Tai Lieu Chat Luong the oxford handbook of POLITICAL INSTITUTIONS Edited by R A W RHODES SARAH A BINDER and BERT A ROCKMAN 1 the oxford handbook of POLITICAL INSTITUTIONS t h e o x f o r d h a n d b o[.]
Tai Lieu Chat Luong the oxford handbook of POLITICAL INSTITUTIONS Edited by R A W R H O D E S SARAH A B INDER and BERT A RO CKMAN t h e ox f o r d n d b o o k of POLITICAL INSTITUTIONS the oxford handbooks of political science General Editor: Robert E Goodin The Oxford Handbooks of Political Science is a ten-volume set of reference books oVering authoritative and engaging critical overviews of all the main branches of political science The series as a whole is under the General Editorship of Robert E Goodin, with each volume being edited by a distinguished international group of specialists in their respective Welds: POLITICAL THEORY John S Dryzek, Bonnie Honig & Anne Phillips POLITICAL INSTITUTIONS R A W Rhodes, Sarah A Binder & Bert A Rockman P O L I T I C A L B E H AV I O R Russell J Dalton & Hans-Dieter Klingemann C O M PA R AT I V E P O L I T I C S Carles Boix & Susan C Stokes L AW & P O L I T I C S Keith E Whittington, R Daniel Kelemen & Gregory A Caldeira PUBLIC POLICY Michael Moran, Martin Rein & Robert E Goodin POLITICAL ECONOMY Barry R Weingast & Donald A Wittman I N T E R N AT I O N A L R E L AT I O N S Christian Reus-Smit & Duncan Snidal C O N T E X T UA L P O L I T I C A L A N A LY S I S Robert E Goodin & Charles Tilly POLITICAL METHODOLOGY Janet M Box-Steffensmeier, Henry E Brady & David Collier This series aspires to shape the discipline, not just to report on it Like the Goodin– Klingemann New Handbook of Political Science upon which the series builds, each of these volumes will combine critical commentaries on where the Weld has been together with positive suggestions as to where it ought to be heading Great Clarendon Street, Oxford ox2 6dp Oxford University Press is a department of the University of Oxford It furthers the University’s objective of excellence in research, scholarship, and education by publishing worldwide in Oxford New York Auckland Cape Town Dar es Salaam Hong Kong Karachi Kuala Lumpur Madrid Melbourne Mexico City Nairobi New Delhi Shanghai Taipei Toronto With oYces in Argentina Austria Brazil Chile Czech Republic France Greece Guatemala Hungary Italy Japan Poland Portugal Singapore South Korea Switzerland Thailand Turkey Ukraine Vietnam Oxford is a registered trade mark of Oxford University Press in the UK and in certain other countries Published in the United States by Oxford University Press Inc., New York ß the several contributors 2006 The moral rights of the authors have been asserted Database right Oxford University Press (maker) First published 2006 All rights reserved No part of this publication may be reproduced, stored in a retrieval system, or transmitted, in any form or by any means, without the prior permission in writing of Oxford University Press, or as expressly permitted by law, or under terms agreed with the appropriate reprographics rights organization Enquiries concerning reproduction outside the scope of the above should be sent to the Rights Department, Oxford University Press, at the address above You must not circulate this book in any other binding or cover and you must impose the same condition on any acquirer British Library Cataloguing in Publication Data Data available Library of Congress Cataloging in Publication Data Data available Typeset by SPI Publisher Services, Pondicherry, India Printed in Great Britain on acid-free paper by Biddles Ltd., King’s Lynn, Norfolk ISBN 0-19-927569-6 978-0-19-927569-4 10 Co ntents About the Contributors Preface ix xii PA R T I I N T R O D U C T I O N Elaborating the ‘‘New Institutionalism’’ James G March & Johan P Olsen PA R T I I A P P R OA C H E S Rational Choice Institutionalism Kenneth A Shepsle Historical Institutionalism Elizabeth Sanders Constructivist Institutionalism Colin Hay Network Institutionalism Christopher Ansell Old Institutionalisms R A W Rhodes 23 39 56 75 90 PA R T I I I I N S T I T U T I O N S The State and State-building Bob Jessop Development of Civil Society Jose Harris 111 131 vi contents Economic Institutions Michael Moran 10 Exclusion, Inclusion, and Political Institutions Matthew Holden, jr 11 Analyzing Constitutions Peter M Shane 12 Comparative Constitutions Josep M Colomer 13 American Federalism and Intergovernmental Relations Alberta M Sbragia 14 Comparative Federalism Brian Galligan 15 Territorial Institutions Jean-Claude Thoenig 16 Executives—The American Presidency William G Howell 17 Executives in Parliamentary Government R A W Rhodes 18 Comparative Executive–Legislative Relations Matthew Søberg Shugart 19 Public Bureaucracies Donald F Kettl 20 The Welfare State Jacob S Hacker 21 The Regulatory State? John Braithwaite 22 Legislative Organization John M Carey 23 Comparative Legislative Behavior Eric M Uslaner & Thomas Zittel 24 Bicameralism John Uhr 25 Comparative Local Governance Gerry Stoker 144 163 191 217 239 261 281 303 323 344 366 385 407 431 455 474 495 contents 26 Judicial Institutions James L Gibson 27 The Judicial Process and Public Policy Kevin T McGuire 28 Political Parties In and Out of Legislatures