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Introduction: Theorizing European foreign policy

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Part II

Theoretical Perspectives

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5
Theorizing European
Foreign Policy
Knud Erik Jørgensen

If the endeavour is rigorous theory-informed known for indulging in theorizing or theory-


analysis rather than descriptive study then we informed analysis (Carlsnaes 2002, 2007).
need theories to guide us through the piles of Research on case specifics, the employment
data that call for our attention but do not speak of official conceptualizations and a focus on
for themselves. Moreover, we need guidance current (policy) affairs is much more com-
vis-à-vis the continuous flow of media reports mon. The outcome is an abundance of empir-
that highlight spectacular events but not nec- ical studies, by nature volatile and bound
essarily the grey behind-the-scenes processes. to enjoy a relatively short life on the shelf.
We should acknowledge the fact that the same The process of summarizing, synthesizing
empirical event can be interpreted in different and accumulating knowledge tends not to
ways and that theories help us identify rele- be prioritized, something that makes the dis-
vant perspectives. We also need theories to tinction between knowledge of consequence
identify causal mechanisms, strategies for and knowledge of the day highly relevant.
interpreting essentially contested concepts The former is cumulative and has enduring
(and other concepts) and ways to understand significance, whereas the latter is quickly
the normative superstructure of social reality, forgotten. Some scholars make resistance to
including the social reality of European for- theorizing a virtue, arguing that the EU is sui
eign policy. Finally, we need to theorize, i.e. generis and thus not theorizable.
crystallize research findings, and thus gener- To transcend this state of affairs requires
ate an acquis of knowledge that is slightly theoretical perspectives. In Part II of the
more abstract than first impressions, intuitive Handbook the authors introduce and exam-
understandings and common wisdom. ine a broad palette of literature representing
However, the field of study at hand – the eight main theoretical perspectives, each
(European) foreign policy – is not exactly comprising a very rich repertoire of specific,

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76 The SAGE Handbook of European Foreign Policy

applicable theories, built purposefully to and the identity of academics who self-
guide empirical inquiry. Thus the purpose identify as belonging to a given discipline’
of the following chapters is twofold: briefly (Turton 2013: 236). According to this defini-
introducing available theories, thereby pre- tion, Political Science, European Studies and
senting an account of the state of the art of the- International Relations can all be considered
orizing, and critically reviewing the studies in disciplines within the broader frameworks of
which theories have been applied and knowl- either the social sciences or the humanities.
edge about European foreign affairs has been In the following brief account the eight theo-
produced, potentially enriching theoretical retical perspectives are situated in and around
knowledge. In this fashion the chapters dem- the three disciplines.
onstrate both the value of theory-informed Being substantive theoretical traditions,
analysis and highlight cumulative knowledge both liberalism and realism are most at home in
and progress in theory-informed research on International Relations (Zacker and Matthew
European foreign policy. 1995; Donnelly 2000), though liberalism also
has a home or an annex in European Studies.
By contrast, realism is basically a stranger to
European Studies and instead is at home in
Disciplinary homes great-power politics. Constructivism is fore-
most characterized by specific methodologi-
In rough terms the eight theoretical perspec- cal commitments and can thus be mixed with
tives have three main disciplinary homes (see a range of, if not all, substantive international
Figure 5.1), although shared features and theory traditions. The nature of constructiv-
intertwining attributes suggest less than ism makes it essentially transdisciplinary but,
clear-cut lines of demarcation. in the present context, it makes sense to claim
Academic disciplines can be defined in that constructivism emerged in International
various ways. In the present context I draw Relations (Onuf 1989; Wendt 1992) and
on Helen Turton’s thought-provoking defini- was subsequently imported to European
tion, ‘What constitutes a discipline… are the Studies (Christiansen et al. 2001; Checkel
institutions, discourses, professionalization 2007). Most theories of European integration,

