grotius), 278 Putin and, 183–84
Court of Justice, 228 de la Sabilère, Jean-Marc, 200 Russia and, 183–84
crisis situation, 79 death penalty, 456 spread of, 177f, 180–82
Crucé, Émeric, 195 deaths substantive, 178
CSW. See Commission on the Status causes, 482f support for, 181f
of Women in Iraq War, 258 Democracy in America (de Tocqueville),
CTBT. See Comprehensive Test Pearl Harbor, 239 182
Ban Treaty population problems and, 500 democratic governments, 78, 177–80.
Cuba U.S., in Iraq War, 14, 14f, 23, 239, See also democracy
Cuban missile crisis (1962), 46–47 240f, 306 participation in, 178–79
state terrorism of, 317 war and, 307 process vs. outcome in, 178
U.S. sanctions on, 261, 271, 301 World War I, 307 democratic peace theory, 183
cultural blocs, 151 World War II, 307 democratized diplomacy, 265
cultural discrimination, 120–21 Debt AIDS Trade Africa (DATA), 433 demographic graying, 244
cultural globalization, 139–42 debt service, 414, 414f China and, 245
in China, 140, 141–42, 145–46 decision-making process, 65 defined, 244
concerns about, 144–46 groupthink, 72–73, 85 EDCs and, 245
consumer products and, 141–42 within organizations, 72–73 immigration and, 245b
imports and, 140, 145 policy outcome and, 73f Japan and, 245
language and, 140–41 poor decisions, 73 LDCs and, 245
opinions on, 145f Declaration on the Survival, Protection United States and, 245
cultural groups, 87 and Development of Children, demonstrations, 257. See also college
cultural identification, 128 469 demonstrations; protests
cultural imperialism, 456 defense spending dependence on trade, 9f
currency. See also current dollars; health/education vs., 11f dependency theory, 379
dollars; euro; hard currencies; human resources vs., 253f Descartes, René, 146
real dollars; special drawing military operations, 10b The Descent of Man (Darwin), 458
rights; yen personal finances and, 10 desertification, 12, 506
EU’s, 384 Delian League, 195 d’Estaing, Valery Giscard, 229, 232
stable, in economic development, Delors, Jacques, 226–27 détente, 48
412 demagoguery, 118 deterrence, 333
current dollars, 375, 375 democide, 184 capability and, 333
custom, 281 democracy, 37, 177. See also Athenian credibility and, 333
CWC. See Chemical Weapons democracy defined, 333
Convention attitudes about, 181 nuclear deterrence strategy, 333–37
czars, 44 Bush, George W. on, 183 through punishment, 333
Czechoslovakia, 56, 172 defined, 177 Development Assistance Committee
democratic governments, 78 (DAC), 417
D development-first approach to, 181 development capital, 413
da Silva, Lula, 437 domestic security and, 184 foreign aid, 417–19
da Silva, Maria Olivia, 45 economic development and, internal reforms, 419–20
DAC. See Development Assistance 180–81 loans, 414–15
Committee establishment of, 41 private investment, 415
Dalai Lama, 170, 175 exporting, 181–82 providing, 443
damage denial, 333 foreign policy and, 182–83 remittances, 419
Dante, 302 future of, 180–84, 193 trade, 415–17
I-6 Index

Diaz, Profirio, 243 diversification, 445 Economic Community of West African

diplomacy. See also bilateral The Divine Comedy (Dante), 302 States (ECOWAS), 223, 361
diplomacy; coercive diplomacy; “Doha Program of Action,” 395 economic cooperation
democratized diplomacy; Doha Round, 422, 423, 436 APEC and, 438–39
multilateral diplomacy; revising GATT, 423–24 ASEAN and, 438
multilateralism; open diplomacy; dollars, 383. See also current dollars; background/requirements,
parliamentary diplomacy; public real dollars 409–10, 449
diplomacy; unilateralism SDR-yuan exchange rates, 402f FTAA and, 436
as ancient art, 263 strong, 384 future, 440–48, 450
Annan on, 256 weak, 385 G-8 and, 431–33
communicating, 270–71 yen exchange rates, 384f IMF and, 424–29
as communications process, 266–67 dolphins, 201 institutions, 420–33, 449–59
conducting, 267–72 domestic collective security IPE and, 409–10
context of, 263–66 forces, 343 Mercosur and, 437–38
Frederick the Great on, 257 domestic conflict-resolution NAFTA and, 434–36
high-level, 268 mechanisms, 343 OECD and, 431
leader-to-leader, 264–65 domestic economic support, 377 origins of, 410
linking issues in, 271 domestic economy, protecting, regional/bilateral, 433–40, 450
low-level, 268–69 444–45 UN and, 420–21
maximizing disputes, 271 domestic needs, 446 World Bank and, 429–31
minimizing disputes, 271–72 domestic norms, 343 WTO and, 421–24
national, 262 domestic security, 184 economic development. See also
precision in, 270 domestic terrorism, 316 economic cooperation
rewards and, 269–70 Dostoyevsky, Fyodor, 141 achieving, 413–20
rules of effective, 267–68 dual citizenship, 169 APEC and, 438–39
vagueness in, 270 dual-use technology, 354 ASEAN and, 438
war as part of, 326 Dubois, Pierre, 23, 195 background/requirements,
diplomatic backdrop, 257 Duell, Charles H., 248 409–20, 449
diplomatic instrument, 262–63, 274 Duma, 122 democracy and, 180–81
context of diplomacy, 263–66 dumping, 403 domestic order, 412
diplomacy as communications Dutch East India Company, 138, 382 economic diversification, 411
process, 263–66 effective government, 412–13
diplomatic recognition, 169–71 E FTAA and, 436
de facto, 170 EADS. See European Aeronautic future, 440–48, 450
de jure, 170 Defense and Space Company G-8 and, 431–33
direct action, 14, 257 Earth Summit I, 220, 497–98 IMF and, 424–29
direct democracy, 17 Earth Summit II, 498–99 institutions, 420–23, 449–59
dirty bombs, 319 East Germany, 48 international market/investment
disarmament, 22. See also arms East Timor, 56, 116 access, 411–12
control; general and complete East-West axis, 46 limited reliance on primary
disarmament EC. See European Communities products, 411
complete, for abolition of war, ECHR. See European Court of Human Mercosur and, 437–38
369–70 Rights NAFTA and, 434–36
negotiated, 370 ECJ. See European Court of Justice nationalism and, 117
unilateral, 370 ecological state of world, 491–92, 526 OECD and, 431
Web site, 346 Economic and Social Council regional/bilateral, 433–40, 450
discrimination (EOSOC), 206–7 of South, 411–20
cultural, 120–21 economic classification by country, stable currency, 412
women’s rights and, 464 59t, 386t strong human infrastructure, 412
diseases, 481–82. See also transnational Economic Community of Central strong technological infrastructure,
diseases; specific diseases African States, 439 412
distortions, compensating for, Economic Community of the Great World Bank and, 429–31
445–46 Lakes Countries, 195 WTO and, 421–24
 Index I-7

economic disincentives, 376 ranking, 418f environmental optimists, 492, 522–23

economic globalization, 137–39 sanctions on LDCs, 261 environmental pessimists, 491–92,
arguments for, 143 tariffs of, 381 521, 522
concerns about, 143–45 women in, 160 environmental protection, 447
economic groups, 87–88 ECOSOC. See UN Economic and EOSOC. See Economic and Social
economic incentives, 259–60, 376 Social Council Council
economic instrument, 259, 274 ECOWAS. See Economic Community EP. See European Parliament
economic incentives, 259–60 of West African States EPA. See U.S. Environmental
economic sanctions, 260–61 ECSC. See European Coal and Steel Protection Agency
economic interdependence, 54–55, Community equality
57–58 EDCs. See economically developed gender, 161
economic internationalism, 29, countries sovereign, 168
377–78, 377t, 409–10, 428 education El-Erian, Mohamed, 211
economic advantages of, 441–43 achievement in specific countries, Eritrea, 69
economic nationalism vs., 449b 246f escalation, 327
noneconomic advantages of, 443–44 defense spending vs., 11f avoiding unchecked, 327–28
economic liberalism, 378 in France, 246 as path to nuclear war, 332
economic nationalism, 29, 376–77, gender gap in, 160f Essay on the Principle of Population
377t, 409 in Germany, 246 (Malthus), 477
applied, 400–404, 406 international response to, 485–88 Ethiopia, 69
economic advantages of, 444–46 in Japan, 246 aid to, 260
economic internationalism vs., 449b LDCs and, 245–46 ethnic cleansing
economic means for economic ends, needs in, 485 in Darfur, 260, 291
400–3 population and, 245–46 in Kosovo, 291
economic means for political ends, as prescriptive human rights, by Yugosloavia, 291
403–4 485–88 ethnic groups, nations vs., 103–4
future of, 404–5, 406 quality of, 246 ethnonational groups, 55, 104,
noneconomic advantages of, 446–48 in Rwanda, 488 127, 169
economic power, 274 in U.S., 246 ethnonational violence, 118f
agricultural output, 256 e-dumping, 512 ethology, 68–69
financial position, 253–54 EEC. See European Economic EU. See European Union
industrial output, 255–56 Community EURATOM. See European Atomic
natural resources, 254–55 Eisenhower, Dwight, 306 Energy Community
economic relations El Niño, 521 euro, 224, 384, 385
national, 392–99, 406 Elimination of All Forms of “Eurocracy,” 227
North-North, 392–94 Discrimination against Women Europe. See also specific countries
North-South, 394–97 (CEDAW), 185 collapse of global power, 45
South-South, 397–99 embryonic states, 172 regionalism in, 223
economic sanctions, 260, 269 empire, 42 European Aeronautic Defense and
economic structuralism, 29, 377t, employment, gender gap in, 160f Space Company (EADS), 403
378–80, 410 “The End of History?”, 180 European Anthem, 225
economic theories, 29–30 Engels, Friedrich, 28, 132–33, 378 European Atomic Energy Community
economically developed countries Engineers for Change and (EURATOM), 223
(EDCs), 58, 60, 144, 376. See also Environment, 12 European Bank for Reconstruction and
North English language, 141, 141f, 163 Development, 433
agriculture and, 402 environment, 61–62. See also global European Central Bank, 385
corruption in, 413f warming; green accounting; European Coal and Steel Community
demographic graying and, 245 greenhouse effect; greenhouse (ECSC), 223
economic strength of, 238 gases European Commission, 226
foreign aid effort, 396f global IGOs guarding, 220 European Communities (EC), 223
funding from, 62 sustainable development and, European Court of Human Rights
GDP in, 392–93 512–26 (ECHR), 282, 286, 462, 470
manipulation by, 379 UN guarding, 220 effectiveness of, 288
I-8 Index

