International Relations Theory and the Study of Chinese Foreign Policy

Winter 2001
Weds 4-6

T.J. Christensen
tjc3@mit.edu

A.I. Johnston
johnston@fas.harvard.edu

This advanced graduate research seminar is designed to encourage students of international relations theory to think systematically about Chinaís foreign policy and students of Chinese politics to think theoretically about Chinaís interaction with the international system. We will examine a range of theories and conceptual approaches to the study of IR and comparative foreign policy to see how these may or may not work in explaining Chinese foreign policy. At the same time we will examine whether or not patterns in Chinese foreign policy require us to revisit some of the theorizing that we do in the IR subfield. Substantively, the course will focus on topics in Chinese foreign policy from 1949 to the present.

The course is primarily aimed at PhD students in international relations theory and East Asian IR. Although there are no fixed prerequisites for the course, students without previous grounding in either international relations theory or Chinese politics will find this course difficult. Students need not be able to read Chinese to take the course, though those who can will be at an advantage in carrying out research. Enrollment will be at the discretion of the instructors.

Requirements:

1. Prepared attendance of the seminar. In-class oral presentations on the readings designed to spark discussion.

2. A proposal for a research paper by the middle of the term. The proposal must be approved by the professors and will likely require revisions.

3. A roughly 35 page double-spaced research paper examining and explaining some aspect(s) of Chinaís foreign policy. The paper will be due May 9.
 

PLEASE NOTE: Some of the readings are online in various forms with direct links from this webpage. Any articles from American Political Science Review and World Politics can be downloaded or printed from JSTOR, available from e-resources on Hollis.

Also, for those who want to read more in the history of Chinese foreign relations in different historical periods, please see the the webpage for GOV 1982, Chinese Foreign Policy, 1949-1995 (Harvard)  and/or 17.407/408 Chinese Foreign Policy (MIT) for a list of additional readings.



1. (January 31) Introduction and organization



2. (February 7) Theorizing, richness and rigor
This weekís readings focus on how to think theoretically about single-country studies. What are the special problems in the application of theory developed from multiple out-of-area cases for the foreign policy of a single country? What does it mean to be parismonious? How does one balance theoretical rigor with area studies richness?

Robert Jervis, Perception and Misperception in International Politics (Princeton 1976) Chp 1

James Rosenau, "Thinking Theory Thoroughly" in James Rosenau, The Scientific Study of Foreign Policy(1980). 19-31 OR "Toward Thinking Theory Thoroughly" in James Rosenau and Martha Durfee, eds., Thinking Theory Thoroughly: Coherent Approaches to an Incoherent World (Westview Press, 1995) 177-190

Samuel Kim, "Introduction", in Samuel S. Kim, ed., China and the World, (Westview Press, 1999) 4th edition.

Jack Snyder, "Richness, Rigor and Relevance in the Study of Soviet Foreign Policy" International Security 9:3 (Winter 1984/85) pp.89-108

James Rosenau, "Toward Single-country theories of foreign policy: the case of the USSR" in Charles E. Hermann et al, eds., New Directions in the Study of Foreign Policy (1987) pp.53-73

Thomas Christensen, " Parsimony is No Simple Matter," unpublished ms 1998.

Recommended

Celeste Wallander, "The Sources of Russian Conduct: Theories, Frameworks, and Approaches" in Wallander ed The Sources of Russian Foreign Policy After the Cold War. Boulder: Westview Press, 1996
 



3. (February 14) Methods and Sources
This week we focus on the sources of data that are useful for the study of Chinese foreign policy. Students should read the required texts. You should also take a look at the webpages on data sources and begin to familiarize yourself with the materials there. Take a look at the code books for some of the events data sets. Practice searching for articles in the FBIS, Lexis-Nexis, the Social Sciences Citation Index, and the United Nations documents using the Optical Disk System in the Government Documents library in the basement of Lamont at Harvard. We will also talk about some the range analytical methods and issue with which, increasingly, scholars of Chinese foreign policy should become familiar (e.g. content analysis, statistical analysis, discourse analysis, interviewing, research design)

3.1 On Research Design

Required

Alexander L. George and Timothy McKeown, "Case studies and theories of organization decision making," inAdvances in Information Processing in Organizations, vol. 2 (1985), pp. 21-58.

Harry Eckstein, "Case Study and Theory in Political Science," in Handbook of Political Science, Vol. 7, editedby Fred Greenstein and Nelson Polsby, (Reading: Addison-Wesley, 1975), pp. 79-138.

Adam Przeworski and Henry Teune, The Logic of Comparative Social Inquiry, (New York: Wiley, 1970), chapter 2.

