The RSIS Working Paper series presents papers in a preliminary form and serves to stimulate comment and discussion. The views expressed are entirely the author’s own and not that of the S. Rajaratnam School of International Studies. If you have any comments, please send them to the following email address: [email protected]. Unsubscribing If you no longer want to receive RSIS Working Papers, please click on “Unsubscribe.” to be removed from the list. No. 234 The Process of ASEAN’s Institutional Consolidation in 1968-1976: Theoretical Implications for Changes of Third-World Security Oriented Institution Kei Koga S. Rajaratnam School of International Studies Singapore 24 February 2012 About RSIS The S. Rajaratnam School of International Studies (RSIS) was established in January 2007 as an autonomous School within the Nanyang Technological University. Known earlier as the Institute of Defence and Strategic Studies when it was established in July 1996, RSIS’ mission is to be a leading research and graduate teaching institution in strategic and international affairs in the Asia Pacific. To accomplish this mission, it will: Provide a rigorous professional graduate education with a strong practical emphasis, Conduct policy-relevant research in defence, national security, international relations, strategic studies and diplomacy, Foster a global network of like-minded professional schools. GRADUATE EDUCATION IN INTERNATIONAL AFFAIRS RSIS offers a challenging graduate education in international affairs, taught by an international faculty of leading thinkers and practitioners. The Master of Science (M.Sc.) degree programmes in Strategic Studies, International Relations and International Political Economy are distinguished by their focus on the Asia Pacific, the professional practice of international affairs, and the cultivation of academic depth. Thus far, students from more than 50 countries have successfully completed one of these programmes. In 2010, a Double Masters Programme with Warwick University was also launched, with students required to spend the first year at Warwick and the second year at RSIS. A small but select Ph.D. programme caters to advanced students who are supervised by faculty members with matching interests. RESEARCH Research takes place within RSIS’ six components: the Institute of Defence and Strategic Studies (IDSS, 1996), the International Centre for Political Violence and Terrorism Research (ICPVTR, 2004), the Centre of Excellence for National Security (CENS, 2006), the Centre for Non-Traditional Security Studies (Centre for NTS Studies, 2008); the Temasek Foundation Centre for Trade & Negotiations (TFCTN, 2008); and the recently established Centre for Multilateralism Studies (CMS, 2011). The focus of research is on issues relating to the security and stability of the Asia Pacific region and their implications for Singapore and other countries in the region. The school has four professorships that bring distinguished scholars and practitioners to teach and to conduct research at the school. They are the S. Rajaratnam Professorship in Strategic Studies, the Ngee Ann Kongsi Professorship in International Relations, the NTUC Professorship in International Economic Relations and the Bakrie Professorship in Southeast Asia Policy. INTERNATIONAL COLLABORATION Collaboration with other professional schools of international affairs to form a global network of excellence is a RSIS priority. RSIS maintains links with other like-minded schools so as to enrich its research and teaching activities as well as adopt the best practices of successful schools. i Abstract This paper, focusing on the 1968-1976 institutional changes of ASEAN, a Third World Security-Oriented Institution (SOI), attempts to develop a theoretical model of institutional transformation by utilizing a punctuated equilibrium model. This theoretical model illustrates interactions between structure and agent to explain both why and how institutional transformation occurs: first, changes in the external security environment foster or hinder SOI’s functions, and thus, they trigger internal political discussions among member states; and second, internal political discussions define the direction of SOI’s institutional transformation. Focusing on changes in the regional balance of power in Southeast Asia from 1968 to 1971 and from 1972-1976, this paper examines the process of ASEAN’s creation of the Zone of Peace, Freedom, and Neutrality (ZOPFAN) in 1971, and the Treaty of Amity and Cooperation (TAC) and the Bali Concord in 1976. ********************** Kei Koga is a PhD candidate in International Relations at the Fletcher School of Law and Diplomacy, Tufts University. He was the 2009-2010 Vasey Fellow at Pacific Forum CSIS and a 2010 RSIS-MacArthur