We develop an empirically based conception of international legalization to show how law and politics are intertwined across a wide range of institutional forms and to frame the analytic and empirical articles that follow in this volume. International legalization is a form of institutionalization characterized by three dimensions: obligation, precision, and delegation. Obligation means that states are legally bound by rules or commitments and therefore subject to the general rules and procedures of international law. Precision means that the rules are definite, unambiguously defining the conduct they require, authorize, or proscribe. Delegation grants authority to third parties for the implementation of rules, including their interpretation and application, dispute settlement, and (possibly) further rule making. These dimensions are conceptually independent, and each is a matter of degree and gradation. Their various combinations produce a remarkable variety of international legalization. We illustrate a continuum ranging from “hard” legalization (characteristically associated with domestic legal systems) through various forms of “soft” legalization to situations where law is largely absent. Most international legalization lies between the extremes, where actors combine and invoke varying degrees of obligation, precision, and delegation to create subtle blends of politics and law.

Do supranational institutions matter—do they deserve the status of an independent causal variable—in the politics of the European Community (EC)? Does the Commission of the European Communities matter? Does the European Court of Justice (ECJ) or the European Parliament? Is the EC characterized by continued member state dominance or by a runaway Commission and an activist Court progressively chipping away at this dominance? These are some of the more important questions for our understanding of the EC and of European integration. They have divided the two traditional schools of thought in regional integration, with neofunctionalists generally asserting, and intergovernmentalists generally denying, any important causal role for supranational institutions in the integration process. By and large, however, neither neofunctionalism nor intergovernmentalism has generated testable hypotheses regarding the conditions under which, and the ways in which, supranational institutions exert an independent causal influence on either EC governance or the process of European integration.

Recent studies of individual attitudes toward immigration emphasize concerns about labor-market competition as a potent source of anti-immigrant sentiment, in particular among less-educated or less-skilled citizens who fear being forced to compete for jobs with low-skilled immigrants willing to work for much lower wages. We examine new data on attitudes toward immigration available from the 2003 European Social Survey. In contrast to predictions based on conventional arguments about labor-market competition, which anticipate that individuals will oppose immigration of workers with similar skills to their own but support immigration of workers with different skill levels, we find that people with higher levels of education and occupational skills are more likely to favor immigration regardless of the skill attributes of the immigrants in question. Across Europe, higher education and higher skills mean more support for all types of immigrants. These relationships are almost identical among individuals in the labor force (that is, those competing for jobs) and those not in the labor force. Contrary to the conventional wisdom, then, the connection between the education or skill levels of individuals and views about immigration appears to have very little, if anything, to do with fears about labor-market competition. This finding is consistent with extensive economic research showing that the income and employment effects of immigration in European economies are actually very small. We find that a large component of the link between education and attitudes toward immigrants is driven by differences among individuals in cultural values and beliefs. More educated respondents are significantly less racist and place greater value on cultural diversity than do their counterparts; they are also more likely to believe that immigration generates benefits for the host economy as a whole.The authors would like to thank Beth Simmons, Shigeo Herano, Mike Tomz, James Alt, Jeffry Frieden, Ron Rogowski, Ken Scheve, Torben Iversen, Andy Baker, and Peter Gourevitch for helpful comments on earlier drafts.

The decision of the European Union to expand to Central and Eastern Europe is a puzzle for rationalist intergovernmentalism. This approach to the study of European integration accounts for most of the preferences of the state actors and many characteristics of the intergovernmental bargaining process but fails to explain why it resulted in the opening of accession negotiations. I introduce the mechanism of rhetorical action in order to show how the supporters of enlargement succeeded in overcoming the superior material bargaining power of their opponents. Through the strategic use of arguments based on the liberal norms of the European international community, the “drivers” caught the “brakemen” in the community trap and, step by step, shamed them into acquiescing in Eastern enlargement.

Why do agents comply with the norms embedded in regimes and international institutions? Scholars have proposed two competing answers to this compliance puzzle, one rationalist, the other constructivist. Rationalists emphasize coercion, cost/benefit calculations, and material incentives; constructivists stress social learning, socialization, and social norms. Both schools, however, explain important aspects of compliance. To build a bridge between them, I examine the role of argumentative persuasion and social learning. This makes explicit the theory of social choice and interaction implicit in many constructivist compliance studies, and it broadens rationalist arguments about the instrumental and noninstrumental processes through which actors comply. I argue that domestic politics—in particular, institutional and historical contexts—delimit the causal role of persuasion/social learning, thus helping both rationalists and constructivists to refine the scope of their compliance claims. To assess the plausibility of these arguments, I examine why states comply with new citizenship/membership norms promoted by European regional organizations.

