Thesis (M.A.), 2011, 147 Pages
Für meine Eltern
CW Cold War DPRK Democratic People's Republic of Korea EU-3 France, Germany and United Kingdom GA General Assembly IAEA International Atomic Energy Agency IO International Organization IRGC Army of the Guardians of the Islamic Revolution IRISL Islamic Republic of Iran Shipping Lines IR International Relations N-10 Non-permanent Ten NCRI National Council of Resistance on Iran NGO Non-governmental Organization NPT Non-proliferation Treaty P-5 Permanent Five PoE Panel of Experts SACO Sanctions Committee SC Security Council SCR Security Council Resolution UN United Nations USA United States of Amercia WMD Weapons of mass destruction
- Mark Imber (2006) on the origin of the United Nations Charter
The United Nations (UN) is the largest legitimate international organization (IO) that is
constitutionally dedicated to maintain peace and prevent war. 1 Comprised of 192 member states, the UN is not only a diplomatic forum, but also a security maintaining institution. 2 Moreover, the UN is a judicious organization as it seeks to discern member states’
misbehavior or violation of the Charter. 3 The main tools in order to deal and engage with issues of global range have been resolutions and sanctions, whether ratified by the General Assembly (GA) or - as in most cases - by the Security Council (SC). While the GA harbors the majority of the 192 UN member states, the SC bears the organization’s constitutional
supremacy. 4 As a matter of fact, the SC has undoubtedly been established as the world’s most powerful institution. 5 Thus, it can be asserted that the SC is the “legitimizing glue” giving the UN its raison d'être and is therefore the main representative of the organization as such. 6 It is the Council, comprised of the Permanent Five (P-5) and the Non-permanent Ten (N-10), that does not only speak and decide on behalf of the UN member states, but also ratifies legally binding resolutions. 7 Moreover, the SC has the absolute right to determine what constitutes a threat to peace and security.
However, with the range of fields of engagement and its historic burden comes responsibility
and obligation. 8 As a matter of fact, the SC has been criticized since its foundation. While most of the arguments predominately target at the structure of the SC demanding a reform in
Moreover, sanctions have been under severe critique by the international community due to their weak humanitarian performance and their partly harmful social consequences, as the
examples of Iraq, Haiti and Yugoslavia in the mid 1990’s have shown. 12
Notable ventures of the UN are the attempt to initiate a “Working Group on General Issues of
Sanctions“ 14 in 2002 and Kofi Annan’s cooperation with the High Level Panel in 2003 that sought to produce its own reform agenda “In Larger Freedom”. While the latter is of minor interest for this research project, the former highlights the SC’s latest endeavor to make sanctions more effective. Summarized under the term “smart sanctions”, the SC tries to be more accurate in addressing sanctions, thereby seeking not only to increase political effectiveness, but also to reduce unintended humanitarian suffering. 15 Smart or targeted sanctions (as they are also referred to) promise a panacea. 16 Besides the focus on improving the compliance rate by the targeting state, smart sanctions are supposed to be more humane
than conventional sanctions, thus avoiding adverse humanitarian impacts. 17
goals, smart sanctions do not appear to be necessarily “smarter” in that respect. 18 Some scholars argue that none of the sanctions will cause regime change or any sort of change of
behavior by the targeted state, thus failing in achieving political goals. 19 Sanctions might rather force targeted states to seek for dubious alliances in order to balance against the
occurring disadvantages, leading them to isolation and resentment in the long term. 20 At the worst, if sanctions render no results, sender(s) might be tempted to act unilaterally, i.e.
militarily. 21 With regard to humanitarian aspects, scholars also question whether a punitive instrument like smart sanctions can be effective at all when humanitarian exemptions in its
nature force a reduction of damage. 22
The outgoing coverage of the SC’s main problems and intrinsic contradictions induces questions concerning the performance of the organization. As Cortright and Lopez 2002 point out, sanctioning smartly is indeed an ambitious endeavor to make the Council more effective. Effective in both spheres of sanction’s implementation: “These twin impulses, to reduce unintended humanitarian consequences and enhance political effectiveness - have led to the
use of targeted and selective sanctions.” 23 Scholars have thereby predominately focused on evaluating the smartness of sanctions regarding political goals while taking the humanitarian effectiveness for granted. As a result, scholars accentuate technical questions in their research, such as examining the compliance rate of targeted states, how to engage in a successful bargaining process and how to imply isolation. 24 What has been slightly ignored though is the potentially poor commitment by states to enforce sanctions in the first place. 25 As a matter of
“In the end, targeted sanctions are just as precise as decision-makers and practitioners want them to be. Consequently, that these steps, or some similar to them, have not been implemented before now reflects broader questions of political will and institutional inertia, even a degree of ambiguity within the international community, regarding what senders actually want from the sanctions they impose.” 27
1. Is there any incoherence between ratification (intrinsic legitimacy) and enforcement (extrinsic legitimacy) of smart sanctions?