John H Aldrich 29 Electoral Systems Shaun Bowler 30 Direct Democracy Ian Budge 31 International Political Institutions Richard Higgott 32 International Security Institutions: Rules, Tools, Schools, or Fools? John S Duffield 33 International Economic Institutions Lisa L Martin 34 International NGOs Ann Florini vii 514 535 555 577 595 611 633 654 673 PA R T I V O L D A N D N E W 35 Encounters with Modernity Samuel H Beer 36 About Institutions, Mainly, but not Exclusively, Political Jean Blondel 37 Thinking Institutionally Hugh Heclo 38 Political Institutions—Old and New Klaus von Beyme Index 693 716 731 743 759 A b o u t t h e Co n t r i b u t o r s John H Aldrich is PWzer-Pratt University Professor in the Department of Political Science, Duke University Christopher Ansell is Associate Professor, Department of Political Science in the University of California, Berkeley Samuel H Beer is Eaton Professor of the Science of Government emeritus, Harvard University Sarah A Binder is a Senior Fellow in Governance Studies at the Brookings Institution and Professor of Political Science at George Washington University Jean Blondel is Professorial Fellow at the European University Institute, Florence, and Visiting Professor, University of Siena Shaun Bowler is Professor and interim Chair in the Department of Political Science, University of California, Riverside John Braithwaite is an Australian Research Council Federation Fellow in RegNet, the Research School of Social Sciences, Australian National University Ian Budge is Professor in the Department of Government, University of Essex John M Carey is Professor in the Department of Government, Dartmouth College Josep M Colomer is Research Professor in Political Science in the Higher Council of ScientiWc Research, Barcelona John S DuYeld is Professor in the Department of Political Science, Georgia State University Ann Florini is Senior Fellow, Foreign Policy Studies, The Brookings Institution Brian Galligan is Professor in the Department of Political Science, University of Melbourne James L Gibson is Sidney W Souers Professor of Government at Washington University in St Louis Jacob S Hacker is Peter Strauss Family Associate Professor of Political Science at Yale University 802 subject index National League of Cities (USA) 254 National Recovery Administration (USA) 417 nationalization, and provider state 416–17 NATO 616 and centralization of activities/ resources 647 and dependence on United States 642 and ideational change within 650 and post-Cold War development 644, 652 Nebraska, and rejection of bicameralism 479 neocorporatism 754 neoliberal institutionalism, and international security institutions 644–6 neoliberalism: and local governance 504 and regulation 411 neo-Marxism 751 neorealism, and international security institutions 641–4 Netherlands 450 and bicameralism 492 and electoral system 469 and local governance 500, 501 network institutionalism 16, 75 and advantages of 86 and approach of 76 criticism of 85–6 and meta-principles of: complexity 76 networks as resources/constraints 76 relational perspective 75–6 variety 76 and network analysis 78–80 data collection 79–80 small world phenomenon 79 techniques of 78–9 and networks: cognitive networks 84 markets 82–3 meaning and nature of 76–8 organizations 81–2 policy networks 80–1 political culture 85 political mobilization 83–4 social inXuence 85 social movements 84 social psychology 84–5 networked governance 409 networks: and accountability of 333–4 and local governance 498 and public bureaucracies 377–8 see also network institutionalism New Deal (USA) 417, 706–7 new institutionalism: and arrival of 734 and characteristics of 755 and eVects of institutions 7–10 and features of 6–7 and future direction of 16–17 and institutional change 11–15 and international security institutions 644–6 and modernist-empiricism 93–4 as reaction against behavioralism 92–3 and skepticism about 16 and varieties of 56, 93 see also constructivist institutionalism; historical institutionalism; institutionalism; network institutionalism; rational choice institutionalism; thinking institutionally New Public Management 157–8, 283 and bureaucratic reform 378–80 and local governance 504 and regulatory capitalism 412 New Zealand 266, 276–7 and electoral system 585, 590 and local governance 501 and New Public Management 378–80 and rejection of bicameralism 478 Nicaragua, and status of women 177 Nigeria: and federalism 262 and status of women 177 subject index No Child Left Behind Act (USA) 245, 248 Non Aligned Movement (NAM) 617 nondiscrimination: and multilateralism 618 and trade institutions 663 nongovernmental organizations (NGOs): and civil society 139 and international networks 84 see also international nongovernmental organizations (INGOs) norms: and judicial decision-making 522 and unstructured institutions 27–8 North American Free Trade Agreement (NAFTA) 661, 666 Northern Ireland 261 and electoral system 583 Norway 459, 478 Nuclear Non-proliferation Treaty 644 nursing home industry, and regulation 421, 422, 424 old institutionalism, see institutionalism ombudsman: and evolution of 747 and globalization of institution of 426 order: and institutionalism 4–5, and