European Court of Justice (ECJ), fascism, 176–77. See also neo-fascism of China, 81
282, 286 fast track authority, 80 defined, 235
cases of, 287f fatwa, 318 democracy and, 182–83
decisions, 288f FDI. See foreign direct investment human factors affecting, 65–73
effectiveness of, 288 federation, 203 idealism and, 26b
European Economic Community female genital mutilation (FGM), 465 informational instrument and, 272
(EEC), 223 feminism, 28 instruments of, 256
European Free Trade Association, 439 political identity and, 29 opinion, 90
European Ombudsman, 228 feminist theory, 28–29 rational/irrational factors affecting,
European Parliament (EP), 228 fertility rates, 500, 502f 77–78
European Recovery Program, 410 feudal system, 38–39 realism and, 26b
European Union (EU), 17, 25, 52, 92, FGM. See female genital mutilation foreign policy process, 65
150, 150, 163, 169, 177, 185, Figaredo, Rodrigo de Rato y, governments and, 78–79
223, 224f 211, 425 policy type and, 79–80
budget, 228 first-use option, 333, 337 situation type and, 79
Chirac on, 394 opinions on, 335f foreign policy-making actors, 81
constitution of, 405 fiscal year (FY), 10 bureaucracy of, 84–85
France and, 229–30 Flying Cloud, 135 heads of government/political
future of, 229–32 Food and Agriculture Organization executives, 82, 84
governance of, 225–29 (FAO), 220, 477–78, 480, 504 interest groups and, 87–88
human rights and, 462 food problems legislatures of, 86–87
opinions on future, 231f causes of, 478–79 people and, 88–90
origins/evolution of, 223–25 international response to, 479–81 foreign portfolio investment (FPI),
precursor to, 196 long-term adequacy, 477–78 138, 382, 415, 415f
protests, 227 maldistribution, 478 Foreign Student Program, 246
“United in diversity” as motto, 225 nutritional content, 478–79 forests/land
voting in, 226 political strife, 479 forest depletion, 504–6
Eurowhites, 42 population growth, 478 land degradation, 506
exceptionalism, 119–20 short-term food supply, 477 protection, 506–7
national, 120f force. See also conventional force; rain forests, 505
exchange rates, 383, 425 unconventional force; war formal powers, 82
dollars/SDR-yuan, 402f applying, 257 former Soviet republics (FSRs), 115,
dollars/yen, 384f conditions for success, 258 117, 320, 354
exclusionism, 119 effectiveness of, 257–58 Fourteen Points, 265
exports, 8, 9, 9f, 415. See also measurement of, 257–58 FPI. See foreign portfolio investment
imports; trade Ford, Gerald, 84t France. See also Chirac, Jacques
of China, 388 foreign aid education in, 246
democracy as, 181–82 bilateral, 417 EU and, 229–30
North-South share of, 388f as development capital, 417–19 nuclear weapons in, 331
of primary products, 416 EDC effort, 396f Fréchette, Louise, 163
world economy and, 138f from Germany, 418 Frederick the Great, 257
external boundaries, 66 from Great Britain, 418 free trade, 374, 377, 381
extreme poverty, 389 from Japan, 418 Free Trade Agreement (FTA), 434
defined, 389 Mexico to U.S., 417 Free Trade Area of the Americas
in LDCs, 390 multilateral, 417 (FTAA), 436
ExxonMobil, 383 from U.S., 418 freedom, 181
foreign direct investment (FDI), 138, Freeman, Chas, 97
F 382, 389–90, 415 French Canadians, 103–4, 109–10
F-16s, 323–24 growth of, 139t French Revolution, 41
F-22s, 251 world, 382f freshwater, 508–10
failed state, 114, 172 foreign domination, 116–17 pollution, 515
FAO. See Food and Agriculture foreign policy, 21, 235 water availability, 509
Organization of Bush, George W., 393 Friends of the Earth, 148
 Index I-9

Frost, Robert, 50 Genghis Khan, 272 world temperatures, 520

frustration-aggression theory, 68 genocide, 281, 296, 458 globalism, 131, 132–33, 164
FSRs. See former Soviet republics Georgia, 115, 273 criticism of, 192
FTA. See Free Trade Agreement Georgians, 115 globalization, 30, 54, 131, 133, 164,
FTAA. See Free Trade Area of the Germany, 21 282, 380, 400, 440–41. See also
Americas education in, 246 cultural globalization; economic
Fukuyama, Francis, 70, 180 foreign aid from, 418 globalization
functional relations, 279 GNP of, 254 Clinton on, 134–35, 143
functionalism, 197–99 location and, 242 of communications, 135–37
fundamentalism, 153 Ghana, 365 critics of, 55, 447
in India, 153–54 Ghauri, 358 debate, 448
in Israel, 154 GHGs. See greenhouse gases evaluating, 142–46, 142f
in Pakistan, 153–54 The Girl in the Café, 433 factors accelerating, 133–35
FY. See fiscal year global bill of rights, 486b–487b of financial services, 385
global drama, preview of, 2–7 government policy on, 134–35
G global economics, in 21st century, of money, 383
G-7. See Group of 7 57–60 nationalism and, 163
G-8. See Group of 8 global governance attitudes, 92f opinions on, 56f, 448f
G-20. See Group of 20 global IGOs, 203, 233. See also opponents of, 144
G-77. See Group of 77 United Nations technology and, 134
Gandhi, Mohandas Karamchand administration of, 213–15 transnationalism and, 164
(Mahatma), 370–71 arms control promoted by, 218 of transportation, 135–37
gasoline. See also oil as debate alternative, 218 world economy and, 380–85, 406
price increases, 495b diplomatic intervention by, 218 GM. See genetically modified crops
taxes/consumption, 495f economic development promoted GNI. See gross national income
Gates, Robert, 26 by, 219 GNP. See gross national product
GATT. See General Agreement on environment guarded by, 220 Gorbachev, Mikhail, 48, 152, 247, 348
Tariffs and Trade evaluating, 220–22 Gore, Al, 17, 518, 524
Gaza, 169 finances of, 215–17 governments. See also authoritarian
GCD. See general and complete global law advanced by, 219–20 governments; democratic
disarmament human rights promotion, 219 governments; head
GCP. See gross corporate product international law advanced by, of government; instrumental
GDI. See Gender Development Index 219–20 theory of government; regional
GDP. See gross domestic product leadership in, 209–13 governments; Transitional
Geldof, Bob, 433 membership/voting in, 205–9 Federal Government; world
gender, 69–70 peacekeeping by, 218–19 government
equality, 161 quality of life promoted by, 220 effective, in economic development,
Gender Development Index (GDI), sanctions imposed by, 218 412–13
468, 468f global interests, 3, 189 foreign policy process and, 78–79
gender gap, 70–71 global societies, 3 heads of, 82, 84
in education/employment, 160f global trade, 134f monarchical, 44, 142, 176
war and, 70f global travel, 135f, 264 national power and, 247–48
gender opinion gap, 69 global warming, 11–12, 505, 518 policy on globalization, 134–35
General Agreement on Tariffs and causality, 519f, 520 power-sharing models, 203f
Trade (GATT), 134, 203, 381, costs of halting, 523–24 Great Britain. See also Blair, Tony;
410, 421, 441. See also Doha disputes over, 520–23 Thatcher, Margaret
Round; Uruguay Round economic impact of, 523 foreign aid from, 418
revising, 423–24 environmental impact, 521–23 nuclear weapons in, 331
general and complete disarmament facts of, 518–20 Greek city-states, 36–37, 195
(GCD), 369–70 future, 526 green accounting, 491
genetically modified (GM) crops, 41 global temperature change, 522 green parties, 506
Geneva Conventions, 294 international response to, 524–26 green peril, 159
Geneva Protocol (1925), 347 recent developments, 524–25 greenhouse effect, 518
I-10 Index

greenhouse gases (GHGs), 518 group rights, 470–72 moral relativism and, 301b
Greenpeace, 148, 201 groupthink, 72–73, 85 Ho Chi Minh, 47
in India, 491 Guehenn, Jean-Marie, 368 Hobbes, Thomas, 21, 173–74
gross corporate product (GCP), 138 Gulf Cooperation Council, 439 Holy Roman Empire (HRE), 37, 39,
gross domestic product (GDP), 254, Gulf War syndrome, 329 105, 167
375, 387. See also purchasing Gutierrez, José, 23 Homer, 357
power parity Gypsies, 470 homosexuals, 312
in China, 256 horizontal authority structure, 91
defined, 375 H “hot war,” 46
in EDCs, 392–93 H5N1 samples, 483 Hotel Rwanda, 295
of Mexico, 436 Hague Conferences, 294 HRE. See Holy Roman Empire
in North, 393f Hague system, 198, 199 Hu Jintao, 166
primary products and, 411f The Hague, 269, 285 Hughes, Karen, 273
world trade and, 442f Haiti, 85 Hugo, Victor, 229
gross national income (GNI), 375 peacekeeping in, 367 human rights, 60–61, 282, 452
gross national product (GNP), 58, 92, Hamas, 113, 300 abuses, 161
117, 138, 375, 387. See also Hamdan, Salim Ahmed, 294 Annan on, 457
purchasing power parity Hamdan vs. Rumsfeld, 294 barriers to progress, 462–63
of China, 254 Hamilton, Alexander, 376 children’s rights, 468–70
defined, 375 Hamilton, Lee, 26 China and, 366
of Germany, 254 Hammarskjöld, Dag, 211–12 EU and, 462
measuring, 241 Hammurabi, 263 global IGOs promoting, 219
of U.S., 254 Hanseatic League, 40 group rights, 470–72
Grotius, Hugo, 278, 278 hard currencies, 413 indigenous peoples’ rights,
ground quality hard power, 236 472–73
issues, 512–13 Hariri, Rafik, 297, 317 nature of, 453–58, 488
protecting, 513–14 Harper, Stephen, 432 prescriptive rights, 453, 475–88, 489
Groundwork on the Metaphysics of Hazaras, 114 priority, 463f
Morals (Kant), 300 head of government, 82, 84 problems, 459
group(s) health needs, 481–84. See also World progress, 459–60
cultural, 87 Health Organization proscriptive rights, 453, 455–75,
economic, 87–88 defense spending vs., 11f 488–89
ethnic, 103–4 international response to, 484–85 protests, 456
ethnonational, 55, 104, 127, 169 population and, 246–47 refugee/migrant workers’ rights,
groupthink, 72–73, 85 Heavily Indebted Poor Countries 473–75
identification, 458 (HIPC), 425 respect for, 459f
interest, 87–88 hegemonic power, 49, 52–53, 93, 95 sovereignty and, 366
issue-oriented, 88 defined, 50–51 UN promoting, 219
Melanesian Spearhead Group, 434 U.S. as, 49 violations, 278, 284
minority, 110f “hegemonic quicksand,” 50 women’s rights, 463–68
transnational interest, 88 Helms-Burton Act (1996), 271 Human Rights Watch, 462
transnational terrorist, 317–18 Henry VIII, 40, 106 human trafficking, 466
untangling, 123 heuristic devices, 66–67 humanitarian intervention, 366–67
World Bank Group, 429–31 Hezbollah, 113–14 Hun Sen, 297
Group of 7 (G-7), 431 “high-politics,” 279 Huntington, Samuel P., 151
Group of 8 (G-8), 431, 432, 525 Hinduism, 54, 153–54 Hussein, Saddam, 66, 67, 70, 74, 98,
activity of, 432 Hindutva, 153 124, 156, 257–58, 268, 327,
economic cooperation and, 431–33 HIPC. See Heavily Indebted Poor 456, 459
economic development and, 431–33 Countries as active-negative, 74
OECD and, 431 Hiroshima, Japan, 332 Bush, George, W., and, 75–76
public opinion on, 433 The History of the Peloponnesian War on chemical weapons, 329
Group of 20 (G-20), 424 (Thucydides), 20 deterring, 331
Group of 77 (G-77), 199, 394, 421 Hitler, Adolf, 45, 75, 120, 176, 242, 470 ego of, 75
 Index I-11