While these concerns have already fuelled reformist approaches by the UN itself, actual changes were made in terms of the organization’s measures. Indeed, smart sanctions are a perfect example for the Council’s reaction to a demand by the international community for higher effectiveness. 28 However, since the Council is constituted of members out of the very same international community, the SC can be seen as what constructivists term a “social collective”. Correspondingly, introducing smart sanctions as the prime tool to make the Council more effective represents a reconsideration of existing norms, thus seeking to relegitimize the collective. According to constructivists, a social collective needs legitimacy to act most effectively. Interestingly, legitimacy in this sense is generated by the collective itself. With regard to smart sanctions, it is now subject to discussion if and how smart sanctions actually promote legitimacy. Hence, taking into account what Werthes 2003 noted on such a collective and its power to punish might be most promising:
“It would appear that for effective and economical social control, provided the norm and penalty are fully comprehend, the status of the authority is of prime importance. Where there is commitment to a system, where it is valued for what it stands for and can provided, conformity to norms - even alien norms - may be
It is therefore interesting to examine whether member states, due to their behavior, elevate or eviscerate the organization’s legitimacy and what kinds of commitment actually result in a
high/low rate of legitimacy. 30 Examining a certain disconnect between the member state’s willingness to grant legitimacy to the Council and their actual conversion of the Council’s tools into action is thereby what the analysis shall expose. Hence, the second research question is:
2. How does the rate of legitimacy affect the SC’s effectiveness as a sanctioning body?
UN so far. While it could be the case that smart sanctions enjoy a higher legitimacy within the Council, they might not at all be enforced properly by all parties involved. However, both
parts are inevitably connected with each other. 32
Moreover - and as some scholars argue - sanctions often represent the last peaceful option, desperately aiming to prevent war. Mentioning this, it is important to consider that a failure of a sanctions regime might lead to unilateral action, thus undermining the effectiveness of the
organization in the long run. 33 This can be asserted as the second hypothesis. In the end, such a failure would also be evidence for the fact that smart sanctions, compare to conventional sanctions, do not necessarily differ regarding negative outcomes.
The thesis is relevant for various reasons - some of them have already been mentioned in the introduction. The following chapters will briefly present why an assessment with the legitimacy of the SC is important and thereby distinguishes between an empirical and a theoretically relevancy of the subject as such.
The Council is the most powerful institution in the world that on the one hand, requires it to work effectively and on the other hand explains why it has been so thoroughly criticized. Sanctions are thereby the practical expression of the Council’s sovereignty. As a matter of fact, the Council “lives and breathes” through the ratification of sanctions. Hence, their corroboration and proper enforcement reflect the organization’s vitality. As a consequence, sanctions have not only been seen as the most suitable tool to prevent war and maintain peace. They have also been perceived as the most important part of IOs in general, and the SC in
particular. 34 Sanctions and IOs are inevitably intertwined as Davis and Engerman underpin, that
“International cooperation not only reduces the political costs of applying sanctions, but, in a global economy, sanctions will be much more effective if a formal or informal coalition control enough of the supply of a good to influence the terms of trade significantly.” 35
Unfortunately, the track record of failed sanction regimes substantiates pessimistic critiques. Sanctions supposedly do not achieve their goal of changing the behavior of the targeted
regime. 36 Two major studies on the success and effectiveness of sanctions have been published so far. They show similar results: Only one third of sanctions imposed have
Since critiques of the SC are varying, the problems on the international level vital, and the responses inconsistent, an approach toward an explanatory and analytical engagement with the SC as the world’s most powerful IO is a matter of course. Altogether, the necessity to engage in an analysis with the main problems confronting the SC is given, not only because it is part of the largest, most supported appeasing organization in the world, but also because the
SC is a symbol for the diplomatic, peaceful engagement with international crises and issues. 40 Mentioning this, it should be notified that an effective Council (including its tools) is of utmost importance.