Arend Ljiphart, "Comparative Politics and the Comparative Method,"  American Political Science Review, September 1971 Vol. 65, pp. 682-93

Anne-Marie Brady, "Treating Insiders and Outsiders Differently: The US and Control of Foreigners in the PRC" The China Quarterly No. 164 (December 2000) pp.943-964
 

Recommended

Charles C. Ragin, The Comparative Method: Moving Beyond Qualitative and Quantitative Strategies (1987)

Gary King et al, Designing Social Inquiry: Scientific Inference in Qualitative Research (Princeton 1994)

David Byrne, Complexity Theory and the Social Sciences (Routledge 1998)

Stephen Van Evera, Guide to Methodology for Students in Political Science (MIT Defense and Arms Control Studies Program, nd)

Jacques Hamel, Case Study Methods (Sage Qualitative Research Methods series no. 32, 1993)

Paul Spector, Research Designs (Sage Quantitative Applications in the Social Sciences no. 23, 1981)

Reliability and Validity in Qualitative Research (Sage Qualitative Research Methods series no 1, 1986)
 
 

3.2 Economic data:

CIA World Fact book: (http://www.cia.gov/cia/publications/factbook/index.html

CIA handbook eco data: (http://www.odci.gov/cia/di/products/hies/index.html

Penn World Tables: (http://pwt.econ.upenn.edu/home.html

World Bank:( http://www.worldbank.org/wdr/2000/fullreport.html and

(http://www.worldbank.org/data/databytopic/keyrefs.html

UNDP Human Development Indicators: http://www.undp.org/hdro/indicators.html
 

3.3 Event Data:

Global Events Data Set codebook http://geds.umd.edu/geds/

Militarized Interstate Disputes data set code book http://pss.la.psu.edu/MID_DATA.HTM

PANDA codebook: http://data.fas.harvard.edu/cfia/pnscs/DOCS/contents.htm

International Crisis Behavior Project: (http://web.missouri.edu/~polsjjh/ICB/

Conflict and Peace Data Bank (COPDAB) (see ICPSR webpage http://www.icpsr.umich.edu/cgi/subject.prl?path=ICPSR&query=IIIB or Harvard MIT Data Center http://data.fas.harvard.edu/guide-bin/frame/f_meta/browse_files?I07767

Philip Schrodt, "Event Data in Foreign Policy Analysis" (manuscript, 1993, Prepared for Laura Neack, Patrick J. Haney and Jeanne A.K. Hey , eds. Foreign Policy Analysis: Continuity and Change in Its Second Generation (New York: Prentice Hall, forthcoming)
 

3.4 China in Regional IR information:

ASEAN Regional Forum: http://www.dfat.gov.au/arf/index.html

KEDO: http://www.kedo.org/default.htm

Asian financial crisis (http://www.stern.nyu.edu/globalmacro/nav_asian_crisis.html

APEC http://www.apecsec.org.sg/

PECC http://www.pecc.net/
 

3.5 Chinese foreign and security policy web pages:

NDU Center for Chinese Military Studies http://www.ndu.edu/inss/China_Center/Chinaframe.htm

Chinese Military Power http://www.comw.org/cmp/

China Foreign Policy net http://www.stanford.edu/~fravel/chinafp/toc.htm

Center for North Pacific Studies http://www.brook.edu/fp/cnaps/center_hp.htm

CSIS Pacific Forum http://www.csis.org/pacfor/

Nautilus Institute http://www.nautilus.org/security/index.html

Federation of American Scientists, China page http://www.fas.org/news/china/index.html

Chinese Security homepage: http://members.aol.com/mehampton/chinasec.html

National Security Archive, China and the Bomb project: http://www.gwu.edu/~nsarchiv/NSAEBB/NSAEBB1/nsaebb1.htm

National Security Archive, Sino-US relations project: http://www.gwu.edu/~nsarchiv/nsa/publications/china-us/index.html

Ministry of Foreign Affairs (Chinese): http://www.fmprc.gov.cn/chn/index.html

Ministry of Foreign Affairs (English) http://www.fmprc.gov.cn/eng/

State Council Information office White Papers: http://www.chinaguide.org/e-white/index.htm

Peopleís Daily online (English): http://english.peopledaily.com.cn/home.html

Academy of Military Sciences (Chinese): http://www.ams.ac.cn/

Foreign Broadcast Information Service translations can be found in HOLLIS e-resources under "World NewsConnection"

Xinhua English reports can be found in HOLLIS e-resources under "Lexis-Nexis Academic Universe"

Search for English language scholarly articles on China in HOLLIS e-resources under "Social Science Citation Index"

The University of Michigan Documents Center (has links to Chinese government data and to international institutions): http://www.lib.umich.edu/libhome/Documents.center/index.html
 

3.6 Maps of China and Asia

The Perry-Castañeda Library Map Collection, University of Texas
 



4. Structural explanations
How important are global and/or regional distributions of material power in constraining the options and choices Chinese foreign policy decisionmakers face? The same question goes for distributions of norms and ideas that may or may not constitute a global or regional social structure? How would one know if Chinese foreign policy behavior was, to a large degree, structurally determined?

