但是,冷战期间,第一意象或个人层次理论并没有得到应有的重视。20世纪70年代,国际政治的新发展推动了国际关系理论的多元争鸣,心理学与国际政治的融合取得了历史性进展。1978年,美国成立了“国际政治心理学学会”,随后创立了会刊《政治心理学》( Political Psychology) ,极大地推动了政治心理学与国际政治研究的交叉融合。冷战结束后,随着国际关系研究层次的回归[5],国际政治心理学的研究领域进一步拓展。除了传统的研究领域,如舆论与国内选举、对外政策决策和外交战略,国际政治心理学还应用到民族主义、种族清洗和种族屠杀以及恐怖主义等研究领域。[6]
对个性的研究主要集中于处于决策地位,或能对决策过程和结果产生影响的人。在有关领导人个性与对外政策关系的研究中,赫尔曼提出,只有参加决策过程且处于主导地位的领导人的个性才值得关注和研究,如美国总统、内阁制国家的总理或首相。这方面的例子包括,鲁本泽( S. Rubenzer)等人借助队115位总统传记作家问卷调查的结果分析41位美国总统个性特点;温特劳布(W. Weintraub) 依据新闻发布会上总统回答记者提问的内容,分析艾森豪威尔等八位美国总统的个性特点。[72]
[6]Martha Cottam et al. eds. Introduction to Political Psychology (Mahwah: Lawrence Erlbaum Associates Publishers, 2004) . 鉴于篇幅所限,本文不涉及政治心理学对国内政治现象的研究。
[7]David O. Sears et al. eds. , Oxford Handbook of Political Psychology (New York: Oxford University Press, 2003) , pp. 4, 10.
[8]Rose McDermott, Political Psychology in International Relations (Ann Arbor: The University of Michigan Press, 2004) , p. 49.
[10]Harold D. Lawssell, Psychology and Politics (New York: Viking, 1960) , pp. 65—67; 弗洛伊德: 《梦的解析》(罗林等译) ,北京,九州出版社2004年版。
[11]David G. Winter, “Personality and Foreign Policy: Historical Overview of Research, ”in Eric Singer and Valerie Hudson eds. , Political Psychology and Foreign Policy (Boulder, CO: Westview Press, 1992) , p. 96, note 1.
[12]Rose McDermott, Political Psychology in International Relations, p. 48.
[13]Calvin S. Hall and Gardner Lindzey, Theories of Personality (New York: Wiley, 1970) , p. 68.
[14]Harold D. Lasswell, Power and Personality (New York: W. W. Norton, 1948) , pp. 39—53.
[15]Alexander and Juliet George, Woodrow Wilson and Colonel House (New York: Dover, 1964 ) ; Alexander George, “Power as a Compensatory Value, ”The Journal of Social Issue, Vol. 24, No. 3, 1968, pp. 29— 49; Freud and Bulliet, Thom as Woodrow Wilson: A Psychological Study (Boston, MA: Houghton Mifflin, 1967) ; E. A. Weinstein et al. “Woodrow Wilson’s Political Personality: A Reapp raisal, ”in Political Science Quarterly, Vol. 93, No. 4, 1978—1979, pp. 585—598.
[16]Frenkel-Brunswick Adorno et al. The Authoritarian Personalities (New York: Harper, 1950) .
[17]Max Weber, The Theory of Social and Economic Organization (New York: The Free Press, 1947) , pp. 328—334.
[18]Ann Ruth Willner, The Spellbinders, (New Haven: Yale University Press, 1984) , p. 7.
[19]Niccolo Machiavelli, The Prince (New York: Washington Square Press, 1963 ) , pp. 34— 44, 71—78.
[20]William F. Stone and Paul E. Schaffner, The Psychology of Politics (New York: Sp ringer2Verlag, 1988) , pp. 142—143.
[21]Jerold Post and Robert Robins, eds. , W hen Illness Strikes the Leader: The Dilemm a of the Captive King (New Haven, NC: Yale University Press, 1993) .
[22]American Pschiatric Association, Diagnostic and Statistical Manuel of Mental Disorder (Washington DC, 2000) .
[23]Jerrold M. Post, “Leader Personality Assessments in Support of Government Policy, ”in Jerold M. Post ed. , The Psychological Assessm ent of Political Leaders w ith Profiles of Saddam Hussein and B ill Clinton (Ann Arbor: The University ofMichigan Press, 2003) , pp. 39—46.
[24]美国中央情报局组建领导人个性分析中心的主要目的是:为总统和内阁成员参加首脑会晤和 高层次谈判提供支持; 在危机时候提供支持; 协助情报评估。Jerrold Post ed. , The Psychological Assessment of Political Leaders w ith Profiles of Saddam Hussein and B ill Clinton, p. 61。
[25]Jerold M. Post, Leaders and Their Followers in a Dangerous W orld: The Psychology of Political B ehavior ( Ithaca and London: Cornell University Press, 2004) , pp. 265—271.
