Steinmo, Sven Et Al (1992) Structuring Politics - Historical Institutionalism in Comparative Analysis

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    Structuring politics

    This volume brings together original essays by scholars working on a diverse range

    of empirical issues, but whose work is in each case informed by a "historical

    institutional" approach to the study of politics. By bringing these pieces together,

    the volume highlights the methodological and theoretical foundations of this ap-

    proach and illustrates the general con tributions it has mad e to comp arative politics.

    The introductory essay identifies common analytic themes among these essays

    and within historical institutionalism generally. Institutions are defined, key pre-

    cepts of historical institutionalism are explained, and the theoretical antecedents of

    this approach are identified. Historical institutionalism is contrasted both to earlier

    forms of institutional analysis and to rational choice analysis. The introductory

    essay also identifies key "frontier" issues, such as institutional dynamism and

    change, and the interaction of ideational innovation and institutional constraints.

    The essays demonstrate the potential of a historical institutional approach to

    illuminate a broad range of issues: How and why institutions change, how political

    ideas are filtered through institutional structures in the formation of specific poli-

    cies, and how institutional structure can have unintended effects on the shaping of

    policy. Through these richly detailed pieces, the reader is provided not only a

    thorough understanding of the method of analysis but also an overview of its the-

    oretical underpinnings.

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    CAMBRIDGE STUDIES IN COMPARATIVE POLITICS

    General editor

    PETER LANGE Duke University

    Associate editors

    ELLEN COMISSO

    University

    of

    California, San Diego

    PETER HALL

    Harvard University

    JOEL MIGDAL University of Washington

    HELEN MILNER Columbia University

    SIDNEY TARROW Cornell University

    This series publishes comparative research that seekstoexplain impo rtant, cross-national

    domestic political phenomena. Based

    on a broad conception of comparative politics, it

    hopes

    to

    promote critical dialogue among different approaches. While encouraging

    con-

    tributions from diverse theoretical perspectives,

    the

    series will particularly emphasize

    work on dom estic institutions and work that exam ines the relative roles

    ofhistorical struc-

    tures andconstraints, ofindividual or organizational choice, and of strategic interaction

    in explaining political actions and outcomes. This focus includes

    aninterest in themech-

    anisms through which historical factors impinge

    on

    contemporary political choices

    and

    outcomes.

    Workson allpartsofthe world are we lcome d, and priority willbegiventostudies that

    cross traditional area boundaries

    and

    that treat

    the

    United States

    in

    comparative perspec-

    tive. Manyofthe booksinthe series are expectedtobe comparative, drawingonm aterial

    from more than

    one national case, but studies devoted to single countries will alsobe

    considered, especially those that pose their problem andanalysisinsuchaway that they

    make

    a

    direct contribution

    to

    comparative analysis and theory.

    OTHER BOOKS

    IN THE

    SERIES

    Allan Kornbergand Harold D. Clarke Citizens and Comm unity: Political Support in

    Representative Democracy

    David D. Laitin Language Repertoires and State Construction in Africa

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    Structuring politics

    Historical institutionalism

    in

    comparative analysis

    Edited by

    SVEN STEINMO

    University of Colorado at Boulder

    KATHLEEN THELEN

    Princeton University

    an d

    FRANK LONGSTRETH

    University of Bath

    CAMBRIDGE

    UNIVERSITY PRESS

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    PUBLISHED BY THE PRESS SYNDICATE OF THE UNIVERSITY OF CAMBRIDGE

    The Pitt Building, Tmmpington Street, Cambridge CB2 1RP, United Kingdom

    CAMBRIDGE UNIVERSITY PRESS

    The Edinburgh Building, Camb ridge CB2 2RU, UK http: //www .cup.cam.ac.uk

    40 West 20th Street, New York, NY 10011-4211, USA http: //www .cup.org

    10 Stamford Road, Oakleigh, Melbourne 3166, Australia

    Cambridge University Press 1992

    This book is in copyright. Subject to statutory exception

    and to the provisions of relevant collective licensing agreem ents,

    no reproduction of any part may take place w ithout

    the written perm ission of Camb ridge University Press.

