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Schmidt 2010 PDF
Schmidt 2010 PDF
doi:10.1017/S175577390999021X
All three of the traditionally recognized new institutionalisms rational choice, historical,
and sociological have increasingly sought to endogenize change, which has often meant a
turn to ideas and discourse. This article shows that the approaches of scholars coming out
of each of these three institutionalist traditions who take ideas and discourse seriously can
best be classified as part of a fourth new institutionalism discursive institutionalism (DI)
which is concerned with both the substantive content of ideas and the interactive processes
of discourse in institutional context. It argues that this newest of the new institutionalisms
has the greatest potential for providing insights into the dynamics of institutional change by
explaining the actual preferences, strategies, and normative orientations of actors. The
article identifies the wide range of approaches that fit this analytic framework, illustrating
the ways in which scholars of DI have gone beyond the limits of the traditional institutionalisms on questions of interests and uncertainty, critical junctures and incremental change,
norms and culture. It defines institutions dynamically in contrast to the older neoinstitutionalisms more static external rule-following structures of incentives, pathdependencies, and cultural framing as structures and constructs of meaning internal to
agents whose background ideational abilities enable them to create (and maintain)
institutions while their foreground discursive abilities enable them to communicate
critically about them, to change (or maintain) them. But the article also points to areas for
improvement in DI, including the theoretical analysis of processes of ideational change, the
use of the older neo-institutionalisms for background information, and the incorporation of
the power of interests and position into accounts of the power of ideas and discourse.
Keywords: ideas; discourse; discursive institutionalism; historical institutionalism; rational
choice institutionalism; sociological institutionalism
Introduction
The three traditionally recognized new institutionalisms of political science
rational choice institutionalism (RI), historical institutionalism (HI), and sociological institutionalism (SI) have one thing in common: they have been much
* E-mail: [email protected]
VIVIEN A. SCHMIDT
better at explaining continuity than change. In all three frameworks for analysis,
institutions serve primarily as constraints. RI focuses on rational actors who
pursue their preferences following a logic of calculation within political institutions, defined as structures of incentives; HI details the development of political
institutions, described as regularized patterns and routinized practices subject to a
logic of path-dependence; and SI concentrates on social agents who act
according to a logic of appropriateness within political institutions, defined as
socially constituted and culturally framed rules and norms. Because of their
definitions of institutions, which they present largely as given, static, and constraining, neo-institutionalist scholars in all three neo-institutionalisms have
mainly explained change as coming from the outside, as the result of exogenous
shocks. It is only relatively recently that they have sought to endogenize institutional change, by looking to explain the origins of or shifts in interest-based
preferences, historical paths, or cultural frames. Although some such scholars
have sought to do this while remaining within their older neo-institutionalism,
others have turned to ideas and discourse. Just how many have done so in each of
the three neo-institutionalisms varies considerably, however, with relatively few
scholars working in the RI tradition, more in the HI tradition, and the most in the SI
tradition. But importantly, all those who have come to take ideas and discourse
seriously have broken with some of the fundamental presuppositions of their own
institutionalist tradition at the same time that they have come to share enough in
common to be identifiable as part of a fourth new institutionalism. And what they
share includes not only an analytic framework but also a commitment to go beyond
politics as usual to explain the politics of change, whether this means the role of
ideas in constituting political action, the power of persuasion in political debate,
the centrality of deliberation for democratic legitimation, the (re) construction of
political interests and values, or the dynamics of change in history and culture.
I name this fourth new analytic framework discursive institutionalism (DI) to
call attention to the commonalities among the wide range of scholars who use
ideas and discourse to explain political change (and continuity) in institutional
context (see also Schmidt, 2002: Ch. 5, 2006: Ch. 5, 2008). And I label all
scholars who take ideas and discourse seriously as discursive institutionalists,
whether they themselves use this term, prefer instead to classify themselves within
one of the older institutionalist traditions, or have themselves come up with a
different, more specific term to identify their particular take on ideas and/or
discourse. Among these latter scholars, some focus primarily on the ideas side of
the framework, calling their approach the ideational turn (Blyth, 2002), discursive institutionalism (see Campbell and Pedersen, 2001), ideational institutionalism (Hay, 2001), and constructivist institutionalism (Hay, 2006). Others
emphasize the discourse side, whether calling it discourse analysis (Hajer, 2003),
the argumentative turn (Fischer, 2003), or deliberative democracy (Dryzek, 2000).
