A Presentation of Emanuel Adler’s Concepts of Integration Cornelia Beyer* The main target of the brainwork on security community formation within international relations theorizing is to prevent violence between nation states. In order to do so, the realist idea of systemic anarchy, wherein nation’s survival constitutes the interest of the actors and self-help becomes the ultimate means, shall be overcome. The problem with self-help in the presence of universal mistrust and the absence of coordination is, it may lead to provident violence in the instant of uncertainty. Most critical are situations of systemic change. The ideal is to transform the realist image into an alternative model of reality, built on the idea of community, where the rationale for the individual state in pursuing its own interest of security is to cooperate, at least to coordinate with others. From this redefinition of social reality there should follow the development of mutual dependent expectation of peaceful change, i.e. the mutual assured deployment of peaceful – coordinative and cooperative - instead of violent means in pursuit of the individual (i.e. the national) interest. That in turn is leading to a highly increased probability of absence of interstate violence in case of change within the international order, the place where it is feared the most. This is one approach to designing security community formation as a means to peaceful change shortly drafted. Many others do exist. In this paper I will take at look at Alternatives: Turkish Journal of International Relations, Vol.4, No.3, Fall 2005 1 the conceptions that are contributed by Emanuel Adler concerning the issue of security community building. He made an ongoing attempt to develop a stylized description of the processes and factors leading to deep integration, security community suchlike understood, which in turn is the base for the dependable expectation of peaceful change. My aim is to track his stream of thinking in order to get a roadmap on the development and evolution of deep integration to provide an outline of his work. For this purpose I will present and compare three models he developed in works from the years 1997 to 2001. They stand in sequence and are built upon each other. The argument he made in 1997 takes the second place after his presentation in union with Michael Barnett from 1998. This is intended, as the state of the argument was chosen as ordering principle and not the chronological termination of publishing. 1. Presentation and placement of the debate about security communities When Deutsch 1957 presented his work ´Political Community and the North Atlantic Area´1 he submitted a quite idealistic concept to pit against the then dominating realism within the debates on international relations theories (even if still applying realist core assumptions). His aim was to avoid war by sketching a roadmap that shows the way out of a purist realist paradigm. The argument was, states could leave the security trap of anarchy simply by integration. The idea is simple and understood: To end the ongoing game of mutual mistrust within the anarchic international system, states had to transform the system of anarchy by building mutually binding norms for peaceful ways of competition. Self-interested actors would not give up their interests, but socialize themselves respectively each other to non-violent mode of conduct. He distinguished between pluralistic and amalgamated security communities. The first meaning the mutual self-restrictive binding of states by Alternatives: Turkish Journal of International Relations, Vol.4, No.3, Fall 2005 2 constructing some kind of common institutions, the second signifying even deeper integration, standing in analogy to a state of states. The terms of conduct would be transformed from autonomous self-defence to competing interests bound by the norm of observing non-violence. But how this transformation of the international system could be achieved? Deutsch offers two answers: One approach aimed at a pluralistic security community and starts with intensification of communication and cooperation. By that, states would initiate a dynamic process of social learning and begin to form a set of shared norms. The second step demands that states had to subdue to some kind of supranational body that would bind all of them and thus provide predictability necessary for the dependable expectation of peaceful change. The amalgamated community in analogy to the nation state confers decision making power from the multilateral to the supranational level. Both approaches realized would transform an international structure that bars the units from peace and security. The notion on ´dependable expectations of peaceful change refers to the expectation of peace between states – elites and their peoples – for the present ´and the future even in the face of power shifts or systemic changes. Only mutual reliance on this expectation can provide individual fall back on precautionary violence. 2. Adler und Barnett, a framework for the study of security communities Emanuel Adler and Michael Barnett in their 1998 joint publication on security communities criticise the Deutschean concept to the effect, that it was fuzzy and badly defined2. His behaviouralistic approach could quite well capture transnational movements i.e. interactions which would point out to increasing interdependence between states. That again would for one indicate interstate convergence and, secondly, Alternatives: Turkish Journal of International Relations, Vol.4, No.3, Fall 2005 3 growing stimulus for further integration, inherent in processual and systemic change. But, by deploying a sheer materialistic approach Deutsch could not, simply by methodological constrains, explain the growing sense of cohesion stemming from the development of a collectively shared identity and community as cognitive and psychological phenomenon. Thus, the indicators for community - which according to Adler and Barnett is defined by common identity, shared values and norms and mutual responsibility3 – are barely named nor measured by a behaviouralistic approach. Adler and Barnett are trying with regards to terms of constructivism a new way to the same target. They aim at explaining the development of security communities as a phenomenon of socialization, a path dependent constructive process. In order to conceptualize Deutschs outline of security community enlarged by constructivist assumptions, they develop a multi-fold model of the integration process. It is meant to cover material change like interstate political coordinative interaction as well as social change like the formation of a common identity. That is to say, it embraces processual as well as structural change. Both spheres are understood as being essential for community building: „Community is defined by three characteristics. First, ... shared identities, values and meanings. ... Secondly, ... many-sided and direct relations; ... Thirdly, communities exhibit a certain kind of reciprocity that expresses some degree of long-term interest.