International Theory: The Second

Debate
Realism versus Behavioralism

Or, to be more precise:

Traditionalism versus Scientism
Or also:
the debate between
Understanding and Explanation
 Basic Terms

Ontological: concerning itself with what exists

- a 17th century coinage for the respective
branch of philosophical metaphysics
Epistemological: concerning itself with the
theory of knowledge origin of knowledge,
the role of experience in generating know-
ledge, the function of reason in generating
knowledge, the relationship between know-
ledge and certainty, and the criteria accor-
ding to which we decide on the validity and
tenability of statements
During the first part of the seminar, we looked
at the ontology of I.R., at the respective world
views linked to particular Grand Theories.
Classic Example of different ontologies: the
First Great Debate betweeen Idealism and
Realism (or between a Hobbesian & a
Lockean/Kantian/Grotian view of IR)
* * *
The Second Great Debate between
Traditionalism and Scientism looks at the
epistemology of I.R. How can we be sure that
the statements we formulate are correct ??
 The methodological-
epistemological/ontological field of I.R.theory
Billiard-Ball-Model of Int. Politics

REALISM NEOREALISM

Traditionalism Scientism

Qualitative, historical- Quantitative

hermeneutical , (deductively-) empirical,
common-sensual nomological

IDEALISM GLOBALISM

Cobweb-Model of Int. Politics

The Billard-Ball-Model of International Politics

Pulling forces

Pushing forces
Cobweb model of international Relations
 Traditionalism vs. Scientism I
The Traditional Approach to theorizing derives
from philosophy, history, and law, and is
characterized above all by explicit reliance
upon the exercise of judgment and by the
assumption that if we confine ourselves to
strict standards of verification very little can
be said of international relations. General
propositions about this field must therefore
derive from a scientifically imperfect process
of perception and intuition; general
propositions cannot be accorded more than
tentative and inconclusive status adequate to
their doubtful & fuzzy origin
 Traditionalism vs. Scientism II

The Behavioralist or Scientistic Approach shows a

concern with
• explanatory rather than normative theory
• recurring patterns rather than the single case
• operational concepts that have measurable empirical
referents rather than reified concepts
• conceptual frameworks rather than all-
encompassing world-explaining theories
• the techniques of precise data gathering,
measurement and presentation.
 Literaturtipp

• Klaus Knorr/James N. Rosenau (eds.): Contending

Approaches to International Politics. Princeton, N.J.:
Princeton UP 1969
• Martin Hollis/Steve Smith: Explaining and
Understanding in International Relations. Oxford:
Clarendon Press 1990
 Traditionalism I
scientific/cognitive interest
Scientific advice to those who govern,
and political education of those who
are governed; evaluating comments,
norm-based opinions, and recom-
mendations for action regarding
present political decisions on the basis
of respective scientific research results
 Traditionalism II

Problem statement:
striving for an understanding of politics
on the basis of an insight into and of a
knowledge of historical-social deve-
lopments and processes
 Traditionalism III

specific view of the object of enquiry

a) Politics is a specific social form of action full of
sense and values – an art which can be learned on
the basis of historical examples. Historical and
social phenomena can be clearly distinguished from
natural phenomena; thus, they are not susceptible
to scientific explanations taking the form of if - then
statements
b) b) International Politics
competitive zero-sum-game for power and influence
in an anarchic world of states, characterized by the
security dilemma and the role of states as primary
(if not near-exclusive) international actors
 Traditionalism IV

methods of analysis:
hermeneutic, ideographic, descriptive, or
normative approaches typical for the arts
and historical sciences
validity criteria of scientific statements:
Common Sense – the view that we know
most, if not all, of those things which
ordinary people think they know and that any
satisfactory epistemological theory must be
adequate to the fact that we know such
things
Value relationship: scientific statements are
characterized by explicit dependence on
values
 Traditionalism V
Concept of Theory:

a) Constitution of a general theory of political action

based on the regular appearance of phenomena
and forms of international politics over time,
formulating recommendations to political decision-
makers for action in comparable situations

b) Formulation of ideal types based on historical

comparisons which help with the understanding
and classification of concrete historical and
political phenomena
 The Birth of Realism: Morgenthau

• In the immediate aftermath of the Second World War,

Hans J. Morganthau was credited with having
systematised classical Realism. His Politics Among
Nations became the standard textbook, and
continued to be reprinted after his death.

