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The poverty of neorealism RichardK. Ashley
10. Karl Popper, "On the Theory of Objective Mind," and "Epistemology without a Knowing
Subject," in Objective Knowledge (London: Oxford University Press, 1972). As Morgenthau
says again and again, the application of every universalizing formulation "must be filtered
through the concrete circumstances of time and place." Hans J. Morgenthau, Politics among
Nations: The Struggle for Power and Peace, 5th ed. (New York: Knopf, 1978), p. 8.
1 1. See Kenneth N. Waltz, Theory of International Politics (Reading, Mass.: Addison-Wesley,
1979), pp. 62-64.
12. Robert Gilpin, "Political Change and International Theory" (Paper presented at the
annual meeting of the American Political Science Association, New York, 3-6 September 198 1),
p. 3.
232 InternationalOrganization
b. The structuralistpromise
As John Ruggie has been among the first to point out, the promise of
neorealism, like the promise of Immanuel Wallerstein'sworld systems per-
spective, is in very large measure attributableto its structuralistaspect.'6
16. John G. Ruggie, "Continuity and Transformation in the World Polity: Toward a Neorealist
Synthesis," World Politics 35 (January 1983), especially pp. 261-64.
234 InternationalOrganization
17. See Jonathan Culler, Structuralist Poetics (London: Routledge & Kegan Paul, 1975); Edith
Kurzweil, The Age of Structuralism (New York: Columbia University Press, 1980); Anthony
Giddens, Central Problems in Social Theory (Berkeley: University of California Press, 1979),
especially chap. 1; Paul Ricoeur, "Structure and Hermeneutics," and "Structure, Word, Event,"
in Conflict of Interpretations: Essays in Hermeneutics (Evanston, Ill.: Northwestern University
Press, 1974); and Miriam Glucksman, Structuralist Analysis in Contemporary Social Thought
(London: Routledge & Kegan Paul, 1974).
18. Giddens, Central Problems, p. 9.
19. Bourdieu, Outline, p. 3.
The poverty of neorealism 235
25. Robert Gilpin, War and Change in WorldPolitics (New York: CambridgeUniversity
Press, 1981); George Modelski, "The Long-Cycleof Global Politics and the Nation-State,"
ComparativeStudies in Society and History20 (April 1978), pp. 214-35.
The poverty of neorealism 237
is not all "on the surface,"that it has, or might have, depth levels, that an
adequate social or political analysis cannot be reduced to a concatenation
of commonsense appearances,and that one can look for a unity behind and
generatingevident differences.Herein is the neorealistpromise.
If neorealism is to bathe in the glow of structuralistaccomplishments,
however, it must also be preparedto suffercriticisms as to structuralism's
limits. Above all, such critiquesstress the troublingconsequencesof struc-
turalism'stendency to "put at a distance, to objectify,to separateout from
the personal equation of the investigatorthe structureof an institution, a
myth, a rite."26In trying to avoid "the shop-girl'sweb of subjectivity"or
"the swampsof experience,"to use Levi-Strauss'swords,structuralistsadopt
a posture that denies the role of practicein the making and possible trans-
formationof social order. In part, of course, such critiquesare animatedby
revulsionat structuralism's"scandalousanti-humanism."27 But in part,also,
they are animated by a concern for the disastrousconsequencesfor political
theory and the possibly dangerousconsequences for political practice. An
adequate critique of neorealism must develop these themes.
I am, however, a step or two ahead of myself. I have so far spoken only of
the neorealistlore, includingthe structuralistpromise neorealismoften pur-
ports to bear. I have tried to assay that promise by drawingout parallels
between neorealistargumentand the now classic positions of structuralism.
Still, such comparisonsare more than a triflemisleading.For there is at once
more and less to neorealism than might be inferredfrom its isomorphisms
with structuralistargument.There is more to neorealism in that it exhibits
three furthercommitments: statist, utilitarian,and positivist. There is less
to neorealism in that, thanks to the prioritygiven to these commitments,
neorealist "structuralism"takes a shallow, physicalisticform-a form that
exacerbatesthe dangerswhile negatingthe promise of structuralism.
Within neorealism, I suggest, structuralism,statism, utilitarianism,and
positivism are bound together in machine-like, self-enclosing unity. This
machine-likejoining of commitments appearsas if designedto defy criticism
or to drawall oppositioninto its own self-centeredarc. Hereinis neorealism's
answer to Althusser's "orrery"-an orreryof errors. Far from questioning
commonsenseappearances,the neorealistorreryhypostatizesthem. Far from
expandinginternationalpoliticaldiscourse,the neorealistorreryexcludes all
standpointsthat would expose the limits of the given orderof things. Before
26. Ricoeur,as quoted in Paul Rabinowand William M. Sullivan,eds., InterpretiveSocial
Science:A Reader(Berkeley:Universityof CaliforniaPress, 1979), pp. 10-1 1.
27. Giddens, Central Problems, p. 38.
238 InternationalOrganization
a. Statism
Neorealism is bound to the state. Neorealist theory is "state centric" or
"statist," as Krasnerhas labeled the position.28It offers a "state-as-actor"
model of the world. So long as one proposes to be understoodamong neo-
realists, one must work within this model. At a minimum, this means that
for purposesof theory,one must view the state as an entity capableof having
certainobjectivesor interestsand of decidingamongand deployingalternative
means in their service. Thus, for purposesof theory,the state must be treated
as an unproblematicunity:an entity whose existence,boundaries,identifying
structures, constituencies, legitimations, interests, and capacities to make
self-regardingdecisionscan be treatedas given, independentof transnational
class and human interests,and undisputed(except,perhaps,by other states).
In all of these respects, the state is regardedas the stuff of theorists' un-
examined assumptions-a matter upon which theorists will consensually
agree, and not as a problematicrelationwhose consensualacceptanceneeds
explanation.The propositionthat the state might be essentiallyproblematic
or contested is excluded from neorealisttheory. Indeed, neorealisttheory is
preparedto acknowledgeproblems of the state only to the extent that the
state itself, within the frameworkof its own legitimations,might be prepared
to recognizeproblems and mobilize resourcestoward their solution.
