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Anarchy and the limits of cooperation: a realist critique of the newest liberal institutionalism
Published online by Cambridge University Press: 22 May 2009
Abstract
The newest liberal institutionalism asserts that, although it accepts a major realist proposition that international anarchy impedes cooperation among states, it can nevertheless affirm the central tenets of the liberal institutionalist tradition that states can achieve cooperation and that international institutions can help them work together. However, this essay's principal argument is that neoliberal institutionalism misconstrues the realist analysis of international anarchy and therefore it misunderstands realism's analysis of the inhibiting effects of anarchy on the willingness of states to cooperate. This essay highlights the profound divergences between realism and the newest liberal institutionalism. It also argues that the former is likely to be proven analytically superior to the latter.
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References
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61. On the tendency of states to compare performance levels, see Young, Oran, “International Regimes: Toward a New Theory of Institutions,” World Politics 39 (10 1986), p. 118CrossRefGoogle Scholar. Young suggests that realists assume that states are “status maximizers” and attribute to states the tendency to compare performance levels because each seeks “to attain the highest possible rank in the hierarchy of members of the international community.” The present writer offers a different understanding of realism: while realism acknowledges that some states may be positional in the sense noted by Young, its fundamental insight is that all states are positional and compare performance levels because they fear that others may attain a higher ranking in an issue-area.
62. As Waltz suggests, “When faced with the possibility of cooperating for mutual gains, states that feel insecure must ask how the gain will be divided. They are compelled to ask not “Will both of us gain?” but “Who will gain more?” If an expected gain is to be divided, say, in the ratio of two to one, one state may use its disproportionate gain to implement a policy intended to damage or destroy the other.” See Waltz, , Theory of International Politics, p. 105Google Scholar.
63. Stein, , “Coordination and Collaboration,” p. 134Google Scholar.
64. In her review of Axelrod, Joanne Gowa cites the 1979 Waltz passage employed in note 62 and, following Taylor's, terminology in Anarchy and Cooperation (pp. 73–74)Google Scholar, suggests that a state may display “negative altruism.” Furthermore, according to Gowa, a state “may seek to maximize a utility function that depends both on increases in its own payoffs and on increases in the difference between its payoffs and those of another state.” See Gowa, Joanne, “Anarchy, Egoism, and Third Images: The Evolution of Cooperation and International Relations,” International Organization 40 (Winter 1986), p. 178CrossRefGoogle Scholar. This portrays realist thinking in a manner similar to that suggested by Young and cited above in note 61. However, this understanding of state utility cannot be readily based on Waltz, for his core insight, and that of the realist tradition, is not that all states necessarily seek a balance of advantages in their favor (although some may do this) but rather that all fear that relative gains may favor and thus strengthen others. From a realist viewpoint, some states may be negative altruists, but all states will be “defensive positionalists.” Waltz emphasizes that he does not believe that all states necessarily seek to maximize their power: see his statement cited in note 60 and see especially his “Response to My Critics,” p. 334.
65. Waltz, for example, observes that “the impediments to collaboration may not lie in the character and the immediate intention of either party. Instead, the condition of insecurity—at the least, the uncertainty of each about the other's future intentions and actions—works against their cooperation.” See Waltz, , Theory of International Politics, p. 105Google Scholar.
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67. Similar to the concept of a state “sensitivity coefficient” to gaps in jointly produced gains is the concept of a “defense coefficient” in Lewis Richardson's model of arms races. The latter serves as an index of one state's fear of another: the greater the coefficient, the stronger the state's belief that it must match increases in the other's weapons inventory with increases in its own. See Richardson, Lewis F., Arms and Insecurity: A Mathematical Study of the Causes and Origins of War, eds. Rachevsky, Nicolas and Trucco, Ernesto (Pittsburgh and Chicago: Boxwood Press and Quadrangle Books, 1960), pp. 14–15Google Scholar.
68. Robert Jervis also argues that realist theory posits at least partially interdependent state utility functions. See Jervis, , “Realism, Game Theory, and Cooperation,” World Politics 40 (04 1988), pp. 334–36CrossRefGoogle Scholar.
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70. Contextual influences on state sensitivities to gaps in gains are explored in Grieco, Joseph M., “Realist Theory and the Problem of International Cooperation: Analysis with an Amended Prisoner's Dilemma Model,” Journal of Politics 50 (08 1988) pp. 600–24CrossRefGoogle Scholar.
71. In contrast, Keohane finds that that relative gains concerns may impede cooperation only in cases in which states pursue “positional goods” such as “status”; see Keohane, , After Hegemony, p. 54Google Scholar. Similarly, Lipson expects that states will be sensitive to relative gains only in security relationships; see Lipson, , “International Cooperation,” pp. 14–16Google Scholar.
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74. Axelrod, and Keohane, , “Achieving Cooperation,” p. 231Google Scholar; see also Stein, , “Coordination and Collaboration,” pp. 123–24Google Scholar.
75. A crucial experiment seeks real world observations confirming one theory's empirical expectations in circumstances most unlikely to have done so unless the theory is very powerful, while simultaneously disconfirming a competitive theory's empirical expectations in circumstances most likely to have provided such confirming observations. On the methodology of crucial experiments, see Stinchcombe, Arthur L., Constructing Social Theories (New York: Harcourt, Brace, 1968), pp. 20–28Google Scholar; and Eckstein, Harry, “Case Study and Theory in Political Science,” in Greenstein, Fred I. and Polsby, Nelson W., eds., Strategies of Inquiry, vol. 7Google Scholar of the Handbook of Political Science (Reading, Mass.: Addison-Wesley, 1975), pp. 118–20Google Scholar.
