Managing the Commons: The international management imperative in the 21st century

August 29, 31, 2023

1. How is the international public sector growing.

A first question you should ask is, "how really significant is the international public sector".

The truth is, it’s hard to tell in monetary terms. But we need to start with what constitutes the United Nations System.  Formally, the System consists of the United Nations Secretariat, the UN’s Funds and Programs, the Specialized Agencies, the World Bank Group and the International Monetary Fund (called the Bretton Woods Institutions ) and a number of semi-independent institutions that report to the United Nations General Assembly.  Taken together, they include 34 organizations, not including the Breton Woods Institutions.  They are coordinated by the United Nations Chief Executives Board.  In terms of size, they had revenue of $49 billion in 2016.  Table 1.1 shows the revenue by organization in 2016.  You can see updated figures in https://unsceb.org/fs-revenue-agency

Agency

Total Revenue

Percent

UN Department of Peacekeeping Operations (DPKO)

$8,726,356,000

17.7%

World Food Programme (WFP)

$5,908,911,778

12.0%

UN Secretariat

$5,146,929,012

10.4%

United Nations Development Programme (UNDP)

$5,102,572,823

10.3%

United Nations Children's Fund (UNICEF)

$4,883,697,720

9.9%

United Nations High Commissioner for Refugees (UNHCR)

$3,973,809,295

8.1%

World Health Organization (WHO)

$2,364,078,787

4.8%

International Organization for Migration (IOM)

$1,615,633,992

3.3%

PanAmerican Health Organization (PAHO)

$1,385,308,220

2.8%

Food and Agriculture Organization (FAO)

$1,296,446,139

2.6%

United Nations Relief and Works Agency for Palestine Refugees (UNRWA)

$1,274,684,991

2.6%

United Nations Population Fund (UNFPA)

$895,349,201

1.8%

United Nations Office of Project Services (UNOPS)

$789,934,000

1.6%

United Nations Environment Programme (UNEP)

$720,805,951

1.5%

International Labour Organization (ILO)

$669,901,812

1.4%

International Atomic Energy Agency (IAEA)

$632,065,162

1.3%

United Nations Educational, Scientific and Cultural Organization (UNESCO)

$615,024,051

1.2%

International Fund for Agricultural Development (IFAD)

$526,796,000

1.1%

World Intellectual Property Organization (WIPO)

$378,256,585

0.8%

United Nations Office on Drugs and Crime (UNODC)

$342,204,000

0.7%

United Nations Entity for Gender Equality (UNWOMEN)

$334,568,866

0.7%

United Nations Industrial Development Organization (UNIDO)

$304,673,368

0.6%

Joint United Nations Programme on HIV/AIDS (UNAIDS)

$228,706,405

0.5%

United Nations Human Settlements Programme (UN-HABITAT)

$226,603,200

0.5%

World Trade Organization (WTO)

$221,681,703

0.4%

ICAO International Civil Aviation Organization (ICAO)

$197,886,962

0.4%

International Telecommunications Union (ITU)

$172,196,967

0.3%

World Meteorological Organization (WMO)

$80,418,329

0.2%

Universal Postal Union (UPU)

$78,774,041

0.2%

International Trade Centre (ITC)

$66,791,000

0.1%

United Nations University (UNU)

$66,180,554

0.1%

International Maritime Organization (IMO)

$58,723,032

0.1%

United Nations Institute for Training and Research (UNITAR)

$23,682,000

0.0%

United Nations World Tourism Organization (UNWTO)

$23,575,875

0.0%

Grand Total

$49,333,227,821

100.00%

Source:  United Nations System Chief Executives Board for Coordination, Revenue Type by Agency 2016.


The table shows the range of organizations in the system.  It does not include the Bretton Woods Institutions, nor does it include some of the organizations concerned with climate change like the UN Framework Convention on Climate Change secretariat and its subsidiaries like the Green Climate Fund because the computation of revenue is different.
  If these organizations were included the amount of funds involved would be almost double.
Table 1.1 gives a good sense of what the UN System does.  The largest amount (20 percent) is for peacekeeping activities approved by the Security Council.  The next (totaling 14 percent) is a fund that deals with both humanitarian relief and development (the World Food Program).  This, together with UNICEF and UNDP are what are called funds and programs, which are a quarter of the organizations but almost half of the revenue.  Specialized agencies like FAO, WHO and ILO make up half of the organizations but only a quarter of the revenue.