    First published 1992

    Reprinted 1994, 1995, 1997, 1998

    Typeset in Times

    A catalogue record for this book is available from the British Library

    Library of Congress Cataloguing-in-Publication Data is available

    ISBN 0-521-41780-5 hardback

    ISBN 0-521-42830-0 paperback

    Transferred to digital printing 2002

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    To our children

    Siri and Ian,

    Andy,

    Kimber, Rachel, Matthew, Emma, and Helen

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    Contents

    Preface page

    ix

    List of contributors xi

    1 Historical institutionalism in com parative politics 1

    KATHLEEN THELEN AND SVEN STEINMO

    2 Labor-market institutions and working-class strength 33

    BO ROTHSTEIN

    3 The rules of the gam e: The logic of health policy-making in France,

    Switzerland, and Sweden 57

    ELLEN M. IMMERGUT

    4 The movem ent from Keynesianism to mon etarism: Institutional

    analysis and British econom ic policy in the 1970s 90

    PETER A. HALL

    5 Political structu re, state po licy, and industrial chan ge: Early railroad

    policy in the United States and Prussia 114

    COLLEEN A. DUNLAVY

    6 Institutions and political chang e: Wo rking-class formation in England

    and the United States, 182 0-18 96 155

    VICTORIA C. HATTAM

    7 Ideas and the politics of boun ded innovation 188

    MARGARET WEIR

    8 The establishmen t of w ork -w elfare p rograms in the United States

    and Britain: Politic s, ideas, and institutions 217

    DESMOND S. KING

    Index 251

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    Preface

    This book grew out of a workshop held in Boulder, Colorado, in January 1990.

    The workshop brought together a group of scholars working on a diverse range

    of empirical issues, but whose work in each case was informed by a "historical

    institutional" approach. The purpose of the workshop was to highlight common

    analytic themes within historical institutionalism, to assess the contribution of

    this approach to comparative politics, and to identify research agendas for the

    future that can refine and develop it further. Our goal was to initiate a conversa-

    tion among institutionalists working in different empirical fields on fundamental

    questions of how institutions develop and influence political outcomes. Thus,

    unlike similar enterprises of the past, this book is not organized around a com-

    mon em pirical focus.* By bringing together writings that apply institutional analysis

    to a variety of national contexts and policies we want to highlight the method-

    ological and theoretical foundations of this approach and to focus attention on

    the general contributions it can m ake to comp arative politics.

    The book makes no pretense to encompass all strains of thought within what

    is more broadly referred to as the "new institutionalism." For many, new insti-

    tutionalism is associated with historical sociologists such as Theda Skocpol and

    political scientists with predominantly "qualitative" methodologies such as Pe-

    ter Katzenstein and Peter Hall. But new institutionalism comes in a rational choice

    variant as well (see, e.g., Popkin, Bates, North, Levi, and Lange). The intro-

    ductory chapter addresses some areas of overlap and differences between rational

    choice institutionalism and historical institutionalism, but the primary emphasis

    throughout the book is on historical institutionalism.

    We would like to thank all the participants in the Boulder workshop, and espe-

    cially the senior participants, many of whom have provided continuing advice

    and guidance: Christopher Allen, Douglas Ashford, Richard Coughlin, Peter Hall,

    *See,

    e.g., G. John Ikenberry, David A. Lake, and Michael Mastanduno, eds.,

    The State and

    American Foreign Policy (Ithaca, N.Y.: Cornell University Press, 1988).

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    x reface

    Peter Katzenstein Peter Lan ge and Theda Skocpol. For useful com ments on the

    introductory chapter we thank Barry Am es Douglas Ashford Nancy Berm eo

    Henry Bienen Frank Dobbin David Finegold Geoffrey Garrett Peter Ha ll

    John Ikenberry Desmond King Atul Koh li Peter Lang e Charles Lockhart

    Jonas Pontusson Ben Schneider David Soskice and John W aterbury. We owe

    a special debt of gratitude to George Tsebelis; our discussions with him were

    very helpful in clarifying the differences between rational choice and historical

    institutionalism. We also extend special thanks to Emily Loose at Cambridge

    University Press. Kathleen Thelen wishes to acknowledge the support of the

    Wissenschaftszentrum fiir Sozialforschung in Berlin. Sven Steinmo thanks the

    Council for European Studies and the University of Colorado for sponsoring the

    Boulder workshop.

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    Contributors

    C O L L E E N A . D U N L A V Y isan Assistant Professor of History at the University

    of Wisconsin, Madison. She received a Ph.D. in political science from the Mas-

    sachusetts Institute of Technology in 1988. Her book, Politics and Industriali-

    zation: Early Railroads in the United States and Prussia, is being published by

    Princeton University Press. Professor Dunlavy's current research examines sim-

    ilarities and differences in the American and German patterns of industrialism in

    the late nineteenth c entury.