So far, little research has been done on how to measure the legitimacy of an IO, i.e. the SC. This is not only the case for a theoretical but also for a methodological engagement with the thesis’ subject. Studies on the SC and sanctions are predominately marked by quantitative
studies. 41 They are mostly evaluating the constituents of the respective sanctions, their effects and how they can be enforced more efficiently. Scholars have therefore rather focused on technical aspects of sanction’s implementation than on the social composition of the
sanctioning organ itself. 42 As a consequence, research on this topic is mostly disconnected from mainstream International Relations (IR) theories. As Hurd 2007 points out:
“These references point to an enduring place for legitimacy in studies of international relations but at the same time a marginal one. Except for the recent interpretative literature, very few of the references to legitimacy as a cause of international outcomes include an explanation of how it functions. This leaves open a potentially productive research opportunity […]” 43
Additionally, the normative engagement with the SC remains unsatisfied 44 , leading to the assumption that the SC has to be framed more specifically and with regard to its powerful role within the UN. Particularly, the Council’s effectiveness and success as a peace promoting
sanctioning body must be seen in a different light than its predecessors. 45 Currently, it seems that a comprehensive commitment by a sanctioning group is the “key to success”. 46 Or as Cronin and Hurd 2008 convey with regard to the UN SC: “It is this authority that enables the Security Council to act on behalf of the international community, rather than simply the selfinterest of its members”. 47
It seems thereby overt that an inclusive understanding of the SC requires not only a rationalist-institutional but also sociological approach, which emphasizes societal acceptance rather than material power. This requires framing the Council as less of a mere power tool for its strongest member states. The Council must, instead, serve as a social body with its own
legitimacy in order to deal with problems of global reach. 48 As a consequence, there are numerous indicators to use the concept of legitimacy as a methodological model for this particular research. Two are worth to be emphasized:
First, the concept is in strong relation to the constructivism theory as it includes sociological terms in order to make assumptions about how IOs are legitimized. Thus, it allows to analyze how the intrinsic constitution of the Council actually looks like and how this might be linked with its performance as a sanctioning body. It ultimately abandons a focus on self-interest or technical implementation processes of sanctions while accenting the overall commitment by member states as part of a collective.
Second and strongly connected with the first point, the concept of legitimacy can serve as an independent variable. How legitimacy is constituted with regard to the SC may have some explanatory power in terms of exposing the organization’s lack of effectiveness. With regard to sanctions, the effect of legitimacy inside and outside of a group of states has not yet been seen in correlation to the groups’ performance. While the analysis might enhance the explanatory power of the constructivism theory with regard to the concept of legitimacy, the case studies might additionally expose how suitable the theory is for such a theoretical engagement. Since Wendt’s constructivism is rather untouched when it comes to testing how norms actually constitute legitimacy from agents to a group of agents, post-positivism theories
1.3 Research design
With regard to the outgoing emphasis on targeted sanctions, it is necessary to focus particularly on institutional efforts by the SC regarding implementation and enforcement of
sanctions. This includes so called sanction committees (SACOs), established by the SC. 49 Regarding the case selection of active SACOs, Iran and Democratic People's Republic of Korea (DPRK) committees serve as case studies. This is due to four reasons: First of all, both cases are highly politically charged and thus imply a high political discrepancy. Whether it is Iran and its dubious nuclear program or North-Korea with its provocative behavior, the SC dedicated itself to solve these issues in order to maintain peace and prevent war. However, both cases have been occupying the Council for a long time, although sanctions have not been imposed until recently. This is not only due to their complicated implications, but also because member states were reluctant to agree on a proper engagement. Both cases are thereby not only interesting for their international publicity, but also because they are a perfect example of how important legitimacy is. Hence, incorporating these cases into the analysis does not only contribute to the thesis’ aspirations but also satisfies a normative demand.
Second, both cases correspond to two important points: They are dealing with significant issues that fall under the jurisdiction of the SC and are targeting in their method. For Iran and North-Korea, the SC is concerned with nuclear and ballistic arms embargoes. Importantly, both cases encompass targeting sanctions. As a consequence, they underlie a high empirical as well as analytical demand. Whether it is the nuclear aspiration by Iran, which does not only affect the power balance in the region but might also lead to uncontrolled proliferation, or the threatening behavior of the DPRK; both case studies are within the range and jurisdiction of the SC. It is thereby actually quite helpful that they are most similar cases due to their nonproliferation aspect. Exposing any sort of variance within the input and output dimension, could serve as the most convincing proof since it would demonstrate that the Council’s effectiveness is high or low regardless of the political field. As could be expected, nonproliferation is in the interest of all states since it implies the potential to pose a significant threat to international peace and security.
1.5 Limitations of the analysis
This might be a critical point since the case studies are not comprised of smart sanctions only. Instead, the analysis can rather measure the legitimacy of cases that include targeting
1.6 Structure of the thesis
a third step, the concept of legitimacy will be discussed beginning with a brief literature review. The concept will be differentiated between an input and an output dimension of legitimacy and will be directly linked to the rate of effectiveness. In a last step, the theory chapter will put the defining variables into a chain of causation. This will also result in theoretical hypotheses and a matrix assessing the effectiveness of the Council.
To begin with the term “norms”, Axelrod 1986 presents a quite useful definition. According to him, “a norm exists in a given social setting to the extent that individuals usually act in a
certain way and are often punished when seen not to be acting in this way.” 53 This definition implies two things: First, that a norm is socially constructed and thus represents a linkage between actors and their purpose of gathering together, e.g. as an IO. Second, that there is room for punishment in case of misbehavior.