Still others span the ideas/discourse divide, much like DI, whether through
approaches focusing on the referentiel (frame of reference) (Jobert, 1989; Muller,
VIVIEN A. SCHMIDT
Logic of explanation
Definition of institutions
Calculation
Incentive structures
Approach to change
Explanation of change
Recent innovations to
explain change
Endogenous ascription of
interest shifts through RI
political coalitions or HI
self-reinforcing or selfundermining processes
Sociological institutionalism
Endogenous description of
incremental change through
layering, drift, conversion
Endogenous construction
(merge with DI)
Discursive institutionalism
Ideas and discourse of sentient
agents
Communication
Meaning structures and
constructs
Dynamic change (and
continuity) through ideas and
discursive interaction
Endogenous process through
background ideational and
foreground discursive abilities
Endogenous construction through
reframing, recasting collective
memories and narratives
through epistemic communities,
advocacy coalitions,
communicative action,
deliberative democracy
Object of explanation
Historical institutionalism
VIVIEN A. SCHMIDT
represent the incentive structures that reduce the uncertainties resulting from the
multiplicity of individual preferences and issues (see e.g., Hardin, 1982; Ostrom,
1990). This approach has arguably been the most resistant to the turn to ideas.
The ways in which DI deals with questions of interests and institutions challenges
the very premises of RI about the fixed nature of preferences and the stability of
institutions. Preference formation, moreover, which is at the center of DI concerns, was until very recently of little interest to RI scholars, while institutional
change was ruled out analytically a priori. But critiques of RI emphasizing its
economic determinism, its inability to deal with institutional change endogenously,
and its difficulties in accounting for preference formation (see e.g., Mansbridge,
1990; Green and Shapiro, 1994; Scharpf, 1997) have led scholars in the RI
tradition in recent years to seek to endogenize change.
In their attempts to find new ways to account for preference formation and
institutional shifts, RI scholars have mostly looked to political coalition formation, although they have sometimes even sought a rapprochement with HI (e.g.,
Katznelson and Weingast, 2005). For example, Iversen and Soskice (2006) argue
that formal electoral institutions act as incentive structures that produce political
coalitions which implement certain kinds of socio-economic policies, more inegalitarian in majoritarian systems, less inegalitarian in proportional ones. The
problem with such an approach is that it remains highly deterministic, as institutions determine politics which determine political outcomes, and it still cant
explain the origins of the institutions or of the political coalitions that created
them, let alone why they might change institutions or policies over time. In
contrast, Grief and Laitin (2004), in seeking to build HI insights into gametheoretic analysis, redefine the goal of institutions from self-enforcing to selfreinforcing or self-undermining institutions and their effects as parametric in
the short term, meaning exogenous and fixed for agents who act on self-enforcing
beliefs, but only quasi-parametric in the long run, meaning endogenous and
variable as individuals are led to act in a manner that does not reproduce the
associated beliefs. The problem here is that although this may better account for
change over time in game-theoretic terms, we are still left with the irrationality of
the choice of institutions to begin with; the deterministic trajectory of change over
time, now for better or worse; and the limited rationality of these supposedly
rational actors at any given point in time.
Relatively few RI scholars have turned to ideas to solve the problem of institutional change. Among those who have, the most significant RI engagement
with ideas began in the 1990s, although it has remained rather circumscribed.
Goldstein (1993) and Goldstein and Keohane (1993) provide the classic exposition of the RI approach to ideas (see also Weingast, 1995). They deem ideational
explanation useful only when and if explanation in terms of objective or
material interests is insufficient, which may occur in one of three ways, each of
which is problematic in a different way. First, ideas may come before interests,
acting as road maps for individual actors to clarify their goals or limit the range
VIVIEN A. SCHMIDT
to the actors within a given meaning context rather than in terms of some set of
universally identifiable interests. Material interests, economic in particular, which
are at the basis of much of the institutional incentives in the rational choice
institutionalist literature, are not ignored. But in discursive institutionalism,
scholars tend to separate material interests analytically into material reality and
interests rather than to conflate them, such that material reality constitutes the
setting within which or in response to which agents may conceive of their interests
(see Schmidt, 2008).