multiculturalism 9–10 organic nationalism 713 Organization for Economic Cooperation and Development (OECD) 424, 657 organization man 734 Organization of African Unity (OAU) 616 Organization of Black Sea Economic Cooperation (BSEC) 626 organization theory 8, 752, 755 and networks 78 organizations: and coordination 373 and distinction from institutions 146, 613, 637 and networks 81–2 and politics 724–5 see also interorganizational analysis 803 oversight: and executive-legislative relations 364 and judicial policy-making 544 and legislatures 448–51 Pakistan 266 Panel Study of Income Dynamics (PSID) 401 paradigms: and paradigm shifts 67–8 and policy 66–7 Paris Club 418 parliamentary government: and bicameralism 476, 477, 480 political executive 482–3 and cabinets 326, 330, 483 and comparison of majoritarian/ consensus styles 336–7 and deWnition of 325, 350 and evolution of 746 and executive-legislative relations 347–50, 351, 352–5, 361–2 majoritarian parliamentarism 355 transactional parliamentarism 355–6 and executives in: accountability 331–4 civil service accountability 332–3 collective responsibility 326, 330, 332 comparative analysis 337–9 core executive approach to 326–7, 338–9 executive coordination 330–1 government overload 334–5 limitations of literature on 324–5, 328 ministerial responsibility 332 modernist-empiricist or behavioural approach 326 network accountability 333–4 plurality of policy advice 335 politicization of civil service 335–6 presidentialization of prime ministers 328–30, 483 rational choice institutionalism approach to 327, 338 reasons for studying 340 804 subject index parliamentary government: (cont.) traditions 340 veto players 339–40 Westminster approach to 325–6 and legislative behavior, orderliness of 457 and legislative partisanship: behavioral foundations of 463–6 consequences of changes in 471–2 explaining changes in 469–70 institutional inXuences on 458–62 role theory 463–4 parliamentary regimes: and duration of democracy 230 and government formation 227 and policy performance 228 and separation of powers 217–18 and veto players 225 parochialism, and urban regime analysis 508–9 Parti Quebecois 588 participant observation 104 participation, and territorial politics 283 partisanship: legislative: behavioral foundations of 463–6 consequences of changes in 470–2 explaining changes in 466–9 institutional inXuences on 458–62 role theory 463–4 and party identiWcation 563–8 aVect-centered view of 564 cognitive-based view of 564–5 comparative application of 566–7 ideology 565 parties as choice/assessment 566–8 as property of voters 565–6 as ‘‘standing decision’’ 565 utility of 566 path dependency: and constructivist institutionalism 64–5 and development of local governance 503 and economic regulation 148, 149 and historical institutionalism 43–4 and institutional change 12, 39, 146 and policy development 402 patriarchy, and the state 121–2 Pay As You Earn 425 Pennsylvania Society for Promoting the Abolition of Slavery 676 Personal Responsibility and Work Opportunity Reconciliation Act (USA, 1996) 253 Peru 478–9 pharmaceutical industry, and regulation 423–4 pluralism: and challenge to 41–2 individualized 312 institutionalized 311–12 Poland: and judicialization 517 and local governance 502 police: and police economy 413–15 and private security 422 policy: and institutions and paradigm shifts 67–8 and policy paradigms 66–7 policy analysis, and interorganizational analysis 291 policy communities 81 policy-making: and agenda control 339 and bureaucratic implementation 370–1 and judiciary 538–9 absence of oversight 544 conditions for eVective 539 expanding role in 552 framing function of litigants 546–7 impact of selection procedures 540–1 implementation problems 548–51 legal foundations of 547–8 limitations on 541–4, 551–2 nature of decision-making process 541–4 need for systemic support 548–51 role of litigants 545–6 types of litigants 546 subject index and parliamentary government: growth in advisers 335 plurality of policy advice 335 politicization of civil service 335–6 and presidency (USA): centralization of authority 309–11 policy inXuence 314–17 public appeals 311–14 policy networks: and interorganizational analysis 291 and network institutionalism 80–1 policy performance, and constitution type 228–9 policy voting, see direct democracy political culture: and concept of 702 and networks 85 political dynamics, and territorial politics 286–8 political entrepreneurs 31 political institutions, see institutions; international political institutions political mobilization, and networks 83–4 political parties: and accountability 563 multiparty system 561–3 two-party system 560–1 and classiWcation of constitutions 224–5 and competitive elections 559–60 and Congressional systems 457–8 and democracy 557, 563, 574–5, 581 and direct democracy 599–600, 609 impact of 602–4 and Duverger’s Law 580, 581–4 and eVective number of parties 574 and electoral rules 222–3 and electoral systems 581 changes to 585 choice of 584 and elite-centered approaches 47–8 and evolution of 747 and executive-legislative relations 355–6 and extremism of activists 571, 574 as generators of oYce-holders 574 and government formation 227 805 as institutions 558–9 