• Morgenthau starts with the claim that he is

presenting a "theory of international politics". He
sees his theory bringing "order and meaning" to the
mass of facts. It both explains the observed
phenomena and is logically consistent, based on
fixed premises. Like Carr, he sees this Realism as a
contrast to liberal-idealism.
 Morgenthau: Six principles

• Morgenthau’s theory is based on six principles he enumerates

in his first chapter. In summary, these principles were:
• International relations "…is governed by objective laws that
have their roots in human nature".
• The key consideration "…is the concept of interest defined in
terms of power’.
• "…Interest defined as power is an objective category which is
universally valid", although its exact meaning may change with
time and circumstance.
• While moral principles have a place, they cannot be defined
identically at every time and place, and apply differently to
individuals and the state.
• "The moral aspirations of a particular nation…" are not "moral
laws that govern the universe".
• Politics is an autonomous sphere that needs to be analysed as
an entity, without being subordinated to outside values.
 What is Realism II
• Of the threads that make up the Realist school, the most
important ideas include:
• International relations are amenable of objective study. Events
can be described in terms of laws, in much the way that a
theory in the sciences might be described. These laws remain
true at all places and times.
• The state is the most important actor. At times the state may be
represented by the city-state, empire, kingdom or tribe. Implicit
in this is that supra-national structures, sub-national ones and
individuals are of lesser importance. Thus the United Nations,
Shell, the Papacy, political parties, etc, are all relatively
unimportant.
• The first corollary is that the international system is one of
anarchy, with no common sovereign.
• A second corollary is that the state is a unitary actor. The state
acts in a consistent way, without any sign of divided aims.
 What is Realism III
• Further, state behaviour is rational - or can be best
approximated by rational decision-making. States
act as though they logically assess the costs and
benefits of each course open to them.
• States act to maximise either their security or power.
The distinction here often proves moot as the
optimum method to guarantee security is frequently
equated to maximising power.
• States often rely on force or the threat of force to
achieve their ends.
• The most important factor in determining what
happens in international relations is the distribution
of power.
• Ethical considerations are usually discounted.
Universal moral values are difficult to define, and
unachievable without both survival and power.
 Realistische Prämisse

• Die Staaten sind die einzigen bedeutenden Akteure der

internationalen Beziehungen. Zu erforschen sind daher ihre
Motive und Verhaltensweisen oder genauer: die Motive und
Verhaltensweisen der sie nach aussen vertretenden politischen
Entscheidungsträger. Anderen internationalen Akteuren kommt
allein in ihrer Funktion als Mittel, Agenten oder Auftragnehmer
der Staaten Bedeutung zu.

• Internationale Beziehungen sind das Ergebnis einzelstaatlicher

aussenpolitischen (Inter-) Aktionen, die das Ziel der Erhaltung
der in Kategorien militärischer Macht sowie territorialer
und/oder weltanschaulicher Herrschaft definierten nationalen
Sicherheit (sog. „high politics“) verfolgen. Andere Ziele werden
als „low politics“ definiert und belegen im Ziel- und
Wertinventar der Staaten einen nachrangigen Stellenwert
High Politics/Low Politics
 Realistische Prämisse

• Die internationalen Beziehungen sind ein Nullsummenspiel; der

(Macht- und Status-) Gewinn eines Akteurs im internationalen
System geht zu Lasten eines/mehrerer/aller anderen Mitspieler.
Der Austragungsmodus des Spiels ist der Konflikt;
(militärische) Gewalt dient latent oder offen als
Konfliktentscheidungsmittel.

• Internationaler Einfluss resultiert aus dem Einsatz von oder der

Drohung mit dem Einsatz von Macht, definiert als aktuelle oder
potentielle militärische und/oder wirtschaftliche
Handlungsbefähigung.
 Realism: ontological and analytical
problems
• Problematic premisses:
• a) Elevation of states to the status of rational, unitary
actors which follow, within the context of the an-
archic international system. the aim of guaranteeing
their own survival by means of the game of power
politics
• b) The political calculus of states is solely governed
by the distribution of power within the system
• c) State action is primarily oriented towards the
acquisition, conservation, augmentation, and
demonstration of power; secondarily towards the
conservation of the Balance of Power
 Realism: ontological and analytical
problems II
Hypostization of concepts
• International System
The international system regulates the behaviour of its units in
the same way the market regulates the behaviour of firms;
power politics based on self-help assumes the same function in
international politics as the maximization of profit in a market
economy

• State
If the unitary actor is dissolved - as e.g. in the bureaucratic
politics model - it splinters into an uneasy conglomerate of
competing/warring power factions and political and
socioeconomic interests.
• This suspends
- the homogeneity of state actions
- the likeness and comparabi1ity of actors and of their
systemic behaviour
 Literaturtipp

• Benjamin Frankel (ed.): Roots of Realism.

