Introduction
Institutional change has been a central issue throughout the history of International Relations (IR) theory. Still, the question of how patterns of shared expectations or practices emerge, transform, and dissolve remains somewhat of an unresolved issue. As a consequence, institutionalist literature has been criticised for being better able to explain continuity than change.Footnote 1 One of the many open questions is how dynamics in the ‘deep structure’ of international society correspond to changes in more specific institutions as embodied by regimes and international organisations.Footnote 2 There have been two basic approaches to this issue in IR scholarship. Some scholars, particularly regime theorists, have used a hierarchical conception of institutions and argued that issue-specific provisions were ‘embedded’ in a fundamental layer of ‘social purpose’ or ‘meta-regimes’; thus, if the latter change, so will the former.Footnote 3 Scholars interested in socialisation processes have essentially reversed this logic by looking into the role of international organisations as venues for or instruments in creating and diffusing certain norms in international society.Footnote 4 In this perspective, change in the deep structure emanates from interactions in and activities of specific institutions. Both of these approaches, however, assume a unidirectional logic that traces institutional change either from general norms to specific rules, or the other way round. What is lacking so far is a comprehensive model that is not biased towards either logic of adaption and accounts for the interdependence of the two levels of social structure in international relations, conceiving of the direction of change as an empirical rather than theoretical question.
The distinction made by English School authors between primary and secondary institutions offers a new perspective on this question by establishing the notion of institutional layers in international society. However, this article asserts that the English School has not yet made full use of the potential of this conceptualisation. So far, the School has failed to clarify the role of secondary institutions such as international organisations and regimes as autonomous objects of analysis, seeing them as mere materialisations or derivatives of primary institutions, or shunting them into the realm of regime theory altogether. This negligence is regrettable because it oversees the complex dynamics between the two levels. Barry Buzan, who has introduced the distinction into the English School, rightly deplores that ‘the division of labour [between students of primary and secondary institutions] has gone too far, with neither English School writers nor liberal institutionalists and regime theorists bothering to think about how the level of institutions that they study relates to the other’.Footnote 5 With a view to explaining institutional change, this means that it has to be studied more intensively how secondary institutions relate to primary institutions in order to determine their respective roles in institutional change.
I contend that a sounder account of the role of secondary institutions in institutional change can be attained through a more thorough engagement of the English School with ideas from constructivism and historical institutionalism. In particular, the School should adopt the concepts of structuration and path dependence. While the main strand of the English School is in fact engaging with constructivist ideas,Footnote 6 it has not gone ‘all the way down’ in this respectFootnote 7 because it favours a reductionist rather than holist ontology of international society, which is not amenable to the idea of structuration. By contrast, I propose that a perspective emphasising the intersubjectivist dimension of international society may account for the distinctive mechanisms by which primary and secondary institutions emerge from, and by which they are informative of, interaction in international relations. At the same time, insights from historical institutionalism, particularly arguments about path dependence, can help instil a dynamic perspective on primary and secondary institutions, accounting for both stability and change. The theoretical model I develop from these considerations sees primary and secondary institutions as linked by distinctive processes of constitution and institutionalisation, with the practice of international actors as an intervening layer. The interplay of these layers can be seen as catalysing but at the same time mediating institutional change. This model helps to establish international organisations and regimes as a crucial part of the English School agenda, but it also contributes to the theorisation of institutional change in the discipline of International Relations. Specifically, it draws attention to the political mechanisms that lead to continuity and change in international institutions, and thus accounts for the political nature of change in international society more broadly.
The article proceeds as follows: First, it discusses the basic English School concepts and their different uses by contemporary representatives in order to work out individualist and intersubjectivist understandings of international society in general and international institutions in particular. Secondly, I discuss the notion of primary and secondary institutions and show how an intersubjectivist reading can enhance our understanding of the relation between the two layers. Thirdly, based on these arguments, I develop a two-level structurationist model of constitution and institutionalisation and show how it can account for institutional stability and change by drawing on the concept of path dependence.
What are international institutions? Individualist and intersubjectivist ontologies in the English School
The concept of international institutions has for a long time been a key element of the English School of International Relations. This is not surprising, as institutions embody the School's core claim that social order is possible even in the context of international anarchy.Footnote 8 However, the School has only recently started an in-depth discussion on the issue of different institutional layers. Conspicuously, there are now more and more publications dealing with the role of specific international organisations in international society.Footnote 9 What the English School lacks so far is a comprehensive model for how these layers of international structure interact in bringing about and moderating change. This corresponds to a longstanding general shortage of profound theorisation of institutional change in the writings of the English School. Catalogues of supposedly existing institutions have been far more abundantFootnote 10 than inquiries into the conditions and mechanisms of their emergence, persistence, and transformation. Moving away from the traditional reductionist ontology of international society towards a more holistic conception can help to overcome these shortcomings and integrate international organisations and regimes more firmly into the English School's theoretical framework. To illustrate this point, in the following I will distinguish individualist and intersubjectivist approaches to ‘the social’ in English School writing.
