ARENA Working Papers
Persuasion in International Institutions
Jeffrey T. Checkel |
Introduction My title begs two
issues.� Why the focus
on persuasion?� And why persuasion in international
institutions?� Regarding
persuasion, the emphasis would seem obvious given our workshop�s theme.� Yet,
other concepts could have been chosen - deliberation or arguing, most obviously.� I shy away from the first because of the normative orientation of
most work on deliberation in international and, especially, European
affairs (Eriksen and Fossum 2001, for example).�
I shy from the second because of difficulties in operationalizing
the term.� Moreover, theorizing
persuasion is one way of addressing constructivism�s micro/agency problem (Adler 2002, 109-110; Fearon and
Wendt 2002, 54) and it is something the importance of which has
been stressed by students of international law for many years
(Chayes and Chayes 1995).
O.k., but why study
persuasion in international institutions?� The reason is straightforward.� Much of the recent work has studied persuasion�s causal role in networks
promoted by international institutions writ large (Keck and Sikkink
1998; Risse, Ropp and Sikkink 1999).�
While excellent, these studies have largely conceived of
and documented persuasion as strategic manipulation or what Riker
many years ago termed heresthetics (Riker 1996, chapter 1; see
also Checkel 2000b).� My interest here is to explore a role for thicker
forms of persuasion that may occur within institutions and international
organizations (see also Johnston 2001).
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The analysis proceeds
in four steps.� I begin
by saying a bit about the toolkits upon which I draw to theorize
persuasion.� Second, I put �persuasion in context� (Gourevitch, Katzenstein and Keohane 2002) by considering
institutional/organizational settings, including the key roles
played by size and depoliticization.�
Third, I contextualize persuasion further by examining
the influence of audiences and noviceness.�
The essay closes by highlighting cutting-edge challenges
for students of persuasion in international institutions.
My raw materials
are drawn from two projects.�
A first - my own - examines the evolution
and diffusion of new citizenship/membership norms in post-Cold
War Europe.� It consists of three cases, a European-level
one that charts the development of new normative understandings,
and two diffusion/country studies - Germany and Ukraine.�
A second - collaborative - project is entitled �International Institutions
and Socialization in the New Europe.� It explores both micro-socialization dynamics (within
EU institutions, say) and macro- or state-socialization in Eastern
Europe and the former USSR (Checkel 2002).�
My own work accords a central role to persuasion, while
the collaborative endeavor views it as just one of several different
socialization mechanisms.
Theorizing Persuasion I define persuasion as a social process of interaction that involves changing attitudes about
cause and effect in the absence of overt coercion.� More formally, it
is �an activity or process
in which a communicator attempts to induce a change in the belief,
attitude or behavior of another person ... through the transmission
of a message in a context in which the persuadee has some degree
of free choice.�� Here, persuasion is
a process of convincing someone through argument and principled
debate (Perloff 1993, 14; see also Zimbardo and Leippe 1991; Brody, Mutz and Sniderman
1996; Keohane 2001, 2, 10).
So defined, this is thick persuasion.�
For sure, there are different levels at which persuasion
can occur (Gourevitch, Katzenstein and Keohane 2002).�
Indeed, there is a long tradition in rational-choice scholarship
emphasizing a thin, strategic and manipulative understanding of
persuasion - for example,
Riker�s work on heresthetics
(Riker 1986, 1996).� Common
to these thin definitions is that persuasion does not bring about
preference or attitude change.�
Given that manipulative understandings have received a
good bit of attention in recent work (Schimmelfennig 1999, 2000,
2001; Evangelista 2001; Payne 2001), I focus on the thicker variant
here.
In doing this, I draw mainly upon work in
social psychology.
[2]
![endif]>![if>� Good Lord, why?!� After all, many have argued that this largely laboratory-experimental
literature is a swamp, offering a host of sometimes conflicting
hypotheses and conclusions (Riker 1996, 8, among others).� Nonetheless, given that it does advance theoretically
informed insights on persuasion, I thought it important to test
these in a different way - through process tracing and qualitative
case studies.� For my purposes,
the most important insights are that thick persuasion is likely
only in certain contexts, defined by cognitive uncertainty and
noviceness on the part of the persuadee, in-group status of the
persuader and, more generally, in less politicized and more insulated,
in-camera settings (Checkel 2001 for details; see also Johnston
2001; Gheciu 2002; and Finnemore nd, chapter 5). An additional reason for turning to social
psychology was my unhappiness with other possible alternatives
for theorizing persuasion.� Here,
an obvious candidate is Habermas� theory of communicative action.� However, I remain skeptical of going this route.�
In part, this is a real-world response to Habermasian claims,
where many who conduct field work have discovered that it is not
the force of the better argument that changes minds, but the persuasive
appeal of one�s interlocutor (the persuader) and the open-mindedness
of the persuasion target (the persuadee).� The most morally compelling or logically correct
argument may matter little if it is advanced by a weak debater,
or is presented to an individual with deeply held and countervailing
beliefs.