International Relations European Studies

4
1 2

6 5

Political Science

Figure 5.1 Disciplinary homes of theories: International Relations, European Studies


and Political Science

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Theorizing European Foreign Policy 77

including intergovernmentalism, constitute a analysis that remains unexamined precisely


branch of liberal international theory and are because it is implicit’ (1990: 284). It seems
thus at home in International Relations yet at to me that research on European foreign
the same time they function as a theoretical policy in this fashion has missed many inter-
cornerstone of European Studies (Haas 1958, esting and relevant questions. The implica-
1964, 2001). The Europeanization literature is tion is that while theory-informed analysis in
a typical product of European Studies but the principle can be most useful for policymak-
key line of argument is well known in both ing it has been close to irrelevant.
Political Science and International Relations. Second, theory challenges method-driven
Critical Theory is first and foremost social research in which analysis is reduced to sim-
theory, spanning International Relations, plistic testing of de-contextualized hypotheses
Political Science and European Studies by means of arranging encounters between a
(Manners 2007), enjoying perhaps the stron- priori preferred methods/research techniques
gest impact on the former. Normative theo- and already existing data sets. As conceptual
ries have prompted a distinct literature within understandings often are somewhat naïve the
European Studies, yet the theories are mainly outcome is under-conceptualized analysis
situated in the borderland between political and über-powered procedures for testing the
theory (Political Science) and International hypotheses. The predictable outcome is that
Political Theory (IR). Finally, new institutional we will know more and more about less and
theories have their primary home in Political less and that the aim of establishing an aca-
Science, yet have also a strong presence in demic acquis of knowledge has been more or
International Relations and some existence less abandoned (Mearsheimer and Walt 2013).
in European Studies. Thus the characteristics Third, theories are excellent tools to ask
and limits of functionalist approaches within inconveniently critical questions. The problem
Political Science apply equally to functional- is not that skilled policymakers, including pol-
ist approaches within the two other disciplines icymakers in the EU, accompany policies with
(see March and Olsen 1989). their reasons for action – presenting a ratio-
nale, expressed in discourses of policy – and,
that they thereby employ strategies of legiti-
mization. The problem is analysts taking these
The value of rationales at face value, uncritically adopting
theory-informed analysis the discourses of policy or taking on the strate-
gies policymakers have invented to legitimize
Theory-informed inquiry has at least three policy choices. Theories can help analysts to
main advantages. First, theory is an eminent ask critical questions that can be answered by
tool to counter seemingly pure and innocent means of structured, focused, rigorous analy-
empirical studies that on closer inspection sis, thus enabling a certain distance between
are always loaded with implicit theoretical the observer and the observed and, moreover,
assumptions. The authors of these studies providing knowledge that adds value to policy
pretend to be or are professionally shy and analysis. Obviously, the distance can become
therefore refuse to make their (theoretical) too big, making not only the image of the
assumptions explicit. In this fashion authors ivory tower (academics) relevant but also the
avoid explicit engagements in theorizing and notion of evidence-free politics (policymak-
make it more difficult for others to discuss ers). In any case, the appropriate balance
the appropriateness or value of the assump- between academic and policy relevance is an
tions they make. In the words of Stanley issue that is worth addressing (Wallace 1996;
Hoffmann and Robert Keohane, ‘attempts to Smith 1997). However, the field of European
avoid theory not only miss interesting ques- foreign policy is a long way from running the
tions but rely implicitly on a framework for risk of ivory-towering.

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78 The SAGE Handbook of European Foreign Policy