The kind of knowledge and degree of certainty agents may have with regard to
their ideas about material reality may also differ, depending upon the aspect of
material reality with which they are concerned. Illustrative of this epistemological
observation is Wittgensteins (1972) little-noticed distinction between the languagegames based on our everyday experiences in the world, which tend to admit of few
doubts or mistakes, and language-games based on our (social) scientific pictures of
the world, which may always allow for doubts, mistakes, and even gestalt switches
(see Schmidt, 2008). The problem with RI is that it tends to develop (social) scientific
pictures-games of the world that it treats as if they had the certainty of experiencegames a point also made by Taleb and Pilpel (2005; see discussion in Blyth, 2010),
who demonstrate that the world in which we live is a lot more uncertain than the
world of risk economists and rational choice institutionalists generally assume, given
the impossibility of knowing let alone statistically predicting the effects of all the
forces that may have an impact on economic and political realities.
As Blyth (2002: 3139, 2010; see also Schmidt, 2008) argues, the problem with
RI is that it assumes that most phenomena are explainable in terms of Knightian
risk, because they are part of a directly observable world that agents can perceive
more or less well and in which they can calculate the subjective probability of the
likely outcomes of their preferences, such as in the US Congress. Such phenomena,
Blyth shows, are in actuality better explained in terms of Knightian uncertainty,
because they are part of a world that is not directly observable, such as the global
economy, in which agents are not simply unsure about how to achieve their
interests but unsure of what their interests are, given that the uncertainties are too
great, the moment unique, prediction impossible, and agents interests always
structurally underdetermined. Blyth (2002) illustrates this by noting that the
Great Depression in the 1930s and the economic crisis following the oil shocks of
the 1970s were cases of Knightian uncertainty for both the United States and
Sweden, as governments, business, and labor at these critical junctures all sought
to reconstitute interests through alternative narratives and causal stories about
the reasons for the crisis, seeking to produce new political coalitions for collective
action, with ideas serving as weapons and blueprints in the struggle to replace
existing institutions.
Woll (2008) demonstrates that there are also less dramatic instances of
Knightian uncertainty, such as the kind faced by multinational businesses lobbying
for the deregulation of international trade in services. Here, firms ideas about which
10
VIVIEN A. SCHMIDT
memories created at a critical juncture in the 1930s, when the system evolved
into the trusted public institution based on peaceful and collaborative industrial
relations which continues to this day, despite changes related to the employers
pull-out of the national centralized system.
Discursive institutionalist scholars who engage with the RI tradition, then, like
RI scholars, speak the language of interests, incentive structures, and collective
action. But they see these as infused with a wide range of ideas and norms rather
than narrowly focused on an instrumental rationality of utility-maximization,
with incentive structures normative rather than neutral, interests subjective rather
than objective, and their explanations, where these are RI pictures of the world,
much more uncertain than RI scholars recognize.
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VIVIEN A. SCHMIDT
14
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whales from nasty, dangerous creatures (as Moby Dick) to endangered species
worthy of protection and even affection (as Moby Doll) (Epstein, 2008).
Discursive institutionalist scholars who engage with the SI tradition, then, like
SI scholars, also speak the language of cultural framing, ideas, and discourse. It is
just that they ensure that these are more dynamic and, thereby, better able to
explain institutional change (and continuity).
Importantly, the constructivist DI scholars go beyond the SI scholars who put
ideas into cultural context to put them into their meaning context as well, that is,
by treating ideas as empirical subjects to be studied in their own right (e.g., Kjaer
and Pedersen, 2001; Hay, 2006). And such meaning contexts constitute very
different kinds of institutions from those of RI, HI, and SI.
For the three older neo-institutionalisms, institutions are structures external to
agents that constitute rules about acting in the world that serve mainly as constraints whether by way of rationalist incentives that structure action, historical
paths that shape action, or cultural norms that frame action. For DI, by contrast,
institutions are internal to sentient agents, serving both as structures (of thinking
and acting) that constrain action and as constructs (of thinking and acting) created and changed by those actors. This internal capacity to create and maintain
institutions derives from agents background ideational abilities (Schmidt,
2008). This is a generic term for what Searle (1995) defines as the background
abilities which encompass human capacities, dispositions, and know-how related
to how the world works and how to cope with it; or for what Bourdieu (1990: 11)
describes as the habitus in which humans beings act following the intuitions of a
logic of practice. But the psychology of cognitive dissonance is also relevant
here, which shows that people generally act without thinking and only become
conscious of the rules that might apply if they are in contradiction (Harmon-Jones
and Mills, 1999). These background ideational abilities underpin agents ability
to make sense in a given meaning context, that is, to get it right in terms of the
ideational rules or rationality of a given discursive institutional setting.