“4 I will put most emphasis on this first model because it describes in detail the mechanisms by which states are able to transform the system of international anarchy. Within the context of Adlers argumentation it ranks as the first step on the path to integration. Alternatives: Turkish Journal of International Relations, Vol.4, No.3, Fall 2005 4 3. Presentation of concept I As the model describes three phases5 of the integrative process it is able to picture dynamic change. Each phase - named ascendant, nascent and mature - leads to a new level of integration. These sequential levels are distinguished by means of certain indicatory sets. Additionally, to better capture the process of integration, the singled out indicators are filed within three tiers. The distinction is made according to their place within the process of change, if they are to be localized where change is started, taking place or showing its effects. The first tier is that of precipitating conditions, that is to say the push or pull factors fostering integration. As examples of push-factors, one can think of developments in technology, economics etc. that empower human capabilities, shared affection by internal threats and, finally, changes in the international surroundings that produce external common threats. The second kind refers to situations where security coordination is rather one further voluntary step in the name of progress, e.g. reinterpretations of social realities that motivate social change, like the idea of capitalizing on international division of labour or the idea of a shared future deriving in regions with a high degree of homogeneity in cultural, political or ideological terms. Deep homogeneity and the idea a shared future may be derived from on a common, more integrated, past. Thus, this may be seen as a non pure case in terms of the model where the states are considered alienated foregoing to security integration. It is not clear, where else an idea of a shared future should stem from. In any case, the whole model is aimed at explaining just this. (This second category of precipitating factors may be considered very cautiously in order not to tap into a tautological trap. I would Alternatives: Turkish Journal of International Relations, Vol.4, No.3, Fall 2005 5 prefer at least not to put cognitive change at the beginning of a process which is to explain cognitive change. It seems sensible to confine to push-factors, understood as any kind of crises as precipitating factor within this phase.) Within the second tier the conducive factors of social action and interaction, driving the process of integration, are described. It encompasses the processual elements of transactions and organization building and social learning. Further, it points to where and how international structure is changed in order to adapt to the ongoing process. Structural change is reflected in distribution, availability and content of power and knowledge. This in turn is pushing the process of integration further on. Both of them – processual and structural factors - are positive reciprocal, i.e. mutually re-enforcing and regenerative. The third tier finally implies the psychological changes, effects of the learning process fostered by integration. They themselves are necessary conditions for „dependable expectations of peaceful change“. Here, the elements of trust and collective identity are to be found. Subsumed, tier one presents the material and normative incentives for change in international relations, tier two shows where action possibly takes place in the name of change and points out to the targets for transformative action and tier three shows the desired social outcomes of the process. The tiers are ordered by sequence, the former always causal for the next one. The three tiers should not be confused with the three phases noted above. Whereas the factors presented within the three tiers are constitutive for progress, the process as a whole is split up in the three sequences (phases). Thus, one ordering principle in fact overlays the other. In theory they can be arranged vertically to each other in order to Alternatives: Turkish Journal of International Relations, Vol.4, No.3, Fall 2005 6 create a more presentable figure. Adler and Barnett do go in this direction with their figure presenting the three tiers. All of the tiers and phases include the interstate, the national and the societal realm. Figure 1 Mature Common identity, trust nascent Processual and structural change ascendant Precipitating factors Figure 1: Here, the tiers are signified each one for the phase where their relevance is prominently expressed. As Adler and Barnett analyze and describe the three tiers for every phase of the integration process, this will be shortly resumed in the following. At the nascent phase of integration, states find themselves settled in a formally anarchic environment, where all the presumptions of realism hold on. For the first tier, there have to be some precipitating elements to promote reorientation. According to the model, these triggering factors induce a shift of orientation at the state level towards each other and towards policy coordination with the promise of mutual advantage e.g. through lower transaction costs. As push- factor one could practically think of global threats like demographic growth or environmental risks that need coordination in order to retain security or shifts in distribution of power. This point is only mentioned here, but much more fully elaborated on in the latter work of Emanuel Adler6. Mentioned as pull-factors are