Published online by Cambridge University Press: 22 May 2009
Realist or liberal explanations for the end of the cold war cannot account for the specific content of the change in Soviet foreign policy or for Western responses to it. These theories need to be complemented by approaches that emphasize the interaction between international and domestic factors and that take seriously the proposition that ideas intervene between structural conditions and actors' interests. Some of the strategic prescriptions that informed the reconceptualization of Soviet security interests originated in the Western liberal internationalist community, which formed transnational networks with “new thinkers” in the former Soviet Union. These new ideas became causally consequential for the turnaround in Soviet foreign policy and also had an impact on American and German reactions to it. Even though transnational networks were active in Germany, the Soviet Union, and the United States, their success varied. Domestic structures like the nature of political institutions, state-society relations, and political culture determine the ability of transnational networks first, to gain access to a country's political system and second, to build “winning coalitions.” These differences in domestic structures can largely explain the variation in impact of the strategic prescriptions among the three countries.
1. This article is part of a growing body of literature on the role of ideas in foreign policy. With regard to the former Soviet Union, see in particular Breslauer, George and Tetlock, Philip, eds., Learning in U.S. and Soviet Foreign Policy (Boulder, Colo.: Westview, 1991)Google Scholar; Checkel, Jeff, “Ideas, Institutions, and the Gorbachev Foreign Policy Revolution,” World Politics 45 (01 1993), pp. 271–300Google Scholar; Evangelista, Matthew, “Sources of Moderation in Soviet Security Policy,” in Tetlock, Philip and Jervis, Robert, eds., Behavior, Society and Nuclear War, vol. 2 (New York: Oxford University Press, 1991)Google Scholar; Matthew Evangelista, Taming the Bear: Transnational Relations and the Demise of the Soviet Threat, forthcoming; Herman, Robert, “Soviet New Thinking: Ideas, Interests, and the Redefinition of Security,” Ph.D. diss., Cornell University, Ithaca, N.Y., in preparationGoogle Scholar; Mendelson, Sarah E., “Internal Battles and External Wars: Politics, Learning, and the Soviet Withdrawal from Afghanistan,” World Politics 45 (04 1993), pp. 327–60CrossRefGoogle Scholar; Rey Koslowski and Friedrich V. Kratochwil, “Understanding Change in International Politics: The Soviet Empire's Demise and the International System,” and Janice G. Stein, “Political Learning by Doing: Gorbachev as Uncommitted Thinker and Motivated Learner,” both in this issue of International Organization; and Richard N. Lebow, “Why Do Leaders Seek Accommodation with Adversaries,” in Richard N. Lebow and Thomas Risse-Kappen, eds., International Relations Theory and the End of the Cold War, forthcoming. On ideas and foreign policy in general, see Adler, Emanuel, The Power of Ideology: The Quest of Technological Autonomy in Argentina and Brazil (Berkeley: University of California Press, 1987)Google Scholar; Goldstein, Judith, “Ideas, Institutions, and American Trade Policy,” International Organization 42 (Winter 1988), pp. 179–217CrossRefGoogle Scholar; Goldstein, Judith and Keohane, Robert, eds., Ideas and Foreign Policy (Ithaca, N.Y.: Cornell University Press, 1993)Google Scholar; Haas, Ernst, When Knowledge Is Power (Berkeley: University of California Press, 1990)Google Scholar; Haas, Peter, ed., Knowledge, Power, and International Policy Coordination, special issue, International Organization 46 (Winter 1992)Google Scholar; Odell, John, U.S. International Monetary Policy: Markets, Power, and Ideas as Sources of Change (Princeton, N.J.: Princeton University Press, 1982)CrossRefGoogle Scholar; and Sikkink, Kathryn, Ideas and Institutions: Developmentalism in Brazil and Argentina (Ithaca, N.Y.: Cornell University Press, 1991)Google Scholar.
2. I use the term “common security” (in Russian, vseobshaia bezopasnost') throughout the article, even though Soviet/Russian and American authors frequently speak of “mutual security” (vzaimnaia bezopasnost') or “equal security” (bezopasnost' dlia vsekh). I do this for two reasons. First, each term refers to the same concept. Second, common security is the generic term for the concept as it was originally used in the German security debate (gemeinsame Sicherheit) and later in the Palme commission's report. See Independent Commission on Disarmament and Security Issues, Common Security: A Blueprint for Survival (New York: Simon and Schuster, 1982)Google Scholar. On the various Russian terms, see Arbatov, Georgii, Zatianuvsheesia vysdorovlenie (1953–1988 gg.), Svidetel'stvo sovremennika (Moscow: Mezhdunarodnye otnosheniia, 1991), pp. 240–41Google Scholar (This appeared in English as: The System: An Insider's Life in Soviet Politics [New York: Random House, 1992].)Google Scholar. I thank Matt Evangelista for clarifying the Russian terms for me and for alerting me to Arbatov's book.