A new dialogue is beginning between students of international law and international relations scholars concerning compliance with international agreements. This article advances some basic propositions to frame that dialogue. First, it proposes that the level of compliance with international agreements in general is inherently unverifiable by empirical procedures. That nations generally comply with their international agreements, on the one hand, or that they violate them whenever it is in their interest to do so, on the other, are not statements of fact or even hypotheses to be tested. Instead, they are competing heuristic assumptions. Some reasons why the background assumption of a propensity to comply is plausible and useful are given. Second, compliance problems very often do not reflect a deliberate decision to violate an international undertaking on the basis of a calculation of advantage. The article proposes a variety of other reasons why states may deviate from treaty obligations and why in many circumstances those reasons are properly accepted by others as justifying apparent departures from treaty norms. Third, the treaty regime as a whole need not and should not be held to a standard of strict compliance but to a level of overall compliance that is "acceptable" in the light of the interests and concerns the treaty is designed to safeguard. How the acceptable level is determined and adjusted is considered.

Does increased democracy promote or jeopardize foreign direct investment (FDI) inflows to less-developed countries? We argue that democratic institutions have conflicting effects on FDI inflows. On the one hand, democratic institutions hinder FDI inflows by limiting the oligopolistic or monopolistic behaviors of multinational enterprises, facilitating indigenous businesses' pursuit of protection from foreign capital, and constraining host governments' ability to offer generous financial and fiscal incentives to foreign investors. On the other hand, democratic institutions promote FDI inflows because they tend to ensure more credible property rights protection, reducing risks and transaction costs for foreign investors. Hence, the net effect of democracy on FDI inflows is contingent on the relative strength of these two competing forces. Our argument reconciles conflicting theoretical expectations in the existing literature. Empirical analyses of fifty-three developing countries from 1982 to 1995 substantiate our claims. We find that both property rights protection and democracy-related property rights protection encourage FDI inflows; after controlling for their positive effect through property rights protection, democratic institutions reduce FDI inflows. These results are robust against alternative model specifications, statistical estimators, and variable measurements.

Foreign direct investment (FDI) is an important element of the global economy and a central component of economic development strategies of both developed and developing countries. Numerous scholars theorize that the economic benefits of attracting multinational corporations come at tremendous political costs, arguing that democratic political systems attract lower levels of international investment than their authoritarian counterparts. Using both cross-sectional and time-series cross-sectional tests of the determinants of FDI for more than 100 countries, I generate results that are inconsistent with these dire predictions. Democratic political systems attract higher levels of FDI inflows both across countries and within countries over time. Democratic countries are predicted to attract as much as 70 percent more FDI than their authoritarian counterparts. In a final empirical test, I examine how democratic institutions affect country credibility by empirically analyzing the link between democracy and sovereign debt risk for about eighty countries from 1980 to 1998. These empirical tests challenge the conventional wisdom on the preferences of multinationals for authoritarian regimes.

What motivates states to follow international norms, rules, and commitments? All social systems must confront what we might call the problem of social control—that is, how to get actors to comply with society's rules—but the problem is particularly acute for international relations, because the international social system does not possess an overarching center of political power to enforce rules. Yet, taken in balance with other values, a measure of order is a valued good. Some take this absence of centralized power to mean that the international system is like a Hobbesian state of nature, where only material power matters; others see it as evidence that international rules have force only when they are in the self-interest of each state. I show that these two conclusions are premature because of their shallow reading of international society and misinterpretation of the ways in which authority works in domestic society.

This article examines the implications of the rising density of international institutions. Despite the rapid proliferation of institutions, scholars continue to embrace the assumption that individual regimes are decomposable from others. We contend that an increasingly common phenomenon is the “regime complex:” a collective of partially overlapping and nonhierarchical regimes. The evolution of regime complexes reflects the influence of legalization on world politics. Regime complexes are laden with legal inconsistencies because the rules in one regime are rarely coordinated closely with overlapping rules in related regimes. Negotiators often attempt to avoid glaring inconsistencies by adopting broad rules that allow for multiple interpretations. In turn, solutions refined through implementation of these rules focus later rounds of negotiation and legalization. We explore these processes using the issue of plant genetic resources (PGR). Over the last century, states have created property rights in these resources in a Demsetzian process: as new technologies and ideas have made PGR far more valuable, actors have mobilized and clashed over the creation of property rights that allow the appropriation of that value.We are grateful for comments on early drafts presented at Stanford Law School, New York University Law School, Duke Law School, Harvard Law School, and the American Society for International Law. Thanks especially to Larry Helfer, Tom Heller, Robert Keohane, Benedict Kingsbury, Peter Lallas, Lisa Martin, Ron Mitchell, Sabrina Safrin, Gene Skolnikoff, Richard Stewart, Chris Stone, Buzz Thompson, Jonathan Wiener, Katrina Wyman, Oran Young, and two anonymous reviewers for their feedback. Kal Raustiala thanks the Program on Law and Public Affairs at Princeton for support. We also thank our research assistants, Lindsay Carlson, Lesley Coben and Joshua House.