The individualist approach sees the structure of international society as consisting of units, their subjective interpretations of their environment and their collective patterns of behaviour.Footnote 11 The unit-based conception of international society can be traced back to the works of classical English School authors such as Hedley Bull and Adam Watson, who define international society as ‘a group of states (or, more generally, a group of independent political communities) which not merely form a system, in the sense that the behaviour of each is a necessary factor in the calculations of the others, but also have established by dialogue and consent common rules and institutions for the conduct of their relations, and recognise their common interest in maintaining these arrangements’.Footnote 12 Most contemporary English School authors share this assumption, including the ‘neoclassical’ writers, who see themselves in the epistemological and methodological tradition of the early writings, such as Navari,Footnote 13 and representatives of the ‘structuralist’ strand, such as Buzan and Laust Schouenborg.Footnote 14 Buzan, for example, writes that
[international] society is constructed by the units, and particularly by the dominant units, in the system, and consequently reflects their domestic character. [English School thinking] also accepts as true for international, and perhaps world, society the neorealist injunction that international systems are largely defined by the dominant units within them.Footnote 15
Insofar as ideas and values play a role in this conception, these are located in the subjective, individual interpretations of the world by the units. When talking about shared ideas, what Buzan has in mind is a ‘unity of interests and sympathies … amongst a set of actors’.Footnote 16 Although these units can be collective actors, the underlying ontology corresponds to a methodological individualism – which also implies that agents are logically prior to social structure.Footnote 17 Consequently, international society is either directly observable in the processes of interaction among the units, and in the structural patterns that these interactions form, or its substance can be inferred by means of interpretative reconstruction of the ideas and values held by individuals.Footnote 18
There is, however, a second reading of international society which I propose to call ‘intersubjectivist’. This strand is represented primarily by writers taking inspiration from both the English School and social constructivism, such as Timothy Dunne and Christian Reus-Smit. It conceives of international society as being constituted by intersubjectively shared meanings, such as collective identities, norms, and rules, which emerge from interaction but are autonomous from agents.Footnote 19 Social structure is not reducible to individual properties or patterns of practice in this conception, because intersubjective meanings are constitutive of actors and their interactions in the first place: They define what can (but do not determine what does) count as an actor and as legitimate practice.Footnote 20 By practice, I mean the interaction of international actors insofar as it is guided by expectations about the behaviour of the other and ideas about the appropriateness of one's own actions. It thus differs from the more positivist notion of behaviour in its normative dimension.Footnote 21 These ontological differences have methodical implications: With the adoption of an intersubjectivist approach, the focus of attention shifts from behaviour and subjective interpretations to the mechanisms of institutionalisation of shared meanings in discourses, and how these discourses are constitutive of practice in international society.Footnote 22
Having clarified the ontological and epistemological foundations of the two English School strands, we can now turn to their different conceptions of international institutions in order to further carve out the differences between the two perspectives. The individualist account, locating structure in unit properties, analytically conflates norms, rules, and practice. International institutions, in this sense, are ‘durable and recognized patterns of shared practices rooted in values held commonly by the members of interstate societies, [and] embodying a mix of norms, rules and principles’.Footnote 23 This definition of international institutions resonates with that of classical English School authors.Footnote 24 While some representatives of the individualist variant acknowledge the constitutive nature of international institutions in principle, they have at best offered truncated accounts of how exactly norms and rules inform actorness and practice. What are the mechanisms by which meanings constitute who is perceived as a legitimate actor? And how do these meanings, in turn, emerge from interaction? Because they understand the properties of institutions to be reducible to the properties or actions of units, ‘individualists’ generally have not concerned themselves with these questions.Footnote 25
By contrast, in the intersubjective account, institutions are seen as sets of intersubjectively held meanings, which are analytically separated from the practice of international actors.Footnote 26 Behaviour that is inconsistent with prevailing norms does not invalidate those norms, as long as it is perceived as a transgression of the boundaries of acceptable behaviour by the perpetrator or by others. Above all, it is the discursive representations of shared meanings which are invoked to legitimise or condemn certain forms of behaviour that have to be identified.Footnote 27 While institutions are analytically distinct from practice, they are intricately linked to it in a structurationist process: They emerge from interaction and at the same time inform interaction by defining who can count as a legitimate actor and what is perceived as legitimate practice.Footnote 28
The different conceptions of international institutions have implications for the ability to account for institutional change. In individualist approaches, change in international institutions is ultimately equivalent to change in the beliefs or interactions of individuals. Representatives of the intersubjectivist approach will argue against this that institutions can remain valid even if actors stop believing in their validity and deviate. The individualist approach is also inept to account for cases when different institutions formulate contradictory expectations – a likely scenario in instances of institutional change. Instead, the intersubjectivist perspective holds that change happens in response to dynamics in the mechanisms that link institutions to each other, and to international practice. Asking about the specific ways in which this happens promises to provide a more sophisticated perspective on the role of different kinds of institutions in instances of change.
Primary and secondary institutions: How do they relate?
To elaborate this argument further, I will briefly discuss the distinction of primary and secondary institutions in English School theorising because it offers an illuminating starting point. Buzan introduced the distinction in his seminal book From International to World Society.Footnote 29 Primary institutions are, in the term adopted at the beginning of this article, international society's deep structure and include general principles, such as sovereignty, and conventions such as multilateralism. Bull's famous institutions of international society, therefore, are to be classified as primary institutions.Footnote 30 Secondary institutions include international organisations and regimes. Analytically, Buzan's distinction hinges on the type of genesis: While primary institutions can evolve independently of any purposive effort of international actors, secondary institutions are consciously designed.
