Historical institutionalism
Encyclopedia
Historical institutionalism (HI) is a social science method that uses institutions in order to find sequences of social, political, economic behavior
and change
across time. It is a comparative approach to the study of all aspects of human organizations and does so by relying heavily on case studies.
Borrowing from Charles Tilly
, historical institutionalism is a method apt for measuring "big structures, large processes, and [making] huge comparisons".
Historical Institutionalism has generated some of the most important books in the fields of sociology, political science and economics. In fact, some of these studies have inspired policy and its scholars have received numerous awards. Although historical institutionalism proper is fairly new (circa 1979), it identifies with the great traditions in history, philosophy, politics, sociology and economics.
and, thus, prescriptive (i.e. Weber prescribed the professionalization of bureaucracy in order to have a modern state). Institutionalist e. This is often called "old institutionalism".
During the 1950s, structural-functionalism blurred the study of institutions. They were more concerned about the variability of the modernization
process across countries and about prescribing and generalizing at the systemic level rather than acknowledging the different paths that development
can take. (i.e. Gabriel Almond
and Sidney Verba
, The Civic Culture).
The new institutionalism begins with the works of Samuel Huntington
, Political Order in Changing Societies; Barrington Moore's, Social Origins of Dictatorship and Democracy , and more specifically Theda Skocpol
’s, States and Social Revolutions: A Comparative Analysis of France, Russia & China. These books spawned the new research program
.
As stated above, before HI arrived, institutions were only treated as the formal rules of behavior (i.e. the law). In contrast, historical institutionalism has loosened the definition of institutions. In this new approach, institutions can take the shape of a formal bureaucratic structure but also an ideology or an informal costume. The significance of this change of approach is that historical institutionalism denies that power and history have only one source as past approaches (i.e. the State) and has given agency to all kinds of social groups and behaviors (i.e. In "Weapons of the Weak" James Scott
acknowledges the power of "gossip" in political life.) In emphasizing the participation of all kind of groups, not just elites or the state, historical institutionalism offers a dynamic approach to history.
Moreover, HI avoids prescription. On the contrary, since historical institutionalism is interested in the richness and different paths that a revolution
or an economic reform can take given that different groups participate in each case, they are sensitive to the differences that can occur when following a particular political design (i.e. democracy). In that sense, it also avoids the teleological determinism of past approaches. For historical institutionalism, the actors both determined by and are producers of history.
, classical Marxists
, empiricists
, dialectic
al thinkers and positivists
, historical institutionalists do not accept that history necessarily develops in a straightforward, linear fashion. Instead, they examine the conditions under which a particular trajectory was followed and not others, a phenomenon that Gabriel Almond
refers to as the "historical cure". As a consequence, specifying why particular paths were not taken is as important as specifying the actual trajectory of history.
As opposed to the old institutionalists, they accept the fact that history will not necessarily lead to a "happy" outcome (i.e. "communism
or democracy
as the end of history)".
The most basic concept with which historical institutionalists work is the concept of path dependence
. Theda Skocpol and Paul Pierson write that path dependence
does not have yet a clear definition, but can express the idea that “outcomes at a ‘critical juncture’ trigger feedback mechanisms [negative or positive] that reinforce the recurrence of a particular pattern into the future.” In their view, the significance of path dependence is that:
A related crux of historical institutionalism is that temporal sequences matter: outcomes depend upon the timing of exogenous
factors (such as inter-state competition or economic crisis) in relation to particular institutional configurations (such as the level of bureaucratic professionalism or degree of state autonomy from class forces). For example, Theda Skocpol
suggests that the democratic outcome of the English Civil War
was a result of the fact that the comparatively weak English Crown
lacked the military
capacity to fight the landed upper-class. In contrast, the rise of rapid industrialization and fascism
in Prussia
when faced with international security threats was because the Prussian state was a “highly bureaucratic and centralized agrarian state” composed by “men closely ties to landed notables”. Thomas Ertman, in his account of state building in medieval and early modern Europe
, argues that variations in the type of regime
built in Europe during this period can be traced to one macro-international factor and two historical institutional factors. At the macro-structural level, the “timing of the onset of sustained geopolitical competition” created an atmosphere of insecurity that appeared best addressed by consolidating state power. The timing of the onset of competition is critical for Ertman’s explanation. States that faced competitive pressures early had to consolidate through patrimonial structures, since the development of modern bureaucratic techniques had not yet arrived. States faced with competitive pressures later could on the other hand, could take advantage of advancements in training and knowledge to promote a more technical oriented civil service
.