funds diverted by, 262 imperialism, 42, 121–22. See also intergovernmental organizations
miscalculations by, 73 cultural imperialism; (IGOs), 2, 25, 148, 185, 191, 195,
punishment to, 457f neoimperalism 259, 378. See also global IGOs;
regime of, 240 during cold war, 366–67 regional IGOs
on war casualties, 239–40 nationalism discouraging, 116 as cooperation center, 201–2
Hutus, 107, 110, 120 imports, 9. See also exports; trade governance by, 92
cultural globalization and, 140, 145 growth of, 197–99, 198f
I improved production technology, 381 history of, 195–99
IAEA. See International Atomic income, 391f. See also gross national as independent international actor,
Energy Agency income 202
IBRD. See International Bank for in LDCs, 238 as interactive arena, 200–201
Reconstruction and Development An Inconvenient Truth, 518 multicontinental, 203
Ibubu, 263 independence multipurpose, 203
ICBMs. See land-based intercontinental defined, 168–69 overview of, 195–205, 232
ballistic missiles duration in sovereign states, 167f role of, 200–205
ICC. See International Criminal Court sovereignty vs., 168–69 security and, 199
ICCPR. See International Covenant on of Tibet, 170 select, 196t
Civil and Political Rights Index of Human Development, 477 single-purpose, 203
ICESCR. See International Covenant India, 153–54 as supranational organizations, 202–5
on Economic, Social and AIDS in, 290 theories of formation, 195–97
Cultural Rights Greenpeace in, 491 Intermediate-Range Nuclear Forces
ICFD. See International Conference on nuclear weapons in, 331 Treaty (INF), 344, 345t, 348
Financing for Development peacekeeping in, 365 intermestic, 8
ICJ. See International Court of Justice indigenous peoples’ rights, 472–73 intermestic policy, 80
IDA. See International Development individual interests, 189 internal boundaries, 66
Association individualism, 457 International Atomic Energy Agency
Idea for a Universal History from a individual-level analysis, 65, 98–99 (IAEA), 218, 319–20, 347, 357
Cosmopolitan Point of View causes of terrorism, 322 International Bank for Reconstruction
(Kant), 132, 360 causes of war, 311 and Development (IBRD), 429
idealism, 26b humans as species in, 65–72 international capital, 9–10
ideological/theological school of law, leaders/traits in, 73–77 International Civil Aviation
280 organizational behavior in, 72–73 Organization, 201
ideology, 104 policy as rational/irrational, 77–78 International Conference on Financing
idiosyncratic analysis, 73–74 Indonesia, 116 for Development (ICFD), 421
IFAD. See International Fund for industrial revolution, 42 International Convention on the
Agricultural Development INF. See Intermediate-Range Nuclear Elimination of All Forms of Racial
IFC. See International Finance Forces Treaty Discrimination (1969), 472
Corporation informal powers, 82 International Court of Justice (ICJ),
IGOs. See intergovernmental informational instrument, 272–74 32, 281, 282, 285
organizations Inoguchi, Kuniko, 356 effectiveness of, 287
ILO. See International Labour “Inside the Ivory Tower,” 20 opinions of, 287–88
Organization instrumental theory of government, international courts, 285–86. See also
IMF. See International Monetary Fund 174 Community Tribunal of Economic
IMMARSAT. See International Mobile instruments of foreign policy, 256 Community of West African
Satellite Organization Inter-American Court of Human States; European Court of Human
immigrants, 475. See also refugees Rights, 286 Rights; Inter-American Court of
immigration, 396 Inter-American Development Bank, Human Rights; International
demographic graying and, 245b 419, 433 Court of Justice
limits on, 119 interdependence, 137, 380, 410. See effectiveness of, 286–87
opinions on, 119f also economic interdependence enforcement in, 286
imperial overstretch thesis, 252 complex, 24 evaluating, 288
applied in U.S., 252 world economy and, 380–85, 406 jurisdiction of, 286
critics of, 252–53 interest groups, 87–88 regional, 288
I-12 Index

International Covenant on Civil and International Maritime Organization, “selective,” 301

Political Rights (ICCPR), 461 515 sovereignty and, 291f
International Covenant on Economic, International Mobile Satellite by UN, 218
Social and Cultural Rights Organization (IMMARSAT), 199 Inuit Circumpolar Conference, 473
(ICESCR), 461 International Monetary Fund (IMF), investment barriers, 401–2
International Criminal Court (ICC), 58, 134, 161, 378, 385, 410, 424 NTBs, 401
60, 185, 186, 365, 467 capitalism and, 428 tariffs, 400–401
Bush, George W., and, 299, 393 conditionality of, 427–28 investment supports
countries supporting, 297–98 criticisms of, 426–27 cartels, 403
creation of, 297 defense of, 427–28 dumping, 403
U.S. opinions on, 299f economic cooperation and, subsidies, 402–3
U.S. opposition to, 298–99 424–29 IOM. See International Organization
international custom, 281 economic development and, for Migration
International Development Association 424–29 IPE. See international political
(IDA), 429 funding of, 425 economy
International Finance Corporation North’s control of, 427 Iran, 157, 471
(IFC), 429 role of, 425–26 biological weapons and, 328
International Fund for Agricultural surveillance program, 425–26 nuclear program of, 71, 259, 404
Development (IFAD), 480 voting in, 208, 379, 426 state terrorism of, 317
International Indian Treaty International Organization for U.S. hostages in, 78, 268
Council, 473 Migration (IOM), 475 Iran Iraq War, 329
international instability, 124 international political economy (IPE), Iraq, 33, 49, 157
international investment, 9, 138, 382 29, 375 Blair and, 66
MNCs and, 382–83 defined, 375 Bush, George W.’s invasion of,
types of, 382 economic cooperation and, 409–10 25–26, 66, 79, 82, 83, 241
international justice theories of, 376–80, 377t, 405–6 collective security and, 362–63
applying, 289–302, 304 International Red Cross, 475 Japanese soldiers in, 238
fundamentals of, 279, 303 international representative Kuwait invaded by, 278
future of, 302–3, 304 assemblies, 282 nationalism in, 108
for individuals, 295–99 international security, 57, 342, oil, 97, 380
in multicultural world, 289–91 342f, 372 soft power and, 237f
pragmatic application of, 299–302 democracy and, 183 troop surge in, 67, 83, 133, 189f
International Labour Organization future and, 367–69 UN and, 221
(ILO), 219, 466, 468 theory/practice, 360–67 united, 124
international law international system, 36 Vietnam War comparison, 68f
applying, 289–302, 304 early development of, 36–44, 62 weapons of, 250
first coined, 278 rules-of-the-game models for, 94f Web site, 159
fundamentals of, 277–79, 303 scope, level, frequency, interaction Iraq War, 98, 116
future of, 302–3, 304 in, 92–93 Annan on, 221
for individuals, 295–99 in 20th century, 44–48, 62 costs of, 258, 313
making, 280–83 in 21st century, 48–63 deaths in, 258
in multicultural world, 289–91 westernization of, 42, 53–54 jus ad bellum and, 292–93
nature of, 277–79 International Telegraphic Union, 198 LDCs opposing, 290
practice of, 278–79 international terrorism, 316 opinion on civilian casualties, 295f
pragmatic application of, 299–302 international trade, 8–9 opposition to, 51–52
sources of, 281 international treaties, 281 protests, 1, 259
states/war and, 291–95 International Whaling Commission reactions to, 284
Web site, 279 (IWC), 201, 511 support for, 53, 240f
international legal systems, 303 Internet, 135–36, 136f U.S. deaths in, 14, 14f, 23, 239,
adherence to law, 283–84 The Interpreter, 299 240f, 306
adjudication of law, 284–86 intervention, 257 Web site, 258
making law, 280–83 by global IGOs, 218 iron triangle, 360
philosophical roots of law, 280 humanitarian, 366–67 irredentism, 111
 Index I-13

Isaacson, Walter, 26 Jordan, 365 Krauthammer, Charles, 49

Islam, 54, 67, 151, 152f, 153–54. Jordan, Michael, 141–42 Kurdistan, 112, 112f, 124
See also Muslims Judeo-Christian tradition, 54 Kurds, 108, 110, 111–12, 459
nationalism and, 156–57 judicial decisions, 281, 282 Kuwait
non-Islamic world and, 157–58 jus ad bellum, 292–93, 314, 317 Iraq’s invasion of, 278
political ramifications of, 155–56 Bush, George W., and, 293 location and, 243
sectarianism, 158–59 Iraq War and, 292–93 Kyoto Protocol, 393, 524
Shiites, 158–59 war and, 292
Sunnis, 158–59 jus gentium, 282 L
traditionalism/secularism, jus in bello, 292, 294–95, 316 La Niña, 521
159–60 war and, 292 labor unions, 88
Web site, 159 justice, 277. See also Central American laissez-faire, 377
worldwide, 155–60 Court of Justice; European Court Lake, Anthony, 73
isolation, 242 of Justice; International Court of Lamy, Pascal, 211, 422, 424, 424
Israel, 113–14, 113f, 154, 171 Justice; international justice; land-based intercontinental ballistic
location and, 242 Permanent Court of International missiles (ICBMs), 331
Israelis, 113 Justice language, 163. See also English
issue area, 79 social, 61 language; lingua franca
issue-oriented groups, 88 cultural globalization and,
IWC. See International Whaling K 140–41
Commission Kaisers, 44 world, 127
Kambanda, Jean, 296 Latin America, 45
J Kant, Immanuel, 132, 183, 195, Latvia, 273
Jahre Viking, 135 300, 360 law(s), 3. See also international
Janjaweed, 56, 186 Karzai, Hamid, 140 justice; international law;
Japan, 21 Katsav, Moshe, 179 international legal systems;
demographic graying and, 245 Kautilya, 20 legal systems
education in, 246 Kellog-Briand Pact (1928), 21 adherence to, 283–84, 284f
foreign aid from, 418 Kennedy, John, 212 compliance with, 283–84
income distribution in, 391f diplomatic faux pas of, 270–71 enforcement of, 284
location and, 242 intelligence/success of, 84t general principles of, 282
national identity in, 247 on morality, 302 global, advanced by global IGOs,
pacifism in, 371, 371 on war, 307 219–20
R&D in, 248 Kent State University shootings, 47 global, advanced by UN, 219–20
UNSC and, 239 Kerry, John, 16 ideological/theological school
will to power and, 238–39 KFOR. See Kosovo Force of, 280
Al Jazeera, 136–37 Khamenei, Ayatollah Sayyid Ali, 176 naturalist school of, 280
Jefferson, Thomas, 291 Khmer Rouge, 297 non-Western view of, 289–90
Jews, 113, 470 Khomeini, Ayatollah Ruhollah, 158 philosophical roots of, 280
jihad, 55 Ki-moon, Ban, 141, 424 positivist school of, 280
“Jihad Against Jews and Crusaders,” King, Martin Luther, Jr., 121, 371 standards for, 291
318 Kirsch, Philippe, 299 Western view of, 289
Jihad vs. McWorld: How Globalism and Kissinger, Henry, 71, 81, 192, 265 “lawlessness,” 278
Tribalism Are Reshaping the World Kiwanis International, 480 “lax Americana,” 252
(Barber), 54 knowledge of world, 7f LDCs. See less developed countries
jobs, 8–9 Kohr, Martin, 430–31 Le Pen, Jean-Marie, 177
John XII (Pope), 37 Koizumi, Junichiro, 264 leader-citizen opinion gap, 90
Johnson, Lyndon, 252 Korea, 242 leaders
identity of, 104 Korean rice farmer, 144 active-negative, 74
intelligence/success of, 84t Korean War, 313, 362 active-passive, 74
Vietnam War and, 69 Kosovo, 85, 239 active-positive, 74
Joint United Nations Programme on ethnic cleansing in, 291 alcohol abuse by, 75
HIV/AIDS (UNAIDS), 484 Kosovo Force (KFOR), 111 ego/ambition of, 75
I-14 Index