It is unfortunate that Buzan's reflections on the relation between the two institutional levels and the question of institutional change remain underdeveloped and inconsistent, both in From International to World Society and in his more recent Introduction to the English School of International Relations. In fact, he offers at least three different solutions to the problem: At some point, he depicts secondary institutions as derivative of actors' self-interest and, consequently, as the object of regime theory.Footnote 31 As an alternative, he seems to suggest on at least one occasion that secondary institutions can serve as some kind of empirical indicator, reflecting as a positive materialisation or manifestation the existence of specific primary institutions or specific types of international society.Footnote 32 This is an idea derived from the individualist understanding of international society, where directly observable behaviour can serve as an empirical indicator for the existence of an international society. In this logic, secondary institutions are situated in a more ‘material’ ontology, which is epiphenomenal to the dynamics on the ‘ideational’ level of primary institutions. In a third interpretation, he indicates that regimes are somehow nested in the larger structure of international society, which makes the latter ‘a regime of regimes’.Footnote 33 He thus seems to see the more fundamental institutions of international society, such as international law, as being constitutive of secondary institutions: they form ‘the political foundation that is necessary before regimes can come into play’.Footnote 34 It is unclear, however, what genuine role secondary institutions play in this framework. Do they merely adapt to changes on the level of primary institutions or do they have genuine effects that are irreducible to the primary structures? While the terminology seems to suggest a hierarchy between the two layers of international society, I think it should not be theoretically prejudiced towards a unidirectional logic of institutional change in which secondary institutions always adapt to developments on the primary level. Rather, the direction of causal influence between the layers should be seen as an empirical question.
So how do primary and secondary institutions relate? One way for solving this problem would be the argument that primary institutions are constitutive while secondary ones are merely regulative. Authors working more or less firmly in an English School tradition have repeatedly invoked this distinction.Footnote 35 However, applying a constitutive logic to the level of general principles and norms while leaving the level of the more specific rules and procedures within the realm of regulative, and therefore rationalist, causality leads to an often overlooked problem: The constitutive-regulative distinction is, in essence, not merely about ontology but also about epistemology – while regulative rules have causal effects, constitutive rules affect structure by defining situations and are therefore subject to constitutive explanation. Thus, the explanatory logic differs depending on what kinds of rules are in question.Footnote 36 As a consequence, the concept curtails any sound attempts to theorise the connection between the two types of institutions, especially in a dynamic context.
So far, thus, the relation between primary and secondary institutions remains an open question in English School theorising.Footnote 37 However, there is an alternative to the constitutive-regulative distinction. Several constructivist authors have called to acknowledge the constitutive effects of more specific rules. In his 1993 contribution to a volume on regime theory, Andrew Hurrell writes: ‘The functional benefits of specific rules are … only one part of the picture. An essential element is the legitimacy of rules which derives from the common sense of being part of a legal community …’.Footnote 38 The constitutive character of specific rules – or secondary institutions – is rooted in the acknowledgement by the actors that their identity as a member of the international community is dependent on their acceptance of the rules, and visible in the need of the actors to justify their behaviour. Similarly, Emmanuel Adler notices that ‘international organizations can be a site of interest and identity formation’,Footnote 39 granting or denying recognition as a member of the global ‘community of nations’, as in the case of the United Nations, or of a region, as in the case of regional organisations such as the European Union. Acknowledging the constitutive dimension of secondary institutions allows us to devise an analytical model of change in primary and secondary institutions that remains within a singular, coherent ontological and epistemological sphere and to investigate the mechanisms linking the two layers. Buzan himself seems to be cognisant of this possibility, having shown himself quite accommodating towards theories committed to the constitutive effects of secondary institutions:
[O]ne of the unresolved questions left hanging in the book [‘From International to World Society’] is where, if anywhere, the constitutive power of institutions of any sort stops. Regime theorists make a type of constitutive argument for secondary institutions having a socialising effect on members …Footnote 40
It seems, however, that his individualist conception of international institutions, which draws attention away from constitutive mechanisms, has impeded a further exploration of this possibility.
Towards a model of path-dependent constitution and institutionalisation
If, as asserted in the previous section, both primary and secondary institutions have some kind of constitutive effect on actors and their practice, a central criterion for distinguishing between the institutional levels collapses.Footnote 41 However, to renounce any differentiation between types of institutions is not helpful either. To assume that an international organisation is effectively the same as a normative principle such as sovereignty is not only counterintuitive, it would also mean to forego possibilities for explaining the dynamics of the relations between them.
So how can we meaningfully distinguish between the two layers of international society within a single ontology? Having made the case for an intersubjective reading of the English School and an analytical separation of institutions and practice, I propose that the best way to recover the primary-secondary distinction is by adopting a structurationist perspective that revolves around an understanding of primary and secondary institutions as being entangled in specific processes of constitution and institutionalisation. I argue that primary institutions and secondary institutions both are informative of international practice, but they are so in different ways, as there are different mechanisms of constitution and institutionalisation at play.Footnote 42 In the remainder of this article, I will present a model of primary and secondary institutions in international society. This framework can be used as a heuristic in the analysis of institutional change. I will first elucidate the constitutive and institutionalising mechanisms that inform the relation between the institutions and international practice, then the effects and processes that explain institutional stability and change. The argument is thus based on various established arguments of institutionalist literature and connects them to the idea of primary and secondary institutions in order to arrive at an original and ontologically coherent model of institutional dynamics.