The Green Climate Fund is supposed to have a budget of $10 billion per year based on the Paris Agreement.  In 2017, it had $1.9 billion.  The International Monetary Fund in 2016 showed a total operational income of $1.04 billion.  The World Bank Group had disbursements of $35.6 billion.  However, these are somewhat different from how the amounts in Table 1.1 were computed.

The over-time data show a general increase in funding by year:

 

Year: All

All values are in USD.

Year

Assessed contributions

Voluntary core (un-earmarked) contributions

Voluntary non-core (earmarked) contributions

Revenue from other activities

Total

2021

13,633,831,101

6,841,262,960

40,020,832,543

5,394,783,389

65,890,709,995

2020

13,679,044,319

4,816,811,265

38,795,679,829

5,307,751,290

62,599,286,704

2019

13,669,213,466

5,332,900,426

32,917,789,007

5,005,068,776

56,924,971,676

2018

13,522,000,769

5,752,006,710

32,773,768,941

3,996,326,944

56,044,103,366

2017

13,953,317,073

4,776,304,460

30,035,137,292

4,434,943,615

53,199,702,441

2016

13,972,315,414

5,060,877,051

26,684,499,383

3,615,535,970

49,333,227,820

2015

14,519,560,382

4,556,612,404

25,403,125,387

3,500,304,315

47,979,602,490

2014

13,726,868,013

4,888,979,347

26,427,076,096

3,036,914,924

48,079,838,381

2013

13,254,877,695

5,083,635,421

23,729,463,404

2,570,886,509

44,638,863,031

2012

13,647,664,993

5,378,842,070

20,808,485,687

2,488,692,224

42,323,684,975

2011

13,293,145,589

4,193,761,598

19,667,175,986

2,484,193,604

39,638,276,778

2010

13,282,566,386

3,804,501,561

20,298,046,934

2,254,022,134

39,639,137,017

Total

606,291,404,678

 As can be noted, assessed contributions have not increased (they are standard dues that each country pays) while the main growth is in non-core voluntary contributions.  These are driven by countries providing funds usually for development but also for humanitarian activities.  There is a slight increase in revenue from other activities.

 

Another way to look at it is by source of the funds. Here are the figures for 2015, while the amounts have increased, the ratios of assessed to voluntary contributions has remained about the same.  You can see the updated figures at https://unsceb.org/fs-revenue-agency by clicking on advanced filtering.