London: Frank Cass 1996
• Stefano Guzzini: Realism in International
Relations and International Political
Economy. The Continuing Story of a Death
Foretold. London: Routledge 1998
• Christoph Rohde: Hans J. Morgenthau und
der weltpolitische Realismus. Wiesbaden:
VS-Verlag 2004
 Scientism
Scientism is a philosophical position that exalts the
methods of the natural sciences above all other
modes of human inquiry. Scientism embraces only
empiricism and reason to explain phenomena of any
dimension, whether physical, social, cultural, or
psychological.
Drawing from the general empiricism of The Enlightenment,
scientism is most closely associated with the positivism of
August Comte (1798-1857) who held an extreme view of
empiricism, insisting that true knowledge of the world arises only
from perceptual experience. Comte criticized ungrounded
speculations about phenomena that cannot be directly
encountered by proper observation, analysis and experiment.
Such a doctrinaire stance associated with science leads to an abuse
of reason that transforms a rational philosophy of science into an
irrational dogma. It is this ideological dimension that we
associate with the term scientism. Today the term is used with
pejorative intent to dismiss substantive arguments that appeal to
scientific authority in contexts where science might not apply.
 Scientism (2)
• Epistemological scientism lays claim to an
exclusive approach to knowledge. Human
inquiry is reduced to matters of material
reality. We can know only those things that
are ascertained by experimentation through
application of the scientific method. And
since the method is emphasized with such
great importance, the scientistic tendency is
to privilege the expertise of a scientific elite
who can properly implement the method.
 Behavioralism

• The so-called “behavioral revolution”

took hold in academic disciplines and
grant-making bodies during the 1940’s,
placing emphasis on individual level
psychological variables and
quantitative methods.
 The Behavioral Revolution
Goal: an interdisciplinary, methodologically
rigorous science of human behavior, with the
ability to predict as well as prescribe.
Announcing its commitment to behavioralism,
the Ford Foundation identified two main
convictions:
– All problems “from war to individual
adjustment” could be traced to individual
behavior and human relations.
– Methodologically rigorous research might
uncover “laws” of human behavior and thus
help to inform policy.
 Behavioralism: Characteristics
One of the most "influential" definitions of
behavioralism has been David Easton's list of its
characteristics:
1) search for regularities, even with explanatory and
predictive value,
2) verification with testable propositions,
3) self-conscious examination for rigorous techniques,
4) quantification for precision when possible and
relevant,
5) keeping values and empirical explanations
analytically distinct,
6) systematization as an intertwining of theory and
research,
7) pure science preceding the application of
knowledge, and
8) integration of the social sciences
(Easton 1962: 7-8; Easton 1965: 7).
 Stimulus-Response-Model

Stimulus-Response-Model (Reiz-
Reaktions-Modell)
• S R
• Later, in somewhat less rigorous form,
• „Stimulus-Organism-Response-Model“

S O R
 Literaturtipp

• David Easton: The New Revolution in

Political Science.. The American Political
Science Review, Vol. 63, No. 4, Dez.1969.,
1051-1061.
• Falter, Jürgen W.: Der "Positivismusstreit" in
der amerikanischen Politikwissenschaft,
Opladen: Westdeutscher Verlag 1982
• Falter, J. W./Honolka, H./Ludz, U.: Politische
Theorie in den USA. Eine empirische Analyse
der Entwicklung von 1950 bis 1980. Opladen:
Westdeutscher Verlag 1990
 Positivism I
• Axioms: correspondence theory of
truth, methodological unity of science,
value-free scientific knowledge
• Premisses: Division of Subject and
Object, Naturalism – deduction of all
phenomena from natural facts, Division
of statements of facts and statements
of values
 Positivism II
• Consequences:
• Postulated existence of a „real“ world
(Object) independent from the theory- loaded
grasp of the scientist (subject);
• identification of facts in an intersubjectively
valid observation language independent from
theories;
• methodological exclusion of idiosyncratic
characteristics and/or individual (subject)
identities assures objective knowledge of an
intersubjectively transferable character
 Positivism III