More important, it is not clear how one
operationalizes Habermasian arguments. Habermas� approach is
social theory with an important normative component; it is not
a substantive theory amenable to easy operationalization.�
Indeed, if one examines his arguments carefully, most of
the causal weight falls on (unspecified) mechanisms of persuasion
(Checkel 2001; see also Lynch 1999, chapter 1).�
More generally, Habermas provides little sense of �the various social mechanisms
that might help us better to understand how social systems and
individuals� actions mesh� (Hedstroem and Swedberg 1998, 212). ��������������������� Persuasion in
Context I: Institutional Settings Persuasion does �not float freely� (apologies
to Thomas!) and, indeed, appears to be crucially hindered or facilitated
by certain factors or, more formally, scope conditions. Regarding
institutional contexts, my studies highlight the importance of
two variables - size and degree
of politicization.� Consistent
with insights from social psychology, one sees that thick persuasion
is more likely the smaller the group size and the more depoliticized
the institutional setting.
Let me give an example from the project
on new European citizenship/membership norms.�
One concern here has been to document how these norms developed
over the past decade, with a key focus on the Council of Europe
(CE), an intergovernmental, pan-European, human-rights organization
based in Strasbourg, France.��
When the Council seeks to develop new policy and norms
in a given area, it sets up �committees of
experts,� which are composed
of representatives from CE member states as well as academic and
policy specialists.� In
the early 1990s, two such committees were established: a Committee
of Experts on National Minorities and a Committee of Experts on
Nationality.� If new norms were these committees� outputs, then
the issue for me was the process leading to such outcomes.� In particular, what roles were played by bargaining
and persuasion?� (In this
intergovernmental club of democracies, one would expect coercion
to play a very small role.)
For the committee on national minorities,
bargaining dynamics were dominant throughout its five-year life.� There were few attempts at persuasion - of any type.� Rather, committee members were content to horsetrade
on the basis of fixed positions and preferences.� Key in explaining this outcome was the politicization
of its work at a very early stage.� Events in the broader public arena (the Bosnian tragedy) and within
the committee led to a quick hardening of positions.
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The story was quite different in the committee
on nationality.� Through
the mid-1990s, nationality was a rather hum-drum, boring issue
- especially
compared with the highly emotive one of minorities.� Initially, much of the committee�s discussions
were taken up with mundane discussions of how and whether to streamline
immigration procedures and regulations.�
In this technical and largely depoliticized atmosphere,
attempts at persuasion were evident, especially in a working group
of the committee.� In this smaller setting, individuals freely
exchanged views on the meaning of nationality in a post-national
Europe.� They sought to persuade and change attitudes,
using the force of example, logical examples and the personal
self esteem in which one persuader was held.�
In at least two cases, individuals did appear to rethink
their views on nationality in a fundamental way, that is, they
were convinced to view the issue in a new light (Checkel 2003).
That phrase �appear to rethink� hints at an important methodological
issue: How would I recognize persuasion if it were to walk through
the door?� This is complicated
and probably best taken up during our workshop discussions.� In brief, I can say the following.
I employ multiple data
streams, consisting of interviews with committee members (five
rounds spread over five years), confidential meeting summaries
of nearly all the committee�s meetings and various secondary
sources - and
triangulate across them.� In
the interviews, I ask two types of questions.�
A first taps into an individual�s own thought processes and (possibly) changing preferences.� A second is more intersubjective, asking the
interviewee to classify his/her interaction context.� I give them four possibilities - coercion, bargaining, persuasion/arguing, imitation
- and ask for a rank ordering.�
Interviewees are also asked if their ranking changed over
time and, if so, why.� For sure, this ain�t rocket science, nor does it ultimately allow me to get inside heads.�
However, it does greatly strengthen confidence in the validity
of the inferences I draw.
In sum, smallness and depoliticization promoted
persuasion.