[26]Jimmy Carter, Keeping Faith: M em oirs of A President (New York: Bantam, 1982) , pp. 319—320.
[27]Robert S. Robins and Jerold M. Post, eds. , Political Paranoia: The Psychopolitics of Hatred (New Haven, CT: Yale University Press, 1997) .
[28]Barry R. Schneider and Jerold Post eds. , Know Thy Enem y: Profiles of Adversary Leaders and Their Strategic Culture (Maxwell Air Force Base, Ala. : U. S. Air Force Counterproliferation Center, 2002) ; Jerold M. Post, Leaders and Their Followers in a Dangerous World; Jerold Post ed. , The Psychological Assessm ent of Political Leaders w ith Profiles of Saddam Hussein and B ill Clinton.
[29]Calvin S. Hall and Gardner Lindzey, Theories of Personality, p. 68.
[32]Yaacov Y. I. Vertzberger, The W orld In Their M inds: Inform ation Processing, Cognition, and Perceptions in Foreign Policy Decision2m aking ( Sanford, CA: Stanford University Press, 1990) , p. 111.
[33]Stanley A. Reston, “Psychological Assessments of Character and Performance in Presidents and Candidates: Some Observations on Theory and Method, ”in Jerold Post ed. , The Psychological Assessm ent of Political Leaders w ith Profiles of Saddam Hussein and B ill Clinton, p. 109
[34]Gordon. Allport, Pattern and Grow th in Personality (New York: Holt, Rinehart and Winston, 1961) , pp. 2—3.
[36]Martha Cottam et. al. eds. , Introduction to Political Psychology, p. 20.
[37]Margaret G. Hermann ed. , Leaders, Groups, and Coalition: Understanding the People and Process in Foreign Policy M aking, Special Issue of International S tudies Review, 2001, chap ter 3.
[38]Margaret G. Hermann, “Effects of Personal Characteristics of PoliticalLeaders on Foreign Policy, ”in Maurice East et. al. eds. , W hy N ations Act (CA: Sage Publications, 1976) , p. 68.
[39]Ibid. , p. 57.
[40]Margaret G. Hermann, “Effects of Personal Characteristics of PoliticalLeaders on Foreign Policy, ”in Maurice East et. al. eds. , W hy N ations Act (CA: Sage Publications, 1976) , p. 63.
[41]David James Barber, Presidential Character: Predicting Perform ance in the W hite House ( Englewood Cliffs: Prentice Hall, 1972) , p. 6.
[42]Valerie Hudson, Foreign Policy Analysis: Classics and Contem porary Theory (Lanham: Rowman and Littlefeild Publisher, 2007) , pp. 54—56.
[43]巴伯书中并没有对小布什的研究,但根据其框架小布什属于被动积极性的领导人。
[44]Thomas Preston, The President and His Inner Circle: Leadership S tyle and the Advisory Process in Foreign Policy M aking (New York: Columbia University Press, 2001) .
[45]Robert Emmons, “Motives and Goals”in R. Hogan and S. Briggs eds. , Handbook of Personality Psychology (New York: Academic, 1997) , p. 486.
[46]Richard K. Hermann, “Percep tions and Foreign Policy Analysis, ”in Donald A. Sylvan and Steve Chan eds. , Foreign Policy Decision M aking: Perception, Cognition and A rtificial Intelligence (New York: Praeger Publishers, 1984) , pp. 25—26.
[47]David G. Winter, “Motivation and Political Leadership, ”in Linda O. Valenty and Ofer Feldman eds. , Political Leadership for the N ew Century: Personality and B ehavior am ong Am erican Leaders (Westport, CT: Praeger Publishers, 2002) , pp. 26—47.
[48]M. G. Hermann, “Assessing the Foreign Policy Role Orientations of Sub2Saharan African Leaders, ” in Stephen G. Walker ed. , Role Theory and Foreign Policy Analysis (Durham, NC: Duke University Press, 1987) , pp. 161—198. Margaret Hermann, “Assessing Leadership Style: Trait Analysis, ”in Jerrold M. Post ed. , The Psychological Assessm ent of Political Leaders w ith Profiles of Saddam Hussein and B ill Clinton, pp. 153—177.
[49]Margaret G. Hermann, “Assessing Leadership Style: Trait Analysis, ”p. 181.
[50]Richard Snyder and James Robinson, N ational and International Decision2M aking (New York: The Institute for InternationalOrder, 1961) , p. 164.