Agency 

Year 

Revenue type 

Revenue 

DPKO 

2015 

Assessed Contributions

8,503,612,000 

DPKO 

2015 

Voluntary Contributions - Specified

195,385,000 

DPKO 

2015 

Revenue from other activities

71,850,000 

FAO 

2015 

Voluntary Contributions - Specified

743,648,143 

FAO 

2015 

Assessed Contributions

496,622,671 

FAO 

2015 

Revenue from other activities

10,288,000 

IAEA 

2015 

Assessed Contributions

377,494,582 

IAEA 

2015 

Voluntary Contributions - Specified

235,747,742 

IAEA 

2015 

Revenue from other activities

4,661,955 

ICAO 

2015 

Voluntary Contributions - Specified

106,289,973 

ICAO 

2015 

Assessed Contributions

67,646,343 

ICAO 

2015 

Revenue from other activities

22,635,285 

IFAD 

2015 

Voluntary Contributions - Non-specified

221,676,000 

IFAD 

2015 

Voluntary Contributions - Specified

93,422,000 

ILO 

2015 

Assessed Contributions

400,630,000 

ILO 

2015 

Voluntary Contributions - Specified

225,040,782 

ILO 

2015 

Revenue from other activities

13,300,000 

IMO 

2015 

Assessed Contributions

44,625,255 

IMO 

2015 

Revenue from other activities

18,963,259 

IMO 

2015 

Voluntary Contributions - Specified

8,452,364 

IOM 

2015 

Voluntary Contributions - Specified

1,396,868,852 

IOM 

2015 

Revenue from other activities

156,663,262 

IOM 

2015 

Assessed Contributions

43,148,345 

IOM 

2015 

Voluntary Contributions - Non-specified

6,731,290 

ITC 

2015 

Assessed Contributions

37,156,000 

ITC 

2015 

Voluntary Contributions - Specified

25,023,000 

ITC 

2015 

Voluntary Contributions - Non-specified

6,785,000 

ITC 

2015 

Revenue from other activities

1,663,000 

ITU 

2015 

Assessed Contributions

127,595,358 

ITU 

2015 

Revenue from other activities

42,623,420 

ITU 

2015 

Voluntary Contributions - Specified

5,612,357 

ITU 

2015 

Voluntary Contributions - Non-specified

59,399 

PAHO 

2015 

Voluntary Contributions - Specified

650,999,124 

PAHO 

2015 

Revenue from other activities

613,857,226 

PAHO 

2015 

Assessed Contributions

105,620,000 

UN 

2015 

Assessed Contributions

2,771,359,326 

UN 

2015 

Voluntary Contributions - Specified

2,093,877,976 

UN 

2015 

Revenue from other activities

682,560,364 

UN-HABITAT 

2015 

Voluntary Contributions - Specified

156,362,702 

UN-HABITAT 

2015 

Assessed Contributions

16,935,000 

UN-HABITAT 

2015 

Voluntary Contributions - Non-specified

2,170,827 

UN-HABITAT 

2015 

Revenue from other activities

1,990,000 

UNAIDS 

2015 

Voluntary Contributions - Non-specified

196,250,098 

UNAIDS 

2015 

Voluntary Contributions - Specified

23,291,335 

UNAIDS 

2015 

Revenue from other activities

6,365,170 

UNDP 

2015 

Voluntary Contributions - Specified

3,726,179,691 

UNDP 

2015 

Voluntary Contributions - Non-specified

745,714,467 

UNDP 

2015 

Revenue from other activities

348,265,392 

UNEP 

2015 

Voluntary Contributions - Specified

432,297,007 

UNEP 

2015 

Assessed Contributions

222,817,431 

UNEP 

2015 

Revenue from other activities

871,000 

UNESCO 

2015 

Voluntary Contributions - Specified

351,554,265 

UNESCO 

2015 

Assessed Contributions

341,374,604 

UNESCO 

2015 

Revenue from other activities

49,528,579 

UNFPA 

2015 

Voluntary Contributions - Specified

581,259,701 

UNFPA 

2015 

Voluntary Contributions - Non-specified

