After Victory: Institutions, Strategic Restraint, and the Rebuilding of Order after Major Wars, New Edition

ISBN-13: 9780691169217

Media Type: Paperback

Publisher: Princeton University Press

Publication Date: 04-16-2019

Pages: 336

Product Dimensions: 5.40(w) x 8.40(h) x 1.10(d)

Series: Princeton Studies in International History and Politics #217

G. John Ikenberry is the Albert G. Milbank Professor of Political and International Affairs at Princeton University and a Global Eminence Scholar at Kyung Hee University in Seoul. His books include Liberal Leviathan (Princeton).

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CHAPTER 1

THE PROBLEM OF ORDER

AT RARE historical junctures, states grapple with the fundamental problem of international relations: how to create and maintain order in a world of sovereign states. These junctures come at dramatic moments of upheaval and change within the international system, when the old order has been destroyed by war and newly powerful states try to reestablish basic organizing rules and arrangements. The end of the Cold War after 1989 is seen by many contemporary observers as the most recent of these great historical moments. With the dramatic collapse of the bipolar world order, the question not asked since the 1940s has recently been posed anew: how do states build international order and make it last?

The great moments of international order building have tended to come after major wars, as winning states have undertaken to reconstruct the postwar world. Certain years stand out as critical turning points: 1648, 1713, 1815, 1919, and 1945. At these junctures, newly powerful states have been given extraordinary opportunities to shape world politics. In the chaotic aftermath of war, leaders of these states have found themselves in unusually advantageous positions to put forward new rules and principles of international relations and by so doing remake international order.

This book raises three fundamental questions about order building at these great junctures. First, what is the essential logic of state choice at these postwar moments when the basic organization of international order is up for grabs? That is, what is the strategic circumstance common to these ordering moments, and what are the choices that the leading states face in rebuilding postwar order? Second, why has the specific "solution" to the problem of order changed or evolved across the great postwar settlements? In particular, what is the explanation for the growing resort to institutional strategies of order building, beginning with the 1815 settlement and most systematically pursued after 1945? Third, why has the 1945 postwar order among the advanced industrial countries been so durable, surviving the dramatic shifts in power that accompanied the end of the Cold War?

The great postwar junctures share a set of characteristics that make them unusually important in providing opportunities for leading states to shape international order. The most important characteristic of interstate relations after a major war is that a new distribution of power suddenly emerges, creating new asymmetries between powerful and weak states. These new power disparities are manifest precisely as the old order has been destroyed, and there are opportunities and incentives for states to confront each other over the establishment of new principles and rules of order. Major postwar junctures are rare strategic moments when leading or hegemonic states face choices about how to use their newly acquired power — choices that ultimately shape the character of postwar international order.

A state that wins a war has acquired what can usefully be thought of as a sort of "windfall" of power assets. The winning postwar state is newly powerful — indeed, in some cases it is newly hegemonic, acquiring a preponderance of material power capabilities. The question is: what does this state do with its new abundance of power? It has three broad choices. It can dominate — use its commanding material capabilities to prevail in the endless conflicts over the distribution of gains. It can abandon — wash its hands of postwar disputes and return home. Or it can try to transform its favorable postwar power position into a durable order that commands the allegiance of the other states within the order. To achieve this outcome, it must overcome the fears of the weaker and defeated states that it will pursue the other options: domination or abandonment.

Historically, the leading states at the great postwar junctures have had incentives to take the third course, but the means and ability of doing so has changed over time.

There are three central arguments of this book. First, the character of order after major wars has changed as the capacities and mechanisms of states to restrain power has changed. The ability of these states to engage in what can be called "strategic restraint" has evolved over the centuries, and this has changed the way in which leading states have been able to create and maintain international order. The earliest postwar power restraint strategies of states primarily entailed the separation and dispersion of state power and later the counterbalancing of power. More recently, postwar states have dealt with the uncertainties and disparities in state power with institutional strategies that — to varying degrees — bind states together and circumscribe how and when state power can be exercised.

An historical pattern can be identified. Beginning with the 1815 settlement and increasingly after 1919 and 1945, the leading state has resorted to institutional strategies as mechanisms to establish restraints on indiscriminate and arbitrary state power and "lock in" a favorable and durable postwar order. The postwar order-building agendas pursued by Britain after the Napoleonic wars and the United States after the two world wars entailed increasingly expansive proposals to establish intergovernmental institutions that would bind the great powers together and institutionalize their relations after the war. These postwar institutions did not simply solve functional problems or facilitate cooperation; they have also served as mechanisms of political control that allowed the leading state (at least to some extent) to lock other states into a favorable set of postwar relations and establish some measure of restraint on its own exercise of power, thereby mitigating the fears of domination and abandonment.