• Postulate of like regularities in the natural as

well as the social world, independent of time,
place, and observer, enables the transfer of
analytic approaches and deductive-
nomological processes of theory formulation
from the field of the natural to the field of the
social sciences & to the analysis of
social/societal problems
• Knowledge generated on the basis of
positivist research approaches and
methodologies is limited to the objective (i.e.
empirical) world. Statements and decisions
on values are outside the sphere of
competence of science.
 Positivism IV
• Further Consequences:
• Concept of Reason predicated on the purposeful
rationality/rationality of purpose of instrumental
action aiding the actor to technically master
her/his environment
• Rationalisation of societal (inter-)action by its
predication on planned/plannable means- end-
relationships, technical (or engineering)
knowledge, depersonalisation of relationships of
power and dominance, and extension of control
over natural and social objects (“rationalisation of
the world we live in”)
 Positivism V
• Theory regards itself as problem-solving theory,
which accepts the institutions and power/dominance
relationships of a pre-given reality as analytical and
reference frameworks, and strives for the
explanation of causal relationships between societal
phenomena; its aim is the elimination of
disturbances and/or their sources in order to insure
friction-less action/functioning of social actors
• International politics is regarded as the interaction of
exogeneously constituted actors under anarchy, the
behaviour of which is as a rule explained by
recourse to the characteristics or parameters of the
international system (top-down explanation)
Positivism VI
Positivist theory creation and testing

logical
hypotheses predictions
deduction

empirical either Prediction not fulfilled,

theory appears theory amended
observation
inconsistent with
or the facts

Prediction fulfilled,
theory appears theory
theory consistent with discarded,
correct the facts new theory
needed
 Literaturtipp

• A.J.Ayer: Logical Positivism. New York: Free

Press 1959
• Rudolf Haller: Neopositivismus. Eine
Historische Einführung in die Philosophie
des Wiener Kreises. Darmstadt: Wissen-
schaftliche Buchgesellschaft 1993
 Neorealism - a New Life for Realism:
Kenneth Waltz

• Morgenthau’s work formed the basis for many other authors in

the Realist tradition. Yet it was not until 1979 that Kenneth N.
Waltz attempted to reformulate Realism in a new and distinctive
way. His aim was to cure the defects with earlier theories of
international relations, including classical realism, by applying
a more scientific approach. The approach he took in Theory of
International Politics became known as Neorealism.

• While classical Realists saw international politics in terms of

the characteristics of states and their interaction with each
other, Waltz believed that there was a level above this.
According to Waltz, "The idea that international politics can be
thought of as a system with a precisely defined structure is
Neorealism’s fundamental departure from traditional realism".
The conditions of the system as a whole influenced state
behaviour, not just state level factors.
 Neorealism - a New Life for Realism:
Kenneth Waltz II
• By concentrating on the nature of the system-level
structure, Waltz avoided the need to make
assumptions about human nature, morality, power
and interest. Neorealists were thus able to see power
in a different way. For the classical Realists power
was both a means and an end, and rational state
behaviour was simply to accumulate a maximum of
power. Neorealists found a better guide to IR was
provided by assuming that the ultimate state interest
was in security, and while gathering power often
ensured that, in some cases it merely provoked an
arms race. Yet while power was no longer the prime
motivator, its distribution was the major factor
determining the nature of the structure.
 Inhaltlich-perspektivische Differenzen von klassischem
Realismus und Neorealismus

Gemeinsame Prämisse: Verhalten von Staaten über Zeit und Raum zeigt
mehr Gemeinsamkeiten als Unterschiede

Realismus Neorealismus

Dominanz des Akteurs Dominanz des internationalen

Systems

Akteursverhalten bestimmt durch Akteursverhalten bestimmt durch

anthropozentrische Grundannahme: systemische Grundannahme: strukturelle
Machtstreben Anarchie

Charakteristische Eigenschaften, Struktur des Systems (Verteilung der

Situationsdefinitionen und Macht unter den Akteuren) bestimmt
Zielsetzungen der Akteure eines das Interaktionsverhalten der Akteure
Systems bestimmen dessen und die Verhaltensergebnisse
Verhaltensergebnisse
( „top-down-view“)
(„bottom-up-view“)
 Realismus Neorealismus
Primat des in Kategorien von
Macht definierten Primat der Sicherheit
Nationalinteresses

Erwerb, Vermehrung, Demonstration Selbsthilfe

von Macht als Zweck der
Aussenpolitik des Akteurs

Verteidigung der Akteursposition

Maximierung von Macht als im System relativ zu den
absoluter Gewinn im Positionen anderer Akteure
Nullsummenspiel der Akteure

Sicherung der nationalen Herstellung und Sicherung des Gleichgewichts

Souveränität als Voraussetzung des im System als Voraussetzung des Überlebens
Überlebens des Akteurs in einer der Akteure unter Anarchie
feindlichen Umwelt
 Literaturtipp

• Kenneth N.Waltz: Theory of International

Politics. Reading/Mass.: Addison-Wesley
1979
• Carlo Masala: Kenneth N. Waltz. Ein-
führung in seine Theorie und Ausein-
andersetzung mit seinen Kritikern. Baden-
Baden: Nomos 2005
• Benjamin Frankel (ed.): Realism:
Restatement and Renewal. London: Frank
Cass 1996
… Kaffeepause…