[51]Juliet Karrbo, “Linking Leadership Style to Policy: How Prime Minister Influence the DecisionMaking Process, ”in Ofer Feldman and Linda O. Valenty eds. , Profiling Political Leaders: Cross2Cultural S tudies of Personality and B ehavior (Westport, CN: Praeger 2001) , pp. 81—84.
[53]Bullock and O. Stallybrass, The Harper D ictionary of M odern Thought (New York: Harper and Row, 1977) , p. 109.
[54]Martha Cottam et. al. , eds. , Introduction to Political Psychology, p. 9.
[55]Harold and Margaret Sp rout, The Ecological Perspective on Hum an Affairs w ith Special Reference to International Politics ( Princeton: Princeton University Press, 1965) , pp. 11, 224.
[56]Ole R. Holsti, “The Belief System and National Images: A Case Study, ”in James Rosenau ed. , International Relations and Foreign Policy (New York: Free Press, 1967) , p. 548.
[57]Alexander George“The Operational Code: A Neglected App roach to the Study of Political Leader and DecisionMaking, ”International S tudies Quarterly, Vol. 13, No. 2, 1969.
[58]有关中国对外政策的研究包括: Davis B. Bobrow, “The Chinese Communist Conflict System, ” O rbis, 9 Winter 1966; H. Boorman and S. Boorman, “Strategy and National Psychology in China, ”The Annals, 370 March 1967; Tang Tsou and Morton H. Halperin, “Mao Tse2tung’s Revolutionary Strategy and Peking’s International Behavior, ”Am erican Political Science Review , 59, March 1965。
[59]Stephen G. Walker, “The Interface between Beliefs and Behavior: Henry Kissinger’sOperational Code and the Vietnam War, ”Journal of Conflict Resolution, No. 21 1977.
[60]Stephen G. Walker et al. , “Systematic Procedures for Operational Code Analysis: Measuring and Modeling J immy Carter ’s Operational Code, ” International S tudies Quarterly, 42: 175—190; Stephen G. Walker et al. , “Profiling Operational Codes of Political Leaders, ”in Jerrold M. Post ed. , The Psychological Assessm ent of Political Leaders, pp. 214—245. 国内发表的研究成果可参见冯惠云:《防御性的中国战略文 化》,《国际政治科学》2005年第4期,第1—23页。
[61]Robert Jervis, Perception and M isperception in W orld in International Politics ( Princeton: Princeton University Press, 1976) , p. 28.
[62]Vertzberge, TheW orld in TheirM ind, p. 113.
[63]Susan Fiske and Shelley Taylor, Social Cognition (New York: MacGraw2Hill, 1991) , p. 469.
[64]Daniel Heradstveit, The A rab2Israeli Conflict: Psychological Obstacles to Peace ( Oslo: Universititesforlaget, 1979) , p. 79.
[65]Vertzberger, TheW orld in TheirM inds, pp. 125—127.
[66]DwainMefford, “Analogical Reasoning and the Definition of the Situation: Back to Snyder for Concep ts and forward to Artificial Intelligence for Method, ” in Charles F. Hermann, et. al. eds. , N ew D irections in the S tudy of Foreign Policy (Boston: Allen & Unwin, 1987) , pp. 221— 247; Keith L. Shimko, “Foreign PolicyMetaphor: Falling‘Dominoes’and Drug‘Wars’, ”in Laura Neack et; al. ed. Foreign Policy Analysis: Continuity and Change in Its Second Generation (NJ: Prentice Hall, Englewood Cliffs, 1995) , pp. 71—84.
[67]Jervis, Perception and M isperception in International Politics, p. 226.
[68]Yuen Foong Khong, Analogies atW ar: Korean, M unich, D ien B ien Phu, and the V ietnam Decision of 1965 ( Princeton, NJ: Princeton University Press, 1992) .
[69]Jervis, Perception and M isperception in International Politics, p. 222.
[70]Martha Cottam et. al. eds. Introduction to Political Psychology, p. 6.
[71]Valerie Hudson, Foreign Policy Analysi, pp. 38—39; Jerold Post ed. , The Psychological Assessm ent of Political Leaders, p. 2.
[72]David G. Winter, “Assessing Leaders ’ Personalities: A Historical Survey of Academic Research Studies, ”in JeroldM. Post ed. , The Psychological Assessm ent of Political Leaders, pp. 12—13.