Second, the incentives and capacities of leading states to employ institutions as mechanisms of political control are shaped by two variables: the extent of power disparities after the war and the types of states that are party to the settlement. The more extreme the power disparities after the war, the greater the capacity of the leading state to employ institutions to lock in a favorable order; it is in a more advantaged position to exchange restraints on its power for institutional agreements and to trade off short-term gains for longer-term gains. Also, the greater the power disparities, the greater the incentives for weaker and secondary states to establish institutional agreements that reduce the risks of domination or abandonment. Likewise, democratic states have greater capacities to enter into binding institutions and thereby reassure the other states in the postwar settlement than nondemocracies. That is, the "stickiness" of interlocking institutions is greater between democracies than between nondemocracies, and this makes them a more readily employable mechanism to dampen the implications of power asymmetries.

Third, this institutional logic is useful in explaining the remarkable stability of the post-1945 order among the industrial democracies — an order that has persisted despite the end of the Cold War and the huge asymmetries of power. More than in 1815 and 1919, the circumstances in 1945 provided opportunities for the leading state to move toward an institutionalized settlement. Once in place, the democratic character of the states has facilitated the further growth of intergovernmental institutions and commitments, created deeper linkages between these states, and made it increasingly difficult for alternative orders to replace the existing one.

Indeed, the institutional logic of post-1945 order is useful in explaining both the way the Cold War ended and the persistence of this order after the Cold War. It tells us why the Soviet Union gave up with so little resistance and acquiesced in a united and more powerful Germany tied to NATO. Soviet leaders appreciated that the institutional aspects of political order in the West made it less likely that these states would take advantage of the Soviets as they pursued reform and integration. The institutional structure of the Western countries mitigated the security consequences of an adverse shift in power disparities and the rise of a united Germany, and this gave the Soviets incentives to go forward with their fateful decisions sooner and on terms more favorable to the West than they would have otherwise been. And institutional logic helps account for why the major Western institutions continued to persist despite the collapse of bipolarity, even if (in the case of NATO) there was no immediately apparent function for it to perform. These institutions continue to persist because they are part of the system of mutual commitments and reassurances whose logic predated and was at least partially independent of the Cold War.

Behind this argument about the changing character of postwar orders is an argument about how democracies — employing interlocking institutions — can create an order that mutes the importance of power asymmetries within international relations. To the extent that institutions play this role, the political order that results increasingly takes on "constitutional" characteristics. Fundamentally, constitutional political orders reduce the implications of "winning" in politics. Institutional limits are set on what a party or a state can do if it gains an advantage at a particular moment — for example, by winning an election or gaining disproportionately from economic exchange. In other words, constitutional orders "limit the returns to power." Limits are set on what actors can do with momentary advantages. Losers realize that their losses are limited and temporary, and that to accept those loses is not to risk everything or to give the winners a permanent advantage.

Seen in this way, it is possible to argue that the constitutional character of political orders — whether domestic or international — can vary. The degree to which the institutions within that order limit the returns to power vary, and therefore the overall constitutional character of the order can vary. Historically, international orders have exhibited very few institutional limits on the returns to power. Orders built simply on the balance of power or the coercive domination of a hegemonic state exhibit no constitutional characteristics whatever. But if institutions — wielded by democracies — play a restraining role that is hypothesized in this book, it is possible to argue that international orders under particular circumstances can indeed exhibit constitutional characteristics.

This is a claim of considerable theoretical significance. It is widely understood that domestic and international politics are rooted in very different types of order. Domestic politics is governed by the rule of law and agreed-upon institutions, whereas international politics is governed by the exercise of state power. In domestic politics, power is "tamed" by a framework of institutions and rules, whereas, it is argued, international politics remains an untamed world of power politics. In the most influential formulation, the two realms have fundamentally different structures: one based on the principle of hierarchy and the other on anarchy. But it may be more accurate to say that domestic and international order can take many different forms. In some countries, politics can be extremely ruthless and coercive, whereas some areas of international politics are remarkably consensual and institutionalized. The domestic-international divide is not absolute.