). Some scholars are oriented towards treating history as the outcome of rational and purposeful behavior based on the idea of equilibrium (see rational choice). They rely heavily on quantitative approaches. Others, more qualitative oriented scholars, reject the idea of rationality and instead emphasize the idea that randomness and accidents matter in political and social outcomes. There are unsolvable epistemological differences between both approaches. However given the historicity of both approaches, and given their focus on institutions, both can fall under "historical institutionalism" .
Behavior
Behavior or behaviour refers to the actions and mannerisms made by organisms, systems, or artificial entities in conjunction with its environment, which includes the other systems or organisms around as well as the physical environment...
and change
Social change
Social change refers to an alteration in the social order of a society. It may refer to the notion of social progress or sociocultural evolution, the philosophical idea that society moves forward by dialectical or evolutionary means. It may refer to a paradigmatic change in the socio-economic...
across time. It is a comparative approach to the study of all aspects of human organizations and does so by relying heavily on case studies.
Borrowing from Charles Tilly
Charles Tilly
Charles Tilly was an American sociologist, political scientist, and historian who wrote on the relationship between politics and society. He was the Joseph L. Buttenwieser Professor of Social Science at Columbia University....
, historical institutionalism is a method apt for measuring "big structures, large processes, and [making] huge comparisons".
Historical Institutionalism has generated some of the most important books in the fields of sociology, political science and economics. In fact, some of these studies have inspired policy and its scholars have received numerous awards. Although historical institutionalism proper is fairly new (circa 1979), it identifies with the great traditions in history, philosophy, politics, sociology and economics.
Old and new institutionalism
Institutions have been always central to social science but they have not been addressed with the same emphasis and manner in every approach. Before and after the turn of the twentieth century, several scholars were writing about institutions, but they had not developed a theory of institutions yet. Most of these approaches relied heavily on the study of formal institutions (i.e. the law) (see hermeneutics). Moreover, they were highly normativeNorm (sociology)
Social norms are the accepted behaviors within a society or group. This sociological and social psychological term has been defined as "the rules that a group uses for appropriate and inappropriate values, beliefs, attitudes and behaviors. These rules may be explicit or implicit...
and, thus, prescriptive (i.e. Weber prescribed the professionalization of bureaucracy in order to have a modern state). Institutionalist e. This is often called "old institutionalism".
During the 1950s, structural-functionalism blurred the study of institutions. They were more concerned about the variability of the modernization
Modernization
In the social sciences, modernization or modernisation refers to a model of an evolutionary transition from a 'pre-modern' or 'traditional' to a 'modern' society. The teleology of modernization is described in social evolutionism theories, existing as a template that has been generally followed by...
process across countries and about prescribing and generalizing at the systemic level rather than acknowledging the different paths that development
Development studies
Development studies is a multidisciplinary branch of social science which addresses issues of concern to developing countries. It has historically placed a particular focus on issues related to social and economic development, and its relevance may therefore extend to communities and regions...
can take. (i.e. Gabriel Almond
Gabriel Almond
Gabriel A. Almond was an American political scientist best known for his pioneering work on comparative politics, political development, and political culture.-Biography:...
and Sidney Verba
Sidney Verba
Sidney Verba is an American political scientist, librarian and library administrator. His academic interests are mainly American and comparative politics. He was the Carl H. Pforzheimer University Professor at Harvard University. He also served Harvard as the director of the Harvard University...
, The Civic Culture).
The new institutionalism begins with the works of Samuel Huntington
Samuel P. Huntington
Samuel Phillips Huntington was an influential American political scientist who wrote highly-regarded books in a half-dozen sub-fields of political science, starting in 1957...
