The study of neutrality, as an academic subject in the fields of history and the social sciences, is concerned with the politics, laws, ethics, economics, norms, and other social aspects of states and international actors that attempt to maintain friendly or impartial relations with other states who are—or might become—parties to international conflict. In this regard, neutrality studies is a subject of international politics in its broadest sense, encompassing international law and international relations. It is an open space that has been explored through various academic lenses, including (but not limited to) realism, liberalism, constructivism, and poststructuralism. Most neutrality research in the early 21st century is focused on particular periods or forms of neutrality. To discuss this topic, it is helpful to distinguish two levels of analysis. First, there is historical research that describes the observable phenomenon of neutral behavior and its related effects, in other words, specific instances when countries (or actors) remained neutral. This is mostly the domain of historians. The second level is the moral, legal, political, and ideational assessment of neutral situations, which are theoretical discussions that treat issues (including but not limited to) the underlying reasons and the larger impact of neutrality on specific conflict dynamics, security systems, identities, and norms. Ideological debates often occur on this level since theoretical assessments of neutrality depend heavily on the subjective framing of the conflicts they accompany.
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Neutrality Studies
Pascal Lottaz
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Operational Codes in Foreign Policy: A Deconstruction
Michael Haas
Codes of conduct exist in many areas of life, including cultural, ethical, legal, medical, and scientific. Those pertaining to politics and especially the conduct of foreign policy are crucial for understanding how decision-makers can be effective in dealing with problems involving opposite numbers who subscribe to different codes. Accordingly, the concept of “operational code” has been developed in the study of international politics to refer to a set of lenses that filter how decision-makers perceive, process, and react to situations involving other countries. Although some operational code researchers enlighten puzzles in past history and construct theories, others hope to use the research to advise policy-makers on how to avoid blunders in future decision-making.
The present historiographic essay begins by tracing the foundations of operational code research in the late 1940s. Because some foreign policy leaders appear to adhere more strictly to an operational code than others, a major puzzle is how to determine the essential components of an operational code. Various efforts are contrasted, with a standardization of definitional parameters two decades later. Efforts to develop operational code methodology have developed over time with successes in quantification that are best validated by qualitative analysis. The codes of decision-makers are micro-codes compared to the partisan ideologies (meso-codes) that bring them to office and the political cultures (macro-codes) in which they operate in various countries around the world. What began as a cognitive psychological exercise became transformed into a form of social psychological analysis of decision-makers. A current view is that the upbringing of leaders shapes their goal seeking, whereas occupying the role as leader of a country in the context of world politics also shapes their operational codes. As a result, operational code research has become involved in the continuing quest to determine which major paradigm of social science best provides a coherent explanation for how leaders guide their decision-making.
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The Past, Present, and Future of China–Latin America Relations
Carol Wise
The theme of China’s relations with Latin America and the Caribbean (LAC) may be analyzed across three distinct phases. The first is 1949–1978, which entailed the efforts of the Chinese Communist Party (CCP) to reach out economically to LAC in its pursuit of raw material inputs; the CCP also made political gestures toward leftist parties in countries like Argentina, Brazil, Chile, and Mexico; and there was considerable sociocultural interaction between the two. The second phase spans 1979–2000, which encompasses the first 2 decades of economic opening and structural reform in China. The LAC scenario during this time was one of economic volatility as well as a transition to democracy in a majority of countries. Economically, LAC’s debt-riddled “lost decade” of the 1980s gave way to the Washington Consensus in 1990, based on policies of liberalization, privatization, and deregulation. Similar to China’s reform thrust, LAC policymakers sought to incorporate the market more assertively into their respective economies. A third phase began in the wake of China’s 2001 accession to the World Trade Organization (WTO). As China gained market access to the entire WTO membership, its demand exploded for those raw materials needed to ratchet-up the country’s export-led manufacturing strategy to produce more sophisticated and higher value-added products. Within this third phase, the main highlights of China–LAC relations in the 21st century included the following: positive economic shocks and aftershocks; China’s public diplomacy and foreign policy toward LAC; China–LAC “Strategic Partnerships;” and the so-called triangle with the United States. The article concludes with a final tally on LAC progress vis-à-vis closer economic integration with China since the turn of the new millennium.