398,197,217 

UNFPA 

2015 

Revenue from other activities

57,280,000 

UNHCR 

2015 

Voluntary Contributions - Specified

2,778,623,534 

UNHCR 

2015 

Voluntary Contributions - Non-specified

735,692,971 

UNHCR 

2015 

Assessed Contributions

48,643,700 

UNHCR 

2015 

Revenue from other activities

19,380,184 

UNICEF 

2015 

Voluntary Contributions - Specified

3,835,891,146 

UNICEF 

2015 

Voluntary Contributions - Non-specified

1,067,460,516 

UNICEF 

2015 

Revenue from other activities

106,205,809 

UNIDO 

2015 

Voluntary Contributions - Specified

250,304,787 

UNIDO 

2015 

Assessed Contributions

77,899,231 

UNIDO 

2015 

Revenue from other activities

5,618,983 

UNITAR 

2015 

Voluntary Contributions - Specified

24,244,070 

UNITAR 

2015 

Voluntary Contributions - Non-specified

1,161,611 

UNITAR 

2015 

Revenue from other activities

15,575 

UNODC 

2015 

Voluntary Contributions - Specified

234,387,804 

UNODC 

2015 

Assessed Contributions

29,003,000 

UNODC 

2015 

Revenue from other activities

7,460,000 

UNODC 

2015 

Voluntary Contributions - Non-specified

4,305,620 

UNOPS 

2015 

Revenue from other activities

682,880,000 

UNOPS 

2015 

Voluntary Contributions - Non-specified

396,000 

UNRWA 

2015 

Voluntary Contributions - Specified

611,448,924 

UNRWA 

2015 

Voluntary Contributions - Non-specified

577,591,847 

UNRWA 

2015 

Revenue from other activities

23,689,000 

UNU 

2015 

Voluntary Contributions - Specified

60,827,400 

UNU 

2015 

Revenue from other activities

2,439,000 

UNWOMEN 

2015 

Voluntary Contributions - Specified

170,925,799 

UNWOMEN 

2015 

Voluntary Contributions - Non-specified

136,053,647 

UNWOMEN 

2015 

Assessed Contributions

7,505,355 

UNWOMEN 

2015 

Revenue from other activities

4,503,000 

UNWTO 

2015 

Assessed Contributions

14,647,529 

UNWTO 

2015 

Revenue from other activities

6,147,505 

UNWTO 

2015 

Voluntary Contributions - Specified

2,930,322 

UPU 

2015 

Assessed Contributions

35,911,241 

UPU 

2015 

Voluntary Contributions - Specified

20,901,992 

UPU 

2015 

Revenue from other activities

13,128,962 

WFP 

2015 

Voluntary Contributions - Specified

4,468,563,183 

WFP 

2015 

Voluntary Contributions - Non-specified

339,147,919 

WFP 

2015 

Revenue from other activities

103,162,434 

WHO 

2015 

Voluntary Contributions - Specified

1,856,625,919 

WHO 

2015 

Assessed Contributions

467,499,153 

WHO 

2015 

Voluntary Contributions - Non-specified

111,729,645 

WHO 

2015 

Revenue from other activities

39,286,690 

WIPO 

2015 

Revenue from other activities

357,101,348 

WIPO 

2015 

Assessed Contributions

17,962,326 

WIPO 

2015 

Voluntary Contributions - Specified

10,347,718 

WMO 

2015 

Assessed Contributions

65,842,583 

WMO 

2015 

Voluntary Contributions - Non-specified

5,488,331 

WMO 

2015 

Voluntary Contributions - Specified

5,087,405 

WMO 

2015 

Revenue from other activities

3,085,772 

WTO 

2015 

Assessed Contributions

198,009,349 

WTO 

2015 

Revenue from other activities

22,834,141 

WTO 

2015 

Voluntary Contributions - Specified

20,703,371 

 

You can get up-to-date statistics from the Chief Executives Board for Coordination. These are revenue figures for 2014 which show the total as well as the United States contribution..