created by political actors 558–9 endogenous nature of 559 party-as-organization 558 party-in-government 558 party-in-the-electorate 558 in legislatures: multiparty parliaments 571–3 party voting in US Congress 568–71 and legislatures, decisiveness 446, 447–8 and parliamentary government 457–8 and parliamentary regimes 218 and partisanship in legislatures: behavioral foundations of 463–6 consequences of changes in 470–2 explaining changes in 466–70 institutional inXuences on 458–62 and party government: role of British constitution 707–9 United Kingdom 705–6 United States 706–7 and party identiWcation 563–8 aVect-centered view of 564 cognitive-based view of 564–5 comparative application of 566–7 ideology 565 parties as choice/assessment 566–8 as property of voters 565–6 as ‘‘standing decision’’ 565 utility of 566 and political representation 560 and representation 563 multiparty system 561–2 two-party system 560–1 and role of 573 and spatial leadership 329 in Westminster system 326 political science: and contribution of 102 and hard/soft division within 755 and institutionalization 726, 727 and institutions 718 deWnition of 719–22, 724–5, 730 and postmodernism 104 and traditions of study: 806 subject index political science: (cont.) Fabianism 101 formal-legal analysis 94–7, 102–3 idealism 97–9 Islamic 98–9 Marxist political economy 99–100 modernist-empiricism 92–4, 102 post-Marxism 100 politicians, and structured institutions: behavioral repertoires 29 objectives of 28–9 payoVs 29 selection of 28 selectorate preferences 29–30 politics: and decision-making 724 and diVerent perspectives on popular sovereignty 598 see also direct democracy post-formative change, and historical institutionalism 60–1 post-Marxism 100 postmodernism 104 power: and bureaucracies as instrument of state 369–72 and deWnition of 290 and Foucault’s approach to 120 and social production model of 506–7 power-sharing, and bicameralism 477 see also federalism practices: and institutions 3, 8, 97 and unstructured institutions 27–8 precedent: and judicial decision-making 520–1, 522–3 and thinking institutionally 739 predatory states 126 predictability, and institutionalism 4–5, preference change, and international security institutions 648–9 presentism, and thinking institutionally 741 presidency, American: and growth in power of 710 and quantitative research on 304–5 assessing success of presidents 313 budget proposals 313–14 centralization of presidential authority 309–11 criticism of lack of 303–4 data limitations 319 enhanced quality of 308–9 increase in 308, 317–18 inXuence on Congress 314–15 institutional constraints 318–19 lack of theoretical basis 318 policy inXuence 314–17 public appeals 311–14 publication trends in 305–8, 317 unilateral powers 315–17 presidentialism: and bicameralism 480 political executive 482–3 and deWnition of 350–1 and duration of democracy 230 and executive-legislative relations 347–51, 356–8, 361–2 and government formation 227 and legislative checks on 450–1 and prime ministers 328–30 and separation of powers 220 and tricameralism 483 see also presidency, American; semipresidentialism pressure groups 700–2 see also interest groups prime ministers: and comparative analysis 337–9 and core executive approach 327 and government overload 334–5 and presidentialization of 328–30, 483 and rational choice institutionalism 327 principal-agent relationships: and economic institutions 159 and international Wnancial institutions 668, 669–70 and parliamentary democracy 327, 338 and public bureaucracies 371, 379 accountability 375–6 subject index prison industry, and regulation 421–2 prisoners’ dilemma: and cooperation 31–2 and international economic institutions (IEIs) 662 and international security institutions 645 privatization 379 and regulatory growth 412 processes, and institutionalism professions, and thinking institutionally 738–9 proportional representation: and coalitions 561–2, 582 and coordination problems 587 and duration of democracy 230 and electoral rules 222 and electoral thresholds 584 and executive-legislative relations 348 and impact on party numbers 581–4 and inclusion-and-exclusion 169 and policy performance 228 and representation 583 see also electoral systems provider state, and development of regulation 416–17 public administration: and networks 82 and territorial politics 286 public appeals: and presidency (USA) 311–14 and spatial leadership 329 public Wnance, and development of state control of 418–19 public good, and collective action 30 public opinion: and legislative behavior 464–5 and presidential public appeals (USA) 311–14 and spatial leadership 329 public policy, and judicial policymaking 538–9 absence of oversight 544 conditions for eVective 539 expanding role of 552 807 framing function of litigants 546–7 impact of selection procedures 540–1 implementation problems 548–51 legal foundations of 547–8 limitations on 541–4, 551–2 nature of decision-making process 541–4 need for systemic support 548–51 role of litigants 545–6 types of litigants 546 Quakers, and slavery 178–9 QUANGOs 679 Quebec 265, 271 and direct democracy 606 and electoral system 588 race, and welfare state 389–91 see also ethnicity railroad regulation 39 and