But how, then, do we theorize about the process through which sentient agents
get it right or, better, manage to bring about change in the ideational rules?
Theoretical approaches in DI on how to plot change in ideas remain underdeveloped, despite much empirical analysis on changes in ideas. The most popular
theories of ideational change, those that focus on paradigm shifts, are arguably
the most problematic in this instance. This is mainly because, however evocative
the concept of paradigm shift may be as a metaphor for change, the theory itself
has problems similar to the HI critical juncture literature. It fails to specify closely
enough the process of ideational change, that is, how old ideas fail and new ideas
come to the fore, the reasons for ideational change, that is, why certain ideas are
taken up rather than others, and the timing of ideational change, since paradigmtheorys emphasis on abrupt shifts in ideas rules out not only evolutionary change
but also revolutionary change in ideas that is not abrupt (Skogstad and Schmidt,
n/a). One promising way forward is to build on the work of discourse analysts
(e.g., Howarth et al., 2000; Kjaer and Pedersen, 2001) who theorize the process of
ideational change by showing how different elements may be added to ideas,
thereby bringing about change in ideas incrementally even in times of stability,
and not just at critical junctures during paradigm shifts (see Carstensen, n/a).
There is one final problem with this focus on ideas, which is that we have yet to
fully explain the dynamics of institutional change. Although concentrating on ideas
gets us closer to why institutional changes occur, they still dont explain how such
institutional changes occur, that is, how the ideas themselves promote institutional
change. For this, however, we need to consider another aspect of discursive institutionalism, which is the interactive side of discourse. How ideas are generated
among policy actors and communicated to the public by political actors through
discourse is the key to explaining institutional change (and continuity).
16
VIVIEN A. SCHMIDT
party program but dismisses out of hand the possibility of explaining the presidential
nomination of William Jennings Bryan, because of the contingency of the nomination and the role of passion which ensured that what happened remains in the
domain of the art of politics (Bensel, 2005: 4547). But is it not possible that
Bryans nomination was at least in part due to his ability to put into words what
delegates thought about the cross of gold in a way that resonated with their values?
Cant the substance of ideas matter, in other words, as part of the persuasive power
of discourse? Levi (2006), in her presidential address at the American Political
Science Association, tacitly acknowledges this when she calls for research on
leaders communication because leaders have the power to inspire changeythe
capacity to change constituents beliefs (Levi, 2006: 1213) although she never
engages with DI work on leadership, discourse, or deliberative democracy.
Rational-choice institutionalisms problems with ideas, discourse, and deliberation follow from its restricted definition of agency and rationality. In RI, agents
are rational in an unthinking manner, meaning that they respond to incentive
structures in ways so as to maximize their interests (expected utility), pursuing
their goals in accordance with their beliefs about the facts. In DI, agents are
rational in a thinking manner: they also pursue their goals in accordance with
their beliefs about the facts but as already noted they are not only able to
think, say, and act but also to think about their thoughts, reflect upon their
actions, state their intentions, alter their actions as a result of their thoughts about
their actions, and say what they are thinking of doing and change their minds in
response to persuasion by others regarding what they are thinking, saying, and
doing. Such self-consciousness and self-knowledge along with the ability to
express it is summed up in the term sentient when used to define agents in DI
(scholars also use the term reflexive) by contrast with RIs rational agents.
This distinction between RI and DI approaches to agents is what Petit (2006:
3847) describes as the difference between the decision-theoretic image of persons, in which interaction is based on manipulation, as agents calculate how they
will influence others in order to serve their own interests, and the discoursetheoretic image as found, for example, in Habermas on discourse as communicative action (1996). The problem for RI scholars as a result of their definition
of interaction as manipulation is that they cannot explain how one overcomes
entrenched interests that is, ones that cannot be coerced, tricked, or bribed into
changing their actions. By contrast, in DI change in interests can come from
persuasion, as agents can reason together because they are aware that the other is
just as aware as they are about how they might be thinking about their interests in
accordance with their beliefs (Petit, 2006: 4446).
Discursive institutionalist approaches focused on deliberative democracy, in
particular, have elaborated on such insights related to communicative action.