4.1 (February 21) Material

Required

Kenneth Waltz, Theory of International Politics (New York: Random House, 1979), chs. 6-8.

Stephen Walt, The Origins of Alliances (Ithaca: Cornell University Press, 1987), ch. 2.

R. Putnam, "Diplomacy and Domestic Politics: The Logic of Two-Level Games," International Organization 42,3 (Summer 1988): 427-60.

Michael Ng-Quinn, "International Systems Constraints on Chinese Foreign Policy," in Samuel Kim, China and the World, (Westview Press, 1984) 1st ed. only , pp. 93-105.

Thomas J. Christensen, Useful Adversaries: Grand Strategy, Domestic Mobilization, and Sino-American Conflict, 1947-58 (Princeton, NJ; Pronceton University Press, 1996), chs. 1-2, 6.

Robert Ross, "The Diplomacy of Tiananmen: Two-Level Bargaining and Great Power Cooperation," unpublished manuscript forthcoming in Security Studies.

Lowell Dittmer "The Strategic Triangle: An Elementary Game Theoretical Analysis" World Politics 33:4 (July 1981) pp.485-515

Robert Ross, "The Geography of the Peace: East Asia in the Twenty-First Century,"International Security Vol. 23, No. 4, Spring 1999, pp. 81-118.
 

Recommended

Robert Ross, "From Lin Biao to Deng Xiaoping: Elite Instability and China's US policy," The China Quarterly 118 (June 1989), pp. 265-299.

Lowell Dittmer, Sino-Soviet Normalization and Its Implications (Seattle: University of Washington Press, 1992), pp. 147-247.

James Hsiung, "Sino-US Soviet Relations in Triadic Perspective" in James Hsiung ed., Beyond China's Independent Foreign Policy (1985) 107-131

Michael Ng Quinn, "The Effects of Bipolarity on Chinese Foreign Policy." Survey 26:2 (1982)

Joshua Goldstein and Jonathan Freedman, Three-way Street; Strategic Reciprocity in World Politics.
 
 

4.2 (February 28) Ideational

Martha Finnemore and Kathryn Sikkink, "International Norm Dynamics and Political Change," International Organization 52:4 (Autumn 1998) pp.887-917

Martha Finnemore, "Norms, Culture and World Politics: Insights from Sociologyís Institutionalism" IO 50:3 (Spring 1996)

Stephen A. Kocs, "Explaining the Strategic Behavior of States: International Law as System Structure" International Studies Quarterly 38:4 (December 1994) pp.535-556

Alastair Iain Johnston, "International Structures and Chinese Foreign Policy" in Samuel Kim ed., China and the World: Chinese Foreign Policy Faces the New Millenium (Westview 1999)

Elizabeth Economy and Michel Oksenberg, "Introduction" in Elizabeth Economy and Michel Oksenberg, eds., China Joins the World: Progress and Prospects (New York: Council on Foreign Relations, 1999)

Ann Kent, China. The United Nations and Human Rights: The Limits of Compliance (University of Pennsylvania Press, 1999)
 
 



5. (March 7) Domestic politics
The next few weeks we look at variables characteristic of the state and state institutions to see how these affect Chinese behavior. How useful are factional models of decision-making? Has their analytic value changed over time? Concepts from domestically rooted or situated ideologies and belief systems pervade Chinese foreign policy discourse, but how would we know if these had a determining effect on foreign policy choice? Identity is a hot issue in IR today. What would it mean for Chinese foreign policy to say that an actor as an identity with X content or characteristics?

James Fearon, "Domestic Politics, Foreign Policy and Theories of International Relations" Annual Review of Political Science 1 (1998) pp.289-313

5.1 Factions and bureaucracies

Required

Margaret Hermann and Charles Hermann "Who Makes Foreign Policy Decisions and How: An Empirical Inquiry" International Studies Quarterly 33 (1989)

Graham Allison, "Conceptual Models and the Cuban Missile Crisis," American Political Science Review (Sept.69): 696-7l8.

Jonathan Bendor and Thomas Hammond, "Rethinking Allisonís Models" American Political Science Review 86:2 (June 1992) pp.301-322.