[4]
![endif]>![if>� Put differently, persuasion�s causal role
increased as the institutional context became thicker (Gourevitch,
Katzenstein and Keohane 2002).�
These findings are consistent with insights drawn from
social psychology.�� They are also probably not a fluke, as they
are corroborated by results from two other empirical research
programs that emphasize non-bargaining dynamics in apolitical,
technical settings - work on epistemic
communities in IR theory (Haas 1992) and on comitology in EU studies
(Joerges and Neyer 1997a, b; Joerges and Everson 2000).
Persuasion in
Context II: Political Environments and Agency If the above
sets the structural and institutional contexts in which persuasive
appeals may play a role, the present section considers an additional
environmental factor and an agency-level variable.�
On the former, persuasion aimed at convincing an individual
to change his or her basic attitudes appears to work best in front
of small, knowledgeable and private audiences.�
This was the case in the small working group of the committee
of experts on nationality discussed above.�
There is also evidence of such dynamics at work in small-group
settings in post-Soviet Ukraine (Checkel 2001) and post-communist
East Europe (Gheciu 2002), as well as in a new in-camera monitoring
procedure established by the CE to promote rights enforcement
in its member states (Checkel 2000a).
These findings represent a good news, bad
news situation.� On the
one hand, such results are consistent with what social psychologists
would argue; they also provide strong corroboration for the conditions
under which �jawboning� is likely to
change minds (Chayes and Chayes 1995).�
The bad - or, better said, frustrating - news is that
other scholars have argued the opposite: Thick persuasion is more
likely in front of large, public audiences!�
For example, the Risse, Ropp, Sikkink project on the diffusion
of international human-rights norms suggests that when politicians
in public settings >talk the human
rights talk,� they become rhetorically entrapped and eventually
internalize new normative understandings - that is, thick
persuasion as I define it (Risse, Ropp, Sikkink 1999, passim).
Elsewhere, I have argued that this claim
is somewhat tenuous on both empirical and theoretical grounds
(Checkel 2000b).� In particular,
the causal mechanism leading rhetorically entrapped actors to
internalize new beliefs is not clear.
[5]
![endif]>![if>� My point here is not to say that Checkel is
right and these others are wrong.�
Rather, we need to clarify the roots of this disagreement
if research on persuasion is to advanced
At the agent level, an individual�s cognitive
priors - that is, his/her
background and previous thinking on the subject at hand - strongly affect
the role played by persuasion.�
A robust finding from several different research projects
is that novices are much more likely to be open to thick persuasion
(Johnston 2001; Gheciu 2002).
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For example, in Ukraine, one reason the
West was able to persuade and �change minds� on questions
of citizenship and nationality in the first part of the 1990s
was the newness of the Ukrainian participants in such exchanges.� Indeed, many of these individuals were
truly novices, with few ingrained cognitive priors on matters
of nationality and citizenship.� The recruitment of
these novice outsiders was a direct consequence of Soviet policies,
which saw major policy decisions taken in Moscow.�
The USSR thus bequeathed Ukraine few qualified home grown
personnel of its own.
Consider the role
played by Dr. Petro Chaliy, head of the Citizenship Department
in the Presidential Administration through the mid-1990s.� Before assuming this position, he was a researcher at the Institute
of State and Law of the Ukrainian Academy of Sciences; his scholarly
work examined constitutional law and local self-governance.� Within the government, Chaliy therefore found
himself in an unfamiliar position and uncertain environment, dealing
with issues of first principle: the fundamental normative guidelines
for Ukraine�s conception of membership.� He was a likely candidate for thick persuasion
(Checkel 2001).
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This claim about noviceness, which comes
largely from work in social psychology, can be generalized.� The issue is really one of embeddedness.�
Simply put, social actors, when entering a possible persuasive
setting at the European/international/whatever level, are in no
sense free agents; they arrive embedded in multiple contexts.
Consider the work of my EU collaborators in the project on international
institutions and socialization in post-Cold War Europe.�
Their starting point is that individuals are embedded in
multiple international and domestic organizational settings.�
However, these analysts go an important step further, theorizing
and documenting how particular features of domestic and Europeanization
organizations can hinder or promote persuasion and preference
change within the Commission, Council working groups or COREPER
(Egeberg 1999, 2002; Beyers 2002; Lewis 2002; see also Hooghe
2001).� The clear, consensus
conclusion emerging from this work is that efforts to explain
the roles of persuasion and socialization within the EU will fail
unless they systematically control for prior embeddedness.
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The Challenges Ahead I see four challenges and cutting-edge issues
for students of persuasion in international institutions: research
methodology; getting inside heads; a micro/macro problem; and
questions of institutional design.