True, individual neorealists sometimes allow that the theoretical com-
mitment to the state-as-actorconstructinvolves a distortionof sorts. Waltz,
for instance,writesthat he "canfreelyadmit that statesarein fact not unitary,
purposive actors.""9Gilpin can acknowledgethat, "strictlyspeaking,states,
as such, have no interests, or what economists call 'utility functions,' nor
do bureaucracies,interest groups, or so-called transnationalactors, for that
matter." He can even go on to say that "the state may be conceived as a
coalition of coalitions whose objectives and interestsresult from the powers
and bargainingamong the several coalitions comprisingthe largersociety
and political elite."30And Keohane, as coauthor of Power and Interdepen-
dence, can certainly recognize that the conditions of "complex interdepen-
dence," includingthe fact of transnationaland transgovernmentalrelations,
fall well short of the "realist"assumption that states are "coherent units"
with sharp boundariesseparatingthem from their externalenvironments.3'
28. See Stephen D. Krasner, Defending the National Interest: Raw Materials Investments
and U.S. ForeignPolicy (Princeton:PrincetonUniversityPress, 1978).
29. Waltz, Theory of International Politics, p. 91.
30. Gilpin, War and Change, p. 18.
31. Robert 0. Keohane and Joseph S. Nye, Power and Interdependence: World Politics in
Transition(Boston:Little, Brown, 1977), especiallychap. 2.
The poverty of neorealism 239
portantly, this means that neorealist theory implicitly takes a side amidst
contending political interests. Whatever the personal commitments of in-
dividualneorealistsmightbe, neorealisttheoryallieswith, accordsrecognition
to, and gives expression to those class and sectoral interests (the apexes of
Waltz's domestic hierarchiesor Gilpin's victorious coalitions of coalitions)
that are actuallyor potentiallycongruentwith state interestsand legitimations.
It implicitlyopposes and denies recognitionto those class and humaninterests
which cannot be reducedto concatenationsof state interestsor transnational
coalitions of domestic interests.
The second implicationtakes longerto spell out, for it relatesto neorealist
"structuralism"-the neorealist position with respect to structuresof the
internationalsystem. Reflecting on the fourth element of structuralistar-
gument presented above, one might expect the neorealist to accord to the
structureof the internationalsystem an identity independentof the parts or
units (states-as-actorsin this case);the identitiesof the unitswouldbe supplied
via differentiation.The neorealistorrerydisappointsthese expectations,how-
ever. For the neorealist, the state is ontologically prior to the international
system. The system's structureis produced by definingstates as individual
unities and then by noting propertiesthat emerge when several such unities
are brought into mutual reference. For the neorealist, it is impossible to
describe internationalstructureswithout first fashioning a concept of the
state-as-actor.
The proper analogy, as Waltz points out, is classical economic theory-
microtheory,not macrotheory.As Waltz puts it, "International-political sys-
tems, like economic markets, are formed by the coaction of self-regarding
units." They "are individualistin origin, spontaneouslygenerated,and un-
intended."35Other neorealists would agree. Gilpin, for example, follows
economists Robert Mundell and Alexander Swoboda in defining a system
as "an aggregationof diverse entities united by regularinteractionaccording
to a form of control."36He then names states as "the principalentities or
actors," and he asserts that control over or governanceof the international
system is a function of three factors, all of which are understood to have
their logicaland historicalroots in the capabilities,interests,and interactions
of states: the distributionof power among states, the hierarchyof prestige
among states, and rightsand rulesthat have their "primaryfoundation... in
the powerand interestsof the dominantgroupsor statesin a social system."37
For Gilpin, as for other neorealists, the structureof internationalpolitics,
far from being an autonomous and absolute whole that expresses itself in
the constitution of acting units, is an emergent property produced by the
joining of units having a prior existence.
35. Waltz, Theoryof InternationalPolitics, p. 91.
36. Robert A. Mundelland AlexanderK. Swoboda, eds., MonetaryProblemsin the Inter-
national Economy (Chicago:University of Chicago Press, 1969), p. 343; Gilpin, War and
Change,p. 26.
37. Gilpin, Warand Change,p. 25.
The poverty of neorealism 241
of the system. For Waltz, "To say that a state is sovereign means that it
decides for itself how it will cope with its internaland external problems."
For Gilpin, "The state is sovereign in that it must answer to no higher
authorityin the internationalsphere."40Whetherit be one state in the lone
isolation of universal dominion or many interacting,the definition is the
same.
Ruggie'scritiqueof Waltz has a familiarring. His position vis-a-vis Waltz
is not unlike the critiqueof "utilitarianindividualism"in the work of Durk-
heim, upon whom Ruggie draws. "The clincherin Durkheim'sargument,"
writes John O'Neill, "is his demonstrationthat modern individualismso far
from creating industrial society presupposes its differentiationof the so-
ciopsychicspace which createsthe concepts of personalityand autonomy.""4
The clincherin Ruggie'sargumentis his attempt to show that the sovereign
state, so far from creatingmodern internationalsociety, presupposesinter-
national society's production of the sociopolitical space within which sov-
ereigntycould flourishas the modem conceptof internationalpoliticalidentity
and liberty.
b. Utilitarianism
The aptness of the analogy is no accident. For if neorealism'sfirst com-
mitment is to statism, its second commitment is to a utilitarianperspective
on action, social order, and institutionalchange. By utilitarianism,I do not
mean the moral philosophy often associated with Bentham and Mill-a
philosophy that holds, for example, that the proper measure of the moral
worth of acts and policies is to be found in the value of their consequences.
My usageof the termis broader,much morein the sociologicalsenseemployed
by Durkheim, Polanyi, Parsons, and, more recently, Brian Barry, Charles
Camic, and MichaelHechter.i2As these people have made clear,sociological
and utilitarianpositions stand sharply opposed. As Camic argues, modem
sociology emerged as the critiqueof utilitarianism.43 Still, the utilitarianpo-
sition has refused to die. Indeed, the utilitarianperspective-first outlined
by Hobbesand Mandeville,evolvingthroughthe classicalpoliticaleconomists,
and findingmore recentexpressionin the writingsof von Mises and Hayek-
has "been making steady inroads into the territorythat sociology had tra-
ditionally staked out as its own." Today it finds expression in the form of
microeconomictheoriesof politics,gametheory,exchangetheory,and rational
choice theory. Today, Hechtercan arguethat, "if currentsocial science can
boast anything remotely resembling a paradigm, then utilitarianismis its
leading candidate."44Neorealism shares in the "paradigm."