David Welch, "The Organizational Process and Bureaucratic Politics: Paradigms, Retrospects and Prospects," International Security Vol. 17, No. 2, pp. 112-146.

Kenneth Lieberthal, "Domestic Politics and Foreign Policy," in Harry Harding ed., Chinese Foreign Relations in the 1980s, (Yale University Press, 1984) pp. 43-70.

Carol Hamrin, "Elite Politics and the Development of China's Foreign Relations" in Robinson and Shambaugh,Chinese Foreign Policy: Theory and Practice 70-109.

Michel Oksenberg and Kenneth Lieberthal, Policy Making in China: Leaders, Structures, and Processes (Princeton, NJ: Princeton University Press, 1988), chs. 1 and 5.

John Lewis, Hua Di, and Xue Litai "Beijing's Defense Establishment: Solving the Arms Export Enigma." International Security 15:4 (Spring 1991) 87-109

Lu Ning, The Dynamics of Foreign-Policy Decisionmaking in China (Boulder, CO: Westview Press, 2000) entire, esp. Ch. 5.
 
 

5.2 (March 14) Ideology

Required

Michael H. Hunt, Ideology and US Foreign Policy (Yale University Press 1987) pp.1-18

Randall Schweller, "Bandwagoning for Profit: Bringing the Revisionist State Back In" International Security 19:1 (Summer 1994) pp.72-107
 

5.2.1 Marxism-leninism

Steven I. Levine, "Perception and Ideology in the Study of Chinese Foreign Policy,"in Thomas W. Robinson and David Shambaugh, eds., Chinese Foreign Policy: Theory and Practice (Oxford, UK: Clarendon Press, 1994), pp. 30-46.

Peter Van Ness, Revolution and Chinese Foreign Policy: Pekingís Support for Wars of National Liberation (Berkeley, CA: University of Californis Press, 1970), read intro and Part 1, section 1; Part II, sections, 4-6; and part III, section 8.

Steven M. Goldstein, "Nationalism and Internationalism: Sino-Soviet Relations" in Thomas W. Robinson and David Shambaugh, eds., Chinese Foreign Policy: Theory and Practice (Oxford, UK: Clarendon Press, 1994) pp.224-265.

Thomas J. Christensen "Worse than a Monolith" (unpublished ms)

See the essays by Chen Jian, John Garver, Michael Sheng in "Symposium on Rethinking the Lost Chance in China" Diplomatic History 21:1 (Winter 1997) pp.77-104
 
 

5.2.2 (March 21) Ideology: Nationalism, identity and historical memory

Required

Robert Jervis, Perceptions and Misperceptions in International Politics, (Princeton, NJ: Princeton University Press, 1976), ch.6

Jonathan Mercer (1995) "Anarchy and Identity" International Organization 49 (2) (1995) pp.229-252

Alexander Wendt (1994) "Collective Identity Formation and the International State" American Political Science Review 88 (June 1994) pp.384-396 (also available through JSTOR on Hollis)

Yuen Foong Khong, Analogies at War (1992) chapter 2, pp.19-46

Michel Oksenberg, "China's Confident Nationalism" Foreign Affairs; 65:3 (1987)

Allen S. Whiting, "Chinese Nationalism and Foreign Policy After Deng" The China Quarterly No. 142 (June 1995)

Thomas J. Christensen, "China, the U.S.-Japan Alliance, and the Security Dilemma in East Asia," International Security Vol. 23, No. 4 (Spring 1999), pp. 49-80.

Neil Renwick and Cao Qing, "Victimhood and Identity in Chinaís Political Discourse" (Paper prepared for the International Studies Associate Annual Convention, February 1999, Washington DC).

Erica Strecker Downs and Phillip Sanders, "Legitimacy and the Limits of Nationalism: China and the Diaoyutai Islands" International Security 23:3 (Winter 1998/1999)
 

Recommended

He Yinan, "The Effects of Historical Memory on Chinese Strategic Perception of Japan" (Paper prepared for APSA, Boston 1998).

Allen S. Whiting, China Eyes Japan (Berkeley, CA: University of California Press, 1989).

Kal Holsti "Toward a Theory of Foreign Policy: Making the Case for Role Analysis." in Stephen Walker ed., Role Theory and Foreign Policy Analysis. (1978) 5-43

Glen Chafetz et al "Role Theory and Foreign Policy: Belarussian and Ukrainian Compliance with the NPT" Political Psychology?? 1996

Andrew J. Taylor and John T. Rourke, "Historical Analogies in the Congressional Foreign Policy Process" The Journal of Politics 57:2 (May 1995) pp.460-468
 
 



6. (April 4) Regime Type and Regime Structure
The democratic peace literature in IR, as well as liberal theorizing about the origins of state preferences, focuses, obviously, on regime type, state institutions, and domestic social structure. Does regime type matter for Chinese foreign policy behavior? Or does it matter for how other states interpret Chinese foreign policy behavior? How does China's foreign policy behavior affect domestic institutional change, if at all?