Agency

Year

Total Revenue

US Share

US Pct

Agency as Pct of total

US Assessed Amount

Assessed percentage

DPKO

2014

7,999,450,000

2,213,888,420

27.7%

22.0%

2,213,888,420

100.0%

WFP

2014

5,450,369,726

2,261,988,935

41.5%

22.5%

0.0%

UNICEF

2014

5,169,287,191

941,763,079

18.2%

9.4%

0.0%

UN

2014

5,038,142,913

699,604,616

13.9%

6.9%

621,203,682

88.8%

UNDP

2014

5,000,915,482

494,950,411

9.9%

4.9%

0.0%

UNHCR

2014

3,055,908,219

1,280,827,870

41.9%

12.7%

0.0%

WHO

2014

2,629,392,232

419,122,947

15.9%

4.2%

118,451,142

28.3%

PAHO

2014

1,725,654,190

82,474,942

4.8%

0.8%

66,486,090

80.6%

IOM

2014

1,487,062,773

357,819,641

24.1%

3.6%

11,429,614

3.2%

FAO

2014

1,363,674,211

190,222,280

13.9%

1.9%

116,222,280

61.1%

UNRWA

2014

1,342,180,849

408,697,923

30.5%

4.1%

0.0%

UNFPA

2014

1,068,218,407

48,920,105

4.6%

0.5%

0.0%

UNESCO

2014

782,418,697

79,962,151

10.2%

0.8%

79,962,151

100.0%

UNEP

2014

702,098,769

44,668,398

6.4%

0.4%

32,186,014

72.1%

ILO

2014

699,561,337

124,657,669

17.8%

1.2%

84,834,416

68.1%

UNOPS

2014

673,819,000

0

0.0%

0.0%

0.0%

IAEA

2014

625,132,617

195,642,234

31.3%

1.9%

105,434,916

53.9%

IFAD

2014

382,414,000

30,000,000

7.8%

0.3%

0.0%

WIPO

2014

375,055,039

1,154,482

0.3%

0.0%

1,154,482

100.0%

UNWOMEN

2014

332,888,266

9,685,628

2.9%

0.1%

0.0%

UNODC

2014

328,639,466

41,830,117

12.7%

0.4%

0.0%

UNAIDS

2014

277,645,967

59,384,823

21.4%

0.6%

0.0%

UNIDO

2014

271,219,065

670,834

0.2%

0.0%

0.0%

WTO

2014

244,865,408

23,824,816

9.7%

0.2%

22,592,404

94.8%

ICAO

2014

226,729,801

18,654,370

8.2%

0.2%

17,059,183

91.4%

UN-HABITAT

2014

193,212,000

5,349,461

2.8%

0.1%

0.0%

ITU

2014

182,476,541

9,665,642

5.3%

0.1%

9,665,642

100.0%

ITC

2014

107,250,792

1,100,000

1.0%

0.0%

0.0%

WMO

2014

81,507,500

16,350,881

20.1%

0.2%

14,332,505

87.7%

IMO

2014

74,231,338

1,594,292

2.1%

0.0%

0.0%

UNU

2014

71,871,390

0

0.0%

0.0%

0.0%

UPU

2014

65,407,443

2,116,006

3.2%

0.0%

2,116,006

100.0%

UNITAR

2014

28,791,878

0

0.0%

0.0%

0.0%

UNWTO

2014

22,345,873

0

0.0%

0.0%

0.0%

0.0%

TOTAL

2014

48,079,838,380

10,066,592,973

20.9%

100.0%

3,517,018,947

34.9%

Year

Revenue Type

Revenue

2014

Voluntary Contributions - Specified

26,427,076,096

66.5%

2014

Assessed Contributions

13,726,868,013

2014

Voluntary Contributions - Non-specified

4,888,979,347

2014

Revenue from other activities

3,036,914,924

 

Is that a lot? Well, it would make the international public sector like the public sector of a medium-size national economy. But, the UN Secretariat is wont to say, when trying to convince the public that it is not spending too much, that it [the Secretariat] is smaller than the municipal government of Stockholm, or the New York City Fire Department, or MacDonalds worldwide.

Perhaps, however, it is not a fair question: is importance a matter of merely financial expenditure?

How about in terms of jobs? In 2007, I did a paper for a Wilton Park conference in the UK and analyzed staff growth in the UN system. Here is what I found:

According to Chief Executive Board figures, the number of staff in the UN system increased 135 percent between 1986 and 2005.  This was a 12 percent growth per year.  Constrained by zero growth budgets, the staff funded from the assessed budgets was only steady. However, if we assume an average growth of 12 percent per year, we can expect, in 2020, a UN System staff of 317,401 persons.

It did not quite reach that amount, since in 2022 the total staff size was 125,436,  Still there has been steady growth.