leaders (continued) income in, 238 marine oil spills, 515f

individual traits of, 73–77 indicators for, 390t maritime rule, 281
leadership capabilities, 82, 84 Iraq War opposed by, 290 Marshall Islands, 169
opinion rally effect, 79f NGOs and, 148 Marshall Plan. See European Recovery
perceptions/operational reality of, patents in, 289 Program
76–77 peacekeeping in, 363–64 Marx, Karl, 28, 122, 132–33, 176, 378
personalities of, 74 terrorism and, 316 Marxist theory, 378, 405
physical/mental health of, 74–75 transportation in, 249 mass production, 39
political history/personal weighted voting rejected by, 290 materialism, 137, 381
experiences of, 75–76 women in, 160 Mbaya, Sue, 433
positive-negative, 74 levels of analysis, 65 Mbeki, Thabo, 260
positive-passive, 74 Leviathan (Hobbes), 21 McVeigh, Timothy, 316
U.S., opinion of, 90t liberal theory, 23–26 McWorld, 54–55
leadership liberalism, 23 Medakovic, Dejan, 120
ability, 248 classic vs. neoliberalism, 24 Mein Kampf (Hitler), 120
in global IGOs, 209–13 cooperation in, 24–25 Melanesian Spearhead Group, 434
of military personnel, 252 future and, 25–26 melanoma, 13
in UN, 209–13 views of, 19t “The Mending Wall,” 50
Web site, 15 liberals, 23–26 merchandise trade, 137, 381
leadership capabilities, 82, 84, 248 Liberia, 186, 412 Merkel, Angela, 178, 230–31,
league, 196 Libya 424, 432
League of Conservation Voters, 149–50 sanctions on, 261 metanarratives, 28
League of Nations, 20, 23, 45, 198 state terrorism of, 317 Mexican-American War, 313
“league of universal peace,” 195 Lie, Trygve, 211, 340 Mexico, 169
least developed countries (LLDCs), limited membership council, 206 foreign aid to U.S., 417
386, 431 limited self-defense, 342, 342f, 372 GDP of, 436
children in, 481 through arms control, 344–60 maquiladora program, 398–99,
corruption in, 413f limited unipolar system, 49, 50 435–36
disease in, 481–82 lingua franca, 55 oil in, 402
population in, 390, 478 List, George, 376 microauthority, 54
protein deficiency in, 478 LLDCs. See least developed countries microstates, 123–24
Lebanon, 114, 239 Locke, John, 173–74, 280 Middle Ages, 167
tribunal, 297 Louis XIV, 41, 265 economic expansion in, 38–39
Lee, Robert E., 108 loyalty, 204 local authority in, 38
legal systems, 277. See also Luther, Martin, 40 military technology in, 38
international legal systems religious authority in, 37
legislatures, 280 M secular authority in, 38
of foreign policy-making actors, Maastricht Treaty, 225, 230 universal authority in, 37–41
86–87 MacArthur, Douglas, 326 MIGA. See Multilateral Investment
Lemkin, Raphael, 281 Machiavelli, Niccolò, 291 Guarantee Agency
Lenin, Vladimir, 45, 176, 378–79 macroauthority, 54 Migiro, Asha-Rose, 163, 163
Leo III (Pope), 37, 105 MAD. See mutual assured destruction military instrument, 256–57, 274
less developed countries (LDCs), 58, MADRE, 467 applying force from intimidation to
60, 144, 376. See also South majority voting, 208 attack, 257
arms transfers and, 324–25 Malaysia, 395 effectiveness of force, 257–58
assistance to, 61–62, 260 Malinia, Daniel, 20 military operations, 10b
debt service, 414f Malthus, Thomas, 477 military personnel
demographic graying and, 245 Manliness (Mansfield), 69–70 leadership of, 252
dependency of, 379 Mansfield, Harvey, C., 69–70 military power and, 251–52
EDCs’ sanctions on, 261 manufactured goods, 379 morale, 251–52
education and, 245–46 Mao Zedong, 142, 170, 176 number of troops, 251
extreme poverty in, 390 maquiladora program, 398–99, recruit quality, 251
FPI to, 415f 435–36 training, 251
 Index I-15

military power, 274 multilateral aid, 417 demographic/cultural similarities

debating how much, 252–53 multilateral diplomacy, 263–64 in, 103
measuring, 249–52 Multilateral Investment Guarantee ethnic groups vs., 103–4
military personnel and, 251–52 Agency (MIGA), 429 evolution of, 108
military spending and, 250 multilateralism, 263 nation-states preceding, 107–8
weapons and, 250–51 multinational corporations (MNCs), political separation in, 103–4
military spending 2, 138, 144, 382–83, 420, 444 preceding nation-states, 107
adjusted for PPP, 250f international investment and, understanding, 102, 128
China, 250f 382–83 national capabilities, 235
global, 314f national economics and, 383f national exceptionalism, 120f
military power and, 250 multinational states, 109, 172 national flags, 106
U.S., 250f multiple reentry vehicles (MIRVs), 348 National Front Party, 177
Mill, John Stuart, 442 multipolar system, 42, 50, 94f national geography, 242–43
Millennium Development Goals balance of power in, 44 national identity, 247
(MDGs), 221–22 eclipse of, 44–45 national interests, 3, 27, 188
Millennium Summit (2000), growth of, 42–44 national missile defense (NMD),
420, 421 modified, 52 334–35, 347
Milosevic, Slobodan, 60, 186, 296 shifting alliances in, 44 arguments for/against, 336–37
toppling of, 269 traditional, 52 ballistic missile defense (BMD),
minefields, adopting, 355b multistate nation, 110–11 334, 336
mini-nukes, 334 Munich Conference, 45 MAD and, 336
minority groups, 110f Muslims, 151–52, 158 in U.S., 335–36
Miranda rights, 457 conflicts with Christians, 156 national power
mirror-image perception, 71 defined, 155 foundation of, 242–49, 274
MIRVs. See multiple reentry vehicles majority by country, 155f government and, 247–48
Missile Technology Control Regime Muslim pride movement, 156 Iraq invasion and, 241
Treaty (MTCR), 345t, 348 nationalism and, 157f national geography and, 242–43
missionary impulse, 81 political heritage of, 156 national infrastructure for, 248–49
MNCs. See multinational corporations recruiting, 152 people and, 243–47
modified multipolar system, 52 religion/politics views, 159f national pride, 109f
monarchism, 44, 142, 176 threat/solidarity among, 152f National Security Council (NSC), 85
monetary exchange, 138–39 United States and, 158 national societies, 3
monetary relations, 383–85 Web site, 159 National System of Political Economy
money, 383. See also currency; dollars; Mussolini, Alessandra, 228 (List), 376
euro; monetary exchange; Mussolini, Benito, 176, 228 national taxation, 191f
monetary relations; yen mustard gas, 329 national technical means (NTM),
Mongella, Gertrude, 60 mutual assistance, 3 357, 368
Montana, 187 mutual assured destruction (MAD), nationalism, 36–37, 44, 104, 190, 452.
Montreal Guidelines on Land-Based 333–34, 347 See also economic
Pollution, 201 NMD and, 336 internationalism; economic
Moore, Mike, 211 Myanmar (Burma), children in, 469 nationalism; transnationalism
moral absolutism, 300 ascendancy of, 105–8
moral pragmatism, 302 N Christians and, 157f
moral relativism, 300 NAFTA. See North American Free defined, 104
Hitler and, 301b Trade Agreement democracy promoted by, 116
Morgenthau, Hans, 21–23 Nagasaki, Japan, 332, 371 diversity/experimentation and, 117
Morris, Desmond, 68 NAM. See Nonaligned Movement early, 105–6
MTCR. See Missile Technology Control Nath, Kamal, 424 economic development and, 117
Regime Treaty nation(s), 103. See also multistate evolution of, 108
Mubarak, Hosni, 405 nation; stateless nation; specific future of, 127–28, 128–29
Muhammad, 155 nations globalization and, 163
mujahedin, 155 community feeling in, 103 imperialism discouraged by, 116
multi-immunization vaccine, 220 defined, 103 Iraq, 108
I-16 Index

nationalism (continued) neoliberalism, 24, 24 funding from, 61

Islam and, 156–57 neoliberals, 24 GDP in, 393f
issues/evaluation of, 108–24, 128 neo-Nazism, 176–77 IMF control by, 427
militant, 117 neorealism, 21 political climate changes in, 393–94
modern, 106–7 nerve gas, 321, 329 South’s reform agenda and, 396
Muslims and, 157f net trade, 254 wealth in, 60
nation-states preceding, 107–8 New International Economic Order North American Free Trade Agreement
negative, 117–22 (NIEO), 395 (NAFTA), 434
past/present of, 126–27 newly industrializing countries economic cooperation and, 434–36
persistent, 126–27 (NICs), 58, 386 economic development and, 434–36
political identity and, 1–4, 128 NGOs. See nongovernmental impact of, 434–35
popular sovereignty and, 41–42, 106 organizations protests, 445
positive, 116–17 Nicaragua, 286, 287 trade, 435f
preceding nation-states, 107 Nicholas I, 243 North Atlantic Treaty Organization
predicted demise of, 127 Nichols, Terry, 316 (NATO), 46, 79, 114, 284, 334,
state-centric, 128 Nicomachean Ethics (Aristotle), 306 354, 360
states and, 106 NICs. See newly industrializing expansion of, 80, 80f
understanding, 102, 128 countries membership of, 87
war and, 311–12 NIEO. See New International in Serbia, 111
World War II and, 126 Economic Order North Korea, 50
nationalist sentiment, 127f Nineteen Eight-Four (Orwell), 204 biological weapons and, 328
nation-states, 102, 106 nitrogen dioxide (NOx), 516 Bush administration and, 271–72
defined, 105 Nixon, Richard, 151, 265, 266 negotiations with, 268
evolution of, 108 alcohol abuse and, 75 nuclear program of, 57, 71, 96, 259,
formation patterns, 107–8 intelligence/success of, 84t 263, 267, 339, 404
multiple nations, multiple states, NMD. See national missile defense state terrorism of, 317
114–16 Nonaligned Movement (NAM), 199 WMDs and, 332
as myth, 108–16 nongovernmental organizations North-South
one nation, multiple states, 110–11 (NGOs), 2, 147, 195 competition, 396–97
one nation, no state, 111–14 activities of, 147–48 economic disparity between,
one state, multiple nations, 109–10 growth of, 147, 147f 58–60
one state, one nation, 109 impact of, 148–50 economic summit, 420
preceding nationalism, 107–8 joining, 149b GNP/PPP differences, 59f
preceding nations, 107–8 LDCs and, 148 North-South gap
understanding, 102, 128 role of, 148 disparity between countries,
Native Hawaiians, 109 Non-Proliferation Treaty (NPT), 344, 390–91
NATO. See North Atlantic Treaty 345t, 347 disparity within countries, 391
Organization arms control and, 351–53 evaluating, 389–92
naturalist school of law, 280 challenges to halting, 352–53 mixed data on, 389–90
Nazi Germany, 120, 176 record of, 351–52 negative by-products of
Nazism, 176–77. See also neo-Nazism nontariff barriers (NTBs), 401, 410 development, 391
NBC. See nuclear, biological, and administrative requirements, 401 uneven patterns in, 390–92
chemical weapons investment barriers, 401 North-South patterns
negative peace, 28 quotas, 401 economic, 387–88
negotiations, 266 trade barriers, 401 investment differences, 388
direct, 268 non-zero-sum, 237–38, 378 share of exports, 388f
indirect, 268 non-zero-sum game, 23, 409 societal, 389
with North Korea, 268 Noriega, Manuel, 218 trade differences, 388
neocolonialism, 376, 379 normative values, 32 Le Nouveau Cynée, 195
peace enforcement, 366–67 North, 58, 376, 386. See also NOx. See nitrogen dioxide
neo-fascism, 176–77 economically developed countries NPT. See Non-Proliferation Treaty
neofunctionalism, 197–99 economic climate changes in, NSC. See National Security Council
neoimperalism, 379 392–93 NTBs. See nontariff barriers
 Index I-17