6.1 Regime type

Required

Bruce Russett, Grasping Democratic Peace (Princeton., NJ: Princeton University Press, 1993), chs. 1-2.

Edward D. Mansfield and Jack Snyder, "Democratization and the Danger of War," International Security Vol. 20, No. 1, (Summer 1995), pp. 5-38.

John M. Owen, "How Liberalism Produces Democratic Peace," International Security, vol. 19, no. 2 (Fall 1994), pp. 50-86.

Peter Gourevitch "The Second Image Reversed: The International Sources of Domestic Policy." International Organization 32:4 (1978) 881-912.

David Bachman, "Chinaís Democratization: What Difference Would it Make for US-China Relations?" in Edward Friedman and Barrett L. McCormick eds., What if China Doesnít Democratize? Implications for War and Peace (M.E. Sharpe 2000) pp195-223

David Zweig, "Foreign Aid, Domestic Institutions and Entrepreneurship: Fashioning Management Training Centers in China" Pacific Affairs 73:2 (Summer 2000) pp.209-231
 

Recommended

Brett Ashley Leeds and David R. Davis "Beneath the Surface: Regime Type and International Interaction, 1953-1978" Journal of Peace Research 36:1 (1999) pp.5-21

Michael D. Ward and Kristian S. Gleditsch, "Democratizing for peace" The American Political Science Review 92:1 (March 1998) pp.51-61

William R Thompson and Richard Tucker. "A Tale of Two Democratic Peace Critiques" The Journal of Conflict Resolution 41:3 (June 1997) pp. 428-454

Joe Hagan :"Domestic Political Systems and War Proneness" Mershon International Studies Review 1994 (38)

Joe Hagan "Domestic Political Regime Change and Foreign Policy Restructuring" in Rosati et al, Foreign Policy Restructuring: How Governments Repond to Global Change

Joe Hagan "Regimes, Political Oppositions, and the Comparative Analysis of Foreign Policy" in Charles E. Hermann et al, eds., New Directions in the Study of Foreign Policy (1987) pp.339-365
 



7. (April 11) Leadership and Cognition
For much of its history, the PRC has been a 'charismatic dictatorship'. This suggests that the most critical variables in understanding Chinese foreign policy have to do with the personalities, idiosyncracies, and characteristics of its handful of top leaders. What problems does theorizing at this level of analysis face?

Daniel L. Byman and Kenneth M. Pollack "Let Us Now Praise Great Men (and Women): Restoring the First Image"  (unpublished paper, October 2000)

Lloyd Jensen "The Human Dimension of Foreign Policy" in  Explaining Foreign Policy (1982) 13-44

M.D.Young, M. Schafer,  "Is there method in our madness? Ways of assessing cognition in international relations" International Studies Quarterly  42: 63-96, Suppl. 1 MAY 1998

Janice Stein "Political Learning By Doing: Gorbachev as Uncommitted Thinker and Motivated Learner" International Organization  48: (2) 155-183 SPR 1994

Deborah Larson, "The Role of Belief Systems and Schemas in Foreign Policy Decision making" Political Psychology 15: (1) 17-33 MAR 1994

Samuel S. Kim, "The Maoist Image of World Order" in Samuel S. Kim, China, The United Nations and World Order (Princeton University Press, 1979) pp.49-93
 



8. (April 18) Theories of conflict behavior:
There is a rich, if controversial, literature on why state decision-makers choose to use military force for political ends. Is there an obvious pattern in the reasons behind China's use of force? Does it conform to any of the propositions and expectations from the theoretical literature or from patterns found in European wars? Do American concepts of deterrence and deterrence credibility apply in the Chinese case?

8.1 Reasons for fighting

Required

Thomas C. Schelling, Arms and Influence (New haven: Yale University Press, 1966), chs. 1-6.

James D. Fearon, "Rationalist Explanations for War," International Organization 49, no. 3 (Summer 1995), pp. 379-414.

Jack Levy "Prospect theory, rational choice, and international relations" International Studies 41:1 (March 1997)

John Vasquez, The War Puzzle (Cambridge University Press 1993) pp.123-197

Jack Levy 1989. "The Diversionary Theory of War: A Critique." In Manus I. Midlarsky (ed) Handbook of War Studies. (Boston: Unwin Hyman 1989) p. 259-288

Allen S. Whiting, The Chinese Calculus of Deterrence (Ann Arbor: University of Michigan Press, 1974). Chs. ???