In order to create a norm, Axelrod 1986 notes that it is important to identify a steadiness of actions which are in the tradition of this norm. Hence, a norm is “a matter of degree” 54 and can change over time. 55 Interpreting the term “norm” as a social construction among members with complementary interests and perceptions on the one hand, and as a lawful setting in
It is this element of shared values that Wendt 1994 frames as “social identity” or “social collective, as it would be fit for the SC. Wendt defines collective identities as “effects of the extent to which and manner in which social identities involve an identification with the fate of
the other (whether singular of plural).” 57 According to Wendt 1994 “social identities are sets of meanings that an actor attributes to itself while taking the perspective of others, that, as a
social object”. 58 In contrast to structural IR theories such as realism or institutionalism, Wendt’s interpretation of a collective is not concerned with the determining role of the international system for states or IO’s interests. Rather it is oriented towards the composition of the SC and its implication for the organization’s effectiveness.
In order to constitute a social collective and the linkage to its performance, the collective
This definition does not only include a social constructivist undertone, it also opens analytical
leeway for an engagement with the term effectiveness. 61 The term “effectiveness” is thereby not only linked to the input dimension in terms of SC member states and their allocation of power to the Council, but also to the output dimension and the “norm-enforcement”. As Rittberger and Zangl 2003 state:
How the Council derives legitimacy depends thereby on how member states commit themselves to the Council’s principles, processes and function (or in Wendt’s terminology: the social collective). Member states have to be in mutual understanding about their recognition of the SC as the legitimate representative of their interests. Legitimacy exists in
Altogether, there can already be a slight divergence manifested in the interpretation of the concept of legitimacy due to the interpretation of effectiveness. In order to be effective as an IO, the organization has to be perennially rebounded to its originated goals and principles and enjoy commitment by its member states. While these goals and principles are constituted during an intrinsic process (input legitimacy) they also have to be comprehensible as they are implemented (output legitimacy). Both aspects engender the term effectiveness, making it the dependent variable. 65
The rise of constructivism to the mainstream IR debate evolved in reaction to the emergence of the neo-realism paradigm in the 1980’s and political events in real world politics - i.e. the end of the Cold War and the phenomenon of the end of the balance of power; ultimately leading into the third great IR theory debate. Thereby,
“the constructivist claim is that neorealist uncertainty is closely connected to the fact that the theory is overly spare and materialist; and constructivists argue that a
Constructivists are inspired by theoretical discussions among IR scholars (i.e. the positivism
vs. post-positivism debate) as well as by historical contexts. 67 In a theoretical sense, constructivists gained momentum and heuristic resources from sociological assumptions, i.e. Anthony Giddens 1984. According to Jackson 2007, Giddens 1984 established a more dichotomist perspective of the agent-structure problem, which Wendt incorporated three years later in his article: “The Agent-Structure Problem in International Relations Theory”. Wendt’s constructivism is basically an attempt to analyze the “ontology of the states system” and how
the “outside world” is constructed. 68 It is grounded on two basic tenets: First, structures of human association are determined primarily by shared ideas rather than material forces. Second, the identities and interests of actors are constructed by these shared ideas rather than
given by nature. 69 Hence, Wendt specifies states as agents in the sense that they have meaningful intentionality. Moreover, he considers the international system as both an independent and dependent variable, claiming that reality is simply socially constructed. This competes with the realism assumption that state’s actions are determined by the international system:
“Thus, in contrast to the neorealist definition of international system structures as consisting of externally related, preexisiting, state agents, a structurationist approach to the state system would see states in relational terms as generated or constituted by internal relations of individuation (sovereignty) and, perhaps, penetration (spheres of influence).” 70
Wendt states furthermore that constructivism is “a structural theory of the international
system” 71 which implies three claims: First, states are the dominant actors and can therefore be seen as units. Second, the international system is non-material. It is built upon the interaction between the principals (states). Third, states’ interests and identities are not anthropologically evolved. Rather they are shaped by the social structures of the international
system, leading to the assumption that the system shapes the states and vice versa. 72
According to Wendt, social structures have three elements: shared knowledge, material resources and practices. Therefore, Wendt’s constructivism can provide an alternative to materialist assumptions about the basis of international politics. As the international structure is a social phenomenon composed of shared ideas, structures that contain the same balance of
material capabilities may be distinguished by the “distribution of knowledge of ideas”. 75 The basic argument of constructivists with regard to IOs is not that structures independently constrain actors (as neo-realists assume), but that actors can shape the structure they act in.