 

UN System

Total number of personnel in 2022: 125,436

Organization

2017

2018

2019

2020

2021

2022

CEB

17

15

15

14

17

16

CTBTO

310

277

280

283

290

300

FAO

3,134

3,108

3,119

3,171

3,224

3,202

IAEA

2,394

2,547

2,781

2,544

2,587

2,522

ICAO

795

797

771

741

736

737

ICJ

109

0*

115

114

115

111

ICSC

45

42

43

46

45

44

IFAD

627

619

674

723

746

781

ILO

3,008

3,171

3,302

3,447

3,606

3,651

IMO

270

264

271

273

255

251

IOM

4,450

4,888

5,564

6,110

6,589

7,648

ISA

35

40

47

41

43

49

ITC

287

287

315

355

359

375

ITCILO

164

176

178

171

172

173

ITLOS

35

34

0*

0*

0*

37

ITU

680

727

749

758

782

774

JIU

0*

31

30

30

30

30

PAHO

802

881

870

789

786

818

UN

34,153

33,745

35,194

35,520

35,700

34,914

UN WOMEN

825

934

1,036

1,095

1,123

1,129

UNAIDS

684

688

715

733

710

631

UNDP

7,177

7,013

6,894

7,345

7,523

7,394

UNESCO

2,148

2,206

2,246

2,251

2,303

2,341

UNFCCC

385

368

385

369

366

396

UNFPA

2,658

2,781

2,934

3,097

3,149

3,111

UNHCR

9,740

10,197

10,948

11,650

12,157

13,354

UNICC

263

258

257

276

288

325

UNICEF

12,806

14,474

14,804

13,994

14,413

15,654

UNIDO

617

627

643

654

646

649

UNITAR

41

41

42

49

51

54

UNJSPF

247

254

286

307

339

363

UNOPS

764

744

763

817

683

617

UNRWA

265

236

205

200

172

179

UNSSC

35

34

40

44

46

44

UNU

116

125

124

128

138

142

UNWTO

87

83

83

85

85

92

UPU

178

183

182

176

244

237

WFP

6,091

6,680

7,362

7,917

9,037

11,670

WHO

8,134

8,153

8,351

8,591

8,823

9,117

WIPO

1,159

1,176

1,163

1,186

1,170

1,162

WMO

324

315

338

294

322

342

Total

106,059

109,589

114,119

116,388

119,870

125,436

 


Statistics from the Chief Executive Board, UN System Human Resources Statistics.

The main contributers are shown below.  These are the countries who pay for most of the operations of the UN system.



Total amount: 48,484,007,406

Filters: 2021

All values are in USD.

Government donor

Entity

Amount

United States of America

-

12,496,438,347

Germany

-

6,112,645,264

Sweden

-

2,852,100,255

Japan

-

2,707,980,548

United Kingdom

-

1,993,439,163

China

-

1,977,740,952

Canada

-

1,701,735,606

France

-

1,309,689,606

Norway

-

1,278,449,910

Italy

-

1,032,975,240

Others

-

15,020,812,510

Total

-

48,484,007,406

 

The statistics do not yet demonstrate my projection, but...

Where is the United Nations expanding?

Let’s try to get a handle on this. Three areas where there is international public sector action could be postulated.

We need to look at this a bit. What are the commons?

The concept was applied in medieval Europe to lands that belonged to everyone in the community and could be used for the collective good. [In fact, this could be found in all cultures]

In our time, it was used to refer to those physical spaces that were outside national jurisdiction. The deep sea bed, the high seas, the troposphere, outer space and, depending on which country you talk to, Antarctica. It has also been used to refer to the Internet.

In a paper I wrote, I expanded on it somewhat.

         "The concept of global commons can be expanded beyond physical space. To do this, it is possible to start from the two characteristics of the commons as set out in the Law of the Sea. In this, the commons

(a)        is either outside national jurisdiction or the ability of national authorities to deal with it and therefore cannot be managed through or by the actions of individual nations, in an exercise of national sovereignty but rather it can only be managed by actions directed by the community.

(b)       includes issues or phenomena which are of public interest and cannot be taken care of by the operations of the market."

Here we are talking about a kind of conceptual space: the interval between the time a good leaves one national jurisdiction and enters another’s. We are also talking about issues that cannot be handled by national action (transnational crime, for example, or the Internet or climate change).

Let me say a word about the market...

A pure modern case is the Internet. We will expand on that later in the course, since the discussions on Internet governance are beginning to question whether the Internet could really be a pure market. In fact, there are no pure markets (since they would have to clear instantly and this never happens) and, when there are imperfect markets, some institution has to provide either regulation or a framework on the basis of which there could be stability.