Broadlyconstrued, utilitarianismis characterizedby its individualistand
rationalistpremises. Its individualism stipulates the theoreticalprimacy of
individualactors ratherthan of social collectives. The individualactingunit
is taken to be essentiallyprivate. It exists priorto and independentof larger
social institutionsand is understoodas the autonomousgeneratorof its own
ends. Social realityis understoodas made up of many such individualactors,
inhabitinga world characterizedby scarcity-a world in which not all goals
can be equally realized and, hence, choices have to be made. Utilitarian
rationalismdefinesrationalityin means-endsor instrumentalterms:efficient
action in the service of establishedends whose value or truth is properlythe
province of the individual actor and cannot be held to account in public
terms. Economic rationalityis the archetype,the ideal form. What Weber
called "substantiverationality"or Habermascalled "practicalreason"(both
of which can pass judgment on ends as well as means) are excluded from
the utilitariannotion of rationality.Indeed, insofaras substantiverationality
and practicalreason presupposenormativestructurestranscendingand irre-
ducible to individual wants and needs, the utilitarianwould hold them to
be scientificallyindefensible metaphysicalnotions.
Upon these premises,utilitariansfound theirtheoriesof action, interaction,
order, and change. Utilitarian theories of action hold that actors behave
rationally,in the narrow instrumentalistsense. Actors strive to serve their
intrinsic(biologicallyor psychologicallyproduced)desiresor ends in the most
efficientmeans possible.Socialinteractionis interpretable,by directextension,
as instrumentalcoaction or exchange among individual actors, each party
regardedas an external object or instrument in the eyes of the rationally
acting other. Utilitarian theories also hold that, at base, social order is a
derivative relation. It derives entirely from equilibria (dynamic or static,
stable or unstable) in the instrumentalrelations and mutual expectations
among rational egoistic individuals. Social institutions are taken to be the
consequence of the regularizationof mutual expectations.As for its theory
of institutionalchange, utilitarianismproposes that changes occur sponta-
neously, as a consequence of relative changes in the competing demands
and capabilities of individual actors. Social order being a consequence of
instrumentalrelations among individual actors, changes in actors' interests
and means give rise to demands for change and, among other things, new
coalitions.
It is important to add that such modes of action, interaction,order, and
45. What are we to make of a structuralism,for example, that deploys both Adam Smith
and Emile Durkheim for its authoritieswithout once stopping to consider the contrarieties
between the two?
46. Imre Lakatos,"Falsificationand the Methodologyof ScientificResearchProgrammes,"
in Lakatosand Alan Musgrave,eds., Criticismand the Growthof Knowledge(London:Cambridge
University Press, 1970).
The poverty of neorealism 245
ity to pursue those ends. This means that the rationalactor in the utili-
tarian model will always be a free rider whenever given the
opportunity.Thus, accordingto utilitarianbehavioral premises, social
organizationis unlikely to arise even among those individualswho have
a strong personal interest in reapingthe benefits that such organization
provides.53
The thirdobjection,and no doubtthe most important,is Marx's.Anticipating
the broad outlines of both Parsons's and Olson's arguments, Marx went
beyond them to try to draw out what utilitariansmust presupposeif they
are to hold to their "contractarian"(i.e., instrumentalistor exchange-based)
understandingsof order in society. Marx arguedconvincinglythat the myth
of the contract, put into practice, depends upon a dominant class's ability
to externalizethe costs of keepingpromisesonto a class that lacksthe freedom
to contract;the Hobbesian "state of war" is thus held in check throughone-
sided power in a "class war."54Utilitarianorder thus presupposesclass re-
lations (and associated political, legal, and institutionalrelations),which its
consciousindividualistpremisesprohibitit from confronting,comprehending,
or explaining.
How do neorealistsdeal with these objections?The answer,quite simply,
is that they finesse them. In a bold stroke, neorealism embraces these ob-
jections as articles of faith. Turning problems of utilitariananalysis into
virtues,neorealismredefinesthe Hobbesianproblemof orderas an "ordering
principle"of internationalpolitics. Strugglesfor power among states become
the normal processof orderlychangeand succession.The free-riderproblem
among states becomes a global "sociological"legitimation for hegemonic
states, whose private interestsdefine the public "good" and whose prepon-
derant capabilitiessee to it that more "good"gets done. As for the Marxian
critique, it is accepted, albeit with a twist. It is accepted not as global class
analysis per se but in the idea that order among the great powers, the great
states, is ever dependent on the perpetuationof a hierarchyof domination
among great and small states. Inequality,Waltz says, has its virtues. Order
is among them.55
One has to have some grudgingadmirationfor theoristswho would make
such a move. They must have enormous courage,and not just because such
positions expose neorealiststo a lot of self-righteousmoralizing.Neorealists
must be courageousbecause their attempt to finesse objectionsto utilitarian
accounts of order involves a bluff of sorts. It counts on our failureto notice
that, at a certain moment in making their move, neorealistsare suspended
in thin idealist air.
That moment comes when, conceding objections to utilitarianaccounts,
53. Hechter, "Karl Polanyi's Social Theory," p. 403, note 6.
54. O'Neill, "The Hobbesian Problem."
55. Waltz, Theory of International Politics, pp. 131-32.
248 InternationalOrganization
c. Positivism
I am being unfair. To suggest, as I have, that neorealists play a trick of
sorts is to imply some kind of intentional duping of an innocent audience.
This is surely wrong. It is wrong because neorealistsare as much victims as
perpetrators.And it is wrong because, in truth, the bedazzled audience is
far from innocent. We alreadyshare complicity in the illusion. Neither neo-
realists nor we, the fawning audience, can imagine seeing the world in any
other way.