Constructivism implies thereby a “less rigid view of anarchy”. 76 Therefore, constructivism is concerned with ideas 77 , norms and identities which are shared among states (and are basically created through interests 78 ). This also includes member states of IOs. Finnemore, for instance sees identity and interests defined by norms embedded in IOs. Norms in this sense are created
within an international society through state behavior and emerges in form of IOs. 79
Those norms and identities are not only shared by the member states in order to maintain the organization’s existence and justify procedures. They also affect outside states in order to suit their behavior to the organizations’ possessive norms and ideas. More specifically, if norms are prevalent on the international level and at the same time inherent within the relation of
constructed by these social structures, rather than given exogenously to the system by human nature or domestic politics.” Wendt 1994, p.385
“The particular binding characteristic of norms of law accordingly relies upon these sanctions and their ability to be supported reliable realizations, so that the lawbreaker can be forced to act law-abiding in certain cases. Because only if this is given a partner can rely on the fact that all other partners have to obey the law […] In short, only if everyone knows that all others have to obey the law due to mechanisms of sanction, every partner can be expected to regard the law as binding.“ 81
Moreover, due to the fact that the international system is constructed by ideas - not by material forces and therefore not necessarily anarchic - the organization’s existence is justified by its member’s commitment and characteristic. It is the member state who gives the organization its sense and purpose, not material or security needs; or as Wendt 1987 puts it: “The structures that constitute agents are of two distinct kinds: external, or social, structures;
and internal, or organizational structures.” 82 This highlights the necessity to look at both ends of the story. If an IO enjoys - with the help of norms - a solid social structure by its principals and is at the same time perceived as valuable for these very same agents, it is legitimized. Hence, Wendt’s constructivism presents tools in order to frame the formation of a social collective within an IO. Hence, concepts such as the input dimension of the SC can be made theoretically sound, leading to a better understanding of how an organization can be authoritative and enjoy legitimacy. Moreover, IO’s effectiveness can be measured most efficiently along a sociological variable. More specifically, the reason why states commit themselves to IOs has neither a mere structural nor opportunistic reason, they do it because they perceive the IO as fair and correct. Wendt argues quite similar when he notes that
“collective identity is neither essential nor equivalent to such a multilateral institution but provides an important foundation for it by increasing the willingness to act on ‘generalized principles of conduct’ and diffuse reciprocity.” 83
As a result, combining Wendt’s idea of the construction of the international system due to the social embeddedness of its agents (whether they are states or a group of states) and his
principle of collective identity, allows me to set the stage for a look at an IO’s effectiveness. 84 It is thereby of major interest whether constructivism can actually explain how legitimacy is affecting the effectiveness of an IO.
The following chapter will highlight the methodological approach - resulting out of these theoretical assumptions - in more detail.
Legitimacy has a long tradition within the social science discipline, although with different
focal points. 85 Usually, scholars of comparative politics are frequently using the term in order to evaluate governments or policy processes. On the contrary, students of IR are rarely categorizing the concept within major IR theories. As Hurd 2007 puts it: IR academics “make frequent reference to it in an ad hoc way, the concept itself only rarely receives sustained
attention in analyses of the international system”. 86 According to him, the concept of legitimacy can serve as a bridge between the major IR theories, i.e. with reference to IO and their function on the international scene. Therefore the concept of legitimacy - from a
constructivist perspective - presents incentives for a differentiated analytical approach. 87 While IOs have usually been seen as instruments of the most powerful states and thus been chosen to exist for a specific purpose, IOs now - from a constructivism perspective - are seen as social constructions by states. They are understood as socialized processes with symbolic
character for all their members. 88 As Hurrell 2005 describes it: “Legitimacy therefore refers to a particular kind of rule-following or obedience, distinguishable from purely self-interested or instrumental behavior on the one hand, and from straightforward imposed or coercive rule on
the other.” 89 However, interpretations of the concept of legitimacy differ significantly resulting in a variety of definitions, operationalizations and outcomes. 90
Steffek 2003 for example, critically exposes the common connection between legitimacy and the democratic aspect of a public consent. Steffek 2003 argues that it is not a lack of public agreement about the justification of policy aspects (such as defining goals, principles and procedures) which is responsible for a derogation of legitimacy of the institution. 91 Rather it is the institution’s reasonability and persuasiveness which creates legitimacy on a global level, i.e. a rational discourse. However, if the IO becomes “a centre of political decision-making
the rational-legal strategy of discursive legitimacy reaches its limits”. 92 Steffek’s 2003 approach exposes a fundamental aspect of the methodological engagement with legitimacy: legitimacy needs to be more than just simply creating an intrinsic justification of the institution’s goals, procedures and processes.
Thomas Risse 2004 argues for instance, that legitimate (global) governance has to go beyond the internal accountability of the actors involved - “…be they states, international
organizations, firms or NGOs” 93 - taking the focus on mere input legitimacy one step further. Risse 2004 stresses output legitimacy in his work on “Transnational Governance and Legitimacy” as a more useful variable in order to identify the effectiveness of a global
governance institution. 94 According to him, IO’s do have to consider the outcome and effects of their decisions while making these decisions. Hence, they do not only have to be assiduous thinking about their intrinsic, but also about their extrinsic legitimacy in order to make their decisions most effective.