NTM. See national technical means as black gold, 255 decision-making process within,
nuclear, biological, and chemical flows of, 97f 72–73
weapons (NBC), 346 Iraq, 97, 380 student political/civic, 15b–16b
nuclear deterrence strategy, 333–37 marine oil spills, 515f Organization for Economic
nuclear fallout shelter, 46 in Mexico, 402 Cooperation and Development
nuclear programs population and, 404f (OECD), 208, 360, 417, 431
of Iran, 71, 259, 404 resources/use worldwide, 255f Organization for Security and
of North Korea, 57, 71, 96, 259, 263, in Saudi Arabia, 255 Cooperation in Europe
267, 339, 404 of Sudan, 260 (OSCE), 360
protests, 339 U.S. consumption, 254 Organization of American States
nuclear testing Oklahoma City bombings, 316 (OAS), 185, 223, 361
by North Korea, 57 Olmert, Ehud, 113, 179 Organization of Petroleum Exporting
by U.S., 331 On the Principles of Political Economy Countries (OPEC), 293, 403
nuclear utilization strategy (NUT), 333 and Taxation (Ricardo), 442 organizational behavior, 72
nuclear war, 332 On War (Clausewitz), 256, 326 decision-making behavior, 72–73
escalation as path to, 332 on-site inspections (OSI), 357–58 role behavior, 72
inadvertent, 332 OPEC. See Organization of Petroleum Orwell, George, 204–5
last gasp, 332, 333 Exporting Countries OSCE. See Organization for Security
nuclear weapons, 279 open diplomacy, 265–66 and Cooperation in Europe
in China, 331 operational code, 76 OSI. See on-site inspections
as conventional force, 330–32 operational reality, 76 Otegi, Arnaldo, 103
in France, 331 opinion rally effect, 79f Otto I, 37
in Great Britain, 331 opinions overt threats, 257
in India, 331 on cultural globalization, 145f Oxfam, 475
miniature, 331 on EU future, 231f ozone layer
in Pakistan, 331 first-use option, 335f depletion, 517–18
preemptive war and, 334 foreign policy, 90 protecting, 518
role of, 331–32 G-8, 433
in Russia, 330–31 gender opinion gap, 69 P
spread of, 352 globalization, 56f, 448f P5. See UN Security Council
states/arsenals and, 330–31 ICC, 299f pacifism, 370
in U.S., 330–31 ICJ, 287–88 in abolition of war, 370–71
Nuremberg war crimes tribunal, immigration, 119f antiwar, 370–71
292, 295 Iraq War civilian casualties, 295f as bottom-up approach, 370
NUT. See nuclear utilization strategy leader-citizen opinion gap, 90 in Japan, 371, 371
leaders, 90t private, 370
O PCIJ, 288 “token,” 371
OAS. See Organization of American peace enforcement, 369f pacta sunt servanda, 281
States peacekeeping, 369f Paine, Thomas, 107, 132
objective power, 239 power, 96f Pakistan, 153–54, 323
Oceania, 205 preemptive war, 315f nuclear weapons in, 331
Odyssey (Homer), 357 success in life, 455f peacekeeping in, 365
OECD. See Organization for Economic torture, 283f Pakistanis, 321
Cooperation and Development UN, 222f Palau, 220
Office of the United Nations High opportunities, childbearing Palestine, 112–13, 300
Commissioner on Human Rights and, 502f Palestinian National Authority (PNA),
(OHCHR), 460 oppression, 120–21 170–71
offshoring, 9 organization(s). See also Palestinians, 112–14, 159, 169, 170–71
OHCHR. See Office of the United intergovernmental organizations; Pan-Arabism, 156
Nations High Commissioner on nongovernmental organizations; Panitchpakdi, Supachai, 211
Human Rights organizational behavior; parliamentary diplomacy, 265
oil. See also gasoline; Organization of supranational organizations; Parry, Emyr Jones, 200
Petroleum Exporting Countries specific organizations Parti Québécois, 109–10
I-18 Index

Pashtuns, 114, 169 Germans, 107 piracy of intellectual property, 397

patents, 289 Gypsies, 470 Plato, 175, 197, 458
patriotic draft, 42 Hazaras, 114 plenary representative body, 206
“pax Americana,” 252 Hutus, 107, 110, 120 plutonium, 319
PCIJ. See Permanent Court of indigenous, 472–73 PNA. See Palestinian National
International Justice Israelis, 113 Authority
peace Japanese, 107 PODA. See Potohar Organization for
negative, 28 Jews, 113, 470 Development Advocacy
positive, 28 Kurds, 108, 110, 111–12, 459 Poland, 242
restoration, 368 national power and, 243–47 polarity, 51–53
in states, 190 Native Hawaiians, 109 policy. See also foreign policy;
treaties, 267 Pakistanis, 321 foreign policy process; foreign
UN and, 199 Palestinians, 112–14, 159, 169, policy-making actors
peace enforcement, 365, 368 170–71 appeasement, 45
humanitarian intervention, Pashtuns, 114, 169 government, on globalization,
366–67 population and, 243 134–35
neocolonialism, 366–67 public interest in world affairs, impacts of democracy, 182–84
opinions on, 369f 88–89 in individual-level analysis, 77–78
peacekeeping and, 365–66 Roma, 470 intermestic, 80
peacekeeping, 363 Serbs, 120, 186 makers, 17–18
in Afghanistan, 368 Shiites, 158–59, 459 national security of Bush,
of AU, 361 South Ossetians, 115 George W., 50
in Bangladesh, 365 Sudanese, 186 outcome in decision-making
in Darfur, 366, 368 Sunnis, 158–59, 459 process, 73f
defined, 363 Tajiks, 114, 115, 123 as rational/irrational in individual-
in Ghana, 365 Tokelauans, 125 level analysis, 77–78
by global IGOs, 218–19 Tutsis, 107, 110, 120 in state-level analysis, 78–80
in Haiti, 367 Uzbeks, 114, 115, 123 poliheuristic theory, 78
in India, 365 per capita wealth, 387f polio, 485, 485f
issues in, 365–67 perceptions, 70. See also mirror-image polis, 132
in Jordan, 365 perception; threat perception political authority, 38
in LDCs, 363–64 of Bush, George W., 71 political culture, 81
opinions on, 369f of leaders, 76–77 political executives, 82, 84
in Pakistan, 365 Permanent Court of International political identity, 32, 102, 146
peace enforcement and, 365–66 Justice (PCIJ), 285 feminism and, 29
in Sierra Leone, 367 opinions of, 288 nationalism and, 1–4, 128
by UN, 363–64 Perpetual Peace (Kant), 183, 195 political integration, 54
Web site, 365 Persian Gulf War, 66, 263, 294, 328, political rights, 177
Pearl Harbor, 239 331, 362 political science, 17
Pelosi, Nancy, 17 Bush, George H. W., and, 75 political systems, 175f
people. See also Muslims; population costs of, 313 anarchical, 41
Afghans, 114 personal finances political theory, 18
age distribution for, 243–45 defense spending and, 10 bottom-up, 139
Arabs, 156, 159 international capital flow and, politics. See also balance-of-power
Azerbaijanis, 111 9–10 politics; biopolitics; world
Bosnians, 120 international trade and, 8–9 politics
as channels of public opinion, 89–90 world politics and, 8–10 balance-of-power, 22, 93, 242
Chechens, 115 personal living space, world politics “high,” 279
foreign policy opinion and, 90 and, 10–12 Muslims’ view of, 159f
foreign policy-making actors and, Peterson, Susan, 20 nature of, 30–31
88–90 Philippines, 16 of sustainable development,
French Canadians, 103–4, 109–10 phone cards, 135 497–99
Georgians, 115 Piestewa, Lori, 313b women in, 162–63
 Index I-19

Politics (Aristotle), 36, 292 objective power; relative limited reliance on, 411
“Politics as a Vocation,” 306 power; situational power; soft The Prince (Machiavelli), 291
pollution, 508 power; subjective power; “Principles of International Law,” 278
freshwater, 515 superpower; will to power Principles of Political Economy
Polo, Maffeo, 39 as asset/goal, 236 (Mill), 442
Polo, Marco, 39 as capacity/will, 238–39 procedural democracy, 178
Polo, Niccolo, 39 characteristics of, 236–40 Prodi, Romano, 432
popular sovereignty, 41, 106 China and, 241–42 product stability, 416
in 18th/19th centuries, 41–42 cycles in system-level analysis, 242 Program on Nonviolent Sanctions in
nationalism and, 41–42, 106 defined, 235 Conflict and Defense, 371
population dynamics, 241–42 Project for the New American
age distribution, 243–45 measuring, 240–41 Century, 88
attitudes of, 247 nature of, 235–42, 274 Projet de paix perpetuelle, 196
education and, 245–46 opinions on U.S./European, 96f propaganda, 273
food problems and, 478 polar power structure, 48–53 proscriptive human rights, 453,
growth, 11, 12f in power relationships, 95–96 455–63, 488–89
health needs and, 246–47 quantification difficulties in, 241 children’s rights, 468–70
in LLDCs, 390 realism’s emphasis in, 22 group rights, 470–72
oil and, 404f sources in state-level analysis, 242 indigenous peoples’ rights,
people and, 243 Soviet Union and, 241 472–73
rate in LLDCs, 478 in 21st century, 53–57 refugee/migrant workers’ rights,
states and, 169 U.S. and, 241 473–75
vulnerable, 153 power capacity, 238 women’s rights, 463–68
world growth, 499f power elite, 188 prosperity
population base multiplier effect, 500 power poles, 44, 93 capitalism and, 428f
population problems power relationships democracy and, 180f
birthrate reduction, 501–2 actors in, 93, 95 of South Korea, 379
fewer deaths, 500 context of power in, 95–96 protectionism, 377, 400, 405
global recognition of, 500–501 power to defeat, 313 cost of, 442–43
high fertility rates, 500 power to hurt, 313–14 Protestant Reformation, 40, 105
impact of, 502–3 power-sharing models of governance, protests
population base multiplier 203f EU, 227
effect, 500 PPP. See purchasing power parity free trade, 374
sustainable development and, pragmatic legitimacy, 283 human rights, 456
499–503 preemptive war, 51, 315 Iraq War, 1, 259
positive peace, 28 collective security and, 362–63 in Malaysia, 395
positivist school of law, 280 justification for, 51b against NAFTA, 445
postmodernism, 27 legality of, 363 North Korea nuclear program, 339
postmodernist theory, 27–28 nuclear weapons and, 334 Philippine tuition hikes, 16
Potohar Organization for Development opinions on, 315f PODA, 466
Advocacy (PODA), 466 prescriptive human rights, 453, 489 sugar prices, 227
poverty, 425, 433. See also extreme adequate health standard, 481–85 toxic wastes, 513
poverty adequate nutrition, 477–81 psychological factors, 68
line, 379 basic education, 485–88 public diplomacy, 272, 273
of South, 60–61 President of the Commission, 226 punishment
Poverty Reduction and Growth Facility presidential intelligence, 84t deterrence through, 333
(PRGF), 425 Presley, Elvis, 264, 267 to Hussein, 457f
Powell, Colin, 85, 266, 471 PRGF. See Poverty Reduction and purchasing power parity (PPP),
power, 3, 235. See also absolute power; Growth Facility 59, 375
balance of power; balance-of-power price weakness, 416 defined, 375
politics; economic power; hard primary products, 379 military spending adjusted for, 250f
power; hegemonic power; exports of, 416 Putin, Vladimir, 50, 84–85, 95, 122,
military power; national power; GDP and, 411f 166, 432, 471
I-20 Index