Constitutive processes
Primary institutions are constitutive by defining who can count as an actor, how such actorness is acquired, and the basic nature of the relations between those actors. Here, a community of equally sovereign states is only one of various possible configurations. Colonial international societies, for example, are based on a dualistic, hierarchical, and divisible conception of sovereignty.Footnote 43 Besides states, primary institutions can also endow nonstate actors and secondary institutions with actor quality.Footnote 44 For example, it has been argued that, in the European regional international society, institutions such as ‘pooled sovereignty’ empower the bodies of the European Union while challenging the role of member states.Footnote 45 Apart from informing its basic composition, primary institutions can also constitute the scope of an international society as such, and change in primary institutions can lead to an expansion or contraction of established societies, or the emergence of new ones. Again, the example of colonial rule is insightful: As long as the primary institution of colonialism was upheld, the European centre and the colonised peripheries were so intricately linked that it is hard to speak of these regional sub-entities as international societies in their own right. Only with the period of decolonisation came the emergence of autonomous regional international societies in places such as Southeast Asia and sub-Saharan Africa. Primary institutions also influence the basic interests of actors and, more fundamentally, the kind of rationality actors pursue.Footnote 46 The institutional framework can encourage ‘maximising’ as well as ‘satisficing’ behaviour, and it is quite likely that elements of both will be present in an international society.
At the same time, however, secondary institutions are constitutive as well, namely by ascribing differentiated roles to actors and by empowering them to engage in specific forms of interaction that would not be possible without the existence of those institutions.Footnote 47 As an obvious example, membership in international organisations or regimes has a profound impact on who is perceived as a member of international society. Membership can signal the political relevance of an actor, as in the case of the EU's eagerness to take part in fora such as the G20 and the East Asia Summit, the rehabilitation of former pariahs, as in the accession of Myanmar in ASEAN, and even the status as an actor as such, as in the case of Palestine's struggle for formal representation in the UN framework. Apart from multilateral formats, it seems to be conclusive to also include bilateral treaties and agreements in this category. These different kinds of institutions can affect members' relations by constituting hierarchies, rights, and duties. They are also constitutive by distributing material resources, defining preference structures and sanctioning behaviour with a wide range of instruments, including ‘shaming’, conditionality, and formal jurisdiction.Footnote 48 In this, they privilege certain actors while disempowering others. For example, aspiring EU members face the condition to accept the Copenhagen Criteria set by existing members in a ‘take-it-or-leave-it’ situation, which in effect gives the existing members a powerful tool in defining the conditions of membership in the international society. This is not to say that accession to secondary institutions is a necessary condition for membership in an international society.Footnote 49 Still, secondary institutions define to a considerable extent and in more detail than primary ones the identities, interests, and capabilities of the actors, and thus open up possibilities for meaningful interaction.Footnote 50
It follows from these considerations that international actors are embedded in a double-layered constitutive framework of primary and secondary institutions, and it can hardly be said that their actorness and behaviour is influenced any less by secondary institutions than by primary institutions, or that the primary level dominates, let alone determines, developments on the secondary one, as the ‘embeddedness’ argument of classical regime theory suggests.Footnote 51 This might be a plausible interpretation of some instances, such as the negotiation for a postwar international order after 1945, where new secondary institutions had to be created to conform to the changed understandings of sovereignty and the legitimate use of force, but in other cases, the original momentum for change is more plausibly looked for in the evolution of secondary institutions – think of the neofunctional theories of European integration. In any case, an inquiry into the conditions under which any of these logics prevails needs to take into account the role of agency.
Processes of institutionalisation
For the constitution of practice by intersubjective meanings is only one part of the story. As Dunne has pointed out, the English School must not overemphasise structure to the detriment of agency in its analysis of international society.Footnote 52 In a process parallel to constitution, therefore, practice feeds back into primary and secondary institutions in distinctive ways of institutionalisation. By institutionalisation, I mean the emergence of permanent patterns of intersubjective meanings through social, particularly discursive, practice.
Primary institutions are institutionalised via learning processes.Footnote 53 An important mechanism in these processes is the iteration of practice, especially the repeated uttering of complementary speech acts, which gives them normative character and leads to convergent expectations about behaviour. It is only when meanings are assumed by actors as something that does not need to be agreed upon in every single social encounter that they become effective as institutions.Footnote 54 Primary institutionalisation is shaped by distinctive forms of knowledge production, which can be more or less inclusive and shaped by a variety of actors including political leaders, influential media and civil-society representatives, who found their participation upon different bases of authority and legitimacy.Footnote 55 These discursive processes are not limited to a specific time and place but are rather permanently carried out in a diffuse, semi-public realm, although they sometimes crystallise in specific formats such as conferences or commissions. For example, the International Commission on State Intervention and Sovereignty, which formulated the Responsibility to Protect as a new international norm, operated as a focal point of a broader discourse about the relation of sovereignty and human rights. The more actors with credible authority claims are included in such discourses and the less hierarchical they are organised, the more likely it is that meanings are contested and that discursive struggles impede institutionalisation. On the other hand, however, inclusiveness also promises to strengthen the legitimacy of an institution once consensus is found.