To every solution there is a problem and I will use the Europeanization literature as an
the employment of theory is not an excep- illustrative example.
tion. Theorizing can easily become a double- Research on processes of Europeanization
edged sword. While theories can be seen as has evolved within three clusters of schol-
coloured lenses through which we observe arship. The first cluster of Europeanization
the world around us, it is also the case that if studies focuses on the degree to which com-
we look at European foreign policy through petences and capacities are elevated from the
some of the lenses it is unlikely we will see national to the European level, eventually
anything. The entire field is denied existence constituting a Euro polity both generally and
or significance or claimed to be epiphenom- within the area of foreign relations. As ever
enal to other factors of superior explanatory new issue areas are added to the policy port-
power. Realists tend to deny the existence folio and old issues often require reproduc-
of European foreign policy or explain it by tion; it is a cluster that continuously expands.
reference to the interests of the three larger The second cluster includes contributions
member states or, alternatively, explain it by that come in different shades of outside-in
means of the single operational factor that is perspectives, thus representing a European
available in the (neo-)realist theoretical rep- Studies version of the second-image-reversed
ertoire: balance-of-power logics (Eilstrup perspective within IR (Gourevitch 1978; see
Sangiovanni 2003; but see Posen 2004). also Costa and Jørgensen 2012). The second
Furthermore, the process of making policy cluster of Europeanization studies examines
hinges on two-way interactions between the different ways in which the establishment
member states (governments) and the EU. of a Euro polity has an impact on national pol-
However, many theories do not allow such icymaking processes and domestic (national)
complexity and downplay one of the direc- institutions. Within this cluster there are
tions of impact. Theories of multi-level two main schools of thought. The conver-
governance merely provide typologies, and gence school examines the conditions under
intergovernmentalism has difficulties seeing which convergence of diverse national for-
the wood (EU) for the trees (member states’ eign policies is expected, whereas the diver-
governments). Finally, it is a general problem sity school examines the conditions under
that simplification unavoidably causes bias. which national actors have considerable
Thus, it is well known that analytical dis- room for manoeuvre, thus expecting diverse
tinctions are bound to downplay differences responses to common pressures from above.
within a category and exaggerate differences Such causal processes seem to characterize
between categories. foreign policy as much as other public poli-
cies (Tonra 2001), but the Europeanization
of foreign policy has been much less studied
than the Europeanization of other public poli-
Situating theoretical cies, leaving an abundance of space for rich
perspectives speculation about the enduring nature of pure
national foreign policies untainted by any
The task of situating theoretical perspectives European impulse.
implies a process that provides overview, In the third cluster of Europeanization
connects theoretical endeavours, including studies analysts examine accession
their methodological underpinnings, and Europeanization, i.e. the degree to which
enables two-way communication between and the conditions under which candidate
research in different fields of study, i.e. both countries through their preparations for
‘draws on’ and ‘feeds back to’, e.g. rational membership become Europeanized (Güney
institutionalism in Political Science. Rather and Tekin 2014). Other studies extend the
than situate all the theoretical perspectives, research agenda even further by focusing

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Theorizing European Foreign Policy 79

on the Europeanization of countries on the similarly well known liberal arguments.


