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This article argues that process tracing is a viable and suitable methodological alternative to probe the implications of formal models specifying how the dynamics of belief formation may systematically cause bargaining failures under uncertainty. I illustrate the argument with a brief case study of the failure of the European Defence Community in postwar Europe.
This article argues that process tracing provides a useful, although underestimated, avenue for empirically testing deductive game theoretical arguments. In-depth case analysis allows for a systematic evaluation of the crucial assumptions underlying the models and for making internally valid measurements of the model's core concepts. Furthermore, process tracing enables the researcher to overcome the weak conceptions of processes encountered in many game theoretic arguments. After outlining the usefulness of combining deductive game theory and process tracing, as well as discussing the limits of such an approach, the article illustrates the argument with an example from substantive research on civil–military relations in new democracies.
Although having been practised in the Social Sciences for decades, it was only in recent years that process tracing has gained prominence in methodological debates in political science. In spite of its popularity, however, there has been little success in formalising its methodology, defining its standards, and identifying its range of applicability. This symposium aims at furthering our understanding of the methodology by discussing four essential aspects: the underlying notion of causality, the role of theory, the problem of measurement in qualitative research, and the methodology's relationship with other forms of qualitative inquiry. It brings together methodological and substantive articles by young European scholars and summarises a round-table discussion with Peter A. Hall held at a workshop at the University of Oldenburg, Germany, in November 2010.
This article discusses the potential of case study and process-tracing methods for studying lobbying and framing in the European Union (EU). It argues that case studies and process tracing allow us to explore different sets of questions than large-N and quantitative approaches and to shed light on the mechanisms that contribute to policy change. Through these methods it is possible to study long-term processes and under-researched areas, to analyse the social construction of frames and to single out the conditions that lead to successful framing. In order to show the advantages of case studies and process tracing, illustrative examples drawn from the case study of EU foreign policy towards the Israeli–Palestinian conflict are provided.
This article recalls a distinction between research designs that focus on either the ‘causes of effects’ or the ‘effects of causes’ and compares it to a related but not identical distinction between the aims of developing and testing theoretical explanations. Using a study on environmental policy-making in the European Union as an example, the roles of process tracing and cross-case analysis in different combinations of these categories are highlighted.
The questions address the possibilities of a methodology to capture the temporal unfolding of events, which is an aspect difficult to model in statistical analysis but at the core of ambition of process tracing. Peter Hall is encouraged to present his view on the relevance of the study of causal mechanisms in the social sciences.
In recent years, Comparative Historical Analysis (CHA) has been developed as a methodological apparatus that is distinct from quantitative research in many respects. While this is correct, it is less apparent to what extent CHA is different from and adds something to the tools and techniques known from ordinary case study research (i.e., not tied to Historical Institutionalism). As a researcher who is attached to CHA, Peter Hall is invited to elaborate on this approach.
The questions address the ontological and epistemological implications of taking the ‘mechanismic’ view of causal mechanisms seriously, suggesting that they are more than events or series of intervening variables. Peter Hall is asked his views on the nature of causal mechanisms, and the logics of inference that we can use to study them in within-case analysis.
This article seeks to answer the question of how interbranch organisations (IBOs) can facilitate coordination among agents involved in transactions within agri-food chains. An IBO is a complex entity that establishes relationships among agents operating at different stages of a supply chain. The empirical analysis focuses on the Italian tomato supply chain and adopts a Process-tracing approach. The study is grounded in meso-institutions theory and demonstrates how the meso-institutional nature of the analysed IBO helps explain its role in establishing coordination among agents by performing the functions outlined by the theory. The institutional outcome of this relationship is the adoption of a contractual system that facilitates coordination itself. The contractual system identified provides an example of the articulation between the meso-institutional and micro-institutional levels.
This chapter traces trajectories of counterrevolutions following six revolutions, which exhibit the full range of counterrevolutionary outcomes and offer useful comparisons to Egypt. First, it examines two revolutions that never experienced counterrevolutions: Tunisia’s and Libya’s 2011 revolutions. Both occurred in the same Arab Spring wave as Egypt’s revolution, but in Tunisia the new government faced a military whose interests were not deeply threatened by civilian rule and in Libya the coercive capacity of the former regime was largely destroyed in the brief civil war. Next, it examines two Latin American revolutions that demonstrate the two ways in which revolutionaries can maintain their capacity and defeat counterrevolutionary threats. Following Cuba’s 1959 revolution, Fidel Castro’s regime put down multiple counterrevolutions using its loyal revolutionary army. In Venezuela, following the 1958 democratic revolution, the government enjoyed none of these coercive resources, yet managed to thwart multiple counterrevolutionary coup attempts through a preservation of revolutionary unity and a return to mass mobilization. Finally, in two cases that are otherwise quite different to Egypt – Thailand’s 1973 democratic uprising and Hungary’s 1919 communist revolution – a very similar set of mechanisms undermined the capacity of the new governments and created opportunities for counterrevolutionaries to return to power.
Legal research is a repeat offender – in the best sense of the term – when it comes to making use of empirical and experimental methods borrowed from other disciplines. We anticipate that the field’s response to developments in eye-tracking research will be no different. Our aim is to aid legal researchers in the uptake of eye-tracking as a method to address questions related to cognitive processes involved in matters of law abidance, legal intervention, and the generation of new legal rules. We discuss methodological challenges of empirically studying thinking and reasoning as the mechanisms underlying behavior and introduce eye-tracking as our method of choice for obtaining high-resolution traces of visual attention. We delineate advantages and challenges of this methodological approach, and outline which concepts legal researchers can hope to measure with a toy example. We conclude by outlining some of the various research avenues in legal research for which we predict a benefit from adopting eye-tracking to their methodological toolbox.