The newest liberal institutionalism asserts that, although it accepts a major realist proposition that international anarchy impedes cooperation among states, it can nevertheless affirm the central tenets of the liberal institutionalist tradition that states can achieve cooperation and that international institutions can help them work together. However, this essay's principal argument is that neoliberal institutionalism misconstrues the realist analysis of international anarchy and therefore it misunderstands realism's analysis of the inhibiting effects of anarchy on the willingness of states to cooperate. This essay highlights the profound divergences between realism and the newest liberal institutionalism. It also argues that the former is likely to be proven analytically superior to the latter.

Most formal international human rights regimes establish international committees and courts that hold governments accountable to their own citizens for purely internal activities. Why would governments establish arrangements so invasive of domestic sovereignty? Two views dominate the literature. “Realist” theories assert that the most powerful democracies coerce or entice weaker countries to accept norms; “ideational” theories maintain that transnational processes of diffusion and persuasion socialize less-democratic governments to accept norms. Drawing on theories of rational delegation, I propose and test a third “republican liberal” view: Governments delegate self-interestedly to combat future threats to domestic democratic governance. Thus it is not mature and powerful democracies, but new and less-established democracies that will most strongly favor mandatory and enforceable human rights obligations. I test this proposition in the case of the European Convention on Human Rights—the most successful system of formal international human rights guarantees in the world today. The historical record of its founding—national positions, negotiating tactics, and confidential deliberations—confirms the republican liberal explanation. My claim that governments will sacrifice sovereignty to international regimes in order to dampen domestic political uncertainty and “lock in” more credible policies is then generalized theoretically and applied to other human rights regimes, coordination of conservative reaction, and international trade and monetary policy.

Capital moves more rapidly across national borders now than it has in at least fifty years and perhaps in history. This article examines the effects of capital mobility on different groups in national societies and on the politics of economic policymaking. It begins by emphasizing that while financial markets are highly integrated within the developed world, many investments are still quite specific with respect to firm, sector, or location. It then argues that contemporary levels of international capital mobility have a differential impact on socioeconomic groups. Over the long run, increased capital mobility tends to favor owners of capital over other groups. In the shorter run, owners and workers in specific sectors in capital-exporting countries bear much of the burden of adjusting to increased capital mobility. These patterns can be expected to lead to political divisions about whether or not to encourage or increase international capital market integration. The article then demonstrates that capital mobility also affects the politics of other economic policies. Most centrally, it shifts debate toward the exchange rate as an intermediate or ultimate policy instrument. In this context, it tends to pit groups that favor exchange rate stability against groups that are more concerned about national monetary policy autonomy and therefore less concerned about exchange rate stability. Similarly, it tends to drive a wedge between groups that favor an appreciated exchange rate and groups that favor a depreciated one. These divisions have important implications for such economic policies as European monetary and currency union, the dollar-yen exchange rate, and international macroeconomic policy coordination.

Political scientists, sociologists, and economists have all sought to analyze the spread of economic and political liberalism across countries in recent decades. This article documents this diffusion of liberal policies and politics and proposes four distinct theories to explain how the prior choices of some countries and international actors affect the subsequent behavior of others: coercion, competition, learning, and emulation. These theories are explored empirically in the symposium articles that follow. The goal of the symposium is to bring quite different and often isolated schools of thought into contact and communication with one another, and to define common metrics by which we can judge the utility of the contending approaches to diffusion across different policy domains.For helpful comments on an earlier draft of this article, the authors wish to thank Barry Eichengreen, Lisa Martin, and John Meyer. Nancy Brune and Alexander Noonan provided excellent research assistance. The authors also wish to acknowledge and thank the Yale Center for International and Area Studies, the UCLA International Institute, and the Weatherhead Center for International Affairs at Harvard University for funding conferences at which this collection of symposium papers were discussed.

The European Court of Justice has been the dark horse of European integration, quietly transforming the Treaty of Rome into a European Community (EC) constitution and steadily increasing the impact and scope of EC law. While legal scholars have tended to take the Court's power for granted, political scientists have overlooked it entirely. This article develops a first-stage theory of community law and politics that marries the insights of legal scholars with a theoretical framework developed by political scientists. Neofunctionalism, the theory that dominated regional integration studies in the 1960s, offers a set of independent variables that convincingly and parsimoniously explain the process of legal integration in the EC. Just as neofunctionalism predicts, the principal forces behind that process are supranational and subnational actors pursuing their own self-interests within a politically insulated sphere. Its distinctive features include a widening of the ambit of successive legal decisions according to a functional logic, a gradual shift in the expectations of both government institutions and private actors participating in the legal system, and the strategic subordination of immediate individual interests of member states to postulated collective interests over the long term. Law functions as a mask for politics, precisely the role neofunctionalists originally forecast for economics. Paradoxically, however, the success of legal institutions in performing that function rests on their self-conscious preservation of the autonomy of law.