Thomas J. Christensen, Useful Adversaries, chs. 5 and 7.

Alastair Iain Johnston "Chinaís Military Interstate Dispute Behavior: A First Cut at the Data" The China Quarterly (Marhc 1998)
 

Recommended

Stephen Van Evera, "Offense, Defense, and the Causes of War," International Security, Vol. 22, No. 4 (Spring 1998), pp. 5-43

Geoffrey Blainey, The Causes of War

Allen Whiting, China Crosses the Yalu: The Decision to Enter the Korean War (Stanford, CA: Stanford University Press, 1960 (read for basic argumentation and for the craft of working with limited data).

John Garver, "China's Push Through the South China Sea: The Interaction of Bureaucratic and National Interests." China Quarterly. 132 (December 1992)

Gerald Segal, Defending China (1985)

Ellis Joffe "People's War Under Modern Conditions" China Quarterly (December 1987) 555-571

Paul Godwin "China's Military Strategy Revisited: Local and Limited Wars." Annals (January 1992) 191-120

Paul Godwin "Changing Concepts of Doctrine, Strategy and Operations" China Quarterly (December 1987) 572-590

Allen Whiting "The Use of Force in Foreign Policy by the Peoples' Republic of China" Annals (1972) 55-65

Zhang Shuguang, Deterrence and Strategic Culture: Chinese-American Confrontations, 1949-1958. (1992)

Melvin Gurtov and Hwang China Under Threat: The Politics and Strategy of Diplomacy. (1980)

Andres Onate, "The Conflict Interactions of the People's Republic of China, 1950- 1970." Journal of Conflict Resolution 18:4(December 1974) 578-594

Jonathan Adelman and Shih Chih-yu, Symbolic War: The Chinese Use of Force, 1840-1980. (1993).

Alastair Iain Johnston, "Cultural Realism and Strategy in Maoist China" in Peter Katzenstein ed., The Culture of National Security (1996)
 
 

8.2 (April25) Nuclear deterrence

Required

Robert Jervis, The Meaning of the Nuclear Revolution: Statecraft and the Prospect of Armageddon (Ithaca: Cornell University Press, 1989), chs. 1-3, 5-7.

John Wilson Lewis and Xue Litai, China Builds the Bomb (Stanford, CA: Stanford University Press, 1988), chs. 1-3.

Alastair Iain Johnston "China's New 'Old Thinking': The Concept of Limited Deterrence" International Security 20:3 (Winter 1995/6) 5-42

Avery Goldstein, "Robust and Affordable Security: Some Lessons from the Second Ranking Powers During the Cold War," Journal of Strategic Studies vol. 15, no. 4 (Dec. 1992), pp. 476-527.

Bates Gill, James Mulvenon and Mark Stokes, "The Chinese Second Artillery Corps: Transition to Credible Deterrence." (unpublished manuscript)
 



9. (May 2)Theories of cooperative behavior
This week we look at a range of theories of cooperation -- from liberal arguments about economic interdependence to the contractual institutionalists' focus on institutional rules and restraints to sociological and social psychological theories of socialization. Are these arguments incommensurate or complementary?

9.1 Interdependence, sanctions, learning and socialization

Required

R.. Keohane, "Neoliberal Institutionalism: A Perspective on World Politics," ch. 1 in his International Institutions and State Power: Essays in International Relations Theory (Boulder: Westview, 1989).

Richard Rosecrance, The Rise of the Trading State (1986) pp.22-43

Soo Yeon Kim "Structure and Change in International Trade and Militarize Conflict: When Is Engagement Constructive?" (unpublished paper, 2000)

Jack S. Levy, "Learning and Foreign Policy: Sweeping a Conceptual Minefield" International Organization 48: (2) (Spring 1994) pp. 279-312

Harry Harding, "Chinaís Cooperative Behavior" in Thomas W. Robinson and David Shambaugh, eds., Chinese Foreign Policy: Theory and Practice (Oxford, UK: Clarendon Press, 1994) pp375-400.

Harold Jacobson and Michel Oksenberg, China and the IMF, the World Bank and the GATT (Ann Arbor, University of Michigan Press, 1990)

Wang Yong, "Chinaís Accession to WTO: An Institutional Perspective," unpublished manuscript.