developments in technical terms facilitating transaction or new interpretations of social reality, e.g. by enhanced possibility in Alternatives: Turkish Journal of International Relations, Vol.4, No.3, Fall 2005 7 communications or/ and newly available knowledge, even the idea of a shared future. Within the second tier the integration process starts at the at the foreign policy level. It takes place through diplomatic consultations, face-to-face contacts and possibly so called search missions, which are employed to evaluate the possibility of cooperative action. Next challenge is posed as getting from the multiple bilateral consultations to truly multilateral ones. Here, the problem of first action is crucial. The task is to overcome the problem of collective action associated with interdependent choice, inherent in the paradigm of realism with it´s logic of mutual mistrust7. Considered, not much common definition on possible or desired benefits from cooperation has been established yet, the fear of being tricked is always lurking around. There has to be at least one actor who is willing to bare in terms of security and take the first step in the integrative direction. That may be the most powerful or/ and motivated one within the existing system, according to Deutsch: ”the larger, stronger, more… advanced units were found to form the cores of strength around which the in most cases the integrative process developed”8. His role is complex: he may facilitate further deliberative action by making sure that he is able to sanctionise violations of the process. For a while, this actor is likely to become resp. stay core of strength, by providing leadership and care for stability9. Additionally, he may put the incentives for cooperation on an open agenda, provide secure space where it can be discussed and its viability being explored. In short, he is the one to bring the possibility of coordinated change resp. coordination into the open by in its name creating a common forum, kind of midwife. To stay in accordance with the intended outcome of the integrational path, the whole must lead to the development of interstate organizations, which is synonymous to Alternatives: Turkish Journal of International Relations, Vol.4, No.3, Fall 2005 8 the democratization of multilateral intergovernmental interaction. The creation international organizations in itself is a common act of states, virtually an act of community. Community can be even said to find its first materialization in shared institutions. Their practical purpose is to host and record the deliberative process, and probably a little later then, to store the outcomes - sets of agreement, norms - and in this manner settle the achieved approachment. Beyond, the function of these organizations is to control and watch over their observance. In order to provide backing on the further track, they may be even given the power to sanctionise.. Finally there is even something happening within the third tier yet, where the effects of integration are measured in terms of trust and identity. Left to mention that the discursive process is leading to a common working out of shared features (interests and ideas) and dissociating ones. As fundamental for the nurturing of the integrational process, common ideas of material progress and security have to be found and common goals set. Here again one or another leading state may be having its role in providing positive images for common development, being point of reference for orientation.) The second, the ascendant stage, witnesses the transformation of anarchy. States and societies have already developed multiple forms of social interaction. As the transformative process has begun, the structural context wherein the interactions are embedded has to be changed accordingly. At the first tier now the formerly established organizations themselves are to be found. They take up advocacy for further integration. At the other hand they loose their function as monitoring institution and communication forum. As well, ideas of material progress and security that were defined as common, are now increasingly understood as common goods, in the sense of being guaranteed by and found within the cooperation Alternatives: Turkish Journal of International Relations, Vol.4, No.3, Fall 2005 9 among members. This can be seen as indicatory for a fundamental cognitive shift, like will be discussed more intensely in the next section10. Looking at the second tier, an intensification of interactions at all levels, like the intergovernmental, the economic sphere and the private can be detected. Indeed, these interactions are attended by advocation for further integration at all levels, “governments, security and other intergovernmental organizations, nongovernmental organizations, epistemic communities, social movements, and even by imaginative individuals.”11. Transnational networks become increasingly dense, the emergence of new shared social institutions and organizations very likely. A characteristic interaction mode of diffuse reciprocity evolves. That means all members of the community participate in many-sided and indiscreet exchanges. The members conduct the pursuit of self-interest within communities in differentiation to associations: “Although actors will come to identify with each other and derive many of their interests and beliefs from the social fabric of the group, they also will continue to harbour distinct interests, interests can generate competitive behaviour can and competition lead to conflict. ... communities have diffuse reciprocity; and ... the actors interests are interchangeable with those of the group. Therefore, while states within a security community are likely to exhibit rivalry ... they no longer fear the use of violence as a means of statecraft”. It is based on the assumption, that the community binds its members and guarantees fair conduct, i.e. directly (through sanctions) and to ever higher degree indirectly (by promising benefits for commitment). The key indicator for increasing integration is found within the realm of hard security. Hard security denotes the military complex in differentiation to soft security, which refers to non violent problem solving and coordination means and strategies. Alternatives: Turkish Journal of International Relations, Vol.4, No.3, Fall 2005 10