Social constructivism in international relations has come into its own during the past decade, not only as a metatheoretical critique of currently dominant neo-utilitarian approaches (neo-realism and neoliberal institutionalism) but increasingly in the form of detailed empirical findings and theoretical insights. Constructivism addresses many of the same issues addressed by neo-utilitarianism, though from a different vantage and, therefore, with different effect. It also concerns itself with issues that neo-utilitarianism treats by assumption, discounts, ignores, or simply cannot apprehend within its characteristic ontology and/or epistemology. The constructivist project has sought to open up the relatively narrow theoretical confines of conventional approaches—by pushing them back to problematize the interests and identities of actors; deeper to incorporate the intersubjective bases of social action and social order; and into the dimensions of space and time to establish international structure as contingent practice, constraining social action but also being (re)created and, therefore, potentially transformed by it.

Unlike interstate wars, civil wars rarely end in negotiated settlements. Between 1940 and 1990 55 percent of interstate wars were resolved at the bargaining table, whereas only 20 percent of civil wars reached similar solutions. Instead, most internal wars ended with the extermination, expulsion, or capitulation of the losing side. In fact, groups fighting civil wars almost always chose to fight to the finish unless an outside power stepped in to guarantee a peace agreement. If a third party agreed to enforce the terms of a peace treaty, negotiations always succeeded regardless of the initial goals, ideology, or ethnicity of the participants. If a third party did not intervene, these talks usually failed.

International relations research has regarded networks as a particular mode of organization, distinguished from markets or state hierarchies. In contrast, network analysis permits the investigation and measurement of network structures—emergent properties of persistent patterns of relations among agents that can define, enable, and constrain those agents. Network analysis offers both a toolkit for identifying and measuring the structural properties of networks and a set of theories, typically drawn from contexts outside international relations, that relate structures to outcomes. Network analysis challenges conventional views of power in international relations by defining network power in three different ways: access, brokerage, and exit options. Two issues are particularly important to international relations: the ability of actors to increase their power by enhancing and exploiting their network positions, and the fungibility of network power. The value of network analysis in international relations has been demonstrated in precise description of international networks, investigation of network effects on key international outcomes, testing of existing network theory in the context of international relations, and development of new sources of data. Partial or faulty incorporation of network analysis, however, risks trivial conclusions, unproven assertions, and measures without meaning. A three-part agenda is proposed for future application of network analysis to international relations: import the toolkit to deepen research on international networks; test existing network theories in the domain of international relations; and test international relations theories using the tools of network analysis.

The rise in the importance of nonstate actors in generating new norms in world politics has been documented by scholars, but the literature has focused predominantly on nonsecurity (“new”) issue areas. Conversely, although recent constructivist work in international relations has examined the security policies of states, typically it is the state that is doing the constructing of interests. I bridge these two literatures by examining the hard case of transnational civil society working through issue networks to teach state interests in security policy. I analyze the campaign by transnational civil society to generate an international norm prohibiting antipersonnel land mines and trace the effects of several techniques through which states can be said to be socialized. Through generating issues, networking, “grafting,” and using a transnational Socratic method to reverse burdens of proof, the campaign has stimulated systemic normative change through two processes: norm adoption through the conversion of persuaded moral entrepreneurs and emulation resulting from social pressures of identity.

Although it is widely acknowledged that an understanding of mass attitudes about trade is crucial to the political economy of foreign commerce, only a handful of studies have addressed this topic. These studies have focused largely on testing two models, both of which emphasize that trade preferences are shaped by how trade affects an individual's income. The factor endowments or Heckscher-Ohlin model posits that these preferences are affected primarily by a person's skills. The specific factors or Ricardo-Viner model posits that trade preferences depend on the industry in which a person works. We find little support for either of these models using two representative national surveys of Americans. The only potential exception involves the effects of education. Initial tests indicate that educational attainment and support for open trade are directly related, which is often interpreted as support for the Heckscher-Ohlin model. However, further analysis reveals that education's effects are less representative of skill than of individuals' anxieties about involvement with out-groups in their own country and beyond. Furthermore, we find strong evidence that trade attitudes are guided less by material self-interest than by perceptions of how the U.S. economy as a whole is affected by trade.