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The Politics of Regional Integration in Africa
Paul-Henri Bischoff
On the African continent, a commitment to Pan-African unity and multilateral organization exists next to a postcolonial society whose 54 Westphalian states interpret the commitment to unity and integration to different degrees. The tension between a long-term Pan-African vision for a unified continent that prospers and is economically self-empowered, and the national concerns of governing state-centered elites with immediate domestic security and political and economic interests, lies at the heart of the politics surrounding African integration and affects both the continent and its regions. The politics of integration demand that a patchwork of regionalisms be consolidated; states give up on multiple memberships; and designated regional economic communities (RECs) take the lead on integration or subordinate themselves to the strategy and complement the institutions of the African Union (AU). In the interest of widening the social base of regional organization, politics needs to recognize and give status to informal regional actors engaged in bottom-up regionalism. Of issue in the politics of integration and regionalism are themes of norm adaptation, norm implementation, intergovernmentalism and supra-nationality, democracy, and authoritarianism.
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Public Diplomacy
Nancy Snow
Public diplomacy is a subfield of political science and international relations that involves study of the process and practice by which nation-states and other international actors engage global publics to serve their interests. It developed during the Cold War as an outgrowth of the rise of mass media and public opinion drivers in foreign policy management. The United States, in a bipolar ideological struggle with the Soviet Union, recognized that gaining public support for policy goals among foreign populations worked better at times through direct engagement than traditional, often closed-door, government-to-government contact. Public diplomacy is still not a defined academic field with an underlying theory, although its proximity to the originator of soft power, Joseph Nye, places it closer to the neoliberal school that emphasizes multilateral pluralistic approaches in international relations. The term is a normative replacement for the more pejorative-laden propaganda, centralizes the role of the civilian in international relations to elevate public engagement above the level of manipulation associated with government or corporate propaganda. Building mutual understanding among the actors involved is the value commonly associated with public diplomacy outcomes of an exchange or cultural nature, along with information activities that prioritize the foreign policy goals and national interests of a particular state. In the mid-20th century, public diplomacy’s emphasis was less scholarly and more practical—to influence foreign opinion in competition with nation-state rivals. In the post-Cold War period, the United States in particular pursued market democracy expansion in the newly industrializing countries of the East. Soft power, the negative and positive attraction that flows from an international actor’s culture and behavior, became the favored term associated with public diplomacy. After 9/11, messaging and making a case for one’s agenda to win the hearts and minds of a Muslim-majority public became predominant against the backdrop of a U.S.-led global war on terrorism and two active interventions in Afghanistan and Iraq. Public diplomacy was utilized in one-way communication campaigns such as the Shared Values Initiative of the U.S. Department of State, which backfired when its target-country audiences rejected the embedded messages as self-serving propaganda. In the 21st century, global civil society and its enemies are on the level of any diplomat or culture minister in matters of public diplomacy. Narrative competition in a digital and networked era is much deeper, broader, and adversarial while the mainstream news media, which formerly set how and what we think about, no longer holds dominance over national and international narratives. Interstate competition has shifted to competition from nonstate actors who use social media as a form of information and influence warfare in international relations. As disparate scholars and practitioners continue to acknowledge public diplomacy approaches, the research agenda will remain case-driven, corporate-centric (with the infusion of public relations), less theoretical, and more global than its Anglo-American roots.
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Reimagining Africa: A Continent in Transition and Its Implications for World Order
Clement Adibe
Africa has made significant progress at home and on the world stage that belies its image as the backwater of the global system. Far from being marginalized, African states have exercised their agency in the international system through an extensive mechanism of institutionalized diplomacy—anchored on the African Union (AU)—that they have forged over several decades of collective action. Changes are taking place in 21st-century Africa as a result of these collective efforts. Socioeconomic data from the African Development Bank, the United Nations Economic Commission for Africa, the United Nations, and the World Bank, indicate the economic, political, and demographic forces that are remaking Africa. Finally, the changes in Africa have implications for the evolving world order. Objective conditions warrant a reimagining of Africa as an agent in the international system, rather than as a passive victim of a predatory, anarchical order. Current challenges facing the post-war liberal international order make such reimagination imperative.