Putin, Vladimir (continued) Bush, George W., and, 87, 154 RTA. See regional trade agreement
chauvinism of, 179 Christian Coalition, 87 Ruggiu, Henry Joseph, 296
democracy and, 183–84 Christianity, 37, 151 rules-of-the-game models, 94f
SORT and, 349 Confucianism, 54 Rumsfeld, Donald, 17, 26, 67, 72,
Evangelicals, 154 97, 295
Q Hinduism, 54, 153–54 Rusk, Dean, 74
al Qaeda, 150, 267, 294, 316, 318, 368 Judeo-Christian tradition, 54 Russia, 114–16. See also Putin,
transnational, 152–55 Vladimir; Yeltsin, Boris
R as transnational actor, 152 alcoholism in, 247, 247
Radio Free Europe, 273 World Evangelical Alliance, 152 armies of, 251
Radio Liberty, 273 world politics and, 152–53 biological weapons and, 328
Radio Martí, 273 reluctance to help others, 118–19 Bush, George W. in, 273
radiological terrorism, 319–20, 320f remittances, 419, 419f democracy and, 183–84
Rankin, Jeanette, 87 Renaissance, 40 expansion of, 121f
R&D. See research and development Report on Manufactures (Hamilton), location and, 242
Reagan, Ronald, 22 376 nuclear weapons in, 330–31
intelligence/success of, 84t Republic (Plato), 175, 197, 458 smoking in, 246–47
SDI of, 335 research and development (R&D), 248 transportation in, 248–49
real dollars, 375 resource problems vodka consumption in, 247
realism, 20, 26 forests/land, 504–7 Rwanda, 107
classic vs. neorealism, 21 freshwater, 508–10 education in, 488
competitive future and, 22–23 petroleum/natural gas/minerals, tribunal, 295–96
foreign policy and, 26b 503–4
power emphasized in, 22 seas/fisheries, 510–11 S
views of, 19t wildlife, 507–8 de Saint-Pierre, Abbé, 196
realist theory, 20–23 Ricardo, David, 442 SALT I. See Strategic Arms Limitation
“The Realist Manifesto,” 26 Rice, Condoleezza, 17, 31, 171, Talks Treaty I
realpolitik, 20, 22, 45, 409 270, 332 SALT II. See Strategic Arms Limitation
Reardon, Betty, 28 rights. See also human rights Talks Treaty II
The Recovery of the Holy Land individual/community, 457–58 Salt II missile base, 347
(Dubois), 23, 195 Miranda, 457 San Marino, compared to China,
“Red menace,” 45 political, 177 168, 168f
referendum, 17 source of, 455–56 sanctions. See also economic
refugee/migrant workers’ rights, 473–75 universal/culture-based, 454–57 sanctions
refugees The Rights of Man (Paine), 107, 132 Castro on, 261
aid to, 474–75 Rime of the Ancient Mariner child mortality rates and, 262f
numbers, 473f (Coleridge), 508 on China, 398b–399b
regime, 201 RNEP. See robust nuclear earth drawbacks of, 261–62
for oceans/seas, 202f penetrator EDCs on LDCs, 261
theory, 201 Roberts, Pat, 85 effectiveness of, 260–61
regional governments, 203 robust nuclear earth penetrator global IGOs imposing, 218
regional IGOs, 203, 233 (RNEP), 334 on Libya, 261
growth of, 223 Rockefeller, Jay, 383 as “noiseless atomic bombs,” 261
specialized-purposes of, 223 role behavior, 72 opposition to, 300
regional trade agreement (RTA), 434 roles, 72 UN imposing, 218
impact of, 440 Roma, 470 U.S., on Cuba, 261, 271, 301
regionalism, 223 Roman Catholic Church, 37, 40, Web site, 260
relative power, 237–38 105–6, 132, 152 sarin, 329
relativism, 456–57 Roosevelt, Franklin, 74 Sarkozy, Nicolas, 432
relativists, 455 Roper vs. Simmons, 281, 469 SARS. See severe acute respiratory
religion. See also Christians; fundamen- Rosenau, James, 32 syndrome
talism; Holy Roman Empire; Islam; rosy periwinkle, 505 satellites, 249
Muslims; Roman Catholic Church Rousseau, Jean-Jacques, 24 satyagraha, 370–71
 Index I-21

Saudi Arabia sexual assault, 161, 465 Sometimes in April, 295

oil in, 255 sexual slavery, 282 SORT. See Strategic Offensive
U.S. in, 318 sexual violence, 282, 467 Reduction Treaty
scholarly writing, 282 Shakespeare, William, 1–2, 35, 48, 64, South, 58, 376, 386. See also less
Schröder, Gerhard, 265 106, 128, 131–32, 194–95, 222, developed countries
SDI. See Strategic Defense Initiative 232, 234, 277, 306, 340, 374, economic development of, 411–20
SDRs. See special drawing rights 408, 451, 491 food intake in, 478
Search for Extraterrestrial Intelligence Shalikashvili, John, 312 poverty of, 60–61
(SETI), 102 Shane, John B., 293 reform agenda of, 394–96
seas/fisheries “Shared Values,” 273 South Africa, 186, 475
pressures on, 510 shari’ah, 159 apartheid in, 186, 206, 291
protecting, 510–11 Sharon, Ariel, 113 Gandhi in, 370
treaties, 511f Sherman, Roger, 83 nuclear program, 352
Secretariat, 209, 211, 213 Sherman, William Tecumseh, 314 post-apartheid constitution, 475
secular authority, 38 Shiites, 158–59, 459 sanctions, 471
security, 3. See also domestic security; Shinseki, Eric, 72 South Africa Development
international security Siddhartha Gautama, 132 Community, 439
approaches to, 342, 342f, 372 The Siege, 300 South Asian Preferential Trade
evaluating, 342–43 Sierra Leone Agreement, 439
IGOs and, 199 peacekeeping in, 367 South Korea, 270
national, 446–47 tribunal, 296 prosperity of, 379
seeking, 341–44 signaling, 266–67 South Pacific Forum, 201
tale of, 340–41 by action, 270–71 South Pacific Regional Trade and
in 21st century, 56–57 silk road map, 39 Economic Cooperation
uncertain effectiveness of, 56 Sinocentrism, 81 Agreement, 438–39
women and, 29 Sirleaf, Ellen Johnson, 64 Southern Africa Customs Union, 440
“selective interventions,” 301 situational power, 240 Southern Africa Regional Poverty
self-determination, 106 Six Party talks, 263 Network, 433
concerns about, 123–24 SLBMs. See submarine-launched Southern Common Market
deciding about, 124 ballistic missiles (Mercosur), 437, 437f
as goal, 122–24 smallpox, 485 economic cooperation and,
limiting, 125b vaccine, 321 437–38
positive aspects of, 122–23 Smith, Adam, 378, 381 economic development and,
self-expectations, 72 Smoot-Hawley Tariff (1930), 410 437–38
self-help, 3 Snowe, Olympia, 383 establishment of, 437
self-interest, 302 SO2. See sulfur dioxide parliament of, 438
self-protection, 3 social contract, 173 sovereign equality, 168
self-reliance, 56 social integration, 55 sovereign states, 3, 191
semistates, 172 social justice, 61 duration of independence, 167f
Senegal, 256 social overstretch thesis, 253 emergence of, 40, 41
September 11, 2001 terrorist attacks, social protection, 447 future of, 192
7, 13 The Social Contract (Rousseau), 24 as primary actors, 41
Bush, George W., and, 68, 79 societies weakening of, 185–86
rage behind, 60 civil, 131 sovereignty, 2, 36, 168, 440–41, 452.
Serbia, 49, 75 global, 3 See also popular sovereignty
NATO in, 111 national, 3 Annan on, 291
Serbs, 120, 186 women’s rights and, 465–68 cultural identification and, 128
services trade, 137, 381 soft power, 236 decline of, 92
SETI. See Search for Extraterrestrial Bush, George W., and, 237 human rights and, 366
Intelligence Iraq and, 237f independence vs., 168–69
severe acute respiratory syndrome potency of, 237 intervention and, 291f
(SARS), 483 Somalia, 56, 171, 239 national, 446
sexism, 161 Somalian armed insurgent, 171 states and, 168–69
I-22 Index

Soviet Union, 30–31, 172, 190. diplomatic recognition of, 169–71 submarine-launched ballistic missiles
See also former Soviet domestic support for, 172 (SLBMs), 331
republics embryonic, 172 sub-Saharan Africa
in Afghanistan, 318 failed, 172 child labor, 468
biological weapons and, 328 future and, 184–92, 193 child mortality rate, 391
bipolarity with U.S., 47f governing of, 174–80, 193 CO2 production, 494
collapse of, 48, 242 Greek city-states, 36–37 exports, 388
power and, 241 increasing number of, 185f food imports, 256
Spain, 242 indictment of, 187–90 food production, 478
Spanish flu, 189 for individual betterment, 173 foreign aid to, 119
Spanish-American War, 313 internal organization in, 171 gender equality, 458
special drawing rights (SDRs), international law/war and, gross national product, 390
402f, 425 291–95 International Development Association
special operations, 325 limits to, 185 and, 429
defined, 325 nationalism and, 106 life expectancy, 119
drawbacks, 325 nature of, 168–73, 193 malnutrition, 391, 477, 478
unconventional force, 325–26 nuclear weapons/arsenals and, population, 391, 500
SSBNs. See carried aboard ballistic 330–31 poverty in, 56
missile nuclear submarines as obsolete, 187–89 United Nations and, 212
Stalin, Josef, 74 peace in, 190 subsidies, 402–3
Star Wars era, 248 as political actors, 192 substantive democracy, 178
stare decisis, 282 population and, 169 success in life, opinion on, 455f
START I. See Strategic Arms Reduction purposes of, 173–74, 193 Sudan, 56
Treaty I semistates and, 172 aid to, 260
START II. See Strategic Arms sovereignty and, 168–69 oil of, 260
Reduction Treaty II stability, 173f state terrorism of, 317
state building, 107 standards of law for, 291 Sudanese, 186
state of nature, 173 territorial, 36 sugar lobby, 396, 442
state terrorism, 317 territory and, 169 sulfur dioxide (SO2), 515–16
state-centric system, 91 verdict on, 192 Sun Tzu, 20, 326
statecraft, 235 The State of the World, 492 Sunnis, 158–59, 459
state-in-waiting, 170 stereotypes, 66–67 supermajority voting, 208
stateless nation, 111 Strangers Into Citizens, 475 superpower, 46
state-level analysis, 78, 99 Strasbourg Agreement (1675), 346 supranational organizations, 203
causes of terrorism, 322 Strategic Arms Limitation Talks Treaty I arguments against expanding, 204–5
causes of war, 310–11 (SALT I), 345t, 347 arguments for expanding, 204
foreign policy-making actors, Strategic Arms Limitation Talks Treaty IGOs as, 202–5
81–91 II (SALT II), 345t, 347 survival sex, 29
government type, situation, policy, Strategic Arms Reduction Treaty I sustainable development, 61, 492, 526
78–80 (START I), 344, 348 China and, 496, 496
political culture and, 81 Strategic Arms Reduction Treaty II conundrum of, 493–97
power sources in, 242 (START II), 344, 348 environment and, 512–26
states, 2, 40. See also multinational Strategic Defense Initiative paying for, 494–95
states; nation-states; sovereign (SDI), 335 politics of, 497–99
states Strategic Offensive Reduction Treaty population problems and,
challenges to authority, 54–56 (SORT), 345, 349 499–503, 526
changing status of, 184–86 strategic-range delivery vehicles, resource problems, 503–11, 526
as cooperative, 190 330 restricting/rollback, 494
critics of, 190 student activism, 14, 15b–16b Swedish Peace Conference
defense of, 190–92 student political/civic organizations, (1909), 370
defined, 168–73 15b–16b Syria
as destructive, 189–90 Students Taking Action Now, 14 biological weapons and, 328
development of, 39 subjective power, 239 state terrorism of, 317
 Index I-23

