Antecedents, mechanisms and processes of deinstitutionalization and institutional change:a case study approach to understanding enterprise under duress

Adopting a grounded theory methodology, the study describes how an event and pressure impact upon a process of deinstitutionalization and institutional change. Three case studies were theoretically sampled in relation to each other. They yielded mainly qualitative data from methods that included interviews, observations, participant observations, and document reviews. Each case consisted of a boundaried cluster of small enterprises that were not industry specific and were geographically dispersed. Overall findings describe how an event, i.e. a stimulus, causes disruption, which in turn may cause pressure. Pressure is then translated as a tension within the institutional environment, which is characterized by opposing forces that encourage institutional breakdown and institutional maintenance. Several contributions are made: Deinstitutionalization as a process is inextricable from the formation of institutions – both are needed to make sense of institutional change on a conceptual level but are also inseparable experientially in the field; stimuli are conceptually different to pressures; the historical basis of a stimulus may impact on whether pressure and institutional change occurs; pressure exists in a more dynamic capacity rather than only as a catalyst; institutional breakdown is a non-linear irregular process; ethical and survival pressures as new types were identified; institutional current, as an underpinning mechanism, influences how the tension between institutional breakdown and maintenance plays out.

Responding to a transformative stressor : climate change and the institutional governance of Australian cities

This paper understands climate change as a transformative stressor that will prompt responses from institutional governance frameworks in Australian cities. A transformative stressor is characterised as a chronic large-scale phenomenon which triggers a process of institutional change whereby institutions seek to reorientate their activities to better manage the social, economic and environmental impacts created by the transformative dynamic. It is posited that institutional change will be required as Australian metropolitan institutional governance frameworks seek to manage climate change effects in urban environments. It is argued that improved operationalisation of adaptation is required as part of a comprehensive urban response to the transformative stresses climate change and its effects are predicted to create in Australian cities. The operationalisation of adaptation refers to adaptation becoming incorporated, codified and implemented as a central principle of metro-regional planning governance. This paper has three key purposes. First, it examines theoretical and conceptual understandings of the role of transformative stressors in compelling institutional change within urban settings. Second, it establishes a conceptual approach that understands climate change as a transformative stressor requiring institutional change within the metropolitan planning frameworks of Australia's cities. Third, it offers early results and conclusions from an empirical investigation into the current prospects for operationalisation of climate adaptation in planning programs within Southeast Queensland (SEQ) via changes to institutional governance. A significant emerging conclusion is that early climate stresses appear not to be leading to episodic institutional change in the metropolitan planning frameworks of SEQ.

Rural Migration, Agrarian Change and Institutional Dynamics: Perspectives from the Majority World

Overall, this special issue provides insights into the mutually constitutive ways in which rapid economic development associated with industrialisation drives institutional change, migration and mobility, and, finally, altered relationships between – and conceptions of – rural and urban. The following papers pose important conceptual, normative as well as practical, policy-relevant questions relating to the human consequences of these processes and point to the applications of population research – a central objective of this journal.

Religion and Transformation in South Africa? Institutional and Discursive Change in a Charismatic Congregation

A number of Christian churches in South Africa have proclaimed their commitment to reconciliation and the elimination of unjust inequalities. This study analyses how these commitments are being worked out at the micro-level of a congregation. Using an ethnographic approach, I explore how a charismatic congregation in Cape Town has changed from being nearly all-white to being more inclusive. I explore links between individual, cognitive identity change and institutional change; and consider the discourses which justify change, including their emphasis on 'unity in diversity' and 'restitution'. I outline the limitations of change, including the persistence of 'racialised' leadership structures and the discursive privileging of unity over restitution. This allows us to understand how micro-level changes take place, to explore their potentialities and limitations, and to apply these insights to other contexts.

Institutional work at field-configuring events:shaping industry change within sustainable transitions