Why should this be so? Why, for example, is it so difficultto see that the
utilitarianperspectiveneorealistsembraceat the "internationallevel" under-
mines the state-as-actornotion upon which their whole theoreticaledifice,
includingthe distinction between levels, depends?The history of utilitarian
thought is, after all, largelythe story of philosophicaloppositionto the "per-
sonalist" concept of state required by neorealism's internationalpolitical
theory. In part, surely, this refusal to see is due to the blinding light of the
halo surroundingthe state in neorealistthought.But in part,too, this blindness
is due to the third commitment of the neorealist orrery.Neorealist theory
is theory of, by, and for positivists. It secures instantaneousrecognition,I
want to suggest, because it merely projectsonto the plane of explicit theory
certain metatheoreticalcommitments that have long been implicit in the
habits of positivist method. It tells us what, hidden in our method, we have
known all along.
The poverty of neorealism 249
56. I hold that all social science aspiring to theory has a positivist aspect in the sense given
below. This is true of Hegel, Marx, Lenin, Bourdieu, Foucault, Morgenthau, Alker, and me.
Following Bourdieu, even dialectical knowledge contains the objectivistic, the positivistic. As
I use the term here, however, a movement is "positivist" if it appears to be a one-dimensional
positivism. The issue is not the purging of positivism-the positivist moment is an inescapable
moment of all inquiry-but the realization of a more adequate "two-dimensional" or dialectical
perspective by bringing the positivist moment into unceasing critical tension with the practical
moment such that each side ever problematizes the other. Valuable readings on the subject of
positivism and its limits include Gerard Radnitzky, Contemporary Schools of Metascience, 3d
enl. ed. (Chicago: Regnery, 1973); Richard Bernstein, The Restructuring of Political and Social
Theory (New York: Harcourt Brace Jovanovich, 1976); the first chapter of Michael J. Shapiro,
Language and Political Understanding (New Haven: Yale University Press, 1981); Hayward
R. Alker Jr., "Logic, Dialectics, Politics: Some Recent Controversies," in Alker, ed., Dialectical
Logics for the Political Sciences, vol. 7 of the Poznan Studies in the Philosophy of the Sciences
and the Humanities (Amsterdam: Rodopi, 1982); and Theodore W. Adorno et al., The Positivism
Dispute in German Sociology, trans. by G. Adey and D. Frisby (New York: Harper Torchbooks,
1976).
In my present discussion, I am especially concerned with that strain, still predominant in
Anglo-American sociology, anchored in Weberian solutions to the problem of human subjectivity
and meaning in a naturalistic social science.
57. Giddens, CentralProblems,p. 257.
58. Foucault, The Order of Things.
250 InternationalOrganization
61. See Max Weber,From Max Weber.Essays in Sociology,ed. and trans.by H. Gerthand
C. Wright Mills (New York: Oxford University Press, 1972), pp. 44-45. See also Herbert
Marcuse,"Industrializationand Capitalismin the Workof Max Weber,"in Negations:Essays
in Critical Theory(Boston:Beacon Press, 1968);JiurgenHabermas,"Technologyand Science
as Ideology,"in Towardsa Rational Society;and Anthony Giddens,Politicsand Sociologyin
the Thoughtof Max Weber(London:Macmillan, 1972).
62. Giddens, Positivismand Sociology, p. 5.
63. Max Weber,"Roscherund Knies und das Irrationalitatsproblem," in Wissenschaftslehre
(Tilbingen:J. C. B. Mohr),pp. 127-37, and translatedas "Subjectivismand Determinism,"in
Giddens, Positivismand Sociology,pp. 23-31.
252 InternationalOrganization
the ease with which neorealistsare able to delude themselves as well as us,
their admiringaudience. Despite the contradictionbetween neorealists'util-
itarianconception of politics and their statist commitments, neorealistsare
able to perpetuatethe state-as-actorillusion in their conceptionof the inter-
national system. They are able to do so because,as positivists, we are meth-
odologicallypredisposedto look for preciselythe kindof model they "reveal."
Without an actor model, we somehow sense, we shall lack any scientific
point of entry into a meaningful understandingof the internationalsystem;
the systemwill appearto us, we worry,as a meaninglessswirlof "disembodied
forces." They are furtherable to do so because, as positivists, we join them
in excluding from the realm of proper scientific discourse precisely those
modes of criticism that would allow us to unmask the move for what it is.
At the very moment we begin to question this state-as-actorconception,we
are given to feel that we have stumbled beyond the legitimategrounds of
science, into the realm of personal ethics, values, loyalties, or ends. We are
given to feel that our complaints have no scientific standing. And so, as
scientists, we swallow our questions. We adopt the postureof Waltz's utter
detachment, Gilpin's fatalism, Krasner'swonderment, or Keohane's We-
berian resignationwith respect to the powers that be. We might not like it,
we say, but this is the world that is. As scientists, we think we cannot say
otherwise.
d. Structuralism
There is more to the story of neorealism'ssuccess than this, however. As
noted earlier,the decisive moment in neorealism'striumphwas its celebrated
structuralistturn. As also noted, this structuralistturn would appearto hold
out a promise for a deepening of internationalpolitical discourse. Now,
having examined the other three aspects of the neorealist orrery, we can
returnat last to neorealiststructuralismand consideronce againits attractions.
We can listen as it explodes the one-time limits of internationalpolitical
discourse. We can look to see how it penetratesbeneath commonsense ap-
pearancesof the given order. We can sift throughthe argumentsto find the
many ways in which this structuralismtranscendsthe confines of utilitar-
ianism, statism, and positivism-perhaps enrichingthem by disclosingtheir
deeper historicalsignificance.We can listen, look, and sift some more. And
what do we find? Disappointment,primarily.
The reason is now beginningto become clear:neorealistsslide all too easily
between two concepts of the whole, one structuralistin the sense described
earlierand one atomist and physicalist.The structuralistposits the possibility
of a structuralwhole-a deep social subjectivity-having an autonomous
existence independent of, prior to, and constitutive of the elements. From
a structuralistpoint of view, a structuralwhole cannotbe describedby starting
with the partsas abstract,alreadydefinedentities,takingnote of theirexternal
The poverty of neorealism 255
75. See especially Bourdieu, Outline, chap. 4, "Structure, Habitus, Power: Basis for a Theory
of Symbolic Power."