Hurd 2007 emphasizes the possibility that organizations can actually be perceived as “morally reprehensible” by outsiders but also indeed as legitimate by its members. 95 Additionally, he stresses the process of legitimacy at the state and international level, separating between a process of internalization among the states (or input legitimacy) and a process of validity of
the international institution by the states (or output legitimacy). 96 More specifically, Hurd’s 2007 process of internalization among the states (which makes states accept and believe in the function of an IO and hence, shaping their particular interests with regard to the organization) can be constituted as a characteristic of legitimacy. As constructivists would put it: states
shape IOs and IOs shape state’s interests (i.e. societal and international norm 97 ). Hurd 2007 notes: “A legitimate rule or institution is one that has been internalized by the units so that its procedures or proscriptions have been incorporated into the unit’s own sense of its interests
Hence, Hurd 2007 does consider an input and an output dimension within the concept of legitimacy. Hurd’s 2007 understanding of legitimacy as a construction of an input and output process is strongly linked to the constructivist theory of IR. His concept is useful because of two reasons: First, his input dimension (the perception of the institution by the states - internalization) is not only in the tradition of the constructivism literature, but also remains as a fundamental characteristic of the concept of legitimacy. Member states of an IO need to perceive the institution as legitimate in terms of their own interests, whether they are of strategic or basic nature. Second, his output dimension (the process of validity) strongly affects the perception of the institution by the states.
“Thus, even though validity is ultimately derived from the individual psychology of the units in the society, it is seen by all actors as an ‘objective’ element of system structure. The effects of validity on individual behavior reflect both shared beliefs in society and also how these beliefs change the strategic decision setting for all actors […]” 101
However, due to Hurd’s 2007 segregation of internalization (and also validity indeed) and compliance, there is still a certain dysfunction within the operationalization of the concept so
2.3.2 Input legitimacy
What these dimensions differentiate from the former mentioned approaches toward a concept of legitimacy is not only their inclusion of an input and output dimension, but also a focus on
the evaluation of an IO’s performance, namely its effectiveness. 104 Moreover, Narlikar 2009 adds a sociological dimension to otherwise merely normative dimensions and is therefore consistent with the constructivist framework. According to Narlikar 2009 and Hurrell 2005, IOs can be legitimate in the form of the following five dimensions:
1. due to their process and procedure 2. due to their form of having values 3. due to their knowledge and specialization 4. due to their effectiveness 5. due to their persuasion and reasonability
As can be derived from these five dimensions of legitimacy, the 4 th dimension comprises the effectiveness of the organization’s decisions and actions. 105 According to Hurrell 2005, this fourth dimension of legitimacy “has to do with effectiveness, one crucial aspect of what
Scharpf labels ‘output legitimacy’”. 106 As the analysis tries to measure effectiveness along an input and an output dimension - thus making it the dependent variable - Narlikar’s 2009 4 th
To begin with the first dimension, it considers the overall representation of member states within an IO. Does the process and procedure of an IO include all the groups and actors who it intends to protect? Are states represented fairly and appropriately? Do they have a right to say when it comes to decision making and how are they involved in the decision making process itself? Things like transparency, access to meetings or majority voting systems can
strengthen an IO’s legitimacy. 107 Doxey 1972 frames this aspect as the “communication factor” stressing the importance of an institution to comprehend norms and penalties. 108 Likewise, Cronin and Hurd 2008 delineate it as a process of deliberation. Deliberation means
- according to Cronin and Hurd 2008 - that states within an organization have the opportunity
to gather together and discuss a certain issue as a collective. 109 As a result, member states feel that they are involved in the decision process and thus are more likely to accept the decision,
hence contributing to its legitimacy. 110 More specifically, simply being part of an IO does not necessarily mean to be “involved” without any strings attached. In contrast, being part of a group of deliberators who are debating about an issue of major importance (not necessarily of
direct importance to each of the participants) leads to an identity process. 111 Therefore, member states do feel that they have actively participated in giving the decision or even the process itself a “common meaning” and thus: “It appears to be the case that the opportunity to deliberate, separate from the act of participating in deliberation or the outcome, is legitimating itself.” 112
The second dimension regards all the symbols, values and rules an IO establishes in order to justify its existence and behavior. The organization’s goals and principles need to be comprehensible for its member states, hence building its actions on prior determined rules and norms. A charter is usually the constitution of an IO, framing the organization’s scope and range as well as representing the oath all member states are under while acting within the organization’s institutions. Additionally, objects (flags, uniforms) or specific perennial procedures (voting methods) can contribute to the justification and legitimate power
exercitation by the institution 113 , or as in some cases of unilateral interventions, causing costs for violators. The latter is what Doxey 1972 frames as the “value (deprivation/gain) factor” and circumscribes it as “the estimated or felt impact of the sanction by the target in terms of
lost values.” 114 According to Cronin and Hurd 2008, a process of deliberation needs to be evolved within a set of rules and known procedures: “Actors strive to legitimize their behavior by showing that it conforms to important rules, norms or laws accepted as