elite-centered approaches 46 Raison d’e’tat 120 ratings agencies, and regulatory capitalism 424 rational actors, and interpretation of politics rational choice institutionalism 24, 752 and analytical foundations of 32–3 and analytical narratives 34–5 and behavioral economics 33–4 and bicameralism 485 and bounded rationality 33 and criticism of 35 and executives in parliamentary government 327, 338 and historical institutionalism 42, 43 and international security institutions 642 and interpretation of institutions: as constraints 24–5 as equilibrium 25–6 focal view 25–6 as game form 24–5 as macrosociological practices 26–7 and structured institutions 27, 28–30 808 subject index rational choice institutionalism (cont.) clarity of outcomes 29 payoVs 29 politician behavioral repertoires 29 politician objectives 28–9 politician selection 28 selectorate preferences 29–30 and transaction-cost economics 34 and unstructured institutions 27–8 collective action 30–2 see also new institutionalism rational choice theory: and contribution of 23 and judicial decision-making 523–4 reciprocity: and networks 77 and trade institutions 663 reductionism redundancy theory: and bicameralism 484–6 and federalism 485 referendums: and direct democracy 604–6 and policy areas covered by 607 see also direct democracy reXexive regulation hypothesis, and economic regulation 148–9 regime theory: and international economic institutions (IEIs) 658–9 and international organizations 618–19 regimes, and deWnition of 506 regionalism/regionalization: and international organizations 616, 622–3 developing countries 625–7 European Union 623–5 regulatory regionalism 626–7 and the state 126 and territorial politics 283 and trade institutions 665–6 regulation: and audit society 412, 426 and Chicago School approach 410–11 and corporatization 410 and development of: continuities in 428 globalization of mega-corporate capitalism 419–21 impact of 428–9 impact of corporatization 418–19 impact of securitization 418–19 nineteenth-century 415–16 non-state regulators 423–4 police economy 413–15 provider state 416–17 role of mega-corporations 421–4 tax collection 424–5 and failure of deregulation 411 and governance 409–10 and privatization 412 and regionalism 626–7 and regulatory capitalism 410, 412 business size 416 corporate regulation of states 426–7 created by mega-corporations 421–4 impact on tax-collection 424–5 research agendas 427–8 separation of powers 426–7 and regulatory state 149 rise of 411–13 and regulatory studies 410–11 reinventing government 381, 412 relationships, and network institutionalism 75–8 relative gains, and international security institutions 642, 643, 648 religion: and civil society 140 and inclusion-and-exclusion 173, 185 and international nongovernmental organizations 676–7 representation: and descriptive and substantive representation 168–9 and diversity of: bicameralism 480, 481, 485 in legislatures 434, 436–40 and electoral system 583, 589–90 subject index and legislatures 434 collectivism vs individualism 436–40 and political parties 560, 563 multiparty system 561–2 two-party system 560–1 representative democracy, and direct democracy 599–600 individual/package policy voting 609–10 Republican Governors Association (USA) 255 Republican party, and federalism 248 resources, and institutions Responsible Care, and regulation of chemical industry 423–4 Restrictive Trade Practices Act (UK, 1956) 420 retrenchment, and welfare state 397–400 retrospective voting 566 revisionism, and post-war British politics 704–5 Rhineland capitalism 152 risk management, and regulatory capitalism 423–4 rogue states 128 role theory: and judicial decision-making 522 and legislatures 463–4 Rome, and civil society concept 132–3 routines: and institutional change 13 and institutions Royal Institute of Public Administration 335–6 rules: as actor-given 25–6 as exogenous constraints 24–5 and formal-legal analysis 94–5 and institutional change 13 and institutions 3, 7, 8, and international security institutions: contingent rules 639–40, 645 neoinstitutional view of 644–6 operative rules 638–9, 645 and politics 724–5 Russia 445 809 and elections 572 and judicialization 517 Rwanda 183 San Francisco 590 Scotland 261, 263, 479 Seattle protests (1999) 675, 686 Securities and Exchange Commission (USA) 417 securitization, and regulation 418–19 security, see international security institutions (ISIs) security industry 422 segregation, and United States Supreme Court 549 selectorate, and structured institutions 28, 29–30 self-binding, and multilateralism 618 semi-presidentialism: and bicameralism 480–1 and core executive approach 338–9 and evolution of 746 and executive-legislative relations 351–2, 359–60 and separation of powers 220–1 and variants of 363–4 see also presidency, American; presidentialism separation of powers: and constitutional types 217 checks- and balances regimes 219 constitutional monarchy 217 dual formula for 217 parliamentary regimes 217–18 presidentialism 220 semi-presidentialism 220–1 and executive–legislative relations 347 and federalism 268–9 and regulatory capitalism 426–7 and United States Constitution 195, 196, 197 Sherman Act (USA) 420 single member simple plurality electoral