, Political Order in Changing Societies; Barrington Moore's, Social Origins of Dictatorship and Democracy , and more specifically Theda Skocpol
Theda Skocpol
Theda Skocpol is an American sociologist and political scientist at Harvard University. She served from 2005 to 2007 as Dean of the Graduate School of Arts and Sciences. She is influential in sociology as an advocate of the historical-institutional and comparative approaches, and well-known in...
’s, States and Social Revolutions: A Comparative Analysis of France, Russia & China. These books spawned the new research program
Research program
A research program is a coordinated set of projects undertaking related research, often at national or even international level, with government funding....
.
As stated above, before HI arrived, institutions were only treated as the formal rules of behavior (i.e. the law). In contrast, historical institutionalism has loosened the definition of institutions. In this new approach, institutions can take the shape of a formal bureaucratic structure but also an ideology or an informal costume. The significance of this change of approach is that historical institutionalism denies that power and history have only one source as past approaches (i.e. the State) and has given agency to all kinds of social groups and behaviors (i.e. In "Weapons of the Weak" James Scott
James C. Scott
James C. Scott is Sterling Professor of Political Science, formerly Eugene Meyer Professor of Political Science and Anthropology at Yale University. He is also the director of the Program in Agrarian Studies. By training, he is a southeast Asianist.- Research topics :James Scott's work focuses...
acknowledges the power of "gossip" in political life.) In emphasizing the participation of all kind of groups, not just elites or the state, historical institutionalism offers a dynamic approach to history.
Moreover, HI avoids prescription. On the contrary, since historical institutionalism is interested in the richness and different paths that a revolution
Revolution
A revolution is a fundamental change in power or organizational structures that takes place in a relatively short period of time.Aristotle described two types of political revolution:...
or an economic reform can take given that different groups participate in each case, they are sensitive to the differences that can occur when following a particular political design (i.e. democracy). In that sense, it also avoids the teleological determinism of past approaches. For historical institutionalism, the actors both determined by and are producers of history.
The treatment of history
Unlike most western scholars who preceded them, including classical liberalsClassical liberalism
Classical liberalism is the philosophy committed to the ideal of limited government, constitutionalism, rule of law, due process, and liberty of individuals including freedom of religion, speech, press, assembly, and free markets....
, classical Marxists
Classical Marxism
Classical Marxism refers to the social theory expounded by Karl Marx and Friedrich Engels, as contrasted with later developments in Marxism.-Karl Marx:...
, empiricists
Empiricism
Empiricism is a theory of knowledge that asserts that knowledge comes only or primarily via sensory experience. One of several views of epistemology, the study of human knowledge, along with rationalism, idealism and historicism, empiricism emphasizes the role of experience and evidence,...
, dialectic
Dialectic
Dialectic is a method of argument for resolving disagreement that has been central to Indic and European philosophy since antiquity. The word dialectic originated in Ancient Greece, and was made popular by Plato in the Socratic dialogues...
al thinkers and positivists
Positivism
Positivism is a a view of scientific methods and a philosophical approach, theory, or system based on the view that, in the social as well as natural sciences, sensory experiences and their logical and mathematical treatment are together the exclusive source of all worthwhile information....
, historical institutionalists do not accept that history necessarily develops in a straightforward, linear fashion. Instead, they examine the conditions under which a particular trajectory was followed and not others, a phenomenon that Gabriel Almond
Gabriel Almond
Gabriel A. Almond was an American political scientist best known for his pioneering work on comparative politics, political development, and political culture.-Biography:...
refers to as the "historical cure". As a consequence, specifying why particular paths were not taken is as important as specifying the actual trajectory of history.
As opposed to the old institutionalists, they accept the fact that history will not necessarily lead to a "happy" outcome (i.e. "communism
Communism
Communism is a social, political and economic ideology that aims at the establishment of a classless, moneyless, revolutionary and stateless socialist society structured upon common ownership of the means of production...
or democracy
Democracy
Democracy is generally defined as a form of government in which all adult citizens have an equal say in the decisions that affect their lives. Ideally, this includes equal participation in the proposal, development and passage of legislation into law...
as the end of history)".