appropriate.” 115 Hence, Cronin and Hurd 2008 understand this action as “proceduralism” which means rule-following remarking that every set of rules within an IO in order to be authoritative need to be recognized and accepted by its member states. It is also worth noting that these rules do not have to be fair in a normative sense. What is rather important though, is
that they are “applied fairly and consistently for maximum legitimacy effect.” 116 The third dimension frames the organization’s expertise and specialization within its field of action. Does the organization build its values, norms and rules on well acquired knowledge? In case of the SC for instance: Is the use of sanctions really the most effective tool in order to prevent war and promote peace? This is what Doxey 1972 conceives as the “competence factor”, framing the ability of the organization to detect violations and enforce sanctions. 117 The fifth dimension implies the sociological legitimacy of an IO. More specifically, it takes a look at the organizations justification and persuasions not only inside the institution but also outside of the institution. Do member states believe that the IO has the right to rule? This does automatically affect the organizations enforceability of its decisions; hence it affects the compliance rate of the targeted state within a policy field. If nobody accepts the SC as the most powerful peace promoting organization in the world, its ratification (input) and implementation (output) of sanctions would be diminished. This is what Doxey 1972 constitutes as the “commitment factor”, implying that an organization has to enjoy a certain status of authority in order to uphold its norms and values, whether they are outlined in the form of sanctions or symbols. 118 Having the right to intervene in a prior determined area, gives the IO the ability to act in the first place. The higher this ability is, the stronger the IO is
Table 1 Four dimensions of input legitimacy
o „Rule-following“ due to the perception of
o Identification with the organization
o Trust in organization’s expertise
o Accepting the decisions by the authorized
“if the Security Council deems that the continuance of the dispute is in fact likely to endanger the maintenance of international peace and security, it shall decide whether to take action under article 36 or to recommend such terms of settlement as it may consider appropriate.” 120
Both articles stress implicitly the importance of sanctions. It appears that it is necessary to frame the output dimension of legitimacy by the SC in terms of its measures to re-establish peace or a breached norm. If the SC is able to fulfill its function as a norm-breach detective as well as its responsibility to re-establish the norm which has been breached, it increases his output legitimacy since it acts in accordance to the Charter. It shows a high commitment by member states to enforce the sanctions and gives the Council a high rate of legitimacy to exercise its role laid out in the Charter.
The first model that comes to mind is that of compliance since it refers to the outsider state’s
will to follow the ratified resolutions and decisions by the higher institution. 121 However, authors have been arguing that compliance is not necessarily linked to legitimacy. Although states might comply quite strongly with the SC and its organs, the organization’s instruments (sanctions) do not have to be necessarily effective. In other words: Since compliance is only concerned with the violator or aggressor, it ignores the organization’s - intrinsic and extrinsic
- composition which might have forced the state to comply in the first place. Correspondingly, focusing on compliance as a measurement for effective implementation of sanctions limits the analysis to a mere dichotomy. Sanction’s outcome be then dichotomized into clear cases of success and failure regardless of a potential disconnect between intrinsic and extrinsic legitimacy and its affect on the effectiveness of the SC in the respective case. Hence, such a “passive” increase of legitimacy through compliance by the states (may it because of the selfinterest of the violator itself or simply due to the organization’s appeal) is misleading in terms
of an analysis. 122 Cronin and Hurd 2008 accordingly: “Said differently, at no level of compliance, from none to complete, can we say that compliance gives decisive evidence for
or against the presence of authority.” 123 Risse 2004 argues similar: “Accountability might enhance compliance with costly rules, but output legitimacy is more about effectiveness in problem-solving capacity. Compliance is a necessary condition for effectiveness, of course, but it is not sufficient.” 124
Therefore, a more “active” increase of legitimacy is necessary, which on the one hand remains connected to the input dimension, but can also be measured in terms of the instruments used by the SC. Cronin and Hurd 2008 offer a quite useful method when they state: “A final way we might test for authority at the Council expands on the justificatory approach and looks for signs that the Council has entered into the decision-making calculus of
states.” 125 This makes even more sense when considering the amount of states who are members of the UN, i.e. those states who are sanction addressees. With 192 member states,
the UN’s range includes every state in the world. 126 Moreover, the sanctions ratified by the SC are binding to all member states, whether they have voted for it or not. Hence, UN member states take the UN for granted and the Council is “embedded in the fabric of the society so that it is unavoidable to actors. It can be fought against, contradicted, and reinterpreted, but it
cannot be ignored. It is constitutive of the international society.” 127 Member states somewhat include the IO in their perception of how to address international issues, thus legitimizing the institution and its tools in a perennial fashion. Wendt 1994 underpins this thought:
“This suggests that the internalization of the state requires the development of two qualities: identification with respect to some state function, be it military security, economic growth, or whatever and a collective capacity to sanction actors who disrupt the performance of that function. The result of such developments would be an institutionalization of collective action, such that actors would regard it as normal or routine that certain problems will be handled on the international basis.” 128