Margaret M. Pearson "The Major Multilateral Economic Institutions Engage China" in Alastair Iain Johnston and Robert S. Ross eds., Engaging China: The Managementof an Emerging Power (Routledge Press, 1999) pp.207-234

Alastair Iain Johnston  The Social Effects of International Institutions on Domestic (Foreign Policy) Actors" in Daniel Drezner, ed.. The Interaction of Domestic and International Institutions (Ann Arbor: The University of Michigan Press, 2001 forthcoming)
 

Recommended

Robert Keohane, "The Demand for International Regimes" in Stephen D. Krasner International Regimes (Cornel University Press, 1983)

Dale Copeland, "Economic Interdependence and War: A Theory of Trade Expectations" International Security 20:4 (Spring 1996) pp.5-41

Margaret Karns and Karen Mingst, "International Organizations and Foreign Policy: Influence and Instrumentality" in Charles E. Hermann et al, eds., New Directions in the Study of Foreign Policy (1987) pp.454-474

Thomas Risse, "Let's argue!": Communicative action in world politics" International Organization (54) Winter 2000

Samuel S. Kim, "China and the United Nations" in Elizabeth Economy and Michel Oksenberg, eds., China Joins the World: Progress and Prospects (New York: Council on Foreign Relations, 1999) pp.42-89.

Alastair Iain Johnston, "Learning Versus Adaptation: Explaining Changes in Chinese Arms Control Policy in the 1980s and 1990s," China Journal, no. 35 (January 1996).
 
 



10. (May 9) Applications: The Taiwan problem
We will use a the Taiwan issue to examine how structural, domestic, ideological, and idiosyncratic explanations, separately or together, help or hinder and understanding of the Chinese behavior on an issue of obvious policy relevance. What is a rich, rigorous and relevant way of analyzing the Taiwan issue in Chinese foreign policy?

Patrick Tyler, The Great Wall (1999)

Bernice Lee, "The Security Implications of the New Taiwan" Adelphi Papers No.331 (1999)

Evan A. Feigenbaum, Change in Taiwan and Potential Adversity in the Strait (RAND Corporation, 1995)

Robert S. Ross, "The 1995-1996 Taiwan Strait Confrontation: Coercion, Credibility, and the Use of Force" International Security  25:2 (Fall 2000) pp.87-123

Thomas J. Christensen, "Posing Problems without Catching Up: China's Rise and Challenges for U.S. Security Policy" International Security  25:4 (Spring 2001)

Thomas J. Christensen, "Theater Missile Defense and Taiwan's Security" Orbis (Winter 2000) pp.79-90.
 

Documents
    Shanghai Communique (1972)
    Normalization Communique (1979)
    Shanghai II communique (1982)
    Taiwan Relations Act (1979)
    Six Assurances (1982)
    Lee Teng-hui's Two State Theory
    State Council Information Office, Taiwan White Paper (2000)
    Qian Qichen interview with the Washington Post
    Department of Defense, Report on Taiwanese Security, 1999
 
 

Recommended

Richard D. Fisher Jr. "Chinaís Missiles Over the Taiwan Strait: A Political and Military Assessment" James Lilley and Chuck Downs eds., Crisis in the Taiwan Strait (1997)

Eric McVadon, "PRC Exercises, Doctrine and Tactices Toward Taiwan: The Naval Dimension" in James Lilley and Chuck Downs eds., Crisis in the Taiwan Strait (1997)

Harlan Jencks, "Wild Speculations on the Military Balance in the Taiwan Strait" in James Lilley and Chuck Downs eds., Crisis in the Taiwan Strait (1997)

Michael Swaine, Taiwanís National Security, Defense Policy, and Weapons Procurement Processes (RAND Corporation, 1999)

Federation of American Scientists archive on 1996 Taiwan Strait Crisis at: (http://www.fas.org/man/dod-101/ops/taiwan-crisis.htm)

David Shlapak et al, Dire Strait? Military Aspects of the China-Taiwan Confrontation and Options for US Policy. (RAND Corporation 2000) (downloadable from: http://www.rand.org/publications/MR/MR1217/)

news reports and analysis of TMD issue:( http://www.taiwansecurity.org/TSR-TMD.htm)
 
 


Non-electronic Bibliographical Material
 

Bibliographies And Source Collections

Association for Asian Studies, Bibliography of Asian Studies, 1970 --

Association for Asian Studies, Doctoral Dissertations on Asia

China Official Annual Report, 1981 --

China Acktuell "PRC Official Activities and Monthly Bibliography."

Chinese Academy of Social Sciences, Information China, 3 vol.s (1988)

Hinton, Harold ed., The People's Republic of China, 1949-1979: A Documentary Survey. 5 vols. (1980); 1979-1984, 2 vols. (1986)

Lieberthal, Kenneth and Bruce Dickson, A Research Guide to Central Meetings in China, 1949-1986 (1989)

Lieberthal, Kenneth ed., A Research Guide to Central Documents and Politburo Politics.

