Cortell Andrew P, Peterson Susan
Department of Political Science and Public Administration, Auburn University at Montgomery, Montgomery, AL USA.
Department of Government, William & Mary, Williamsburg, VA USA.
J Int Relat Dev (Ljubl). 2022;25(2):399-424. doi: 10.1057/s41268-021-00243-x. Epub 2021 Oct 5.
For two decades scholars have used insights from constructivist approaches and principal-agent (P-A) theory to understand the relationship between states and international organisations (IOs). Together, these works identify the conditions under which IOs can operate independently of states, although they have yet to explain when and why IO bureaucrats are likely to do so. Nor do they articulate a clear and consistent definition of autonomy. In this article, we seek to fill these gaps. We advance a narrow understanding of autonomy that distinguishes unintended behaviour from the intended independence of IO bureaucrats, before developing a three-stage, integrative explanation for the conditions under which IO bureaucrats act autonomously. First, we borrow from constructivist approaches a focus on staffing rules and the identity of IO bureaucrats to explain the sources of these agents' preferences. Second, we add insights from work on exogenous pressures for change-crises and critical junctures-to explain when and why IO bureaucrats will advance their preferences. Third, we incorporate P-A theory's attention to an IO's institutional design, along with insights from literature on domestic institutions, to explain when bureaucrats can implement their preferences. Case studies of the World Health Organization (WHO) and the World Trade Organization (WTO) illustrate our argument.
二十年来,学者们运用建构主义方法和委托代理(P-A)理论的见解来理解国家与国际组织(IOs)之间的关系。这些研究共同确定了国际组织能够独立于国家运作的条件,尽管它们尚未解释国际组织的官僚何时以及为何可能这样做。它们也没有阐明一个清晰且一致的自主性定义。在本文中,我们试图填补这些空白。我们提出了一种狭义的自主性理解,将意外行为与国际组织官僚有意的独立性区分开来,然后针对国际组织官僚自主行动的条件展开一个三阶段的综合解释。首先,我们借鉴建构主义方法,关注人员配备规则和国际组织官僚的身份,以解释这些行为体偏好的来源。其次,我们引入有关变革的外部压力(危机和关键节点)的研究见解,来解释国际组织官僚何时以及为何会推进他们的偏好。第三,我们将委托代理理论对国际组织制度设计的关注,与国内制度文献的见解相结合,以解释官僚何时能够实施他们的偏好。对世界卫生组织(WHO)和世界贸易组织(WTO)的案例研究阐明了我们的观点。