260 InternationalOrganization
78. Le Carre, The Little Drummer Girl (New York: Knopf, 1983).
262 InternationalOrganization
the motion of the whole. The limits of positivism obscure the errors of
statism in a state-as-actorconception of internationalorder, which reduces
systemic analysisto a physicaliststructuralism,which in turn propelsus into
the utilitarianworldof technicalreasonand necessity,whichbringsus around
to positivism once again. Around and around it spins, eroding and then
consuming the ground upon which opposition would stand. Around and
around it spins, until we lose sight of the fact that it is only motion. Like le
Carres secret world, this neorealistorreryhas no center at all.
A much earlier study of the emergence of statist tendencies offers some
clues as to how such a centerless swirl could become so powerful. In The
EighteenthBrumaireof Louis Bonaparte,KarlMarx set out to discoverhow
in Franceof 1848 through1852 it becamepossiblefor "agrotesquemediocrity
to play a hero's part."His conclusionwas that Bonaparte'swieldingof power
was occasioned by a crisis-bornbourgeoisreaction,but that it could not be
wholly accounted for by materialcircumstances.Nor could it be attributed
to the intrinsic qualities of Louis Bonaparte.In large measure, Bonaparte
attainedpower because he was able to securerecognitionamong the French,
and he was able to secure recognitionbecause, amidst crisis, he helped to
make "the ghost of the old revolution walk about again."
... The French, so long as they were engaged in revolution, could not
get rid of the memory of Napoleon, as the election of December 10,
1848, proved. From the perils of revolution their longingswent back to
the flesh-pots of Egypt, and December 2, 1851, was the answer. They
have not only a caricatureof the old Napoleon, they have the old Na-
poleon himself, caricaturedas he would inevitably appear in the middle
of the nineteenth century.79
One may venture a similarinterpretationto account for the extraordinary
power of the neorealistorrery.As in the ascent of Bonaparte,the emergence
of neorealism is no doubt partly to be explained as a reaction to crisis. In
particular,a reasonablycomplete interpretationof neorealismin its context
would want to considerthe currentfiscaland legitimationcrisis surrounding
the Americanstate in its role as system-managerand guardianof the capitalist
accumulationprocess. Such an interpretationmight comprehendneorealism
as a crisis-promptedredeployment,from domestic to internationalpolitics,
of the "economistic"ideologicallegitimationshitherto evidenced primarily
and increasinglywith respect to the state's domestic performance.This ac-
count would grasp neorealism as a contributionto "statist economism," a
historical successor to internationallaissez-faireeconomism.80
Another part of the explanation of neorealism's success looks beyond
79. Karl Marx, "The Eighteenth Brumaire of Louis Bonaparte," in Robert C. Tucker, ed.,
The Marx-Engels Reader (New York: Norton, 1972), pp. 438-39.
80. I develop this interpretation at greater length in Richard K. Ashley, "Three Modes of
Economism," International Studies Quarterly 27 (December 1983).
The poverty of neorealism 263
And then we spy an apparitionin the shadows, lodged deep in the recesses
of our rememberedexperience. When last we met these ghosts of classical
realism,we were introducedvia neorealists'terse interrogationsof theirheri-
tage. Neorealists asked the classical ghosts a few pointed questions: Is the
state the most important actor, yes or no? Is it not true that your central
concept is "national interest defined as power," yes or no? They elicited
testimony establishingneorealism'sstatus as classicalrealism'srightfulheir.
Then, as the ghostswerehurriedout of the probatecourtroom,the neorealist
interrogatorsexplainedto us why the interrogationhad to be so brief.Classical
realists had a few sound ideas worth remembering,it seems. But they "are
consideredto be traditionalists- scholarsturnedtowardhistoryandconcerned
82. Ibid.
The poverty of neorealism 265
more with policy than with theory and scientific methods."83Sadly, their
work knew nothing of economic relationsand fell short of modern scientific
standards. They would often fall prey to the "analytic fallacy," engage in
"circularreasoning,"get their explanations "inside-out,"or even "drift to
the 'subsystem dominant pole.' "84 Hard as it is to believe, many classical
realists did not even know, until helped along by neorealists,that the logic
of their "frameworkis identicalto that used in neo-classicaleconomic theory
where it is assumed that firms act to maximize profits."85Worse, many had
been heardto echo Hans Morgenthau'sinsistenceon realism's"emancipation
from other standardsof thought," including economics.86Why, some had
even "insist[ed]that theorists'categoriesbe consonant with actors' motives
and perceptions."87Under the circumstances, surely, the classical realist
legacy is honored most and embarrassedleast by retainingits scientifically
redeemable statements and turninga deaf ear to its fatuities. Let the tired
old ghosts rest in peace.
As we edge closer to the dark corner, however, the haze lifts, and the
visages of classical realism appear, far more clear-eyed than we had been
led to believe. As their words become audible,we note that there is a definite
coherence here, a coherence born of a sustained, disciplined, and richly
developed perspectiveon internationalpolitics. Some of the wordsdo indeed
resonate with things that we have heard neorealists say. Others, however,
do not. Eavesdroppingon this conversationof honoredghosts we learnmany
things that the neorealist keepers of the flame have somehow neglected to
bring to our attention. As we listen, it begins to become clear why.
83. Waltz, Theory of International Politics, p. 63. In the quoted words, Waltz refers specifically
to Morgenthau and Kissinger.
84. The quoted words are all Waltz's. He includes nonrealists as well as classical realists
among his targets.
85. Krasner, Defending the National Interest, p. 37.
86. Morgenthau, Politics among Nations, pp. 12-14.
87. Waltz, Theory of International Politics, p. 62. Waltz refers specifically to "Aron and other
traditionalists" in this connection.
88. See Richard K. Ashley, "Political Realism and Human Interests," International Studies
Quarterly 25 (June 1981).
266 InternationalOrganization
the way historywould have been and perhapsshouldhave been had it offered
recurringendorsement of this modern tradition of internationalpolitical
practice.Its problematicsare those that partiesto this tradition-competent
statesmen-are preparedto recognize as problematic,not as economic in-
dividualsand not as history-lessstates-as-actors,but as statesmenwho expect
that their understandingscan secure public recognitionwithin the overall
community of statesmen and againstthe backgroundof collectivelyremem-
bered experience.