For secondary institutions, institutionalisation takes place primarily by means of institution-building, that is, the conscious creation, reform, or dissolving of international organisations, regimes, treaties, networks, and the like. While institution-building is also a discursive practice, it takes place in more discrete situations and among a smaller group of authorised actors. Potential mechanisms here are the differentiation of specific roles, the establishment of standard procedures and the formalisation of rules, for example by means of declarative speech acts or legal codification.Footnote 56 I refrain from using the term of ‘institutional design’ because it evokes a one-sided view of institution-building as being driven only by a instrumental logic of action. Considerations of legitimacy, coercion, and argumentative rationality play equally important roles in the creation of institutions, as Friedrich Kratochwil and John Gerard Ruggie, Adler, and Thomas Risse have respectively pointed out.Footnote 57
A question I have deliberately left unanswered so far was how exactly primary and secondary institutions should be defined so as to allow for a clear empirical identification. The preceding account of the mechanisms of constitution and institutionalisation offers a good foundation for such a definition. In accordance with the conceptual framework outlined above, the definitions must locate both primary and secondary institutions in an intersubjective ontology. From the literature on institutional layers, two criteria for such a differentiation can be derived: the degree of formalisation and the degree of specificity.Footnote 58 The former seems an expedient choice; however, there are some problems with it. While formalisation in fact seems to be an important mechanism of institutionalisation of secondary institutions, it is not the only one. In the case of international organisations, for example, informal procedures can assume a highly binding character without being explicitly codified. At the same time, it does not seem plausible that fundamental frames of thought in International Relations such as sovereignty or diplomacy, which are commonly seen as primary institutions, should be treated as secondary institutions as soon as they become enshrined in formal legal documents – after all, the type of practice they constitute does not change in the course of this process.Footnote 59
I therefore suggest using the criterion of specificity to differentiate primary and secondary institutions, as it provides for a distinction that is substantial rather than formal. In this sense, primary institutions should be seen as sets of discursively formulated expectations about an aspect of international relations without regard to specific situations or actors. To facilitate exchange with other strands of institutionalist literature, these general expectations can be called principles and norms. Secondary institutions are also sets of discursively formulated expectations, but they are more specific in that they refer to temporally and spatially discrete sections of international reality and apply to a clearly defined set of actors. Complementary to the definition of primary institutions, the more specific expectations can be called rules and decision-making procedures. These definitions imply that regimes in the classical conception as principles, norms, rules, and decision-making procedures actually contain elements of both primary and secondary institutions.
Applying it to an empirical phenomenon helps to illustrate this distinction. The European Political Cooperation (EPC) was a set of understandings about legitimate action with respect to foreign and security policy in the European Community (EC). As such, it specified obligations and regular courses of action for a specific set of actors, mainly the member states as represented by the foreign ministers and, eventually, the Commission, in a specific policy field. In so doing, the EPC was in line with more general ideas about the conduct of international affairs in European international society, such as multilateralism and a sense of bounded hegemony, that is, the acceptance by the smaller states of a dominant status of Germany, France, and the United Kingdom within an institutional framework granting formal equality to all members. However, multilateralism and bounded hegemony applied not only to the kind of practice specified in the EPC but to all kinds of interactions in the European international society at large. They should therefore be regarded as primary institutions and as such be separated from the more specific provisions of the EPC, which formed a secondary institution. They did so even before the formalisation of the EPC as an official EC policy with the Single European Act in 1986, which did not alter the substance of the practice constituted, although it certainly made the institution more binding. Formalisation was only one way of institutionalising the EPC and it generally succeeded rather than preceded the establishment of coordination practices. Another mechanism, equally if not more important, was social learning, which has been said to have instilled a ‘coordination reflex’ in EC/EU actors that makes dialogue on matters of foreign and security policy appear as the natural course of action.Footnote 60
Empirical evidence for both kinds of institutions can be found in the practices – including, first and foremost, the discursive practices – which are constituted by and reproduce meaning structures pertaining to the conduct of international relations.Footnote 61 The researcher must interpret these discourses and practices in order to determine to what extent they reflect general or specific intersubjective understandings about the conduct of international relations. I am aware that the classification of an institution as primary or secondary will not always be clear-cut. Ultimately, the distinction is a heuristic tool, and as with all such tools, its application remains subject to the judgement of the analyst, just as its usefulness depends on the plausibility and theoretical expediency of the analyses it generates. While eventually, this utility will have to be proven by empirical application, the above makes a strong argument for defining primary and secondary institutions on the basis of specificity, rather than formalisation.
Explaining stability: Positive feedback in international institutions
What makes the system of constitution and institutionalisation outlined above so powerful with respect to international society is that, taken together, the mechanisms of constitution and institutionalisation tend to have a reproductive effect.Footnote 62 They are, in the language of historical institutionalism, positive feedback processes that lead to path dependence in institutional developments. The notion of path dependence helps us explain the relative stability of institutional set-ups, while at the same time allowing us to account for institutional change. One of the basic ideas of path dependence is that self-reinforcing processes lead to institutional stability so that change will usually happen incrementally, while fundamental transformations are only possible in response to external shocks. As a consequence of this emphasis on path dependence, the analytical focus in the study of the historical development of international societies is redirected to the social context and the mechanisms that lead to the emergence, the persistence and the change of international institutions. This is an approach towards the study of international institutions that suggests the use of ‘historical causal analysis’, an approach that comprises two explanatory components: first, a reconstruction of the processes that initiated particular institutional paths at critical moments, and second, an account of the mechanisms that lead to its reproduction ‘even though the original generating event or process does not recur’.Footnote 63 Causal analysis understood in conventional, static terms can hardly paint the whole picture.Footnote 64 In the context of international society, this means answering not only questions about the constitutive role of institutions and their emergence through initial institutionalisation, but also about their path-dependent interaction which leads to institutional stability and change.