Managing the commons means more (and less) than domestic public administration.

            Defining that role can be seen in terms of the answers to two questions: What would be required to manage the commons? And, in that management, what value-added does an international organization have?

            It is necessary to consider international organizations as actors in their own right. The theoretical literature tends to ignore them as actors, in part because, absent any attributions of sovereignty, it is not clear what their role would be. The negotiations to establish a regime (or a new institution) are, after all, among States.

            It will be necessary to change the way in which international public organizations are seen in order to be able to explore the nature of a "sovereign-less" institution. Some characteristics, however, can be deduced immediately:

           They will be non-hierarchical, rather than reflecting a Weberian bureaucratic structure;

           They will be based on their use of information rather than on the production of goods;

           They will be decentralized rather than centralized, since there would be no centralizing agency possible.

           Issues of command and control would be particularly complex.

Much of what you learn in public administration theory will be valid here. Much will not be.

If you apply an open systems model, you will see that both the internal functioning of the organizations and their policy environment are particularly complex. We are dealing with a system in which one large block of actors are sovereign and where the organization itself is multi-cultural.

It is these differences which make up what we call the sub-discipline of international public management, one which will grow, inevitably, over your lifetimes.

2. How to look at the international public sector

Current theories of international relations as they apply to international organizations including realism and neo-realism, functionalism, regime theory, new institutionalism and global governance. It will provide a brief analytical introduction to the structure of the United Nations system.

The function of theory in practice

The way we see things is a combination of two factors:

Theory constructs those categories. It makes it possible to organize the information. It permits coherence. But it has two difficulties;

International relations theory: two competing paradigms

There are two essentially polar approaches to looking at international relations: realism and functionalism. [As we will see, they are not, however true dichotomies.] There are many other terms used to claim to be theories, but in essence they are one of these two.

Realism

The realists (and neo-realists and now "new realists") see the State as the building block of the international system. The Nation-State, the political contribution of the Nineteenth Century, is seen as sovereign and, to an extent, self-contained. Sometimes this is called the Westphalian system, after the Treaty of Westphalia that ended the Thirty-Years War in Europe and solidified the notion of sovereign States.

The government of the State acts on behalf of its citizens, who are bound together by various ties of ethnicity, sometimes religion, more often common experience and a common physical territory.

The State provides services to its members (public order, public investment) almost autonomously and can control its borders.

States have goals and objectives which are grouped under the heading "the national interest" (expressed as policies and positions, such as free trade, protectionism, territorial integrity, economic growth, national pride).

International relations among states are based on power politics. Stronger States dominate weaker. States make deals (bilateral agreements) with each other.

When the State system functions, order is maintained. When it breaks down, order must be re-established, usually through armed conflicts.

In the realist model, international organizations provide a place where national interest can be worked out in a multi-lateral context. Where the national interests of most coincide, agreements can be reached and can be honored.

But at the heart of it all is State sovereignty: the Nation-State is the only real building block. International relations can be likened to a billiard game. Conflict is a characteristic of the system, and from it, change.

Functionalism

What is termed functionalism actually comes from anthropology. Social scientists studying societies (like Bronislaw Malinowski in anthropology and Talcott Parsons in sociology) found that societies held together because certain functions were performed. If these functions were analyzed, this would help understand how the society worked. If the functions were not performed correctly or were in conflict, if they were dysfunctional, the societies could break down.

Functionalism came to be applied to international relations as part of an analysis of why the League of Nations, founded on the realist model, broke down. Scholars found that those aspects of the League that worked most well were in the economic and social area, where the League helped certain functions (like drug control or technical regulation) be performed internationally.

Some scholars in the first half of the Twentieth Century, like David Mitrany, a British political scientist, saw the number and complexity of these functions growing. They noted that the causes of conflict were rooted in economic and social factors (poverty, perceptions) and the causes of community were also rooted there. These functions could not be performed by individual States, so they would have to be performed by multi-lateral institutions. Mitrany’s view was reflected in an influential essay entitled "A Working Peace System" which spoke of a system of international organizations performing key functions.