European Neighbourhood Policy horizon. Finally, constructivism and several other
Given that both enlargement and neigh- post-positivist perspectives might be distinct
bourhood policies belong to the portfolio of in their metatheoretical commitments, but in
European foreign policies, studies within the terms of substance they are often mixed with
third cluster contribute directly to our under- liberal substantive assumptions, meaning the
standing of European foreign policy, includ- outcome is liberal studies by another meth-
ing the interplays between European and odological name and equipped with different
national foreign policy. methodological underpinnings. Realist cri-
tiques of constructivism tend by default to
criticize the liberal components, without
paying too much attention to the constructiv-
Uneven emphases ist methodological commitments.
Hence the seemingly pluralist field of
While the collection of eight theoretical per- study seems on closer inspection to be char-
spectives suggests a pluralist research com- acterized by a certain degree of liberal hege-
munity, the dice are somewhat loaded. It is mony. It seems to me that this state of affairs
widely acknowledged that most theories of is caused by a grand-scale selection bias.
European integration constitute a branch of Analysts situated within other (contending)
the liberal international theory tradition theoretical perspectives, especially theories
(Katzenstein, et al. 1998; Rosamond 2001; within the realist and English School tradi-
Cini and Bourne 2006). It is the Why tions, have never gained any firm analytical
Cooperate? IR literature applied to the ground. They have therefore been overtaken
dynamics of European integration and spiced by events or opted out, either because they
up with European specifics. However, consider it a waste of time to analyse a
European-integration theories predominantly European foreign policy they claim does not
trade in integration but stop short of signifi- exist or they consider Europe too hard a case
cantly contributing to knowledge of common for their preferred theoretical perspective.1
European foreign policies. Instead, the theo- No matter the reasons for these absences,
ries are Eurocentric and inform studies of the relative lack of contending perspectives
national foreign policies on Europe (Keohane might have produced a degree of compla-
et al. 1993). In a similar vein, liberal scholars cency among analysts who are informed by
cherish their European dream come true but liberal perspectives. If studies informed by
are somewhat reluctant to engage in research contrasting theoretical perspectives can func-
on European foreign policy – that is, to ele- tion as a wake-up call they should be most
vate the level of analysis from integration welcome even when their findings are con-
among European states to interaction between testable (Rosato 2011; Simon 2014).
Europe and the world. Moreover, as high- In general, what seems to have happened is
lighted above, the Europeanization literature that the European versions of wider perspec-
is a regional version of the wider international tives have acquired a life of their own, for
second-image-reversed approach (Gourevitch which reason connections to the wider litera-
1978), questioning the key state centric axiom ture have been broken and significant findings
that a state is a state is a state. Similarly, the disregarded. This is an important lost oppor-
claim that norms matter, as in Normative tunity for feedback to the wider literature,
Power Europe (Manners 2002), is shared by implying that knowledge of the European
liberal theorists, and the overlap of the two case has not been used to advance or refine
strands seems to be considerable. The prede- the wider theoretical perspectives. During
cessor of normative power Europe, Civilian the last 20 years the contending perspec-
Power Europe (Duchêne 1972), represents tives of rationalism and constructivism have

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80 The SAGE Handbook of European Foreign Policy

functioned as the main drivers of theoretical tools function as obstacles to knowledge;


advances within both International Relations indeed, this feature characterizes most text-
(Katzenstein et al. 1998) and European books aimed at introducing students to world
Studies (Pollack 2007; Christiansen et al. politics. The nexus between practice and
2001). The problem within European Studies theory is excellently illustrated in
is that the relative lack of theoretical engage- Mearsheimer’s (1995) criticism of an exag-
ment implies that the number of theoretical gerated reliance on the promises of interna-
advances is fairly modest, too. Inadvertently, tional institutions. He begins with a brief
there might be some advantages to the not so criticism of the Clinton administration’s
disciplined conduct of research on European foreign policy, guided by liberal internation-
foreign policy, especially because the step alism, and continues with criticism of liberal
after discipline can be called either dogma international theory, pointing to significant
or orthodoxy. The field of European foreign overlaps in terms of assumptions about inter-
policy has largely escaped the explicitly theo- national order.
retical versions of dogma and orthodoxy. If we examine the three main strands of
Bridge-building initiatives and pleas for the liberal theoretical tradition – republican,
dialogue are often attempts to make paper commerce and institutional theory (Zacker
tigers out of contending perspectives (Jupille and Matthew 1995) – it becomes clear that
et al. 2003). Uneven emphases occur when there are close connections between liberal
pleas for dialogue imply either hierarchical theoretical perspectives and the direction
or eristic dialogue. In the former case a self- of European foreign policy. First, theorists
appointed master discipline or field of study within the neoliberal institutional perspective
sets the conditions of dialogue, thereby defin- claim that the degree to which the interna-
ing the settings of the dialogue. In the latter tional system is institutionalized has a positive
case one party to a dialogue needs the other impact on the stability of the system (Keohane
party for purposes of identity formation, 1989). The EU’s stated objective of support-
strategies of empowerment or needs of asser- ing effective multilateralism is to increase
tiveness. Reflexive and transformative dia- the degree to which the international system
logues are relatively rare as they require each is institutionalized. In other words, the aim
party to abandon the underpinnings of their is to domesticate the anarchical international
existence (Jørgensen and Valbjørn 2012). society, making it more subject to the rule
of law than the rules of anarchy. Moreover,
the key argument of republican liberalism is
that the nature of domestic governance sys-
The theory–practice nexus tems has an impact on the conduct of foreign
policy – specifically, that democracies are
State-centric theories make it difficult for less inclined to wage war than totalitarian
analysts to detect European foreign policy on and authoritarian states. It implies that the
their radars and they are therefore bound to international zones of peace can be extended
reject the existence or significance of by means of actively promoting democracy
European foreign policy. This applies to and human rights. The EU is a regional alli-
realists who prefer to analyse balance-of- ance of democracies, nurtures a self-image of
power dynamics (Eilstrup Sangiovanni 2003) a model zone of peace and actively promotes
but it also applies to many liberalists who democracy and human rights internationally
prefer to analyse the integrative dynamics (Balducci 2012). Finally, analysts of a com-
among European states (Keohane et al. merce liberal orientation argue that interna-
1993). In this perspective European foreign tional trade and interdependence promote
policy might be one of the significant deter- peace. The EU is an active promoter of free
minants in world politics but our analytical trade, at least in sectors in which the EU is