In what follows, I will show in more specific terms how this might work. Starting with sources of stability, there are several sources of positive feedback surrounding the institutional configuration of an international society: First, through effects of learning and reification, institutions assume a taken-for-granted status for those whose lives are shaped so fundamentally by them. Institutions are unlikely to change ‘ultimately because they structure the very choices about reform that the individual is likely to make’.Footnote 65 While contingency becomes obvious with the benefit of hindsight, those living in a historical international society have always tended to construct the principles of that society either as expressions of a natural or even divine order – think of the self-understanding of China as the Middle Kingdom in its imperial era and that of the Roman Church in pre-Westphalian times – or as a stage in a teleological process – an argument that served to justify Soviet imperialism during the Cold War. This is not to suggest that any institutional configuration has ever been accepted completely as given by everyone living in it. What can be asserted, however, is that reification makes it difficult for those opposing an institutional configuration to draw on existent meanings in order to claim legitimacy, or even invoke a common identity on the basis of which to act against established institutions. For example, indigenous anticolonial movements had a hard time establishing claims for self-determination because the institution of nationalism was originally constructed as pertaining only to Western states. The dominant construction of the relation between the colonial rulers and the colonised population as one between the civilised and the noncivilised world naturalised the racial difference, and made it hard for the latter to be heard.Footnote 66
Second, positive feedback results from power effects. Processes of institutionalisation are heavily informed by permanent processes of political assertion and contestation.Footnote 67 At the same time, the constitutive effects of institutions tend to increase the power of those with the most ability to influence their form – a point that has been stressed by both rationalist and constructivist authors.Footnote 68 Even post-structuralists like Ernesto Laclau and Chantal Mouffe, who emphasise that meanings are in permanent struggle and deny the possibility of a final consensus, have acknowledged the existence of such temporal stabilisations in discursive practice. ‘Any discourse’, they write, ‘is constituted as an attempt to dominate the field of discursivity, to arrest the flow of differences, to construct a centre’.Footnote 69 Exactly which meanings become dominant and are institutionalised will depend to a great extent on the endowment with power resources and political authority of those who utter them. In International Relations, the very ability to claim discursive authority is highly unequally distributed among different actors. Government officials can claim the symbolic authority of being elected as representatives of their state, as well as the physical authority of being backed by a security apparatus. By contrast, attempts to establish an influential transnational public sphere are seriously complicated by language barriers and parochial political loyalties – even in a culturally relatively homogenous space such as Europe. However, even where such a public sphere, however rudimentary, can be discerned, only those who possess the necessary resources and infrastructure to influence its discourse will have a voice in the process of institutionalisation. Once established, therefore, primary institutions reflect the interests of privileged groups and reproduce the power relations that brought them into being in the first place.Footnote 70
Third, certain institutional effects shift preference structures towards rule-consistent behaviour and inhibit institutional change. Actors feel that it is expedient to promote existing norms and play by established rules because they benefit from compliant behaviour. ‘Benefit’ in this context has to be understood in broad terms: It can mean to obtain material profit because coordination effects, adaptive expectations, and high start-up costs make it inefficient to choose other institutional frameworks.Footnote 71 However, benefits can also flow from an increase in legitimacy and status,Footnote 72 as is evidenced by the striving of newly independent polities for recognition as sovereign states. Such ambitions do not only reinforce the primary institution of sovereignty but also the role of international organisations as embodiments of the international community and as providers of legitimacy and status by means of accession.
Mutually reinforcing relations between primary and secondary institutions of this sort lead to a fourth source of institutional feedback, namely institutional linkages. This is connected to the argument that complex international societies normally consist of a web of mutually compatible institutions and consequentially, a single institution cannot be changed without additional change in or of a number of other institutions if excessive inconsistencies in the overall institutional set-up are to be avoided. Pierson has this in mind when he says that ‘[p]ath-dependent processes will often be evident not only at the level of individual organizations or institutions but at a more macro level that involves configurations of complementary organizations and institutions.’Footnote 73 In an English School context, this means that institutional configurations, that is, sets of compatible and complementary institutions, are quite persistent once they have been established. This is not to say that there are no tensions between individual institutions at all, and we will see that they can be a powerful motor of institutional change. Yet, the very fact that international society has been so reluctant to accommodate new institutions, such as the notion of humanitarian intervention or environmental stewardship, into the established set of institutions is evidence that some norms and rules do not fit easily into the horizontally linked web of Westphalian-style institutions, which combine sovereignty, nationalism, nonintervention, and other institutions that can be seen as logically connected and intricately linked.
Krasner has introduced the term of ‘horizontal linkages’ for this phenomenon.Footnote 74 Having established the idea of primary and secondary institutions as distinct constitutive layers of international society, it seems appropriate to supplement Krasner's concept with the idea of ‘vertical linkages’. In this sense, primary and secondary institutions form constitutive contexts for each other. Up to a certain extent, secondary institutions must reflect the meanings inherent in prevalent primary institutions because they are institutionalised on the basis of actors' identities and expectations which are constituted by the primary level.Footnote 75 This effect limits the prospects for change in secondary institutions: In contrast to what functional and rational-choice accounts of institutions suggest, secondary institutions hardly ever adapt optimally to functional demands or coordination problemsFootnote 76 because the positive feedback mechanisms that link them to the primary fabric of international society limit the range of included actors and what counts as a legitimate attempt at institutional reform. Moreover, it restricts the transferability of organisational forms from one regional setting to another. The supranational set-up of the European Union works well in the context of Europe's move towards post-Westphalian norms and principles after World War II, but it lends itself only partially as a model for organisations such as ASEAN or Mercosur, which are situated in primary institutional contexts that put a lot more emphasis on national sovereignty. Vice versa, primary institutions are unlikely to change drastically as long as the secondary constitutive context does not change because secondary institutions help to make primary ones more durable. As the literature on norm socialisation has pointed out, secondary institution-building can serve as a means to ‘lock in’ certain norms and principles because challenges to those primary institutions can be delegitimised as a violation of formal arrangements and codified law.Footnote 77
Explaining change: Endogenous dynamics and shocks
Taking path dependence seriously means that an institutional configuration will be relatively stable once the social mechanisms of reproduction have been put into operation. Change will normally be incremental. However, exogenous shocks can induce more drastic transformations. I will look at both possibilities in turn.