The most basic concept with which historical institutionalists work is the concept of path dependence
Path dependence
Path dependence explains how the set of decisions one faces for any given circumstance is limited by the decisions one has made in the past, even though past circumstances may no longer be relevant....
. Theda Skocpol and Paul Pierson write that path dependence
Path dependence
Path dependence explains how the set of decisions one faces for any given circumstance is limited by the decisions one has made in the past, even though past circumstances may no longer be relevant....
does not have yet a clear definition, but can express the idea that “outcomes at a ‘critical juncture’ trigger feedback mechanisms [negative or positive] that reinforce the recurrence of a particular pattern into the future.” In their view, the significance of path dependence is that:
- "once actors have ventured far down a particular path, they are likely to find it very difficult to reverse course…The “path not taken” or the political alternatives that were once quite plausible may become irretrievably lost. ‘Path dependence analysis’ highlights the role of what Arthur Stinchcombe has termed ‘historical causation’ in which dynamics triggered by an event or process at one point in time reproduce themselves, even in the absence of the recurrence of the original event or process".
A related crux of historical institutionalism is that temporal sequences matter: outcomes depend upon the timing of exogenous
Exogenous
Exogenous refers to an action or object coming from outside a system. It is the opposite of endogenous, something generated from within the system....
factors (such as inter-state competition or economic crisis) in relation to particular institutional configurations (such as the level of bureaucratic professionalism or degree of state autonomy from class forces). For example, Theda Skocpol
Theda Skocpol
Theda Skocpol is an American sociologist and political scientist at Harvard University. She served from 2005 to 2007 as Dean of the Graduate School of Arts and Sciences. She is influential in sociology as an advocate of the historical-institutional and comparative approaches, and well-known in...
suggests that the democratic outcome of the English Civil War
English Civil War
The English Civil War was a series of armed conflicts and political machinations between Parliamentarians and Royalists...
was a result of the fact that the comparatively weak English Crown
The Crown
The Crown is a corporation sole that in the Commonwealth realms and any provincial or state sub-divisions thereof represents the legal embodiment of governance, whether executive, legislative, or judicial...
lacked the military
Military
A military is an organization authorized by its greater society to use lethal force, usually including use of weapons, in defending its country by combating actual or perceived threats. The military may have additional functions of use to its greater society, such as advancing a political agenda e.g...
capacity to fight the landed upper-class. In contrast, the rise of rapid industrialization and fascism
Fascism
Fascism is a radical authoritarian nationalist political ideology. Fascists seek to rejuvenate their nation based on commitment to the national community as an organic entity, in which individuals are bound together in national identity by suprapersonal connections of ancestry, culture, and blood...
in Prussia
Prussia
Prussia was a German kingdom and historic state originating out of the Duchy of Prussia and the Margraviate of Brandenburg. For centuries, the House of Hohenzollern ruled Prussia, successfully expanding its size by way of an unusually well-organized and effective army. Prussia shaped the history...
when faced with international security threats was because the Prussian state was a “highly bureaucratic and centralized agrarian state” composed by “men closely ties to landed notables”. Thomas Ertman, in his account of state building in medieval and early modern Europe
Europe
Europe is, by convention, one of the world's seven continents. Comprising the westernmost peninsula of Eurasia, Europe is generally 'divided' from Asia to its east by the watershed divides of the Ural and Caucasus Mountains, the Ural River, the Caspian and Black Seas, and the waterways connecting...
, argues that variations in the type of regime
Regime
The word regime refers to a set of conditions, most often of a political nature.-Politics:...
built in Europe during this period can be traced to one macro-international factor and two historical institutional factors. At the macro-structural level, the “timing of the onset of sustained geopolitical competition” created an atmosphere of insecurity that appeared best addressed by consolidating state power. The timing of the onset of competition is critical for Ertman’s explanation. States that faced competitive pressures early had to consolidate through patrimonial structures, since the development of modern bureaucratic techniques had not yet arrived. States faced with competitive pressures later could on the other hand, could take advantage of advancements in training and knowledge to promote a more technical oriented civil service
Civil service
The term civil service has two distinct meanings:* A branch of governmental service in which individuals are employed on the basis of professional merit as proven by competitive examinations....