Deliberative democracy is seen to occur when parties are reasonable and use
evidence-based arguments to reach agreement, where persuasion is the key to
creating shared understandings and building consensus, and in which the process
18
VIVIEN A. SCHMIDT
20
VIVIEN A. SCHMIDT
Positivism
Constructivism
interests
RI
history
HI
culture
SI
static
Ostrum
Powell/Dimaggio..
Hardin
..Katzenstein 1985 .
Iversen/Soskice
.Hall 1986
. Hall 2001.
Scott
........Grief/Laitin....
...Scharpf
March/Olson
....Schmidt 2002, 2006.....
Bensel/ Levi .....Thelen.
.Weingast..
Goldstein/Keohane
......Katzenstein 1996
..Hall 1989
ideas
norms
Culpepper....
Hall 1993
..Woll....
Lieberman
.Sabatier. .. .....Weir.King........
..Haas Berman ......Campbell/Pedersen....
Blyth
Wendt
..............Campbell.................
.Risse.
.. Rothstein....
.Hay..
.Muller/Jobert Art
..Schmidt 2000, 2002, 2006...
dynamic
discourse
DI
discourse
Figure 1 Scholars use of the four new institutionalisms: rational choice institutionalism
(RI), historical institutionalism (HI), sociological institutionalism (SI), and discursive
institutionalism (DI).
And what kinds of ideas and normative discourse are embedded in DI accounts
of capitalism, then? That there is nothing inevitable about the neo-liberal model
or anything inexorable about a binary split in varieties or incomparable about
culturally embedded forms of capitalism. DI leaves the future open to new ideas
conveyed by discourse, since it shows that rationalist logics, historical pathdependencies, and cultural frames are conditional on public choices that result not
just from the power clash among interests, the prerogatives of position, or the
scripts of culture but from the battle of ideas through discourse and deliberation.
The current economic meltdown demonstrates better than anything the ideational
underpinnings to one, two, and many views of capitalisms.
Conclusion
In summary, while some scholars have moved from one of the older neoinstitutionalisms to DI, others straddle institutionalisms, and yet others remain
squarely within one or another institutionalist approach. To get a sense of how all
of this fits together in a very general way, Figure 1 situates many of the scholars
works cited above within each of the four institutionalisms while arraying these
along a horizontal continuum from positivism to constructivism going from
interests to culture, with history in between and along a vertical continuum from
statics to dynamics, with interests, history, and culture at the static end, ideas and
discourse at the dynamic end (see Figure 1). HI sits between RI and SI, mainly
because RI and SI are largely incompatible, whereas HI can go to either side when
it adds agency. DI comes underneath all three because, although it is distinctive, it
can rest upon the insights of any one of the three and because scholars often see
themselves as continuing to fit into one or another of the traditions even as they
cross the line into DI.
This leaves us with one final question: what is the value-added of approaches that
take ideas and discourse seriously, by contrast with the other three new institutionalisms? DI endogenizes change, explaining much of how and why public actors
bring about institutional change through public action. With regard to the other
institutionalisms, moreover, the discursive approach helps to explain the actual
preferences and strategies of actors in RI and HI, and it helps to explain changes in
the normative orientations emphasized by SI. Where DI can go wrong is when it
considers ideas and discourse to the exclusion of issues of power (read RI instrumental rationality) and position (read HI institutional structures), when it assumes
that DI deliberation necessarily trumps RI manipulation, or when it over-determines
the role of ideas and discourse by forgetting that stuff happens or that historical
institutions and cultural frames affect the ways in which ideas are expressed and
discourse conveyed. We should not forget that ideas and discourse that seek to
promote change often have little effect on the crystallized ideas about rationalist
interests and cultural norms or on the frozen landscapes of rationalist incentives,
historical paths, and cultural frames. The research agenda for DI, therefore, should
not just be to seek to convince political scientists theoretically that ideas and discourse matter by now all neo-institutionalists seem to have accepted this to some
degree but to show empirically how, when, where, and why ideas and discourse
matter for institutional change, and when they do not.
Acknowledgements
I would like to thank Daniel Beland, Mark Blyth, Robert Cox, John L. Campbell,
Bob Goodin, Colin Hay, Peter Katzenstein, Paulette Kurzer, Michael Lister, Fritz
Scharpf, Martin Schroder, Kathleen Thelen, and Daniel Wincott for their
insightful suggestions at a much earlier stage of the manuscript, and the three
anonymous reviewers for their very helpful comments for this version.
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