What takes longer to see is that such an approachis above all systemic,
althoughnot of a form that neorealistphysicalismcan comprehend.In fact,
after a good deal of time watching and listening to neorealistcommentary
with an eye to elements of continuity, we begin to see that classical realist
scholarship already has a definite "structuralist" aspect. It is not the struc-
turalismof clockworkmetaphysics,to be sure. It is not a structuralism,like
Waltz's, anchored in an atomistic conception of global society. Instead, as
in competence models of social action, classical realism is enduringlycom-
mitted to a simple generative scheme, a practical cognitive structurethat
orients its discourseand in referenceto which all politicalpracticeis under-
stood. Before I introduce this scheme, a few general notes on its qualities
and its status in classical realist argumentare in order.
This scheme, it must be said, is a practicalscheme. At once subjective
and objective, necessary and contingent, the scheme exists as a preliteral
relation,almost a posturalrelation,which can be graspedonly in the objective
coherence of the actions it generates, in its uniting of otherwise seemingly
disparatepractices.It is not producedas a scientificpostulatein some sense
external to practice. Rather, it is learned, much as Thomas Kuhn would
insist a scientific paradigmis learned, through the practicaltransferenceof
quasiposturalrelations.89It can be grasped only by reliving, via ritual and
practice,the conflicts, rites of passage,and crises that bringthe scheme itself
strategicallyinto play, sometimesartfullyand sometimesineptly.Accordingly,
the meaning of the scheme is in its practicalstate, and the scheme is mis-
understood at the very moment that it is objectifiedor "captured"within
some conceptual system, formal logic, or set of rules externalto practice.90
89. See Kuhn'sconcludingcontributionto Lakatosand Musgrave,Criticismand the Growth.
All social scientistswho work with graduatestudentsin their researchprogramsare "familiar"
with such schemes. The generative scheme of a researchprogramis what our "brightest"
students-the ones who arereallycompetent-seem to graspthrougha kindof "fuzzyabstraction"
from our own researchpractices.It is what allows them to do, with minimaldirection,the kind
of independentresearchwe instantly recognizeas exactly the kind of work we would have
wanted to do but, for some reason, never thought to do. The generativescheme is also that
which our "second-rate"graduatestudentsnever quite graspwhen, in tryingto learnfrom our
own practices,they embarrassus by mimickingour practicestoo exactly under inappropriate
circumstancesor by followingour instructionstoo much by rote. It is that which we spend
hours tryingpatientlyto explainto graduatestudentsbut which, we know, always loses its life
once it is translatedinto a rule.
90. See Bourdieu'schapter,"GenerativeSchemesandPracticalLogic:InventionwithinLimits,"
in Outline.
The poverty of neorealism 267
For the classical realist, however, this generative scheme is no less real
because it resists capture within a frozen category. On the contrary, this
scheme is graspedas the self-replicating"geneticcode of politicallife." Em-
bodied in all aspectsof internationalpolitics,from the sovereignstate through
the internationalsystem, this scheme is the principle"which allows [us] to
distinguishthe field of politics from other social spheres,to orient [ourselves]
in the maze of empiricalphenomenawhichmakeup that field,and to establish
a measure of rational order within it."9' For the classical realist, it is the
graspingof this scheme and the conditions of its successfulapplicationthat
makes competent political practicepossible. It is the indispensableelement
of internationalpolitical savoirfaire.
In moderninternationalsociety,the communityboundedby the consensual
recognition of this scheme defines the modern tradition of statesmanship
for the classical realist. Within this tradition, statesmanshipis not, as ob-
jectivism would have it, the "execution of a rule," or acting in accordance
with some externalobjectivenecessities,or mechanicalobedienceto a timeless
model for which all processes are reversible and time and tempo are no
matter.92 Nor is it reducible, as in neorealism, to rational choice, under
constraints, on the part of an actor whose status as such is pregiven and
unquestioned.Rather, statesmanshiprefersto practice, playing off the gen-
erative scheme in ways rangingfrom the awkwardand uninventive to the
artfuland creative-and alwayswith an eye to the problematicreproduction
of the state itself. On the one hand, it allows for the possibility of slips,
mistakes, and clumsy moments on the part of the maladroit.On the other
hand, it involves virtuoso improvisationsreflectinga perfect command of
the "artof living"and playingon "allthe resourcesinherentin the ambiguities
and uncertaintiesof behavior and situation in order to produce the actions
appropriateto each case, to do that of which people will say, 'There was
nothing else to be done.' "'9
What, then, is this scheme? One possible way of answeringis to refer to
"power,""interestdefined as power,"or, better, "balanceof power." I shall
refer to it as a balance-of-powerscheme.94All such labels are troubling,
however. They conceptualizethat which functionsto dispensewith concepts.
They invite a kind of fetishism among too-literalinterpreters,an ahistorical
reductionof the scheme to the manifest conditions and relationsthe labels
immediatelyconnote. For the communicationof the classicalrealisttradition
this has been a difficultproblem.
91. HansJ. Morgenthau,"TheCommitmentof PoliticalScience,"in his Dilemmasof Politics
(Chicago:Universityof ChicagoPress, 1958), p. 39.
92. Bourdieu,Outline,p. 24.
93. Ibid., p. 8.
94. 1will not defendthis choice of labelsat this point;my reasoningwill soon becomeevident.
RecallingErnstHaas's important1953 paper,"The Balanceof Power:Prescription,Concept,
or Propaganda?"WorldPolitics 5, 4, it may be an interestingexerciseto explore whetherthe
balance-of-powerscheme discussedhere could (undervariouscircumstances)generateall eight
of the meaningsHaas abstractedfrom the relevantliteratures.
268 InternationalOrganization
99. See W. B. Gallie, "Essentially Contested Concepts," Proceedings of the Aristotelian Society
56 (1955-56); StuartHampshire,ThoughtandAction(New York:Viking,1959);StephenLukes,
Power.A Radical View(London:Macmillan, 1974); K. I. Macdonald,"Is 'Power'Essentially
Contested?"BritishJournalof PoliticalScience6 (November 1976),pp. 380-82; Lukes,"Reply
to K. I. Macdonald,"ibid. 7 (1977), pp. 418-19; John Gray, "On the Contestabilityof Social
and PoliticalConcepts,"ibid.(August1977);and Shapiro,Languageand PoliticalUnderstanding.