.
Some problems
Historical institutionalism is not a unified intellectual enterprise (see also new institutionalismNew institutionalism
New institutionalism or neoinstitutionalism is a theory that focuses on developing a sociological view of institutions--the way they interact and the way they affect society...
). Some scholars are oriented towards treating history as the outcome of rational and purposeful behavior based on the idea of equilibrium (see rational choice). They rely heavily on quantitative approaches. Others, more qualitative oriented scholars, reject the idea of rationality and instead emphasize the idea that randomness and accidents matter in political and social outcomes. There are unsolvable epistemological differences between both approaches. However given the historicity of both approaches, and given their focus on institutions, both can fall under "historical institutionalism" .
- It could be said that path dependence claims causality because every juncture must be considered causal to further developments. (i.e. Z couldn’t occur without W, X and Y) In that sense, it is more deterministic than statistical analysis because at the latter acknowledge only probabilistic relations among variables. “Correlation is not causation”.
- Path dependence, in the economic sense, is also subjective because it involves the judgment of the researcher in determining which historical conjunctures had an effect on the outcome why others don’t (selecting on the dependent variable). The subjectivity becomes accentuated because one can claim that the smallest historical event can shape the larger outcomes. (E.g. A man got drunk, the next morning he was involved in manufacturing 20 rifles that were sent to the same regiment and the rifles didn’t aim right and the battle was lost and then the war). Where should we trace the causal thread? How much history is needed?
- HI, on the qualitative side, implies a lot of research and the results may not be satisfactory. It is not clear that focusing on multiple equilibrium one can have a more clear picture in explaining the world. In that sense, it sacrifices elegance for richness. Richness in turn can also lead to impressionist assumptions (e.g. Skowronek in comparing different presidencies across time considering only some structural similarities and not others)
Major institutionalist scholars and books
- Perry AndersonPerry AndersonPerry Anderson is a British Leftist intellectual, historian, and political essayist. He is often identified with the post-1956 Western Marxism of the New Left in Europe. He is Professor of History and Sociology at the University of California, Los Angeles and an editor of the New Left Review. He...
- Lineages of the Absolutist State - Reinhard BendixReinhard BendixReinhard Bendix was a German American sociologist.Born in Berlin, Germany, he briefly belonged to Neu beginnen and Hashomer Hatzair, groups that resisted the Nazis. In 1938 he emigrated to the United States. He received his B.S., M.A., and Ph.D. from the University of Chicago, and subsequently...
- Nation Building and Citizenship: Studies of our Changing Social Order - Suzanne BergerSuzanne BergerSuzanne Berger is an American political scientist. She is the Raphael Dorman and Helen Starbuck Professor of Political Science at the Massachusetts Institute of Technology and director of the MIT International Science and Technology Initiative...
- Peasants Against Politics - Peter B EvansPeter B EvansPeter B. Evans , Professor of Sociology and the Marjorie Meyer Eliaser Professor of International Studies at the University of California, Berkeley, received his B.A. magna cum laude from Harvard, an M.A. from Oxford University, and an M.A. and Ph.D. from Harvard...
- Embedded Autonomy - Alexander GerschenkronAlexander GerschenkronAlexander Gerschenkron was a Russian-born American Jewish economic historian and professor in Harvard, trained in the Austrian School of economics.Gerschenkron kept to his roots - in his economics, history and as a critic of Russian literature...
- Economic Backwardness in Historical Perspective - Samuel HuntingtonSamuel P. HuntingtonSamuel Phillips Huntington was an influential American political scientist who wrote highly-regarded books in a half-dozen sub-fields of political science, starting in 1957...
- Political Order in Changing Societies - Chalmers JohnsonChalmers JohnsonChalmers Ashby Johnson was an American author and professor emeritus of the University of California, San Diego. He served in the Korean War, was a consultant for the CIA from 1967–1973, and chaired the Center for Chinese Studies at the University of California, Berkeley from 1967 to 1972...