Research Methodology. There are
two issues here: research design and research methodology.� On the former, I have already alluded to a
problem of overdetermination in some current research on persuasion.� Too many of us (and I am no exception) have
advanced complex, multi-causal arguments that are then tested
against a small number of cases.�
Yet, this is the way in which much of the best question-
or problem-driven research begins.� After this exploratory, hypothesis-generating
stage, then scholars should proceed to develop more rigorous designs
and expand the �N.�
The good news is that we are now clearly
entering the latter stage.� The
Risse/Mueller project, my own on institutions and socialization
and, indeed, this workshop are all signs of this healthy progression.� Work of this sort promises more fine-grained
hypotheses on the persuasion/preference-change nexus, helping
us more clearly distinguish - both theoretically
and empirically - between the Bayesian-updating, strategy-adjusting
agent and her complex learning, preference-changing opposite (Checkel
and Moravcsik 2001; see also Fearon 1998, 52).
Regarding methodologies, other techniques
are needed as a supplement to the interviews that figure prominently
in much research on persuasion.�
Possibilities include cognitive mapping, the adoption of
interview methodologies from clinical psychology, and utilizing
content analysis techniques that isolate argument structures.�
All three would serve to reduce the reliability problems
that arise from excessive reliance on what people say.
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Getting Inside Heads.� Can we do this?� And even if we can, should we bother?� Let me start with the first question, where it is necessary to address
and rebut two strikingly similar claims - advanced from
opposite ends of the ontological spectrum.� Each revolves around individual agents and their intentions, that
is, the extent to which one needs to get inside people�s heads when
studying the causal motors of persuasion or arguing.� Choice-theoretic critics will claim such an exercise is impossible,
while theorists of a more Habermasian orientation will say it
is not necessary.� Both
are wrong. � Any response to the choice-theoretic types
must begin with a clarification.�
The claim here is not that we must get inside heads when
studying persuasion; rather, we should and can shrink the black
box around the persuasive/argumentative process.�
Much of the research cited above is performing precisely
this �shrinking� exercise.�
These scholars employ a process-tracing methodology, triangulate
across multiple data streams, consider alternative explanations
and, where appropriate, conduct counterfactual analysis - all aimed at
understanding better the conditions under which and the mechanisms
through which arguing and persuasion occur.�
That is, they have gone some way toward answering a key
question: How would we recognize persuasion if we saw it?
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The claim made by students of arguing is
different.� They suggest
that we need not care about what people really think; it is what
they say that matters (Risse 2001, 2, 5, for example).�
I have encountered this stance on numerous occasions and
do not understand it.� How can we make claims that better arguments
have led social actors to alter their preferences when we only
look at what they say?� How
does such an approach control for the possibility that individuals
have strategically deployed arguments in an attempt to manipulate
others (Schimmelfennig 1999, 2001)?
For sure, one has Elster�s notion of
�the civilizing
force of hypocrisy� (Elster 1998, 109-112), which is often
invoked by these scholars.� This
is a claim that, even if a social agent is using arguments strategically,
their public utterance - that is, publicity - can have a
civilizing force on his/her more self-interested instincts.� That is, what starts out as strategic behavior
(a) may later lead to preference change (b).� Well maybe.� However, absent
some theoretical explanation for how we get from (a) to (b), and,
more important, empirical evidence that such a dynamic ever really
occurs, this claim should be treated with skepticism.
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There is an even more basic problem with
bracketing agent motivation and intention when studying persuasion
and argumentation - and this brings
me to the �why bother� question.�
We study such processes not just for their own sake.�
Rather, as both Habermasian scholars (Eriksen and Fossum
2000, chapter 1) and IR theorists (Risse 2000; Keohane 2001) make
clear, we examine them as part of a larger concern with social
order, compliance and global governance.� If this is the case, then let�s consider three
ideal-typical ways in which order, compliance and governance come
about: an agent is coerced; he/she complies out of self-interest;
or he/she complies because it is the legitimate and appropriate
thing to do.� The causal mechanisms in these three instances are very different:
force; incentives; and internalization.
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It seems intuitively obvious that the durability
and stability of compliance and social order will vary significantly
between the second and third mechanisms.�
With the second, which corresponds to Elster�s civilizing
force, compliance will be tenuous as an agent will calculate differently
when the incentive structure changes.�
However, once internalization occurs, compliance will become
more robust and enduring.