272 InternationalOrganization
107. See Richard K. Ashley, The Political Economy of War and Peace: The Sino-Soviet-
American Triangleand the ModernSecurityProblematique(London:FrancesPinter, 1980),
pp. 38 and 279-86.
108. Hedley Bull, "MartinWight and the Theory of InternationalRelations:The Second
MartinWightMemorialLecture,"BritishJournalof InternationalStudies2 (1976), pp. 101-16.
The poverty of neorealism 277
109. Bourdieu,Outline,chap. 4.
110. A number of tendenciesare relevant in this connection. Most can be associatedwith
late capitalistdevelopment:"post-industrial"formsof state legitimationaccordingto whichthe
state legitimatesitself, not on traditionalgrounds,but increasinglyas an economic dysfunction
manager;the fiscal crises of modem states strugglingto justify themselves in these terms;the
internationalization of capitaland the emergenceof newly industrializedcountries,resultingin
a malalignmentof worldindustrialcapacitywith political-coercive meansand traditionalsymbols
of politicalpower;the globalizationof the world polity such that hegemonic"responsibility"is
ostensibly universal,with no "externalareas" remainingfor the externalizationof costs; the
contradictionsexposed through encountering"limits to growth";the emergenceof socialist
movements aimingto institutionalizethe public politicaldeterminationof productionand ex-
change but which are also under pressureto rationalizetheir politics;the Cold War, which
institutionalizesthe totalizationof politicalcompetition;and nuclearweapons, which institu-
tionalizethe possibilityof totalizedwarfare.
278 InternationalOrganization
11 1. Ashley, Political Economy of War and Peace, pp. 294-98; Hayward R. Alker Jr., "Can
the End of Power Politics Possibly Be Part of the Concepts with Which Its Story Is Told?" in
Alker's "Essential Contradictions, Hidden Unities" (in progress).
1 12. See Hayward R. Alker Jr., "Dialectical Foundations of Global Disparities," International
Studies Quarterly 25 (March 1981).
1 3. As might be inferred from this description, the capitalist power-balancing order addressed
in this dialectical competence model is not understood to exhaust the totality of international
political reality worthy of theoretical examination. On the contrary, while it is arguably the
dominant mode of order, it is but one point of entry into the theoretical analysis of an international
reality that consists of the dialectical interplay and interpenetration of multiple world orders.
The poverty of neorealism 279
A quarter-centuryago:
... [T]he contemporary political scene is characterized by the inter-
action between the political and economic spheres....
Yet what political science needs above all changes in the curricu-
lum-even though it needs them too-is the restorationof the intellec-
tual and moral commitment to the truth about matters political for its
own sake. That restorationbecomes the more urgentin the measure in
which the general social and particularacademic environment tends to
discourageit....
And thirty-six years ago:
The very appearanceof fascism not only in Germany and Italy but
in our very midst ought to have convinced us that the age of reason, of
progress,and of peace, as we understood it from the teachingsof the
eighteenth and nineteenth centuries, had become a reminiscenceof the
past. Fascism is not, as we preferto believe, a mere temporaryre-
trogressioninto irrationality,an atavistic revival of autocraticand bar-
baric rule. In its mastery of the technologicalattainmentsand
potentialitiesof the age, it is truly progressive-were not the propa-
ganda machine of Goebbels and the gas chambersof Himmler models
of technical rationality?-and in its denial of the ethics of Westerncivi-
lization it reaps the harvest of a philosophy which clings to the tenets
of Western civilization without understandingits foundations. In a
sense it is, like all real revolutions, but the receiver of the bankruptage
that preceded it."5
Other famous lines could be recalled, includingthe contrastatisttheme in-
troduced as part of Morgenthau'ssix-point manifesto of political realism:
"While the realist indeed believes that interest is the perennialstandardby
which political action must be judged and directed, the contemporarycon-
nection between interest and the nation state is a productof history, and is
thereforebound to disappearin the course of history."'16
Now it is abundantlyclearwhy neorealistinterrogatorshave been so abrupt
in theirquestioningof the classicaltradition.These extensive remarkssuggest
that classicalrealists,given a chance to speak, would be among neorealism's
sternestcritics. As Morgenthaustressedon many occasions, utilitarian,pos-
itivistic,and rationalistcommitments-commitments presentin neorealism-
tend to pitch social science on an unhistoricand apolitical attitude toward
politics, an attitude too often dangerouslyallied with the state. Such com-
mitments threatento producea form of pseudo-politicalunderstandingthat
falselyreducesthe inherentlydialecticalcharacterof politicsto the monothetic
orientation of economic reason, an orientation in which all perspectives,
115. Morgenthau, "Common Sense and Theories," in Truthand Power, p. 244; "The Intellectual
and Political Functions of Theory," p. 248; "The Commitments of Political Science," p. 48;
Scientific Man versus Power Politics (Chicago: University of Chicago Press, 1946), pp. 6-7.
1 16. Morgenthau, Politics among Nations, p. 10.
The poverty of neorealism 281
even the measure of power and its changes, are thought to be ultimately
collapsible into a singular, internally consistent scale of universally inter-
convertible values. Such commitments permit no real sense of political di-
lemmas, no real appreciationof the autonomy of the political sphere. They
tend toward a one-sided rationalism,a view tragicallyflawed for its lack of
a sense of the tragic, a half-truththat must ultimately be transformedinto
the opposite of itself and must produce its own ruin in the vain search for
a universaldomain. These commitments are not just politicallynaive. They
are positively dangerous.
I do not mean to glorify classical realism. It is, as I have said, a tragic
tradition. It is a tradition whose silences, omissions, and failures of self-
critical nerve join it in secret complicity with an order of domination that
reproducesthe expectationof inequalityas a motivatingforce,and insecurity
as an integratingprinciple.As the "organicintellectuality"of the worldwide
public sphere of bourgeois society, classical realism honors the silences of
the traditionit interpretsand participatesin exemptingthe "privatesphere"
from public responsibility.It thus disallows global public responsibilityfor
"economic forces" that will periodically disrupt and fragment the global
public sphere. Herein, I think, are the seeds of realismas a traditionforever
immersed in the expectationof politicaltragedy,an expectationthat realists
can explain only euphemistically,in terms of the antinomies of fallen man.