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Rogue State Behavior
Nikolaos Lampas
“Outcasts,” “pariah states,” “outlaw states,” “rogue states,” “terrorist sponsor states,” “states of concern,” “axis of evil”. … Throughout the history of the discipline of international relations, these terms have been used to describe a small group of states that have been marginalized by the international community due to their aggressive behavior. The concept of rogue states is by no means new. Historically, rogue entities included countries like Russia, during the Bolshevik era, and South Africa during the Cold War. Since the end of the Cold War, the international community has become much more concerned about the threat of rogue states. The reason for that relates to the combined effect of transnational terrorism and the proliferation of weapons of mass destruction.
In their simplest form, “rogue states” can be defined as aggressive states that seek to upset the balance of power of the international system either by acquiring weapons of mass destruction or by sponsoring international terrorism. However, this definition is problematic because the international community has consistently misapplied the criteria designating a rogue state and, in many cases, has effectively elevated the threat originating from these countries. Therefore, the existing literature has devoted significant attention to answering the following questions: How is a “rogue state” defined? How did the concept of “rogue states” evolve over time? How can the threat of “rogue states” be dealt with? The related literature focuses on a broad range of issues, from the objectivity of the designation to the efficacy of countermeasures against these states. It includes authors who write from realist, liberalist, critical, rationalist, culturalist, structuralist, and postcolonial perspectives, among others.
Perhaps the most important aspect of the concept of “rogue states” relates to the fact that the United States labeled them as one of the most important threats to the stability of the international system. For the United States, “rogue states” replaced the threat of the Soviet Union, as evidenced by the transformation of U.S. national security policy following the demise of its former rival. However, unlike the Soviet Union, in the perception of the United States, “rogue states” were undeterrable and difficult to bargain with. Moreover, the United States argued that “rogue states” held a fundamentally different vision of the international community. Countries like Iraq, Iran, North Korea, Syria, and Libya became the epicenter of the U.S. national security strategy. However, the United States continues to define “rogue states” based on their external characteristics, and this has contributed to the adoption of largely inconsistent policies that exacerbated their threat. Therefore, the contemporary use of the “rogue state” label is essentially an American creation, a way for the United States to reassess the post–Cold War security environment and structure its foreign and national security policies. Most of the international community has avoided adopting this narrative and the policies that it justified.
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Small States
Yee-Kuang Heng
Scholarship in international studies has usually tended to focus on the great powers. Yet, studying small state behavior can in fact reveal deep-seated structural changes in the international system and provide significant insights into the management of power asymmetries. Overcoming the methodological limitations of gigantism in scholarship and case study selection is another epistemological benefit. Rather than conventional assumptions of weaknesses and vulnerabilities, research on small states has moved in fascinating directions toward exploring the various strategies and power capabilities that small states must use to manage their relationships with great powers. This means, even in some cases, attempts to forcibly shape their external environments through military instruments not usually associated with the category of small states. Clearly, small states are not necessarily hapless or passive. Even in terms of power capabilities that often define their weaknesses, some small states have in fact adroitly deployed niche hard power military capabilities and soft power assets as part of their playbook. These small states have projected influence in ways that belie their size constraints. Shared philosophies and mutual learning processes tend to underpin small state strategies seeking to maximize whatever influence and power they have. These include forming coalitions, principled support for international institutions, and harnessing globalization to promote their development and security interests. As globalization has supercharged the rapid economic development of some small states, the vicissitudes that come with interdependence have also injected a new understanding of vulnerability beyond that of simply military conflict. To further complicate the security environment, strategic competition between the major powers inevitably impacts on small states. The return of conventional interstate war to Europe with Russia’s full-fledged invasion of Ukraine in 2022 serves up a stark reminder of small states’ perennial concerns that “might makes right” in international relations. How small states boost their “relevance” vis-à-vis the great powers has broader implications for questions that have animated the academy, such as power transitions and the Thucydides Trap in the international system. While exogenous systemic variables no doubt remain the focus of analysis, emerging research shows how endogenous variables such as elite perceptions, geostrategic locations, and availability of military and economic resources can play a key role in determining the choices small states make.