system-level analysis, 91, 99 chemical, 320–21 defined, 300

causes of terrorism, 321–22 children and, 316 treaties barring, 283
causes of war, 310 combating, 322–23 world opinion on, 283f
economic realities in, 96–98 conventional weapons, 319 toxic wastes, 513
norms for, 98 defined, 316 trade, 8, 137–38, 381. See also bilateral
power cycles in, 242 as “heroic martyrdom,” 300 trade agreement; exports; free
power relationships in, 93–96 individual-level causes of, 322 trade; General Agreement on
structural characteristics of, international data, 318f Tariffs and Trade; imports;
91–93 LDCs and, 316 international trade; merchandise
nature/limits of, 315–17 trade; North American Free Trade
T radiological, 319–20, 320f Agreement; primary products;
Taihu pig, 220 record of, 318–19 regional trade agreement; services
Taiwan, 170, 269–71 sources of, 317–18 trade; tariffs; World Trade
Tajikistan, 115, 123 state-level causes of, 322 Organization
Tajiks, 114, 115, 123 system-level causes of, 321–22 of China, 397
Taliban, 114, 169, 267, 294, 368 weapons/tactics, 319–21 China/U.S., 398f
tanks, 250–51 Web site, 317, 329 dependence on, 9f
TANs. See transnational advocacy TFG. See Transitional Federal as development capital, 415–17
networks Government differences in North-South
tariffs, 377, 400. See also General Tharoor, Shashi, 210, 210 patterns, 388
Agreement on Tariffs and Trade; Thatcher, Margaret, 95 expanding, 381
trade theocracy, 175 “follows the flag,” 447
common external, 225 theoretical thinking, 33–34 free flow of, 58
of EDCs, 381 about world events, 18–33 free trade protests, 374
investment barriers, 400–401 assessing, 32–34 global, 134f
trade barriers, 400–401 Thieu, Nguyen Van, 266 increasing world, 381f
taxation, 191f, 377 Third World, 46 international, 8–9
Taylor, Charles, 60, 186, 282, 296 Thomas Aquinas, 292 merchandise, 137, 137, 381
technological/scientific change, 44f threat perception, 71f NAFTA, 435f
technology Three Gorges project, 497 net, 254
dual-use, 354 Thucydides, 20 promoting, 381
globalization and, 134 Tibet services, 137, 381
improved production, 137, 381 future of, 170b world, and GDP, 442f
military, in Middle Ages, 38 independence of, 170 trade barriers
role of, 44 Tierney, Michael J., 20 monetary, 401
war and, 311 Timberlake, Justin, 140 NTBs, 401
television, 55, 273 Timor-Leste, 187 tariffs, 400–401
territorial states, 36 TNCs. See transnational corporations trade supports
territory, 38 de Tocqueville, Alexis, 182 cartels, 403
states and, 169 Tokelau, 125, 125 dumping, 403
terrorism, 13–14, 316, 337–38. Tokelauans, 125 subsidies, 402–3
See also domestic terrorism; Tokugawa Shogunate, 107 traditional multipolar system, 52
international terrorism; Oklahoma Tokyo subway station terrorism Transitional Federal Government
City bombings; state terrorism; attack, 321 (TFG), 171
Tokyo subway station terrorism Tokyo war crimes tribunal, 292, transnational advocacy networks
attack; transnational terrorism; 295, 296 (TANs), 148
transnational terrorist groups; Tolstoy, Leo, 370 transnational corporations (TNCs),
USS Cole; war on terrorism; topography, 243 420
World Trade Center/Pentagon torture. See also Convention against transnational crime, 199
terrorist attacks Torture/Cruel, Inhuman or transnational diseases, 12–13
as asymmetrical warfare, 57 Degrading Treatment or AIDS, 13
biological, 320–21 Punishment melanoma, 13
cause of, 321–22 Bush, George W. on, 459 West Nile virus, 13f
I-24 Index

transnational interest groups, 88 21st century UN Security Council (UNSC),

transnational movements, 160–63 global economics in, 57–60 207, 285
of women, 161–62 international system in, 48–63 Japan and, 239
transnational political violence, polar power structure in, 48–53 veto of, 209f
13–14 power changes in, 53–57 UNAIDS. See Joint United Nations
transnational terrorism, 317–18 quality of life in, 60–61 Programme on HIV/AIDS
transnational terrorist groups, security in, 56–57 unanimity voting, 208–9
317–18 The Twenty Years Crisis 1919–1939 UNCED. See UN Conference on
transnationalism, 131, 146–50, (Carr), 21 Environment and Development
164–65 Two Treatises of Government (Locke), UNCHR. See UN Commission on
cultural, 150–51 280 Human Rights
future of, 163–64 two-level game, 84 unconventional force, 323, 338
globalization and, 164 two-level game theory, 265 arms transfers, 323–25
regional, 150 defined, 323
sources of, 146 U special operations, 325–26
transportation Uganda, 30 UNCPD. See United Nations
global, 135 Ulan Bator, Mongolia, 272 Conference on Population and
globalization of, 135–37 ultimatums, 268 Development
improved, 381 ummah, 155 UNCTAD. See UN Conference on
in LDCs, 249 UN. See United Nations Trade and Development
in Russia, 248–49 UN Commission on Human Rights UNDP. See UN Development
treaties. See also specific treaties (UNCHR), 219, 473, 475 Programme
arms control, 345t, 346f UN Conference on Environment and UNEP. See UN Environmental
barring torture, 283 Development (UNCED), 497. Programme
international, 281 See also Earth Summit I UNESCO. See UN Educational,
peace, 267 UN Conference on Trade and Scientific, and Cultural
seas/fisheries, 511f Development (UNCTAD), Organization
Treaty for the Prohibition of 394, 421 UNFPA. See UN Population Fund
Nuclear Weapons in Latin UN Convention on the Law of UNGA. See UN General Assembly
America, 345 the Sea, 201 UNHRC. See UN Human Rights
Treaty of Rome (1957), 223 UN Development Fund for Women Council
Treaty of Westphalia, 40, 41, 44 (UNIFEM), 464, 502 UNICEF. See United Nations Children’s
tribalism, 55 UN Development Programme (UNDP), Fund
forces of, 55–56 219, 421, 476 UNIFEM. See UN Development Fund
tendency, 123 UN Disarmament Committee, 370 for Women
tribunals. See also Cambodia tribunal; UN Economic and Social Council unilateralism, 263
Nuremberg war crimes tribunal; (ECOSOC), 460 unipolar system, 93, 94f
Tokyo war crimes tribunal UN Educational, Scientific, and “The Unipolar Moment,” 49
Balkans, 295–96 Cultural Organization “United in diversity,” 225
current, 295–97 (UNESCO), 142, 485 United Nations (UN), 12, 24, 25,
Lebanon, 297 UN Environmental Programme 52, 185, 198, 303. See also
post–World War II, 295 (UNEP), 12, 506 UN General Assembly;
Rwanda, 295–96 UN General Assembly (UNGA), 206, UN Security Council
Sierra Leone, 296 208, 283 administration, 213–15
tripolar system, 94f UN High-Level Panel on Threats, arms control promoted by, 218
Truman, Harry, 83 Challenges, and Change, 363 budget, U.S. and, 217b
Tum, Rigoberta Menchú, 29 UN Human Rights Council (UNHRC), charter of, 107
Turkish army, 192 460, 460f as debate alternative, 218
Tutsis, 107, 110, 120 UN Nations Environment Programme, diplomatic intervention by, 218
Twain, Mark, 126 148 economic cooperation and, 420–21
20th century UN Permanent Forum on Indigenous economic development promoted
bipolar system in, 45–48 Issues (UNPFII), 473 by, 219
cold war in, 45–48 UN Population Fund (UNFPA), environment guarded by, 220
international system in, 44–48, 62 465 establishment of, 126
 Index I-25

evaluating, 220–22 opinion on leaders, 90t Uzbekistan, 115, 123

finances of, 215–17 opinions on ICC, 299f Uzbeks, 114, 115, 123
global opinion of, 222f opposing ICC, 298–99
human rights promotion, 219 political culture in, 81 V
international law advanced by, power and, 241 value-added tax (VAT), 225
219–20 R&D in, 248 VAT. See value-added tax
Iraq and, 221 restraints on, 49 Vatican, 251
leadership in, 209–13 sanctions on Cuba, 261, 271, 301 vegetarianism, 506
membership of, 205–9, 206f in Saudi Arabia, 318 Venezuela, 58
peace and, 199 UN budget and, 217b Versailles Peace Conference
peacekeeping by, 218–19, 218f UN finance and, 217 (1919), 198
quality of life promoted by, 220 violent crime in, 343 vertical authority structure, 91
sanctions imposed by, 218 waging war, 83b veto, 209f
structure of, 205f weapons of, 250 Vienna Convention on Consular
struggles within, 200 women voting in, 179 Relations (1963), 286, 287
system budgets of, 216f United States of America vs. Mexico, 287 Vienna Convention on Diplomatic
voting in, 205–9, 208f “United States of Europe,” 230 Relations (1961), 281
United Nations Children’s Fund “United States of the World,” 204 Vietnam War, 14, 83, 252, 327
(UNICEF), 220 universal authority as American trauma, 47–48
United Nations Conference on decline of, 39–40 costs of, 313
Population and Development in Middle Ages, 37–41 Iraq comparison, 68f
(UNCPD), 162, 500 Universal Declaration of Human Johnson and, 69
United States (U.S.). See also Bush, Rights, 461, 461 violence, 118
George W. Universal Postal Union, 197 arms transfers increasing, 325
Afghanistan invaded by, 82, 83, universalism, 38 decreased, 443–44
89, 267 applying, 456–57 ethnonational, 118f
armies of, 251 universalists, 455 sexual, 282, 467
bipolarity with Soviet Union, 47f unlimited self-defense, 342, 342f transnational political, 13–14
Castro and, 266 UNPFII. See UN Permanent Forum on violent crime in U.S., 343
China relations, 96, 301 Indigenous Issues against women, 29
China trade, 398f Unrepresented Nations and Peoples’ Virginia Tech University shootings, 343
deaths in Iraq War, 14, 14f, 23, 239, Organization, 473 vodka, 247
240f, 306 UNSC. See UN Security Council Voice of America, 273
defense budget of, 52 Uruguay Round, 423 Volcker, Paul, 212
defense vs. human resources U.S. See United States voluntary compliance, 283
spending, 253f U.S. Agency for International von Clausewitz, Carl, 256, 326
demographic graying and, 245 Development (USAID), 148 voting, 16–17
dual citizenship allowed in, 169 U.S. Civil War, 306, 314 in EU, 226
education in, 246 costs of, 312 gap, 16
foreign aid from, 418 U.S. Constitution, 83 in IMF, 208, 379, 426
foreign debt, 254f U.S. Environmental Protection Agency majority, 208
GNP of, 254 (EPA), 148, 516 supermajority, 208
as hegemonic power, 49 U.S. global role, 52f 2004 presidential elections, 17f
imperial overstretch thesis applied U.S. Information Agency, 273 2006 congressional elections, 16–17
in, 252 U.S. Intelligence agencies, 86 in UN, 205–9, 208f
income distribution in, 391f U.S. Office of Patents, 248 unanimity, 208–9
Mexico foreign aid to, 417 U.S. Office of Technology of U.S. women, 179
military spending, 250f Assessment, 321 weighted, 208, 290
Muslims and, 158 U.S. Supreme Court, 281 in World Bank, 208
national identity in, 247 USAID. See U.S. Agency for vulnerable populations, 153
NMD in, 335–36 International Development
nuclear testing by, 331 USS Cole, 316–17 W
nuclear weapons in, 330–31 USS Independence, 269 Waigani Convention (2001), 513
oil consumption, 254 USS Nimitz, 269 Wang Guangya, 200
I-26 Index