    P ET ER

    A .

    H A L L

    is Professor of Government and a Senior Research Associate

    of the Center for European Studies at Harvard University. His publications in-

    clude

    Go verning the Economy: The Politics of State Intervention in Britain and

    France

    (Oxford University Press, 1986),

    The Political Power of conomicIdeas:

    Keynesianism across Nations (Princeton University Press, 1989), and Develop-

    ments in French Politics (St. Martins, 1990).

    V I C T O R I A c . H A T T A M isan Assistant Professor in the Department of Political

    Science at Yale University. Her book,

    Labor

    Visions

    and

    State

    Power: The Origins

    of Business Unionism in the United States,

    is being published by Princeton Uni-

    versity Press. Hattam was awarded the E. E. Schattschneider prize for the best

    dissertation in the field of American Government and Politics in 1989. She has

    published articles in

    Studies in American Political Developmen t

    and

    Politics and

    Society.

    Hattam's next project focuses on the origins of the Republican Party in

    the mid-nineteenth century.

    E L L E N

    M . I M M E R G U T is Associate Professor of Political Science at the Mas-

    sachusetts Institute of Techn ology, where she holds the Ford International Career

    Development chair. She has written

    Health Politics: Interests and Institutions in

    Western Europe (Cambridge University Press, in press), and is now researching

    efforts to decentralize the welfare state in Germany and Sweden.

    D E S M O N D

    s . K I N G is Fellow and Tutor in Politics at St. John's College, Uni-

    versity of Oxford. His publications include The New Right: Politics, Markets

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    xii Contributors

    and Citizenship

    (Dorsey and Macmillan, 1987) and (with Ted Robert Gurr)

    The

    State and the City

    (University of Chicago P ress, 1987), and coeditorship of

    Chal-

    lenges to Local Government

    (Sage, 1990).

    F R ANK LONGS TR ETH

    is a Lecturer in the School of Social Sciences at the

    University of Bath, England. His main research interests lie in the area of busi-

    ness, labor, and government in Britain. He has published articles in Political

    Studies Econom y and Society and Sociology and his forthcoming book is en-

    titled The City Industry and the State: Business and Economic Policy in Twen-

    tieth Century Britain. Professor Longstreth received his A.B. in Social Studies

    at Harvard University and his Ph.D. in Sociology from the London School of

    Economics.

    BO

    R O T H S T E I N

    is an A ssociate Professor in the Departmen t of Governm ent at

    Uppsala Un iversity, Sweden. Am ong his publications in English are St ate

    Structure and Variations in Corpo ratism in Scandinavian Political Studies Vol.

    14 (1991); T he Success of the Swedish Labour Market Policy: The Organiza-

    tional Co nne ction in

    European Journal of Political Research

    Vol. 13 (1985);

    and So cia l Justice and State Capaci ty forthcoming in

    Politics and Society.

    He

    has been a Visiting Scholar at Cornell University and at the Center for European

    Studies at Harvard University. He is currently working on English editions of

    his two books in Swedish -

    The Social Dem ocratic State

    and

    The Corporatist

    State.

    S V E N S T E I N M O

    is an A ssistant Professor in the Department of Political Science

    at the University of Colorado, Boulder. He has published articles on health pol-

    icy, tax policy, British politics, and Scandinavian socialism in various journals,

    including

    World Politics

    and

    Politics and Society.

    He has recently finished his

    first book,

    Taxation and Dem ocracy: British Swedish and American A pproaches

    to Financing the Modern State

    which will be published by Yale University

    Press.

    Professor Steinmo is the recipient of numerous honors and awards in both

    teaching and research. Some of these include the American Political Science

    Association's Gabriel Almond Award for the best doctoral dissertation in com-

    parative politics completed in 1987 or 1988, the Social Science Research C ouncil

    Dissertation Research Fellowship, and the Fulbright-Hays Dissertation Research

    Fellowship.

    K A T H L E E N T H E L E N is an A ssistant Professor of Politics at Princeton Univer-

    sity. She is the author of Union of Parts: Labor Politics in Postwar Germany

    (Cornell University Press, 1991) and several articles on European labor poli-

    tics.

    Her current research is a comparative study of the historical evolution of

    labor relations in Sweden, Britain, Germany, and the United States. She has re-

    ceived grants fr...

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