- Peasant Nationalism and Communist Power - Peter Katzenstein - Norms and National Security
- Robert KeohaneRobert KeohaneRobert O. Keohane is an American academic, who, following the publication of his influential book After Hegemony , became widely associated with the theory of neoliberal institutionalism in international relations...
- Power and Interdependence - Atul Kohli - The State and Development in the Third World
- Stephen Krasner - Sovereignty: Organized Hypocrisy
- Margaret LeviMargaret LeviMargaret Levi is an American political scientist and author, noted for her work in comparative political economy, labor politics, and democratic theory, notably on the origins and effects of trustworthy government....
- Consent, Dissent and Patriotism - Gregory Luebbert - Liberalism Fascism and Social Democracy
- Ian LustickIan LustickIan Steven Lustick is an American political scientist and specialist on the modern history and politics of the Middle East.Lustick completed his Ph.D...
- Unsettled States, Disputed Lands - Joel Migdal - Strong Societies and Weak State
- Barrington Moore - Social Origins of Dictatorship and Democracy
- Paul PiersonPaul PiersonPaul Pierson is a professor of political science and holder of the Avice Saint Chair of Public Policy at the University of California, Berkeley. From 2007-2010 he served at UC Berkeley as Chair of the Department of Political Science...
- Politics in Time - Karl PolanyiKarl PolanyiKarl Paul Polanyi was a Hungarian philosopher, political economist and economic anthropologist known for his opposition to traditional economic thought and his book The Great Transformation...
- The Great Transformation - Dietrich Rueschemeyer - Capitalist Development and Democracy
- James C. ScottJames C. ScottJames C. Scott is Sterling Professor of Political Science, formerly Eugene Meyer Professor of Political Science and Anthropology at Yale University. He is also the director of the Program in Agrarian Studies. By training, he is a southeast Asianist.- Research topics :James Scott's work focuses...
- Seeing like a State - Theda SkocpolTheda SkocpolTheda Skocpol is an American sociologist and political scientist at Harvard University. She served from 2005 to 2007 as Dean of the Graduate School of Arts and Sciences. She is influential in sociology as an advocate of the historical-institutional and comparative approaches, and well-known in...
- States and Social RevolutionsStates and Social RevolutionsStates and Social Revolutions: A Comparative Analysis of France, Russia and China is a 1979 book by political scientist and sociologist Theda Skocpol, published by Cambridge University Press and explaining the causes of revolutions through the structural functionalism sociological paradigm... - Thomas Ertman - Birth of the Leviathan
- Stephen SkowronekStephen SkowronekStephen Skowronek is an American political scientist, noted for his research on American national institutions and the U.S. presidency, and for helping to stimulate the study of American political development....
- The Politics Presidents Make - Rogers SmithRogers SmithRogers Smith is an American political scientist and author noted for his research and writing on American constitutional and political development and political thought, with a focus on issues of citizenship and racial, gender, and class inequalities.Born in Spartanburg, South Carolina and raised...
- Civic Ideals - Sven Steinmo - Taxation and Democracy
- Kathleen Thelen - How Institutions Evolve?
- Charles TillyCharles TillyCharles Tilly was an American sociologist, political scientist, and historian who wrote on the relationship between politics and society. He was the Joseph L. Buttenwieser Professor of Social Science at Columbia University....
- Coercion, Capital, and European States, AD 990-1992 - Stephen Van EveraStephen Van EveraStephen William Van Evera is a professor of Political Science at the Massachusetts Institute of Technology, specializing in International Relations. His research includes the U.S. foreign and national security policy and causes and prevention of war.-Biography:Van Evera received his A.B. in...
- Causes of War - Daniel Ziblatt - Structuring the State
- John ZysmanJohn ZysmanJohn Zysman is a professor of Political Science at the University of California Berkeley and co-founder of the Berkeley Roundtable on the International Economy. Professor Zysman received his B.A at Harvard and his Ph.D. at MIT...
- Governments, Markets, and Growth: Financial Systems and Politics of Industrial Change - Peter A. Hall - Governing the Economy