system: and big-party bias of 583 810 subject index single member: (cont.) and impact on party numbers 581 single nontransferable vote electoral system, and Afghanistan 437–8 single transferable vote electoral system 583, 587 single-actor design, and institutional change 11 skepticism 699 slavery: and African-Americans 177–9 and international nongovernmental organizations 676–7 and United States Constitution 194–5 small business, and regulation 416, 421, 423 small world phenomenon, and network analysis 79 Social Accountability International 427–8 social capital: and networks 84 and transnational civil society 684 social constructivism, and international security institutions 648–50 social democratic welfare states 388 social engineering, and Fabianism 101 social inXuence, and networks 85 social liberalism 713 and Blair’s New Nationalism 713–14 and United States 715–16 social movements 675 and institutional change 48–50 and networks 84 and public creation of 558–9 and United States Constitution 199–200 and women’s movement 176 and women’s suVrage 174–5 see also international nongovernmental organizations (INGOs) social network analysis 78–80 see also network institutionalism social psychology, and networks 84–5 social rights, and constitutions 200–2 social science 102–3 and deWnitions of institution 722–4, 730–1 social union 698–9 Socie´te´ des Amis des Noirs 676 Socie´te´ Ge´ne´ral de Surveillance 428 society: and growth of interest in concept 136 and the state 129 see also civil society Society for EVecting the Abolition of the Slave Trade 676 sociology: and deWnition of institutions 723–4 and institutionalization 726 solidarity: and race and the welfare states 389–91 and thinking institutionally 739 South Africa: and electoral system 583 and federalism 262, 266, 276 South African Constitutional Court 201 Southern African Development Co-ordination Conference (SADCC) 626 sovereignty: and global governance 625 and international organizations 615 and pooling in European Union 619–20, 625 Soviet Union 677 Spain: and bicameralism 492 and constitutional interpretation 271 and federalism 261, 266, 267, 276 and local governance 504 and political science traditions 96–7 spatial leadership 329 St Kitts and Nevis 266 stability: and bicameralism 485, 486 balanced government 487–90 and institutionalism 4–5, Standard and Poors 424, 426 standards, and thinking institutionally 738–9 state, the: and bureaucracies as instrument of power 369–72 subject index and contingency of 128 and deWnitions of 111–14 diYculties in 111–12 hegemony 113 monopoly over coercion 112 as social relation 113–14 territorialization of authority 113 and discourse theory 123–4 stateless state theory 123 and failed states 128 and feminist approaches to 121–3 and Foucault’s approach to 120–1 criticism of 121 and international organizations 614 and international security institutions: neoinstitutional view of 644–6 neorealist view of 641–4 as organizational tools 646–8 social constructivist view of 648–50 and markets 144, 145–6 and Marxist approaches to 115–17 and Marxist political economy 99–100 and origins of 114–15 and research on 125–6 future of nation state 126–7 governance 127–8 scales of politics 127 state forms and functions 127 state strength 126 stateness 126 and rogue states 128 and society 129 and state formation 114–15 and state-centered theories 117–19 criticism of 119–20 state autonomy 118–19 themes of 118 and strategic-relational approach 124–5 and strategic-relational context 128–9 state theories, and territorial politics 288–9 strategic alliances, and networks 82 strategic behavior, and judicial decision-making 523–4, 525–6 strategic planning, and New Public Management 379 811 strategic-relational analysis, and the state 124–5, 128–9 street-level bureaucrats 370 structural functionalism 718, 751 structure, and agency 99–100 structured institutions, and rational choice institutionalism 27, 28–30 clarity of outcomes 29 payoVs 29 politician behavioral repertoires 29 politician objectives 28–9 politician selection 28 selectorate preferences 29–30 structures of meaning, and institutions subgovernments, and policy networks 80–1 subgroups, and network analysis 78–9 subordinate groups, and inclusion-andexclusion 172–3 support, and institutionalization 729–30 supranational institutions, and territorial politics 284 survival, and thinking institutionally 740 sustainability, and thinking institutionally 740 Sustainable Agriculture Network 428 Sweden 269 and electoral system 469 and local governance 500 and rejection of bicameralism 478 and welfare state 394 Switzerland: and bicameralism 273, 492 and constitutional amendment 269–70 and constitutional interpretation 271 and direct democracy 603, 605, 606, 610 and federalism 261, 265, 266 constitutional arrangements 268 systems theory 750 Taiwan 427 and democratic transition 559–60 tax policy, see Wscal policy tenure: and development of expertise 444–5 812 subject index and reelection rates 444 home styles 465–6 territorial politics: and American federalism 242–4, 256 absence of state representation 244–5 and approaches to: diversity of 285–6 governance 292–4 interorganizational analysis 289–92 political dynamics 286–8 state