Both paradigms had their limitations, as well as their strengths.

 

Strengths

Weaknesses

Realism

Focussed on States who were evidently in charge

Did not explain well why States could come together

Poor explaination of the process (no clear model of State prevalence)

Functionalism

Explained why States could come together and the role of international institutions

Did not explain change and did not really match reality

Of particular concern to the realists, who have been by far the most dominent, is that global changes clearly undermine their assumption.

Mark Zacher, a Canadian political scientist [Canadians are quite prominent in international relations studies] wrote an essay entitled "The Decaying Pillars of the Westphalian Temple: Implications for International Order and Governance" in which he pointed out that each of the conceptual pillars of realism was decaying. These included:

All of these are factors that the old functionalists would have assumed would happen.

The United Nations reflected both models

The UN Charter contains a bit of both paradigms.

The preamble starts "We the people..." indicating that the organization is larger than the Nation-State

It sets up four purposes for the United Nations, each based on a functionalist perspective. They are:

The Charter specified the norms and procedures that would achieve these purposes, by stating:

AND FOR THESE ENDS

But then, the realist paradigm was invoked, by stating:

HAVE RESOLVED TO COMBINE OUR EFFORTS TO ACCOMPLISH THESE AIMS

Accordingly, our respective Governments, through representatives assembled in the city of San Francisco, who have exhibited their full powers found to be in good and due form, have agreed to the present Charter of the United Nations and do hereby establish an international organization to be known as the United Nations.

The remainder of the Charter is on how the Member States would conduct their business.

Article One sets out the objectives to be pursued in terms of a State system. All but one are realism-based.

1. To maintain international peace and security, and to that end: to take effective collective measures for the prevention and removal of threats to the peace, and for the suppression of acts of aggression or other breaches of the peace, and to bring about by peaceful means, and in conformity with the principles of justice and international law, adjustment or settlement of international disputes or situations which might lead to a breach of the peace;

2. To develop friendly relations among nations based on respect for the principle of equal rights and self-determination of peoples, and to take other appropriate measures to strengthen universal peace;

3. To achieve international co-operation in solving international problems of an economic, social, cultural, or humanitarian character, and in promoting and encouraging respect for human rights and for fundamental freedoms for all without distinction as to race, sex, language, or religion; and

The fourth is somewhat of a functionalist statement, and was the one least considered for most of the UN’s first fifty years.

4. To be a centre for harmonizing the actions of nations in the attainment of these common ends.

The key element is the State, and article 2 states this clearly:

"1. The Organization is based on the principle of the sovereign equality of all its Members."

The intergovernmental structure of international organizations

Translated in structural terms, the realist model is found in the inter-governmental organizations.

Same is true of the other international organizations, except for Security Council: A general conference to make final decisions, a governing body to make operational decisions and specialized committees on matters like budget.

An exception is the Bretton Woods institutions (WB, IMF and now the WTO). Here there is a Board of Directors, with voting and membership based on shares. While it is a realist model, it also mimics business.

Secretariats

Each organization has a secretariat. These do not fit well into the realist model.

If you examine articles 98-102 of the Charter, which describes the Secretariat, you will not find a description of what it does, only how it is expected to be composed.

Originally, secretariats were an extension of the realist model: members were to be seconded from national civil services. This was the case of the League of Nations.

This became clearly dysfunctional, and there was a move towards an independent civil service.

The idea of an independent service is built into the Charter (one of the articles specifies that no international civil servant is to take instructions from a government), but not what it is to do.

Intermediate theories: regime theory and global governance

The inadequacy of both the realist and the functionalist paradigms has led scholars to find middle-ground in other theories. These emphasize the process more than the structure and, to some degree, build on elements of both realism and functionalism.

Regime theory

Looking at the world in the early 1980’s, a number of international relations specialists saw an increasing "harmonization of the actions of nations in the attainment of common ends." Clearly these were agreements among governments that were felt to be binding, but which had no "government-like" enforcement measures. Still, they provided a form of order.