[74]Irving L. Janis, Groupthink: Psychological S tudies of Foreign Policy Decisions and Fiascoes (Boston: HoughtonMifflin, 1982) ; 中文介绍见张清敏:《小集团思维:外交政策分析的特殊模式》,《国际论坛》 2004年第2期,第73—78页。
[75]有关中国精英群体对美国或其他国际问题认知的研究就是典型例证。参见David Shambough, B eautiful Im perialism: China Perceives Am erica 1972—1990 ( Princeton: Princeton University Press, 1991 ) , Allen S, Whitting, China Eyes Japan (Berkeley: University of California Press, 1989 ) ; Philip Saunders, “China’sAmericanWatchers: ChangingAttitudes towards theUnited States, ”China Quarterly, No. 161, March 2000;Michael Pillsbury, “China’s Percep tions of the USA: A View From Open Sources, ”http: / /www. uscc. gov/ researchpapers/2000_2003 /pdfs/ chinperc. pdf; Deborah A. Cai, “Percep tive toward the United States in Selected Newspapers of the Peop le ’Republic of China, ”http: / /www. uscc. gov/ researchpapers/2000 _2003 / pdfs/ chinmed. pdf。
[76]RoseMcDermott, Political Psychology in International Relations, pp. 21—44.
[78]Jerold Post ed. , The Psychological Assessm ent of Political Leaders, Valerie Hudson, Foreign Policy Analysis, pp. 55—56.
[79]Jerold Post ed. , Leaders and Their Followers in a DangerousW orld.
[80]于沛:《现代史学分支学科概论》,北京,中国社会科学出版社1998年版,第298页。
[81]Martha Cottam, et. al. eds. , Introduction to Political Psychology, p. 30.
[82]Stephen G. Walker et al. , “Profiling the Operational Codes of Political Leaders: The V ICSMethod for the Statistical Analysis of TextualMaterials, ”conference paper for 1997 ISA.
[83]Yaacov Vertzberger, TheW orld in TheirM ind, p. 111.
[85]Margaret Hermann, “Personality and Foreign Policy Decision Making: A Study of 53 Heads of Government, ”in Donald A. Sylvan and Steve Chan, eds. Foreign Policy decision2m aking: Perception, Cognition, and A rtificial Intelligence, pp. 53—80.
[86]StephenWalker, “Beliefs and Foreign Policy Analysis in the New Millennium, ”in Michael Brecher and Franck P. Harvey eds. , Conflict, Security, Foreign Policy, and International Political Econom y: Past Paths and Future D irections in International S tudies (Ann Arbor, Michigan: The University ofMichigan Press, 2002) , pp. 61—62.
[87]Antonio Damasio, Descartes’ Error: Em otion, Reason, and the Hum an B rain (New York: Putnam, 1994) , p. viii.
[88]Jacques E. C. Hyman, The Psychology of N uclear Proliferation: Identity, Em otion, and Foreign Policy (Cambridge: Cambridge Press, 2006) . 该书将情绪和认同引入对不同国家核政策的比较研究, 2007 年先后获得美国国际政治心理学会亚历山大·乔治奖(Alexander George Award)和国际安全领域的埃德 加·富尼斯最好首本图书奖( Edgar S. FurnissBook Award for the Best FirstBook in International Security) 。
[89]AlexMintz, “How Do LeadersMake Decisions? A Poliheuristic Perspective, ”The JournalOf Conflict Resolution, Vol. 48, No. 1, 2004, pp. 3—13; David J. Brulé, “Exp laining and Forecasting Leaders ’ Decisions: A Poliheuristic Analysis of the Iran Hostage Rescue Decision, ”International S tudies Perspectives, Vol. 6, No. 1, pp. 99—113; Eric Stern, “Contextualizing and Critiquing the Poliheuristic Theory, ”Journal of Conflict Resolution, Vol. 48, No. 1, 2004, pp. 105—126. 国内有关这个领域最新发展的介绍可参见韩召 颖、袁维杰:《对外政策分析中的多元启发理论》,《外交评论》2007年第6期,第75—83页。
[93]DavidWinter, “Personality and Foreign Policy, ”p. 96.
[94]Yaacov Vertzberger, TheW orld in TheirM inds, chap ter 4 and 5.
[95]Ofer F. eldman and Linda O. Valenty eds. , Profiling Political Leaders: Cross2Cultural S tudies of Personality and B ehavior (Westport, CN: Praeger, 2001) .
[96]Alexander George“Preface, ”in Jerold Post Leaders and Their Followers in a DangerousW orld, p. x.
[98]Michael Brecher and Franck P. Harvey eds. , Conflict, Security, Foreign Policy, and International Political Econom y, p. 7.
[99]Stephen G. Walker, “Beliefs and Foreign Policy Analysis in the New Millennium, ” in Michael Brecher and Franck P. Harvey eds. , Conflict, Security, Foreign Policy, and International Political Econom y, p. 65; Jerel Rasati, “A Cognitive App roach to the Study of Foreign Policy, ”in Laura Neack et; al. ed. Foreign Policy Analysis, p. 67.