theories 288–9 and center–periphery relationships 281, 285, 287–8 and centralization 287 and contemporary issues 282–3 and cross-territorial issues 283–4 and Wscal policy 288–9 and geography 282 and German federalism 244–5 and governmental authority 281–2 as independent domain 284–5 and intergovernmental relations 281 and national context 295–7 and participation 283 and regionalism 283 and supranational developments 284 territoriality, and statehood 113 terrorism 651 Thailand 427 theory, and role of 102–3 thinking institutionally 735 and adaptability 737 and consequences of 735 is not critical thinking 736 and dangers of absence of 742–3 and diVusing value 738 and infusing value 737–9 and institutional context of 735–6 and internalization of norms 736 and negative aspects of 742 and precedent 739 and receiving 737 and signiWcance of 740–3 cultivation of belonging/common life 741–2 political decision-making 740–1 protection against presentism 741 sustainability and survival 740 and standards 738–9 as thinking 737 and time 739–40 Third Way 711, 716 time: and institutionalization 726–7, 728 and thinking institutionally 739–40 toleration, and civil society 134 totalitarianism 699, 757 trade institutions 661–7 and dispute resolution 665–6 and ‘‘escape clauses’’ 666–7 and fundamental problems facing 662 bargaining problems 662–4 enforcement problems 662, 664–5 and impact of 667 and institutional design 666–7 and regional trading agreement 665–6 trade unions: and control of 155 in United States 417 traditions: and constructed nature of 91 and coordination 373 and executive politics 340 transaction, and executive–legislative relations 346–50 parliamentary democracies 352–6 presidential democracies 356–8 transaction-cost economics, and rational choice institutionalism 34 transnational advocacy networks 84, 683 see also international nongovernmental organizations (INGOs) transnational relations 681–2 see also international nongovernmental organizations (INGOs) transparency: and international security institutions 646 and legislative deliberation 434, 440–2 and New Public Management 379 subject index Trial Lawyers Association 530 tricameralism 483 trust, and international organizations 618 trustees, and representatives as 463–4 Ukraine, and judicialization 516 uncertainty: and electoral system change: impact of 586–8 party numbers 585 voter preferences 586 and international security institutions: neoinstitutional view of 645–6 neorealist view of 641–2 and paradigm shifts 67–8 Unfunded Mandates Reform Act (USA, 1995) 253 unicameralism 478–9 unilateral powers, and presidency (USA) 315–17 Union Carbide 423 Union of International Associations 681 United Kingdom 266, 269 and bicameralism 492 and constitution of 707–9 and devolution 261, 263 and economic regulation 148 and local governance 500–1, 503, 504 and New Public Management 378–80 and party government 705–6 role of constitution 707–9 and political science traditions: formal-legal analysis 96 idealism 97–8 modernist-empiricism 93–4 and politicization of civil service 335–6 and pressure groups 701–2 and regulation, growth of 412 and territorial politics 286, 295 see also parliamentary government United Nations 502 and challenges facing 622 and creation of 615 General Assembly 647 813 as international political organization 621–2 and legal powers of 618 and legitimacy 628 as multifunctional organization 617 and nongovernmental organizations 685 and peacekeeping 644, 652 and reform of 629–30 Security Council 644, 646, 647 and United States 622, 630 United Nations Conference on Trade and Development (UNCTAD) 421, 617 United New Netherland Company 419 United States: and bureaucratic reform 380–2 and divided government 470–1 and economic regulation 148 impact on global 150 and executive power, growth of 52–3 and inclusion-and-exclusion: African-Americans 177–82 federalism 181–2 immigration 185–6 and integration 715–16 and International Monetary Fund 669, 670 and international security institutions 651–2 and local governance 501, 502 regimes of 507–8 and party government 706–7 and political science traditions: formal-legal analysis 96 modernist-empiricism 93 and regulation: antitrust laws 419–20 early twentieth-century development of 417 globalization of mega-corporate capitalism 419–21 growth of 411–12 as solitary superpower 651 and territorial politics 286 and United Nations 622, 630 814 subject index United States: (cont.) and welfare state: business 393–5 distribution of beneWts 396–7 gender 391–2 race 389–91 retrenchment 398–9 spending on 396 and World Bank 670 see also federalism; presidency, American; United States Congress; United States Constitution; United States Senate; United States Supreme Court United States Chamber of Commerce 530 United States Conference of Mayors 254 United States Congress: and African-Americans 178–80 and bicameralism 477 diversity of representation 481 and committee system 461–2 and disorderliness of 457 and divided government 470–1 and Wlibusters 461 and functional structure of 242, 243, 254 and ‘‘home styles’’ 465–6 and legislative partisanship: behavioral foundations of 463–6 consequences of changes in 470–2 explaining changes in 466–8 institutional inXuences on 458–62 role