An institutional configuration can be subject to incremental change as a result of endogenous dynamics. Incremental change occurs when discursive actors manage to partly overcome the stabilising structuration effects linking institutions to practice over a long period of time, thus gradually subverting their meaning. While this type of change is slow, it can in fact over time amount to far-reaching alterations in an institutional configuration. Institutionalist and constructivist literature is rich in suggestions for sources of such dynamics – unintended and spill-over effects, the reinterpretation and subversion of established meanings, contact with foreign institutions or societies and gradual power transformationsFootnote 78 – and it is neither expedient nor necessary to discuss them in detail here. Suffice it to say that incremental dynamics can induce change not only in secondary institutions, as has been amply demonstrated in empirical studies in a variety of policy fields.Footnote 79 To give an example for gradual change in primary institutions, when the principle of national self-determination emerged in the eighteenth and nineteenth centuries, its proponents did not anticipate that the notion would contribute to the collapse of their colonial empires beyond European borders because it was perceived to be obvious that the idea only applied to the ‘civilised’ nations of the West.Footnote 80 However, over time, the paradoxical nature of this limitation was increasingly exposed in discourse, so that the notion eventually was universalised. Whatever the sources of incremental change and the level of impact, it is important to note that they only become effective if they are discursively articulated by the relevant actors.Footnote 81
More abrupt transformations are possible in response to external shocks. These are events that create discursive contexts in which contradictions become plainly apparent and can be openly addressed, private beliefs and grievances can be mobilised and actionable, and innovative ideas obtain sufficient space for their realisation. For example, Bull argues that the dynamics of contestation of the European colonial order were already conceivable in the interwar period but only came to fully play out and lead to a transformation of international society as a result of the radical power shifts in the course of the Second World War.Footnote 82
The Historical Institutionalism literature has been criticised for failing to explain the exact processes through which shocks and critical junctures induce institutional change,Footnote 83 but a focus on the mechanisms of constitution and institutionalisation allows us to overcome this shortcoming. To count as a shock, an event has to have a disturbing effect on the feedback processes of constitution and institutionalisation so that their reproductive impact on the institutional configuration is disrupted.Footnote 84 Having identified the mechanisms of positive feedback in international society as outlined above, it follows that shocks are events that disturb learning effects by fundamentally altering established patterns of meaning production and lead to what Adler has called ‘cognitive evolution’,Footnote 85 change the distribution of power among actors,Footnote 86 or alter the preference structures in a way that is not consistent with the logic of the existing institutional configuration. It seems appropriate that to count as a shock, an event should affect more than just one of the feedback mechanisms because otherwise, the reproductive processes that remain intact can compensate the disturbance of a single mechanism. Major wars, crises and fundamental power shifts are likely candidates for such shocks. For regional international societies, external processes such as changes on the global level of international society need to be taken into account as well.
Shocks lead to ‘critical junctures’, meaning that practices promoting alternative meanings and institutional forms have better chances to succeed in the struggles surrounding the processes of institutionalisation than during ‘normal’ times, until the feedback mechanisms kick back in and institutions largely follow the adopted path.Footnote 87 For a moment of contingency, possibilities for the adaption or dissolution of old institutions, or for the emergence of new ones, open up. However, such instances of openness are not simply a result of institutions releasing their constraints imposed upon actors so that the latter obtain a broader set of options for action, as has been argued elsewhere.Footnote 88 An approach that stresses the constitutive nature of institutions has to look instead at the way in which, at critical junctures, meanings gain in relevance that provide legitimacy to new kinds of actors and forms of practice that were previously not considered as justifiable, or not considered possible at all.