war(s), 13–14, 256. See also abolition Warsaw Treaty Organization Cambodian Master Performers
of war; American Revolution; (WTO), 354 Program, 297
French Revolution; Iran Iraq War; Wassenaar Arrangement, 354 Campus Compact, 15
Iraq War; Korean War; Mexican- water availability, 509 CampusActivism.org, 15, 136
American War; nuclear war; water quality Carter Center, 180
Persian Gulf War; preemptive issues, 514–15 Century Institute, 15
war; Spanish-American War; protecting, 515 chemical/biological terrorism, 329
U.S. Civil War; Vietnam War; War WCAR. See World Conference against Chicago Council on Global
of 1812; war on terrorism; warfare; Racism/Racial Discrimination/ Affairs, 90
World War I; World War II Xenophobia/Related Intolerance CIA World Factbook, 2
arms/tension and, 357f WCC. See World Climate Conference Claire Boothe Luce Policy
changing nature of, 311–14 WCW. See World Conference on Institute, 15
costs, 312 Women Claremont Institute, 337
crimes, 60 wealth cold war, 47
curbing, 198 in North, 60 College Democrats of America, 15
deaths and, 307 per capita, 387f College Republican National
Eisenhower on, 306 The Wealth of Nations (Smith), 378 Committee, 15
as enigma, 306 weapons. See also conventional conference of NGOs, 147
frequency of, 307–9 weapons; nuclear, biological, Cooler Heads Coalition, 522
gender gap and, 70f and chemical weapons; nuclear “Decade of Defiance,” 294
goals/conduct of, 326–27 weapons; specific weapons Diplomatic Pouch game, 267
“hot,” 46 in arms transfers, 325 disarmament, 346
human record of, 306–7 biological, 328 “Doomsday Clock,” 340
individual-level causes of, 311 chemical, 329, 329 Duck and Cover, 46
jus ad bellum and, 292 of Iraq, 250 environmental pessimists, 522
jus in bello and, 292 military power and, 250–51 EPA, 516
Kennedy on, 307 of terrorism, 319–21 European Anthem, 225
nationalism and, 311–12 of U.S., 250 European Minorities, 108
as part of diplomacy, 326 weapons of mass destruction (WMDs), exchange rates, 385
participation in, 312 56, 76, 258, 328, 338 Fair Labor Association, 14
severity, 307 acquiring, 57 Federation of American
state-level causes of, 310–11 arms control, 348–51 Scientists, 250
states/international law and, biological weapons, 328 Foreign Agents Registration Act, 88
291–95 Bush, George W. on, 293 Foundation for the Study of
“systemic,” 242 defined, 328 Personality in History, 75
system-level causes of, 310 North Korea and, 332 G-77, 395
technology and, 311 Weber, Max, 306 Global Security Simulator, 358
territorial disputes and, 69 Web sites green accounting, 491
U.S. decision on waging, 83b age distribution, 243 Guernica, 328
world politics and, 306–14, 337 American political culture, 81 Human Rights Interactive
“zero-dead,” 239 American Society of International Network, 452
War of 1812, costs of, 312–13 Law, 289 human trafficking, 466
war on terrorism, 50, 60, 322 Amnesty International, 462 Index of Economic Freedom, 428
Bush administration and, 260 Arctic Climate Impact Intercollegiate Studies Institute, 15
War Powers Resolution (WPR), 83 Assessment, 521 international law, 279
War, Women, and Peace, 464 Association for Political and Legal international terrorists, 317
warfare Anthropology, 277 International Women’s Rights
asymmetrical, 56–57 balance of payments for current Action, 467
classifying, 314–15 accounts, 254 Interpol, 199
conventional, 326 balance of power game, 93 Iraq War, 258
defensive, 314 BBC, 42 Jane Goodall Institute, 70
offensive, 314 boxoffice/music charts, 140 Japan Whaling Association, 511
state-versus-state, 291 Bretton Woods, 431 Al Jazeera, 137
 Index I-27

Jihad vs. McWorld, 54 U.S. Holocaust Memorial Museum, in combat, 14, 29, 313b
JustAct: Youth Action for Global 295 in EDCs, 160
Justice, 15 U.S. Institute for Peace, 111 in LDCs, 160
leadership, 15 U.S. National Hurricane Center, 12 legal barriers to, 179
“The Maiden of Kosovo,” 120 U.S. nuclear strategy, 333 legislators, 162f
Military Commissions Act, 294 U.S. State Department, 18, 48 legislators by world region, 179f
Millennium Summit, 421 U.S. Students Association, 15 in military, 312
model UN program, 213 WFM, 204 in politics, 162–63
Munich Conference, 45 WHO, 248 security and, 29
“Muslim, Islam, and Iraq,” 159 WomenWatch, 162 sexual assault against, 161, 465
National Geographic Society, 7 World Food Programme, 478 transnational movement, 161–62
National Oceanic and Atmospheric World Health Chart, 483 violence against, 29
Administration, 521 world maps, 169 voting in U.S., 179
national power, 241 world power maps, 263 WCW, 162
National Youth & Student Peace WTO, 381 in world, 160–61
Coalition, 15 Young America’s Foundation, women’s rights, 463
Nationalism Project, 104 15, 136 armed conflict/abuse and, 464
New York Times, 18 Young Politicians of America, 15 discrimination and, 464
NMD Agency, 335 zero-sum game, 237 progress, 466–68
nuclear attack, 330 weighted voting, 208 society/abuse and, 465–68
Nuremberg trials, 295 LDCs rejecting, 290 workers, 8, 10
Organization for Economic Wen Jiabao, 270 World Bank, 58, 259, 410. See also
Cooperation, 392 West, 42 World Bank Group
peacekeeping, 365 West Nile virus, 13f controversy over, 430–31
population data, 500 westernization international economic classification of
Population Reference Bureau, 391 system, 42 countries, 59t
PPP factor, 375 weakening of, 53–54 economic cooperation and,
Presidential Recordings Program, 82 WFM. See World Federalist Movement 429–31
Raise Your Voice: Student Action WFP. See World Food Program economic development and,
for Change, 15 WHO. See World Health Organization 429–31
Roma, 470 Wilde, Oscar, 7 operations, 429
Roosevelt Institution, 15 wildlife voting in, 208
sanctions, 260 global pressure on, 507 World Bank Group, 429–31
SETI, 102 protecting, 507–8 World Climate Conference
“Shakespeare’s Pacifism,” 371 selling, 508 (WCC), 524
Stolen Childhoods, 470 will to power, 238 World Conference against
Student Peace Action Network, 15 Japan and, 238–39 Racism/Racial Discrimination/
Student Public Interest Research Williams, Betty, 29 Xenophobia/Related Intolerance
Groups, 15 Williams, Jody, 2–3 (WCAR), 471
Students for Academic Freedom, 15 Wilson, Woodrow, 20, 23, 25–26, 123, World Conference on Women (WCW),
Students for an Orwellian 174, 265 162, 467, 502
Society, 15 “The Wimp Factor,” 75 World Congresses Against Commercial
sustainable environment, 493 win-win agreement, 84 Sexual Exploitation of
Terrorism Research Center, 317 wishful thinking, 66 Children, 469
“Texas Straight Talk,” 205 WMDs. See weapons of mass World Council of Indigenous
Three Gorges project, 497 destruction Peoples, 473
Treaty of Westphalia, 40 Wolff, Alejandro Daniel, 200 World Development Report 2005, 419
Ultimate Political Science Links, 20 Wolfowitz, Paul, 88, 430 world economy
UN webcast, 217 women. See also feminism; feminist diverse circumstances of,
U.S. Bureau of Arms Control, 348 theory; World Conference on 386–92, 406
U.S. Census Bureau, 11 Women exports and, 138f
U.S. Energy Information AIDS and, 467 globalization and, 380–85, 406
Administration, 8 Beijing 5 Conference, 162 interdependence and, 380–85, 406
I-28 Index

World Evangelical Alliance, 152 World Trade Organization (WTO), 54, WTO. See Warsaw Treaty Organization;
World Federalist Movement 58, 92, 134, 161, 185, 203, 403, World Trade Organization
(WFM), 204 410, 421. See also Doha Round;
World Food Program (WFP), 479 General Agreement on Tariffs and X
World Food Summit, 480–81 Trade xenophobia, 119–20, 177
world government, 203 cases, 422f
World Health Organization (WHO), economic cooperation and, 421–24 Y
13, 188, 220, 248, 484–85 economic development and, Yanukovych, Victor, 122
world languages, 127 421–24 Yao Ming, 142
world politics founding of, 421 Yeltsin, Boris
alternative approaches to, 3, structure/role, 422–23 alcohol abuse by, 75
6–7, 6f World War I, 42 diplomatic faux pas of, 271
course of, 31–32 casualties of, 199 yen, 383
globalist approach to, 33 costs of, 312 dollar exchange rates, 384f
individuals impacted by, 7–18 deaths, 307 Yugoslavia, 55, 60, 172, 186
personal finances and, 8–10 losers of, 45 break up of, 172f
personal life and, 12–14, 33 opponents in, 45 ethnic cleansing by, 291
personal living space and, 10–12 outbreak of, 44
religion and, 152–53 World War II, 24, 26, 57, 67 Z
traditional vs. alternative casualties of, 199, 239 Zambia, 207
approaches, 3, 6–7, 6f causes of, 134 Zarif, Javad, 268
war and, 306–14, 337 costs of, 312 al-Zarqawi, Abu Musab, 316
world stage, 7, 33 deaths, 307 zero population growth, 2
actors on, 2, 4f–5f nationalism and, 126 “zero-dead wars,” 239
World Summit for Children, outbreak of, 198 zero-nukes, 359b, 359f
469, 480 victors of, 207 zero-sum game, 20, 237–38, 376
World Summit on Sustainable Worldnet, 273 Zhong Guó, 81
Development (WSSD), 498. Worst Forms of Child Labour Zhou Enlai, 326
See also Earth Summit II Convention (1999), 470 Zionism, 112
world systems theory, 379 WPR. See War Powers Resolution Zoellick, Robert, 430, 430
World Trade Center/Pentagon terrorist WSSD. See World Summit on Zoroastrian Women’s Organization
attacks, 319–22, 325 Sustainable Development (Iran), 471