theory 463–4 and party system 560 party voting 568–71 and presidential budget proposals 313–14 and procedures of 460–1 and seniority 27, 461 and stalemate 486 and voting patterns 447, 448 see also United States House of Representatives; United States Senate United States Constitution: and antidemocratic provisions 194 and bicameralism 272 and checks and balances 219 and Commerce Clause 196–7 and development of 709–10 and diYculty in changing 193, 270 and implementation of founding bargains 194 slavery 194–5 states’ rights 194 and interpretation of 202, 271 doctrinal arguments 206 ethical arguments 206 historical arguments 203–4 judicial supremacy 209–10 legitimacy of change eVected by 207–10 prudential arguments 206–7 structural arguments 205–6 Supreme Court 192, 196–7 textual arguments 204–5 and judicial review 193 and limitations on government power: channeling of political protest 199–200 individual rights 198–9 and religion 173 and social rights 200–2 and states’ rights 241 and structuring exercise of power: electoral processes 198 federalism 195–7 judicial appointments 197–8 separation of powers 195, 196, 197 see also federalism; United States Supreme Court United States House of Representatives: and partisanship in 459 and political parties 466–8 and procedures of 460, 466–7 and structural reforms of 466–7 see also United States Congress United States Senate: and Wlibusters 461 and partisanship in 468 and procedures of 461 subject index and representation in 243 and senatorial courtesy 27 and tenure 460 and United States Constitution 194 see also United States Congress United States Supreme Court: and Ashwander vs Tennessee Valley Authority (1936) 542 and Bolling vs Sharpe (1954) 206 and Brown vs Board of Education (1954) 206, 549 and Bush vs Gore (2001) 517, 528, 529 and constitutional interpretation 192, 271, 709 doctrinal arguments 206 ethical arguments 206 federalism 196–7 historical arguments 203–4 judicial supremacy 209–10 legitimacy of change eVected by 207–10 prudential arguments 206–7 separation of powers 197 structural arguments 205–6 textual arguments 204–5 and decision-making by 542–3 Attitudinal Model of 518–20 inXuence of interest groups 525 Legal Model of 520–3 Strategic Model of 523–4 and Dred Scott vs Sandford (1857) 548 and Goldwater vs Carter (1979) 207 and Immigration and Naturalization Service vs Chadha (1983) 550 and inXuences on 50 and institutional legitimacy 528, 529 and Lochner vs New York (1905) 548 and Marbury vs Madison (1803) 204, 747 and Miranda vs Arizona (1966) 542, 549–50 and Planned Parenthood of Southeastern Pennsylvania vs Casey 528 and policy-making 538–9, 709 conditions for eVective 539 implementation problems 548–50 815 nature of decision-making process 542–3 and Republican Party of Minnesota vs White (2002) 529 and Roe vs Wade (1973) 206, 548 Universal Postal Union 416, 615 unstructured institutions: and rational choice institutionalism 27–8 collective action 30–2 urban regeneration, and local governance regimes 508 urban regimes 498 and Atlanta 507–8 and business participation 507–9, 511 and conceptualization problems 513 and deWnition of 506 and education reform 511–12 and errors in study of: concept stretching 510 degreeism 510 misclassiWcation 509–10 parochialism 508–9 and European urban regeneration 508 and relationships within: at core of 507 core-external actors 507 and social production of power 506–7 and typology of 510–11 see also intergovernmental relations; local governance utilitarianism values, and thinking institutionally 737–9 Venezuela 261, 267 veto players: and classiWcation of constitutions 225 and role of 339–40 Vienna, Congress of (1815) 615 virtue 715 voluntary organizations, and historical institutionalism 49–50 Voting Rights Act (USA, 1965) 177, 468 Wales 261, 263 Warsaw Pact 677 816 subject index Washington Naval Treaty (1923) 642 Weimar Constitution 201, 359, 582 welfare state: and business 393–5 and distribution of beneWts 396–7 as distributive institution 389 and gender 391–2 and ‘‘hidden’’ welfare state 395–7 and indirect policies 396 as institution of modern politics 388 and policy change 402–3 conversion 403 drift 403–4 failure to adapt to new risks 404 institutional obstacles to 404 layering 403 and policy outcomes 400–2 Luxembourg Income Study (LIS) 400–1 panel studies of income dynamics 401–2 and private beneWts 396 and public spending programs 395, 400 and race 389–91 and research on: challenges facing 399–400 diversity of 388–9 growth of 387–8 progress of 389 and resilience of 398 and retrenchment of 397–400 and solidarity 389 and tax policy 395–6 and typology of 388 Westminster system: and parliamentary government 325–6 and presidentialization of prime ministers 328–30 see also parliamentary government Westphalia, Treaties of (1648) 113 women, see feminism; gender World Bank 150, 383, 426, 627, 657, 668 and nongovernmental organizations 685 and United States 670 World Health Organization 424, 617 World Social Forum 678 World Trade Organization 426, 616, 657, 661 and bargaining problem 662–4 and dispute resolution 665 and enforcement problems 664–5 and impact of 667 and legal powers of 618 world-polity institutionalism 682 Yugoslavia, and federalism 265, 266