visiting associate fellow at S. Rajaratnam School of International Studies (RSIS), Nanyang Technological University. His research interests include international relations theory, international institutions, international security, terrorism, East Asian regionalism, US-Japan relations, and ASEAN. Before attending Fletcher, he served as a research fellow at the Japan Forum on International Relations (JFIR) and as assistant executive secretary at the Council on East Asian Community (CEAC), where he researched political and security cooperation in East Asia on traditional and nontraditional security issues. He also taught international relations and East Asian security at the Open University of Japan. He received an MA in international affairs at the Elliott School of international affairs, George Washington University, and a BA in international affairs at Lewis & Clark College. His recent publications include “The Normative Power of the ‘ASEAN Way’” (Stanford Journal of East Asian Affairs, 2010), and “Regionalizing the Japan- US Alliance,” (Issues & Insights, 2010), “Competing Institutions in East Asian Regionalism: ASEAN and the Regional Powers,” (Issues & Insights, 2010), and “Soft Power of the US-Japan Alliance: Enhancing HA/DR Capabilities,” (Journal of International Security, 2011) [in Japanese]. ii The Process of ASEAN’s Institutional Consolidation in 1968-1976: Theoretical Implications for Changes of Third-World Security Oriented Institution I. Introduction Institutions change over time. This notion is scholarly well accepted, yet there is little scholarly consensus in the IR field over the questions why and how institutions transform. 1 The rationalists emphasize the material benefits: while structural/neo-realists consider that common threats were the tie that binds member states and form institutions, institutionalists argue that reduction of transaction costs can make institutions durable. On the other hand, social constructivists emphasize the role of ideational factors and argue that institutions can become identities or constitutive norms for member states that attempt to sustain institutions. However, the focus of these arguments is mainly on the durability of institutions and does not explore the mechanism of changes of international institutions. Besides, these mainstream theories do not focus on regional organizations that are led by small and middle powers in the Third World. This paper, focusing on the 1968-1976 institutional changes of ASEAN, a Third World Security-Oriented Institution (SOI),2 attempts to develop a theoretical 1 Many IR scholars directly and indirectly attempt to explain this phenomenon. For Realist argument, see John Mearsheimer, "Back to the Future: Instability in Europe After the Cold War", International Security, Vol. 15, No. 4, (Summer 1990), pp. 5-56; Kenneth Waltz, “Structural Realism after the Cold War,” International Security, Vol. 25, No. 1 (Summer, 2000), pp. 5-41. For Liberal Institutionalist argument, see Helga Haftendorn, Robert O. Keohane & Celeste A. Wallander (eds.), Imperfect Unions: Security Institutions over Time and Space, (New York: Oxford University Press, 1999); John Ikenberry, After Victory: Institutions, Strategic Restraint, and the Rebuilding of Order After Major Wars, (New Jersey: Princeton University Press, 2001). For Social Constructivist argument, see John Gerard Ruggie, “What Makes the World Hang Together? Neo-utilitarianism and the Social Constructivist Challenge,” International Organization, Vol. 52, No. 4 (1998), pp. 855-885; Jeffrey Checkel, “The Constructivist Turn in International Relations Theory,” World Politics, Vol. 50, No. 2 (Jan. 1998), pp. 324-348; Alexander Wendt, Social Theory of International Politics, (Cambridge: Cambridge University Press, 1999); Dale Copeland, “The Constructivist Challenge to Structural Realism: A Review Essay,” International Security, Vol. 25, No. 2, (Autumn, 2000), pp. 187-212; Peter M. Haas and Ernst B. Haas, “Pragmatic Constructivism and the Study of International Institutions,” Millennium: Journal of International Studies, Vol. 31, No. 3, (2002), pp. 573-601. 2 I define "security-oriented institutions" as the multi-purposed state-based groups whose original purpose implicitly derives from political/military security interests of member states. Since security institutions are defined as institutions that have explicit security objectives, such as NATO and the Warsaw Pact, this is different from security-oriented institutions. Additionally, there are two types of security institutions: great power-led security- oriented institutions, such as the EU, and small-power-led security-oriented institutions, such as ASEAN, the South Asian Association for Regional Cooperation (SAARC), MERCOSUR, and the Economic