The idea of critical junctures emphasises that timing and context are decisive for institutional development: When and in what institutional context critical shocks appear and how they are interpreted will greatly affect the forms secondary institutions will take. This notion of timing can not only refer to a simple point in a universal chronology, such as ‘in 1986’, but also to a particular stage in historical development that may occur at different chronological points in different regions, such as processes of state-building or industrialisation. For example, while the initiatives for region-building in Europe and Southeast Asia occurred roughly at the same time, in Europe the World War II experience led the long-established nation-states to adopt a regional project aimed at transcending state sovereignty and precluding war as a means of regional politics, while in Southeast Asia the processes of decolonisation and nation-building made it imperative for the fledging states to build institutions that strengthened sovereignty and territoriality.Footnote 89
Some words of caution should be added. First, it should be noted that shocks and the ensuing critical junctures must not be equated with institutional changes. The former are merely a necessary condition for the latter, and the mere instance of a shock does not preclude the institutional configuration of an international society from continuing to move along the established path.Footnote 90 Second, the notion of shocks seems to introduce some sort of materialism in the form of wars, power shifts, etc. back into an essentially ideational perspective. This is not my intention. While I acknowledge that historical events rely to some extent on material foundations such as spaces and objects, these become socially relevant only in the interpretation by actors in the context of existing intersubjectively shared and institutionalised meanings. Shocks, therefore, do not result in a simple adaption to a changed external context but are subject to political processes, as they become effective only in their discursive representations. Their disturbing effects on the reproductive mechanisms lie in the fact that references to them make powerful objections to particular hegemonic discourses possible – for example by claiming that the events contradict dominant lines of thought. If the dominant discourse cannot accommodate these tensions and fails to justify its own validity, paths for the institutionalisation of alternative meanings open up.Footnote 91
Both exogenous shocks and endogenous dynamics can result in inconsistencies in the institutional configuration. The English School has long recognised the role of horizontal tensions between primary institutions in institutional change, as the abundant debate on the dynamic relationship between sovereignty and human rights demonstrates.Footnote 92 However, logical incompatibilities of this sort can also occur between the primary and secondary level. In this regard, the problematic relation between human rights and sovereignty has a horizontal and a vertical dimension. While the ascendance of the human rights concept to a point where it can be considered a primary institution raised questions regarding its relation with the longstanding primary institution of state sovereignty, it was also in conflict with established rules and procedures of the collective security regime of the United Nations.
Both horizontal and vertical inconsistencies put strain on institutional linkages, as they lead to contradictory expectations about actor behaviour. Up to a certain point, tensions can be tolerated or suppressed in institutional arrangements, and it might well be that they are an intrinsic characteristic of any international society, as Buzan implies when he speaks of the ‘perennial and permanently necessary discussion of how order and justice relate to each other in an ever changing global system’.Footnote 93 Therefore, the resulting institutional inconsistencies will not per se and automatically prompt adaption. On the other hand, logical incompatibilities of this sort also constitute a potential point of attack since discursive actors can point to contradictions in order to question the legitimacy of certain institutions. If such strategies succeed, the reform or transformation of existent institutions or, in extreme cases, their dissolution and the creation of new ones becomes likely. An additional and equally important dimension of change is the alteration of scope, that is, the expansion or diminishing of the geographical extension of an institution or an international society as a whole.Footnote 94 In the case mentioned above, the primary institution of state sovereignty has increasingly come to be seen as linked to the ability of a state to grant protection to its population. The resulting vertical inconsistencies with the secondary layer were mitigated – though clearly not resolved – with the United Nations 2005 World Summit Outcome and subsequent resolutions, which specified criteria justifying intervention and established authorisation procedures that asserted the central role of the Security Council.
As enabling conditions, inconsistencies between institutions can thus provide additional momentum for change after initial shifts in the institutional set-up have occurred. Since, as indicated above, none of the institutional levels can be granted ontological primacy over the other, one cannot predict ex ante how inconsistencies will be processed. In practice, secondary institutions can be reformed so that they are more in line with new forms of thinking, as in the R2P example, or by adjusting beliefs and meanings on the primary level to ‘new realities’, or by a mixture of both, where the dynamic of institutional adaption oscillates between the two levels.Footnote 95 Finally, it is also possible that tensions can be accommodated within the existing configuration in such a way that no further change results.
Three main lessons emanate from these observations: First, the two-layered structure of international society can at the same time catalyse and mediate momentum for institutional change. Second, how the dynamics of change play out is always dependent on the way in which agents deliberate the consequences of tensions, constructing pressure on primary or secondary institutions, or both. And finally, as a consequence, the discursive strategies and the power dynamics that inform these communicative processes become an important object of study.
Conclusion
This article has set out to contribute to the theorising of institutional change by developing a dynamic model of primary and secondary institutions in international society. Based on an intersubjectivist ontology of international society, it intended to enhance thinking about change in primary and secondary institutions by drawing on the notions of structuration and path dependence. I have argued that primary and secondary institutions should be seen as linked to practice by distinctive mechanisms of constitution and institutionalisation. In this perspective, institutional configurations are relatively stable because these mechanisms have reproductive effects. At the same time, the model enables scholars to account for both incremental and radical change in complex institutional settings. Momentum for change can emanate from endogenous dynamics as well as exogenous shocks, but it will always be mediated by the links among and between primary and secondary institutions and whether and how discursive actors chose to act upon it.
Viewing institutions in this way draws a picture of international society as an inherently political phenomenon, where discursive claims are formulated and negotiated in complex institutional settings. Both primary and secondary institutions inform power relations by empowering some actors – for example, state bureaucracies – and marginalising or patronising othersFootnote 96 – for example, stateless persons. But at the same time, the struggle of people and organisations for power over discourses and resources can change the institutional context of an international society.
Over the last decades, exchange between various strands of institutionalist literature has generated valuable insights on the issue of institutional change. While exchange is already lively between rational, historical, sociological, and discursive institutionalism, potential avenues for debate between these approaches and the English School have been less of an issue, despite the fact that international institutions form a core interest of English School scholars. Apart from the differentiation of institutional layers, the new institutionalisms stand to gain from the English School's problematisation of the relation between regional and global spheres, its rich body of historical knowledge and, possibly, its normative focus. Vice versa, the English School can use insights from the new institutionalisms to theoretically ground its arguments about the role of institutions in international society and the nature of institutional change. In this respect, the present article represents only one of various promising contact points.