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The Coloniality of the Scientific Anthropocene
Vishwas Satgar
The discipline of International Relations is not at the cutting edge of dealing with planetary ecological problems such as the worsening climate crisis. The notion of the Anthropocene developed by earth scientists highlights the extent to which humans are a geological force shaping earth’s ecosystems. This official scientific discourse has gained traction in the United Nations climate negotiations process and is beginning to shape the knowledge project even in the academy. However, the discipline of International Relations has not engaged in any serious way with the Anthropocene discourse. Its claim that the Anthropos, the human as a species, and more generally 7.8 billion people on the planet are responsible causally for dangerous impacts such as climate change clashes with how the discipline of International Relations understands and seeks to explain global politics through its theoretical frameworks, relations, dynamics, and institutions. This claim warrants critical engagement from the International Relations discipline. However, mainstream International Relations epistemology reinforces coloniality in international relations such that an oppressive and relational hierarchy between the Global North and South is reproduced while being oblivious to how the ecological substratum of our lifeworld is being destroyed through replicating modes of living central to global modernity. Ecological relations are not part of mainstream International Relations thinking. Within mainstream International Relations, its hegemonic theories and frameworks are the problem. The conception of the international and international relations operating within the Anthropocene discourse also reproduces coloniality. Although the science it furnishes to understand the human–nature relationship is compelling and important, its human-centered explanation of how global power works is inadequate and reinforces the subordination of the Global South. To overcome these problems, a decolonized approach to the discipline of International Relations is crucial. At the same time, given the urgency of the climate crisis, countries in the Global South need to remake the world order and its future through decolonized International Relations. Several Southern decolonial thinkers are crucial for this task.
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Utilitarianism and International Ethics
Gerard Elfstrom
Utilitarianism is inextricably linked to international ethics. The roots of the principle of utility can be traced to the 18th and 19th centuries, when it was employed by thinkers such as David Hume. However, Jeremy Bentham first formulated utilitarianism in detail and carefully studied its implications. According to Bentham, happiness is a condition in which an individual enjoys more pleasure than pain. Because utilitarianism is focused on the welfare of the individual, state boundaries are of little consequence. Its reach is inherently global. There are different varieties of utilitarianism. What sets them apart from other ethical theories is their stipulation that whatever is of value should be maximized for all and whatever of disvalue should be minimized for all. For Bentham, pleasure is the ultimate value. Later, John Stuart Mill distinguished between higher and lower pleasures and argued that higher pleasures should be given greater weight. In the 20th century, authors such as R. M. Hare determined that maximal satisfaction of preferences is the value to be sought. The utilitarian emphasis on maximization of value and its choice of values have generated much criticism from those who espoused human rights theories, such as John Rawls and those influenced by his work. At present, the scholarly literature dealing with issues related to international ethics mostly comes from those who are committed to human rights theory or who are committed to equality of outcomes for human beings.
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200 Years of International Relations in Brazil: Issues, Theories, and Methods
Dawisson Belém Lopes, João Paulo Nicolini, and Thales Carvalho
The Brazilian field of international relations (IRs) has evolved over the course of two centuries. Since Brazil’s independence in 1822, international topics have deserved attention from local practitioners and scholars. The emergence of Brazilian standpoints about international affairs and of a Brazilian IR scholarship developed after the consolidation of similar fields in other Western countries. Multiple schools of thought held sway over local understandings, thereby leading to the formation of a different field as compared to characteristics of the Anglo-American mainstream. The institutionalization of the area has come about through the creation of scholarly departments and national government agencies. It all led to a unique combination of methods, theories, and issues being currently explored in the Brazilian branch of IR scholarship.
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