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11. I am referring to West German enthusiasm for Gorbachev in 1987 and 1988, that is, two years before the Soviet leadership consented to German reunification.
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20. See Michael Doyle, “Liberalism and the End of the Cold War,” in Lebow and Risse-Kappen, International Relations Theory and the End of the Cold War; Doyle, Michael, “Liberalism and World Politics,” American Political Science Review 80 (12 1986), pp. 1151–69CrossRefGoogle Scholar; and Russett, Grasping the Democratic Peace.
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23. See Evangelista, “Sources of Moderation in Soviet Security Policy”; Mendelson, “Internal Battles and External Wars”; Lebow, “Why Do Leaders Seek Accommodation With Adversaries?”; and Stein, “Political Learning by Doing.” See also Robert Legvold, “Soviet Learning in the 1980s,” in Breslauer and Tetlock, Learning in U.S. and Soviet Foreign Policy; and Snyder, Jack, “The Gorbachev Revolution: A Waning of Soviet Expansionism,” International Security 12 (Winter 1987–1988), pp. 93–131CrossRefGoogle Scholar.
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32. On the term “strategic prescription,” see Checkel, , “Ideas, Institutions, and the Gorbachev Foreign Policy Revolution,” p. 281Google Scholar. Strategic prescriptions contain both values (such as peace and security) and assumptions about causal relationships between ends and means. Thus, they do not fall neatly in one of the two categories of principled or causal beliefs identified by Goldstein and Keohane.
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59. Frank, and Gillette, , Soviet Military Doctrine from Lenin to Gorbachev, p. 397Google Scholar.
60. Other examples include arms control proposals on test ban negotiations and the ABM treaty (as indicated by Evangelista, “Transnational Relations, Domestic Structures, and Security Policy in the U.S.S.R. and Russia”) and ideas about the “common European home” and the Conference for Security and Cooperation in Europe. See Gorbachev, , Perestroika, pp. 194–98Google Scholar. I thank one of the anonymous reviewers for alerting me to this.
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62. What follows is rather sketchy. However, there are enough empirical analyses available to support the argument. For example, see the literature quoted above in footnote 36. See also Kubbig, Bernd W., Die militärische Eroberung des Weltraums (The military conquering of space), vol. 1 (Frankfurt M.: Campus, 1990)Google Scholar. The best narratives of arms control under the Reagan and Bush administrations are Talbott, Strobe, Deadly Gambits (New York: Knopf, 1984)Google Scholar; Talbott, Strobe, The Master of the Game (New York: Knopf, 1988)Google Scholar; and Talbott, Strobe and Beschloss, Michael, At the Highest Levels (Boston: Little, Brown, 1993)Google Scholar. See also Shultz's, George memoirs, Turmoil and Triumph (New York: Charles Scribner's Sons, 1993)Google Scholar.
63. The best analysis of the freeze campaign is Meyer, A Winter of Discontent.
64. See Kubbig, Militärische Eroberung des Weltraums; and Garthoff, Raymond, Policy Versus the Law: The Reinterpretation of the ABM Treaty (Washington, D.C.: Brookings Institution, 1987)Google Scholar.
65. For details on this case see Flournoy, Michèle, “The NRDC/SAS Test Ban Verification Project: A Controversial Excursion in Private Diplomacy,” manuscript, Washington, D.C., 1989Google Scholar; and Schrag, Listening for the Bomb. For a discussion of the Soviet involvement in these activities see Evangelista, “Transnational Relations, Domestic Structures, and Security Policy in the U.S.S.R. and Russia.”
66. The cautious and reactive U.S. approach to the revolutionary changes in the Soviet Union and Eastern Europe is well-documented in Beschloss and Talbott, At the Highest Levels.
67. This discussion builds on my earlier work, in particular Die Krise der Sicherheitspolitik. See also Boutwell, The German Nuclear Dilemma; and Blechman, Barry and Fisher, Cathleen, The Silent Partner: West Germany and Arms Control (Cambridge, Mass.: Ballinger, 1988)Google Scholar. On the evolution of European public opinion on security policy see Eichenberg, Richard, Public Opinion and National Security in Western Europe (Ithaca, N.Y.: Cornell University Press, 1989)CrossRefGoogle Scholar.
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69. Details about this support can be found in Risse-Kappen, , Die Krise der Sicherheitspolitik, pp. 43–89Google Scholar.
70. See Risse-Kappen, Thomas, The Zero Option: INF, West Germany, and Arms Control (Boulder, Colo.: Westview, 1988)Google Scholar; and Talbott, Deadly Gambits.