76. Such a crucial experiment would demonstrate realism's superiority over neoliberalism. On the other hand, if neoliberal theorists wanted to design a crucial experiment to demonstrate the superiority of their approach, they would focus not on North-North economic relations but rather on North-South relations or, better still, on East-West military interactions.
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79. I am completing a study of the relative gains problem in the case of the Tokyo Round trade codes. Available studies suggest that the Economic and Monetary Union broke down during 1972–76 as a result of concerns by Britain, France, Ireland, and Italy that they had taken on disproportionate burdens and that West Germany was achieving disproportionate gains: see Tsoukalis, Loukas, The Politics and Economics of European Monetary Integration (London: Allen & Unwin, 1977), p. 157Google Scholar. Its successor, the European Monetary System, was designed to ensure greater balance in the gains and losses among partners: see Coffey, Peter, The European Monetary System: Past, Present, and Future (Dordrecht, Neth., and Boston: Martinus Nijhoff, 1984), pp. 21–26, 126–27CrossRefGoogle Scholar. In the case of Scandinavian trade cooperation, Norway shifted from opposition during the 1950s and much of the 1960s to support at the end of the latter decade as it became less concerned about its capacity to achieve a satisfactory share of trade gains with Sweden: see Haskel, Barbara, The Scandinavian Option: Opportunities and Opportunity Costs in Postwar Scandinavian Foreign Policies (Oslo: Universitetsforlaget, 1976), pp. 124–27Google Scholar. Much of the literature on the problem of regional integration among developing countries also emphasizes the importance of relative gains issues. See, for example,Mytelka, Lynn K., “The Salience of Gains in Third-World Integrative Systems,” World Politics 25 (01 1973), pp. 236–46CrossRefGoogle Scholar; Axline, W. Andrew, “Underdevelopment, Dependence, and Integration: The Politics of Regionalism in the Third World,” International Organization 31 (Winter 1977), pp. 83–105CrossRefGoogle Scholar; and Vaitsos, Constantine V., “Crisis in Regional Economic Cooperation (Integration) Among Developing Countries: A Survey,” World Development 6 (06 1978), pp. 747–50CrossRefGoogle Scholar. For case studies of the problem of relative gains in developing country regional efforts to cooperate, see Fagan, Richard I., Central American Economic Integration: The Politics of Unequal Benefits (Berkeley: Institute of International Studies, 1970)Google Scholar; Mytelka, Lynn Krieger, Regional Development in a Global Economy: The Multinational Corporation, Technology, and Andean Integration (New Haven, Conn.: Yale University Press, 1979), pp. 39–61Google Scholar; and Hazlewood, Arthur, “The End of the East African Community,” Journal of Common Market Studies 18 (09 1979), especially pp. 44–48 and 53–54CrossRefGoogle Scholar.
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81. See Keohane, , After Hegemony, pp. 91–92, 103–6Google Scholar; and Axelrod, and Keohane, , “Achieving Cooperation,” pp. 239–43Google Scholar.
82. This, however, would certainly not mark the end of the liberal institutional challenge to realism. There are at least two related clusters of modern literature that are firmly rooted in the liberal institutionalist tradition, that attempt no compromise with realism, and that present an understanding of world politics markedly at odds with realist theory. The first cluster argues that international institutions embody and reinforce norms and beliefs that are held in common among states and that facilitate and guide their cooperative endeavors. The key works in this cluster include Ruggie, John Gerard, “International Responses to Technology: Concepts and Trends,” International Organization 29 (Summer 1975), pp. 557–83CrossRefGoogle Scholar; Ruggie, , “International Regimes, Transactions, and Change: Embedded Liberalism in the Postwar Economic Order,” in Krasner, , ed., International Regimes, pp. 195–231Google Scholar; Kratochwil, Friedrich, “The Force of Prescriptions,” International Organization 38 (Autumn 1984), pp. 685–708CrossRefGoogle Scholar; Ruggie, John Gerard and Kratochwil, Friedrich, “International Organization: The State of the Art on an Art of the State,” International Organization 40 (Autumn 1986), pp. 753–76Google Scholar; and Puchala, Donald J. and Hopkins, Raymond F., “International Regimes: Lessons from Inductive Analysis,” in Krasner, , ed., International Regimes, pp. 61–92Google Scholar. The second cluster suggests that international institutions help states develop, accept, and disseminate consensual theoretical and empirical knowledge that can reinforce or introduce international norms leading to cooperation.Haas, presented this argument in Beyond the Nation State, pp. 12–13, 47–48, 79–85Google Scholar; also see Haas, , “Is There a Hole in the Whole? Knowledge, Technology, Interdependence and the Construction of International Regimes,” International Organization 29 (Summer 1975), pp. 827–76CrossRefGoogle Scholar; Haas, , Williams, Mary Pat, and Babai, Don, Scientists and World Order: The Uses of Technical Information in International Organizations (Berkeley: University of California Press, 1977)Google Scholar; Haas, , “Why Collaborate? Issue-Linkage and International Regimes,” World Politics 32 (04 1980), pp. 357–405CrossRefGoogle Scholar; Haas, , “Words Can Hurt You; Or, Who Said What to Whom About Regimes,” in Krasner, , ed., International Regimes, pp. 23–59Google Scholar; and Crawford, Beverly and Lenway, Stefanie, “Decision Modes and International Regime Change: Western Collaboration on East-West Trade,” World Politics 37 (04 1985), pp. 375–402CrossRefGoogle Scholar.
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