When war or political upheaval results in the rise of a newly powerful state or group of states — that is, where there exist highly asymmetrical power relations in an international environment where the basic character of order is in transition — leading states will be presented with the choice to dominate, abandon, or institutionalize the postwar order. When the incentives and opportunities exist for the leading states to move in the direction of an institutionalized settlement that binds states together so as to limit and constrain state power, including the power of the leading or hegemonic state, the postwar order begins to take on constitutional characteristics.

The rest of this chapter looks more closely at the puzzles of postwar order that have eluded explanation, the hypotheses and institutional argument developed in this book, and the larger theoretical implications that are at stake in the debate over how states create and maintain order.

The Puzzles of Order

Order formation in international relations has tended to come at dramatic and episodic moments, typically after great wars. These shifts in the system are what Robert Gilpin calls "systemic change," moments when the governing rules and institutions are remade to suit the interests of the newly powerful states or hegemon. The irregular and episodic pattern of international order formation is itself an important observation about the nature of change. The importance of war, breakdown, and reconstruction in relations among states speaks to a central aspect of international change: that history is, as Peter Katzenstein argues, a "sequence of irregular big bangs." World politics is marked by infrequent discontinuities that rearrange the relations between states.

Although the most consequential reordering moments in international relations have occurred after major wars, the specific character of the orders these settlements produced have changed over the centuries. The settlements grew increasingly global in scope. The Westphalia settlement in 1648 was primarily a continental European settlement, whereas the Utrecht settlement in 1712 saw the beginning of Britain's involvement in shaping the European state system. The Vienna settlement in 1815 brought the wider colonial and non-European world into the negotiations. In the twentieth century, the settlements were truly global. The peace agreements also expanded in scope and reach. They dealt with a widening range of security, territorial, economic, and functional issues and they became increasingly intrusive, entailing greater involvement in the internal structures and administration of the defeated states; they culminated in 1945 with the occupation and reconstruction of Germany and Japan.

Most important, in the settlements of 1815, 1919, and 1945, the leading states made increasingly elaborate efforts to institutionalize the postwar security relations between the major powers. Rather than rely simply on balance-of-power strategies or preponderant power, they sought to restrain power, reassure weaker potential rivals, and establish commitments by creating various types of binding institutions. The strategy was to tie potentially rival and mutually threatening states together in alliance and other institutions. Robert Jervis notes this logic in the Vienna settlement: "The conception of self-interest expanded, and statesmen came to believe that menacing states could best be contained by keeping close ties on them."

The postwar settlements of 1919 and 1945 saw postwar order-building strategies that were even more far-reaching in their use of institutions to bind and reassure potential adversaries. The explanation of how and why this practice of using institutions to tie states together emerged in 1815 as an alternative to a simple balance-of-power order, and reappeared in even more extensive form after the two world wars, is an important historical and theoretical puzzle.

After 1945, the United States pursued a strategy of postwar order building that involved the unprecedented creation of new intergovernmental institutions. In the aftermath of World War II, the prewar order was in ruins, the European great powers were beaten down, and the United States was poised to dominate world politics. From this commanding position, between 1944 and 1951, the United States led the way in establishing the Bretton Woods institutions, the United Nations, the North Atlantic Treaty Organization (NATO), the U.S.-Japan security treaty, and other alliances in Asia. Postwar institutions came in many guises — regional, global, economic, security, multilateral, and bilateral.

There have been many great wars and many moments when newly powerful states were in a position to organize the postwar order. But never has a single state emerged so dominant after so consequential a war; and never has there been a great power that has sought to institutionalize the postwar order so thoroughly. The specific contrast can be made between American and British hegemonic periods, for the United States has made much more extensive use of institutions than Britain did in the nineteenth century.

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Table of Contents

Preface to the New Edition, xi,
Preface (2001), xxxii,
Acknowledgments, xxxvii,
Chapter One The Problem of Order, 3,
Chapter Two Varieties of Order: Balance of Power, Hegemonic, and Constitutional, 21,
Chapter Three An Institutional Theory of Order Formation, 50,
Chapter Four The Settlement of 1815, 80,
Chapter Five The Settlement of 1919, 117,
Chapter Six The Settlement of 1945, 163,
Chapter Seven After the Cold War, 215,
Chapter Eight Conclusion, 257,
Appendix, 275,
Index, 283,