71. See, for example, Katzenstein, Peter, ed., Between Power and Plenty (Madison: University of Wisconsin Press, 1978)Google Scholar; Katzenstein, Peter, Small States in World Markets (Ithaca, N.Y.: Cornell University Press, 1984)Google Scholar; Gourevitch, Peter, Politics in Hard Times (Ithaca, N.Y.: Cornell University Press, 1986)Google Scholar; Ikenberry, G. John, Reasons of State: Oil Politics and the Capacities of the American Government (Ithaca, N.Y.: Cornell University Press, 1988)Google Scholar; and Ikenberry, G. John, Lake, David, and Mastanduno, Michael, eds., The State and American Foreign Economic Policy (Ithaca, N.Y.: Cornell University Press, 1988)Google Scholar. For examples of attempts to apply the approach to other issue-areas, see Barnett, Michael, “High Politics is Low Politics: The Domestic and Systemic Sources of Israeli Security Policy, 1967–1977,” World Politics 42 (07 1990), pp. 529–62CrossRefGoogle Scholar; Evangelista, Matthew, Innovation and the Arms Race (Ithaca, N.Y.: Cornell University Press, 1988)Google Scholar; Matthew Evangelista, “Domestic Structures and International Change,” in Michael Doyle and G. John Ikenberry, eds., New Thinking in International Relations Theory, forthcoming; and Risse-Kappen, Thomas, “Public Opinion, Domestic Structure, and Foreign Policy in Liberal Democracies,” World Politics 43 (07 1991), pp. 479–512CrossRefGoogle Scholar. For the following see also my “Introduction,” in Risse-Kappen, Bringing Transnational Relations Back In.
72. See, for example, March, James G. and Olsen, Johan P., Rediscovering Institutions: The Organizational Basis of Politics (New York: Free Press, 1989)Google Scholar; Ikenberry, G. John, “Conclusion: An Institutional Approach to American Foreign Economic Policy,” in Ikenberry, G. John et al. , State and American Foreign Economic Policy, pp. 219–43Google Scholar; and Kratochwil, Friedrich, Rules, Norms, and Decisions (Cambridge: Cambridge University Press, 1989)CrossRefGoogle Scholar. For various applications, see Katzenstein, Peter and Okawara, Nobuo, “Japan's National Security: Structures, Norms, and Politics,” International Security 17 (Spring 1993), pp. 84–118CrossRefGoogle Scholar; Katzenstein, Peter and Okawara, Nobuo, Japan's National Security: Structures, Norms, and Policy Responses in a Changing World (Ithaca, N.Y.: Cornell University Press, 1993)Google Scholar; and Berger, Thomas, “From Sword to Chrysanthemum: Japan's Culture of Anti-militarism,” International Security 17 (Spring 1993), pp. 119–50CrossRefGoogle Scholar.
73. It is thus important to distinguish between consensual ideas that are stable over time and those that are altered frequently and are promoted by specific groups. The strategic prescriptions discussed in this article are examples of the latter type of ideas. I thank John Odell and an anonymous reviewer for alerting me to this point.
74. See Evangelista, Innovation and the Arms Race; and Evangelista, “Transnational Relations, Domestic Structures, and Security Policy in the U.S.S.R. and Russia.”
75. A domestic structure approach explains why cognitive and learning theories are so widely used to explain the Gorbachev revolution. See Breslauer and Tetlock, Learning in U.S. and Soviet Foreign Policy; and Stein, “Political Learning by Doing.” For a similar point see Peterson, Sue, “Strategy and State Structure: The Domestic Politics of Crisis Bargaining,” Ph.D. diss., Columbia University, New York, 1993Google Scholar.
76. I owe the following argument to Steve Ropp.
77. Of course, U.S. autonomy is greater in national security affairs than in other issue-areas. But compared with the former Soviet state, the difference is still striking.
78. On the “cold war consensus” in the United States and its limits see Russett, Bruce, Controlling the Sword (Cambridge, Mass.: Harvard University Press, 1990), chap. 3CrossRefGoogle Scholar; and Wittkopf, Eugene, Faces of Internationalism: Public Opinion and American Foreign Policy (Durham, N.C.: Duke University Press, 1990)Google Scholar.
79. See Katzenstein, Peter, Corporatism and Change (Ithaca, N.Y.: Cornell University Press, 1984)Google Scholar; and Katzenstein, Peter, Policy and Politics in West Germany (Philadelphia: Temple University Press, 1989)Google Scholar.
80. For a further evaluation of this approach see the chapters in Risse-Kappen, Bringing Transnational Relations Back In. See also Sikkink, Kathryn, “Human Rights, Principled Issue-Networks, and Sovereignty in Latin America,” International Organization 47 (Summer 1993), pp. 411–41CrossRefGoogle Scholar.
81. See, for example, Checkel, “Ideas, Institutions, and the Gorbachev Foreign Policy Revolution”; Goldstein, “Ideas, Institutions, and American Trade Policy”; Goldstein and Keohane, Ideas and Foreign Policy; Odell, U.S. International Monetary Policy; and Sikkink, Ideas and Institutions.
82. Goldstein, and Keohane, , “Ideas and Foreign Policy: An Analytical Framework,” p. 26Google Scholar.