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Theorizing European Foreign Policy 81

competitive, and has consequently been char- studies informed by interpretive theory. The
acterized as a ‘trading state’ (Smith 2004; see argument is that without interpretation texts
also Rosecrance 1986). The EU’s objective become either meaningless or letters not
in foreign economic relations is to extend opened (Ball 1995; Diez 2011). Analysts can
global trade rules to all major traders, hence choose between different strategies of inter-
the keen interest of the EU in welcoming, for pretation. Some are keen to understand the
instance, Taiwan, China and Russia as mem- original intent of author(s) or the context in
bers of the WTO. which a text originally appeared. Others have
This does not necessarily make the EU a an interest in the reception of a given text, thus
liberal internationalist actor (but see Youngs resulting in audience-focused studies. Within
2011). Yet it does suggest that the political– this school analysts ask, for instance, what the
ideological liberal internationalist tradition original intent of the author(s) of the European
in Europe is sufficiently strong to have a sig- Security Strategy (European Council 2003)
nificant impact on the direction of European was and what the key characteristics of the
foreign policy. However, liberal internation- context in which it appeared were (e.g. the
alists are always in fierce competition with row over the Iraq War and the tradition of pro-
representatives from other foreign-policy ducing US national security strategies). The
traditions, making the ever changing con- audience of the short text called the European
figuration of foreign-policy traditions one of Security Strategy includes two primary seg-
the keys to understanding the dynamics of the ments: while the media have largely ignored
politics of European foreign policy (see Part the strategy, academics and civil servants in
X of the Handbook). ministries of foreign affairs have paid some
attention. Academics have thoroughly anal-
ysed the strategy (Biscop 2005) or parts of it
(Jørgensen and Laatikainen 2012; Drieskens
Kinds of theory and van Schaik 2014), whereas some of the
latter have been inspired to produce national
If theories are lenses through which we security strategies (France, Germany and
observe the world it is important to empha- the UK), thus producing either yet another
size that theories come in different colours. case of Europeanization of foreign policy or,
Some are explanatory, i.e. trade in causal alternatively, renationaliziation of a security
explanation and analysis. The key feature of strategy that had a brief existence at the
this kind of theory is the distinction between European level.
independent, dependent and intervening vari- The third kind of theory is normative
ables, a distinction around which an entire theory, conventionally characterized by a
specialized vocabulary and distinct research distinction between those who engage in
designs have been created. Seemingly general outlining how states of affairs ought to be
theoretical accounts are often accounts exclu- and those who concentrate on the norma-
sively of causal theory (Van Evera 1997; tive superstructure that underpins both poli-
Mearsheimer and Walt 2013; Parsons 2007). tics and policies (Nardin 2006; Weir 1992;
The second kind of theory is interpre- Lucarelli and Manners 2006; Schumaker
tive theory. Theories within this category 2008). The latter group has a well developed
enable rigorous analysis of meanings and interest in understanding the general norms
understandings – for instance, the meaning and principles that guide the EU’s interna-
of sovereignty (Brown 2002), international tional policies, be it policies on development,
recognition and the Responsibility to Protect environment or non-proliferation.
principle (Nardin 2006). What explanatory The three kinds of theory have their spe-
theorists and analysts tend to take as given cific standards of scholarship, their dis-
is exposed to comprehensive analysis in tinct avenues of inquiry point in different