Oksenberg, Michel "Politics Takes Command: An Essay on the Study of Post-1949 China." Cambridge History of China. Vol. 14

Dial, Roger ed., Studies on Chinese External Affairs: An Instructional Bibliography of Commonwealth and American Literature. (1973)

Kim, Samuel S. ed., China and the World: (1984, 1989, 1994, 1999) "Bibliography"

Yan Kong "China and Nuclear Proliferation, 1980-1990: A Select Annotated Bibliography of English- Language Publications." (Center for Science and International Affairs Working Paper no.90-3, Harvard University, 1990)
 

Biographical Sources

William Bartke Who's Who in the PRC, (3rd edition), 1991

William Bartke Biographical Dictionary and Analysis of China's Party Leadership

Central Intelligence Agency, Directory of Officials and Organizations

Government Documents (available from the Government Documents Library, Lamont Library)

United Nations documents

UNDOC: United Nations Documents Index, 1946 --

Index to Proceedings: contains separate indexes for the General Assembly, Security Council and other UN committees.

US Government documents

United States Government Printing Office Monthly Catalogue

National Foreign Assessment Center (Directorate of Intelligence)

Congressional Research Service of the Library of Congress

Foreign Relations of the United States (FRUS)
 
 

Periodicals

Asia and China Related:

American Asian Review

Asian Pacific Economic Literature (Australia)

Asian Perspectives (S. Korea)

Asian Survey

Asian Wall Street Journal

Asiaweek

Beijing Review (China)

CCP Research Newsletter

China Aktuell "PRC Official Activites and Monthly Bibliography"

China Business Review

China Daily (China)

China Economic Review

China Information

China Journal (formerly the Australian Journal of Chinese Affairs)

China News Analysis

China News Letter (Japan/ Japan External Trade Organization)

China Quarterly

China Reconstructs (China)

China's Foreign Trade (China)

Chinese Historian

Contemporary China

Current History

East Asia Review (S. Korea)

Far Eastern Economic Review (Hong Kong)

Far Eastern Affairs (Soviet Union/Russia)

Inside Mainland China (Taiwan)

Issues and Studies (Taiwan)

Japan Quarterly

Journal of American-East Asian Relations

Journal of East Asian Affairs (S. Korea)

Journal of Northeast Asian Affairs

Modern China

Pacific Affairs (Canada)

Pacific Review (UK)

Problems of Communism (Problems of Post-Communism)

Social Sciences in China (China)

South China Morning Post (Hong Kong)

Studies in Comparative Communism

The Journal of Contemporary China
 
 

International Relations Related (sometimes have China-related articles):

Adelphi Papers

American Political Science Review

Comparative Strategy

Conflict Management and Peace Science

Foreign Affairs

Foreign Policy

International Affairs (London)

International Interactions

International Organizations

International Security

International Studies Notes

International Studies Quarterly

Journal of Conflict Resolution

Orbis

Security Studies

Survival

World Politics
 
 

Statistical Sources (foreign trade, military capabilities etc.)

Far Eastern Economic Review Yearbook, 1960 --

State Statistical Bureau, Statistical Yearbook of China, 1981 --

World Bank, China: Long-term Development and Options 8 vols. (1985)

Xue Muqiao ed., Almanac of China's Economy, 1981 --

International Institute for Strategic Studies, Military Balance (annual)

International Institute for Strategic Studies, Strategic Survey (annual)

SIPRI (Stockholm International Peace Research Institute) Yearbook

United Nations Development Program Human Development Report (annual)

Translations of Chinese Materials

Foreign Broadcast Information Service (FBIS), 1941 --

Newsbank Index to FBIS, 1975 -- (online)

Joint Publications Research Service (JPRS), 1957 -- (online)

China Report

China Report: Science and Technology

Summary of World Broadcasts (SWB): The Far East, 1939 -- (BBC monitoring service)

Summary of World Broadcasts: Weekly Economic Report

SWB Index, 1989 --

China Daily, 1981 --

Beijing Review, 1958 --; formerly People's China, 1949-1957 M.E. Sharpe Publications

Chinese Law and Government

Chinese Economic Studies

Chinese Studies in History

US Consulate-General (Hong Kong)

Survey of PRC Press (formerly Survey of China Mainland Press SCMP), 1950-1977

Survey of PRC Magazines (formerly Survey of China Mainland Magazines SCMM), 1955- 1977

Current Background, 1950-1977

Supplement to SCMP and SCMM, 1960-1973

Index to SCMP, SCMM and Current Background, 1956-1977