depends not only on the “inside” of an IO but also on factors “outside” of the organization. With regard to the SC, this means that although the norm is enforced by a few (i.e. the P-5), legitimizing this procedure by accepting the system itself serves as the strongest proof of a social purpose. On the contrary, compliance is rather a byproduct of output legitimacy and can appear during the process of norm-internalization (see below). As Zangl 1999 states:
“The observance of norms by the member states frequently occurs completely voluntarily, so that no enforcement of norms is required. With enforcement of norms the sort of actions of international organizations are meant through which a non-voluntary observance of norms are achieved. The efficiency of their normenforcement thus depends on whether international organizations through their actions contribute to a situation in which member states that are guilty of disregarding norms can be forced to obey these norms.“ 130
Basically, Zangl’s 1999 categorization of norm-enforcement implies five dimensions: 131
1. norm-object 2. norm-depth 3. norm-addressee 4. norm-internalization 5. norm-institutionalization
decisions by the Council implementable. Moreover, norm-object describes the strategy
Norm-addressee identifies whether the norm-enforcement is targeted at democratic or autocratic states, predicting a rather difficult enforcement (in terms of achieving a normcompliance) among autocratic regimes. As Wallensteen 2000 notes, authoritarian regimes do not only portray and present themselves as victims of sanctions, they are also quite likely to fight tenaciously with every means necessary. 134 This can imply “smuggling, shady deals, strange transaction, shipments that have gone ‘astray’, falsification of documents, etc.” 135 However, with the introduction of smart sanctions, the nature of addressees shifted from whole countries to individuals and supposedly culprits, regardless of their political system. It will be interesting to analyze whether this gives the SC an advantage in enforcing its norms or inhibits member states to enforce sanctions properly due to the regime’s behavior. Norm-internalization comprises the organization’s decisions by member states. Norminternalization discusses whether states overall identify with the norm-enforcement. Moreover, it examines if member states internalize the rules with regard to their behavior. Usually non-compliance states breach norms which have not been internalized yet, e.g. humanitarian norms (or at least this could be assumed). 136 This includes whether member states might have internalized opposite norms already that might reason their non-normenforcing behavior. The stronger member states have internalized the norms by the SC and enforcing them in the respective case, the stronger they contribute to the legitimacy of the Council’s enforcement power.
Norm-institutionalization emphasizes the structural and social integration of the norms within the organization itself. Hypothetically, states who do not comply with a norm of the SC
implies a look at the monitoring function of an organization in order to facilitate norm-enforcement. Their role is therefore not only to present reasons for normenforcement due to the institution’s constitution; they also serve as an arbitrator and
watchdog. 138 This also implies the observation of a norm-breach. With regard to the UN, the SC is in charge of deciding whether there is a norm-breach (e.g. a violation of the charter) and
who is to blame for it. 139 Table 2 brings the terms and measurements in order: Table 2 Five dimensions of output legitimacy
o Targeted field of operation
o Demands of the norm
o Regime type of the targeted state
o Identification with the norm-enforcement
o Structural and social integration of the norms
Chapter 2.3 framed the concept of input and output legitimacy. While the large variety of literature about legitimacy in order to develop measurable variables for a later analysis was reviewed, it was also distinguished between the terms compliance and enforcement. The concept of norm-enforcement in terms of output dimension was thereby proved most suitable when dealing with sanctions as an instrument to maintain peace and prevent war. While the term compliance is difficult to link to legitimacy, it also makes more sense normatively to
Figure 1 Chain of causation
What can be derived from Figure 1 is that the independent variable - the degree of legitimacy
- consists of an input and output dimension. The rate of effectiveness of sanctions is thus the dependent variable, pointing to a variable dependence on the strength of the collective interest and the will to convert this interest into action. In summary, if the overall degree of legitimacy is high, the possibility that the IO is effective with their sanctions is high, too. Altogether and importantly, differentiating between an input and an output dimension opens room for a more detailed analysis of the SC. While it has usually been argued among scholars within the legitimacy school that legitimacy of an IO is high as states comply, it can now be stated that an IO does also increase its legitimacy when it applies its rules and decisions appropriately and reasonable. This is in accordance with the constructivist argumentation that IO’s are socially constructed by its member states, aiming for a comprehensive, socially embedded purpose.
However, the chain of causation leads ultimately to the necessity to establish potential outcomes in terms of an analysis of the SC. It is important to frame the potential form smart sanctions might take on in case of a strong or weak social collective and a strong or weak
1. Smart sanctions are merely of symbolic value and hence strong on the input dimension but weak on the output dimension (low effective rate).
2. Smart sanctions are weakly supported although strongly imposed and thus terminate in the near future (low effective rate).
3. Smart sanctions are highly supported and a strong power tool in achieving their goals and hence strong on the input dimension and strong on the output dimension (highest effective rate).
4. Smart sanctions are neither supported nor sufficiently enforced by the international community - hence weak on the input dimension and weak on the output dimension (lowest effective rate).
Figure 2 Matrix to assess Security Council’s effectiveness Input dimension
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