English as a Medium of Instruction (EMI) is linked with power and dominance; however, what Critical EMI might look like requires further clarification and illustration. In this chapter we offer one such example of a critical approach to EMI by presenting emerging findings from our project, ELEMENTAL – English as the Language-of-Education Mechanisms in Europe: New Transdisciplinary Approaches in Linguistics. ELEMENTAL borrows tools and concepts from political science to re-theorise the rise of EMI in European higher education (HE) as linked to governance reforms that have sought to deregulate the market and grant higher education institutions (HEIs) greater autonomy. While this so-called steering at a distance mode of governance differs in form and extent across Europe, it typically relies on steering tools such as key performance indicators, competitive funding formulae, institutional profiling, strategic development plans and other means of incentivising HEIs to enhance their performance. Presenting evidence from Turkish HE, we argue that steering at a distance may have played a role in paving the way for EMI or, at the very least, created a climate in which it can emerge and thrive. We conclude by considering the potential of transdisciplinarity as a way forward for a Critical EMI.
Many studies have analysed what could motivate centre-right governments to develop progressive family policies, given their historically traditionalist ideology. Updating classic institutionalist accounts, this article expands the focus beyond centre-right parties formally in charge. It argues that in coalition and minority governments, partisan veto players may act as agenda-setters, design policy reforms and successfully exert pressure to approve them through three mechanisms: agreements for government formation, conditions for government survival and bureaucratic continuity. Drawing on novel empirical data from interviews and document analysis, this article applies deductive process tracing to analyse the German parental allowance reform of 2006 and the Spanish 2017 paternity leave extension. The findings complement existing studies that focus on the agency of centre-right parties as ‘protagonists’ of these reforms, arguing that in some cases they have instead ‘consented’ to reforms proposed and supported by other parties.
Co-management regimes are institutional innovations that hold the promise of achieving sustainable common-pool resource governance. However, the transition to such institutional regimes in coastal resource systems has faced challenges in many countries. This article examines the processes and outcomes of such institutional changes in coastal fisheries in Ghana, where the transition to co-management was unsuccessful. Combining theoretical perspectives from legal pluralism in legal anthropology and ideational theories of institutional change within institutional economics, the paper uses process tracing to examine the role of ideology and historical institutional dynamics of the resource context in the institutionalization and failure of co-management arrangements for governing coastal fisheries. The study finds that ideological conflicts and historical legacies of legal pluralism hindered the practice and outcomes of coastal fisheries co-management in Ghana. The article argues for particular attention to the historical institutional dimensions and underlying worldviews of the resource context in institutional interventions for sustainability in coastal resource systems.
Due to high turnover, formal international organizations (FIGOs) face challenges in retaining knowledge – particularly about strategic errors in operations. Errors in the arena of crisis management involve high costs, such as civilian casualties. However, scholarship addressing how security FIGOs share knowledge about what went wrong remains limited. This chapter argues that informal networks among political and military elites are critical for knowledge sharing within FIGOs, even in the face of sophisticated formal learning systems. The study draws on interviews with 120 elite officials at NATO and employs process tracing and social network analysis. Findings indicate that knowledge sharing hinges on the actions of a few elites – “knowledge guardians” – who are central to the transnational, informal elite network. Challenging assumptions about the superiority of formal systems, this chapter stresses that informal governance plays a central role in FIGO knowledge retention, which is critical for institutional memory and learning.
The retrieval of past instances stored in memory can guide inferential choices and judgments. Yet, little process-level evidence exists that would allow a similar conclusion for preferential judgments. Recent research suggests that eye movements can trace information search in memory. During retrieval, people gaze at spatial locations associated with relevant information, even if the information is no longer present (the so-called ‘looking-at-nothing’ behavior). We examined eye movements based on the looking-at-nothing behavior to explore memory retrieval in inferential and preferential judgments. In Experiment 1, participants assessed their preference for smoothies with different ingredients, while the other half gauged another person’s preference. In Experiment 2, all participants made preferential judgments with or without instructions to respond as consistently as possible. People looked at exemplar locations in both inferential and preferential judgments, and both with and without consistency instructions. Eye movements to similar training exemplars predicted test judgments but not eye movements to dissimilar exemplars. These results suggest that people retrieve exemplar information in preferential judgments but that retrieval processes are not the sole determinant of judgments.
We connect the literature on causal models to qualitative inference strategies used in process tracing. The chapter outlines a procedure for drawing case-level causal inferences from a causal model and within-case evidence. We also show how a key result from the causal-models literature provides a condition for when the observation of a node in a causal model (a “clue”) may be (or certainly will not be) informative, and we extract a set of implications for process-tracing methods.
We apply the causal-model-based approach to process tracing to two major substantive issues in comparative politics: the relationship between inequality and democratization and the relationship between institutions and growth. Drawing on case-level data, we use qualitative restrictions on causal types together with flat priors to draw inferences about a range of causal queries. The applications illustrate the different types of learning that can be gleaned from information on moderators and mediators, as well as the scope for learning from historical data when researchers have informative beliefs about confounding processes.
This chapter argues for the utility of causal models as a framework for choosing research strategies and drawing causal inferences. It provides a roadmap for the rest of the book. The chapter highlights the approach’s payoffs for qualitative analysis, for combining intensive and extensive empirical strategies, and for making research design choices.
This chapter is the first of three in which we investigate how causal models can inform research design. In this chapter, we draw out the implications of the causal-model approach for clue-selection strategies, for figuring out which pieces of evidence are likely to be most informative about a question of interest. We demonstrate procedures for assessing which clues minimize expected posterior variance and how to construct an optimal decision tree for determining a dynamic clue-gathering strategy.