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82 The SAGE Handbook of European Foreign Policy

directions and comparisons are often more liberalism Robert Keohane (1989) provides
misleading than informative, sometimes an excellent illustrative example of such
reduced simply to deploring that cats do not abandonment, thereby highlighting why there
bark. In research on European foreign policy is a good reason to label his theoretical per-
the three kinds of theory have been unevenly spective neoliberal institutionalism. A second
employed. Normative theory seems to be the illustrative example is provided by Martin
kind of theory that has attracted the smallest Wight and Hedley Bull, who felt it necessary
number of studies (see Chapter 11), whereas to initiate the international society tradition
the balance between explanatory and inter- (i.e. the English School), thereby (partly)
pretive theory is fairly even, the latter focus- abandoning both the realist and liberal theo-
ing on conceptualization as a first (and often retical traditions (Dunne 1998; Buzan 2001).
last) step towards interpretation. They simply shared the idea that realist and
liberal perspectives are insufficient to repre-
sent the complexity of world politics. Finally,
for every single theory there is the endur-
Structuring theoretical ing risk of ending up as orthodoxy or ideol-
interventions ogy, thereby losing their analytical qualities.
Being concentrates of knowledge of global
In the eight chapters of Part II the contribu- and European affairs, theories cannot escape
tors first outline the key characteristics of a their existence between dogma and tools for
theoretical perspective or tradition. These analytical guidance. Ideally, research within
outlines will typically include both ‘common a field of study should contribute to the
threads and divergent strands’, to use Mark refinement and advancement of theoretical
Zacker and Richard Matthew’s (1995) excel- perspectives.
lent title and their outline of strands of liberal Last but not least, the contributors review
international theory. The distinction between the literature in which specific theories within
tradition, strand and applicable theory is theoretical traditions have been applied in
highly important, not only because we are research on European foreign policy. In
dealing with different levels of abstraction other words, they examine how the dynam-
but also because when we come to the issue ics of research agendas have evolved over
of research agenda and concrete theory- time: which questions have the theoretical
informed studies it is mainly first-order perspectives prompted analysts to ask and
applicable theory that is relevant. Due to which answers has research provided? In this
their broad-brush and blunt characteristics context it is important to highlight specific
traditions and strands are largely unsuitable emphases, blank spots and enduring analyti-
for empirical guidance yet very useful for cal challenges. Such questions enable us to
orientation purposes. identify the profile of research that a given
Moreover, the contributors point out major theoretical perspective has been capable of
theoretical advances – that is, if there is any generating.
worth reporting (Waltz 1990). The reason
for addressing this issue is very simple: if a
theoretical perspective does not renew itself
from time to time it risks losing traction, a Note
fate experienced by realism during the last
two decades and within European Studies 1  Research on intergovernmental decision-making
at all times (Legro and Moravcsik 1999). procedures within parts of European foreign pol-
icy or a focus on the role of the foreign policies
Similarly, innovation often implies that of EU member states is rarely informed by real-
older strands are bound to be abandoned. In ist theory. Some of it is explicitly liberal in nature
his rejection of republican and commerce (Moravcsik 1998) and studies do in ­general not

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Theorizing European Foreign Policy 83

subscribe to a cyclical perspective on history, Donnelly, J. (2000) Realism and International


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balance-of-power theory (neo-realism), and Press.
great-power politics (post-classical realism) and
Drieskens, E. and Schaik, L. van (2014) The EU
‘tragedy’ are not among the key features; actu-
and Effective Multilateralism: Internal and
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External Reform in the First Decade. London:
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