My aim, rather,is to underlinethe fact that neorealism is not worthy of
its name. Neorealismscoffsat classicalrealism'swarningsand sense of limits,
misstates its interests, deadens its ironies, empties its concepts, caricatures
its rich insights, reduces practice to an endless serial performanceof con-
strained economic choices on the part of one-dimensional characters,and
casts the whole of it up beforea flat historicalbackdropdevoid of perspective,
contradiction,and life. Once again,the memory of TheEighteenthBrumaire
comes to mind: "Hegel remarkssomewhere that all great, world-historical
facts and personagesoccur, as it were, twice. He forgotto add: the firsttime
as tragedy,the second as farce.""7
5. A concludingself-critique
Terence Hopkins indicate an important effort toward the development of dialectical perspectives
within neo-Marxist world systems analysis. See Hopkins, "World Systems Analysis: Method-
ological Issues," in Barbara Kaplan, ed., Social Change in the Capitalist World Economy (Beverly
Hills, Calif.: Sage, 1978); and Hopkins and Immanuel Wallerstein, "Cyclical Rhythms and
Secular Trends of the Capitalist World Economy," Review 2, 4 (1979). Johan Galtung's The
True Worlds as well as his most recent methods text, Methodology and Ideology, outline and
richly illustrate a dialectical approach.
120. The mention of Wallerstein reminds me to amend my earlier remarks on the commitment
to "actor models" implicit in Weberian solutions to the problem of subjectivity and meaning.
There is a partial exception to the claim that social scientists rooted in this tradition will generally
reject as "meaningless" social analyses which do not come to rest in an "actor model." That
exception is social analyses which come to rest in "the market"; I term it a "partial" exception
because market and exchange relations are generally taken to be individualist in origin within
bourgeois ideology, and hence all analyses in terms of market relations can themselves be
thought ultimately to come to rest in an actor model. Despite his radical intentions, Wallerstein's
analysis seems now stuck in this box. His model of the capitalist world system seems to amalgamate
a market-based model of production and exchange relations (one which refuses to close its eyes
to the reproductive hierarchy of the global division of labor) with an actor model of state practice,
a joining that has some sorry consequences. Wallerstein is left to oscillate between-without
ever transcending-the poles of market force and state purpose. Worse, when called upon to
account for creative moments in the system's evolution (moments that cannot be reduced to
market "dynamics" within the center-periphery hierarchy) he is left only two avenues: either
(a) that instrumentalist form of economism according to which the state conspires with (or is
totally enslaved to) a dominant power bloc or segments of capital who themselves are close to
omniscient, or (b) that idealist form of statism which credits the state with an all-seeing awareness
of its situation in history, and the will and ability to change the system while perpetuating its
essential structures. As this suggests, Wallersteinians offer us the choice between economistic
accounts and what turn out to be, on close inspection, neorealist accounts (which, we have
seen, are themselves economistic in an important sense). I do not think, by the way, that this
trap is escapable via a Parsonian move in the treatment of the states system, such as the one
promoted by John Meyer. It seems to me that escaping this trap will require reexamining the
position that locks Wallerstein into it, namely, the Weberian position on subjectivity and meaning
284 InternationalOrganization
in social reality. Having said that, let me distance myself from a fashion current among neorealists:
the ritual slaying of Immanuel Wallerstein (usually coupled with the celebration of the totemic
figure of Otto Hintze). I want to state plainly my own intellectual debt to Wallerstein's pioneering
work: like many American international relations theorists trained in the 1970s, I owe much
to Wallerstein, not just for his theory but for the exemplary boldness of his enterprise, and his
willingness (so threatening to neorealism) to punch holes in the convention-made walls of our
minds.
On Wallerstein's error of anchoring his analysis in market-based explanations, see Robert
Brenner, "The Origins of Capitalist Development: A Critique of Neo-Smithian Marxism," New
Left Review no. 104 (1977). See also John W. Meyer, "The World Polity and the Authority of
the Nation-State," in Albert Bergesen, ed., Studies of the Modern World-System (New York:
Academic Press, 1980); John Boli-Bennett, "The Ideology of Expanding State Authority in
National Constitutions, 1870-1970," in Meyer and Michael T. Hannan, eds., National Devel-
opmentand the WorldSystem:Educational,Economic,and PoliticalChange,1950-1970 (Chi-
cago: University of Chicago Press, 1979).
121. This treatment of the opposition between heterodoxy and orthodoxy in the context of
crisis is due to Bourdieu, Outline, pp. 159-71.
122. Ibid., p. 165.
123. Ibid., p. 169.
The poverty of neorealism 285
124. Jean-Paul Sartre, L idiot de la famille (Paris: Gallimard, 1971), 1: 783, and quoted in
Bourdieu,Outline,p. 170.
286 InternationalOrganization
come to us not as ideas that pry open beloved concepts and make room for
new scientificadventuresbut as case-hardenedconceptualdevicesthat enclose
the senses in an all-encompassingfinality.I imaginethat othershave recoiled
at the feeling, upon encounteringthese neorealistdepictions, that one is an
innocent fallen victim of a vast and diabolicalmachine, a perpetualmotion
machine that bends every attempt to escape it into a reaffirmationof itself.
And I would guess that others have been troubled by the eerie sense of
completeness about neorealisttheory, as if there is no more of consequence
to be said, save a defense of the edifice here, a demonstrationof its efficacy
there. If I am right, and I hope I am, then most internationalrelations
scholars have long sensed what I have tried to put into words.
Let us then play havoc with neorealistconcepts and claims. Let us neither
admire nor ignore the orreryof errors,but let us instead fracturethe orbs,
crackthem open, shake them, and see what possibilitiesthey have enclosed.
And then, when we are done, let us not cast away the residue.Let us instead
sweep it into a jar, shine up the glass, and place it high on the bookshelf
with other specimens of past mistakes.