In sum, there are good theoretical and normative
grounds for studying what Keohane calls rational persuasion (Keohane
2001, 2) or what I call the thick sort.�
It is an ideal and, like all ideal types, it does not occur
that often in the world we study.�
(Note in my examples above the many conditions that needed
to be in place before thick persuasion occurred.)�
Nonetheless, we do want to know whether persuasion and
argumentation have convinced someone (internalization) or whether
arguments are being deployed strategically (incentives), or, most
likely, whether there is some complex relation between the two
processes (Fearon and Wendt 2002, 62).�
And, theoretically-methodologically, this will require
some greater attention to stuff between the earlobes.
Micro/Macro Linkages.� There is no such thing as a free lunch, not
even in IR theory.� For
sure, my micro focus and research agenda come at the expense of
the macro.� In particular, social and material power in
the broader environment receive insufficient attention.� Do persuasive outcomes ever not coincide
with the interests of materially powerful states in the EU or
other international institutions?�
In a particular small group setting, what makes an argument
persuasive?� Is it simply characteristics of the group and
the persuadee, as suggested earlier?�
Or, does it have more to do with whether a persuader�s arguments
resonate and are thus legitimated by broader social discourses?
In answering such questions, students of
persuasion will benefit from some bridge-building.� For example, a new generation of classical realist work has insights
to offer on the materiality of power and how it can shape individual
behavior (Brooks and Wohlforth 2000), while both critical constructivists
(Milliken 1999) and students of public spheres (Schlesinger
and Kevin 2000; Mitzen 2002) have much to say about the broader social discourses
that may legitimize (or delegitimize) arguments advanced by particular
agents.
Institutional Design.� There have been brief and informative discussions
of institutional design issues in the literature for several years
now (Keohane 2001, 8-9; Johnston 2001, 509-10, for example).� Yet, we are now at a stage where more is needed.� In particular, most welcome would be survey
articles examining the growing empirical literature on arguing
and persuasion in international institutions.�
Work of this sort could then productively and critically
reflect on earlier proposals based more on theoretical or normative
considerations.� What have we learned about the roles of publicity,
agenda setting, decision/voting rules and the like?� How do these condition the possibilities for
non-coercive change in the �partially globalized world� (Keohane 2001)
in which we live?
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[1]
![endif]>![if> Such a focus coincides with renewed interest in such dynamics within the
institutions of the European Union (EU).�
Beyers 1998; Egeberg 1999; Hooghe 2001, for example.
[2]
![endif]>![if> To a lesser extent, I utilize insights from communications research, which
also has a good bit to say about persuasion.
[3]
![endif]>![if> On the latter, at one of its first sessions, both France and Turkey declared
that they had no national minorities (!) and would countenance
no change in this view.
[4]
![endif]>![if> There is a problem of over-determination here to which I return in the
concluding section.
[5]
![endif]>![if> Elster�s claim about the civilizing
force of hypocrisy is also relevant here.� See the concluding section for discussion.
[6]
![endif]>![if> Material power asymmetries do not seem to be a relevant explanatory factor
here as the finding holds for representatives from weaker states
in East Europe, as well as from strong ones in Asia (China).
[7]
![endif]>![if> The evidence and research methodology behind such a claim are as follows.�
I interviewed Chaliy, his close collaborators and his
Western interlocutors.� I carried out a Abefore and after� comparison of Chaliy�s writings on the subject (citizenship/nationality).� I asked the counterfactual: Absent Western
intervention and attempts at normative suasion would Ukrainian
policy have been any different?�
Finally, I compared word with deed, examining how and
to what degree new beliefs translated into new policy.
[8]
![endif]>![if> The
validity of these insights is further bolstered by the degree
to which they overlap with those drawn from other research traditions.� This is particularly true of symbolic interactionism,
where scholars have theorized multiple embeddedness in terms
of role conflict.� See
Stryker 1980; Meyer and Strang 1993; and, for an important application
to international institutions, Barnett 1993.
[9]
![endif]>![if> Abdelal, Herrera, Johnston and Martin 2001.
[10]
![endif]>![if> Johnston 2001, 491-92, is a excellent rebuttal of the choice-theoretic
criticisms.
[11]
![endif]>![if> Fearon 1998, 54, suggests that Avarious psychological mechanisms� may be at work in getting
us from (a) to (b).� If
this is so, then it would seem important for Habermasians to
specify and operationalize these mechanisms and provide empirical
documentation of their effect.
[12]
![endif]>![if> Hurd 1999; Wendt 1999, 249-51.
[13]
![endif]>![if> Iain Johnston is addressing such issues in his contribution to my project
on international institutions and socialization in Europe. |