Adopting an institutional approach from organization studies, this paper explores the role of key actors on “purposeful governance for sustainability” (Smith, Voss et al. 2010: 444) through the case of smart metering in the UK. Institutions are enduring patterns in social life, reflected in identities, routines, rules, shared meanings and social relations, which enable, and constrain, the beliefs and behaviours of individual and collective actors within a field (Thornton and Ocasio 2008). Large-scale external initiatives designed to drive regime-level change prompt ‘institutional entrepreneurs’ to perform ‘institutional work’ – “purposive action aimed at creating, maintaining and disrupting institutions” (Lawrence and Suddaby, 2006). Organization scholars are giving increasing attention to ‘field-configuring events’ (FCEs) which provide social spaces for diverse organizational actors to come together to collectively shape socio-technical pathways (Lampel and Meyer 2008). Our starting point for this exploratory study is that FCEs can offer important insights to the dynamics, politics and governance of sustainability transitions. Methodologically, FCEs allow us to observe and “link field evolution at the macro-level with individual action at the micro-level” (Lampel and Meyer, 2008: 1025). We examine the work of actors during a series of smart metering industry forums over a three-year period (industry presentations [n= 77] and panel discussions [n= 16]). The findings reveal new insights about how institutional change unfolds, alongside technological transitions, in ways that are partial and aligned with the interests of powerful incumbents whose voices are frequently heard at FCEs. The paper offers three contributions. First, the study responds to calls for more research examining FCEs and the role they play in transforming institutional fields. Second, the emergent findings extend research on institutional work by advancing our understanding of a specific site of institutional work, namely a face-to-face inter-organizational arena. Finally, in line with the research agenda for innovation studies and sustainability transitions elaborated by Smith et al (2010), the paper illustrates how actors in a social system respond to, translate, and enact interventions designed to promote industrial transformation, ultimately shaping the sustainability transition pathway.

Institutional Persistence and Change in England's Common Law: 1700-1865

Institutions are widely regarded as important, even ultimate drivers of economic growth and performance. A recent mainstream of institutional economics has concentrated on the effect of persisting, often imprecisely measured institutions and on cataclysmic events as agents of noteworthy institutional change. As a consequence, institutional change without large-scale shocks has received little attention. In this dissertation I apply a complementary, quantitative-descriptive approach that relies on measures of actually enforced institutions to study institutional persistence and change over a long time period that is undisturbed by the typically studied cataclysmic events. By placing institutional change into the center of attention one can recognize different speeds of institutional innovation and the continuous coexistence of institutional persistence and change. Specifically, I combine text mining procedures, network analysis techniques and statistical approaches to study persistence and change in England’s common law over the Industrial Revolution (1700-1865). Based on the doctrine of precedent - a peculiarity of common law systems - I construct and analyze the apparently first citation network that reflects lawmaking in England. Most strikingly, I find large-scale change in the making of English common law around the turn of the 19th century - a period free from the typically studied cataclysmic events. Within a few decades a legal innovation process with low depreciation rates (1 to 2 percent) and strong past-persistence transitioned to a present-focused innovation process with significantly higher depreciation rates (4 to 6 percent) and weak past-persistence. Comparison with U.S. Supreme Court data reveals a similar U.S. transition towards the end of the 19th century. The English and U.S. transitions appear to have unfolded in a very specific manner: a new body of law arose during the transitions and developed in a self-referential manner while the existing body of law lost influence, but remained prominent. Additional findings suggest that Parliament doubled its influence on the making of case law within the first decades after the Glorious Revolution and that England’s legal rules manifested a high degree of long-term persistence. The latter allows for the possibility that the often-noted persistence of institutional outcomes derives from the actual persistence of institutions.

Institutional perspectives on operationalising climate adaptation through planning

Adaptation to climate change is an imperative and an institutional challenge. This paper argues that the operationalisation of climate adaptation is a crucial element of a comprehensive response to the impacts of climate change on human settlements, including major cities and metropolitan areas. In this instance, the operationalisation of climate adaptation refers to climate adaptation becoming institutionally codified and implemented through planning policies and objectives, making it a central tenet of planning governance. This paper has three key purposes. First, it develops conceptual understandings of climate adaptation as an institutional challenge. Second, it identifies the intersection of this problem with planning and examines how planning regimes, as institutions, can better manage stress created by climate change impacts in human settlements. Third, it reports empirical findings focused on how the metro-regional planning regime in Southeast Queensland (SEQ), Australia, has institutionally responded to the challenge of operationalising climate adaptation. Drawing on key social scientific theories of institutionalism, it is argued that the success or failure of the SEQ planning regime's response to the imperative of climate adaptation is contingent on its ability to undergo institutional change. It is further argued that a capacity for institutional change is heavily conditioned by the influence of internal and external pathways and barriers to change, which facilitate or hinder change processes. The paper concludes that the SEQ metro-regional planning regime has undergone some institutional change but has not yet undergone change sufficient to fully operationalise climate adaptation as a central tenet of planning governance in the region.

Responding to climate change as a transformative stressor through metro-regional planning

This paper characterises climate change as a “transformative stressor”. It argues that institutional change will become increasingly necessary as institutions seek to reorientate governance frameworks to better manage the transformative stresses created by climate change in urban environments. Urban and metropolitan planning regimes are identified as central institutions in addressing this challenge. The operationalisation of climate adaptation is identified as a central tenet of a comprehensive urban response to the transformative stresses that climate change is predicted to create. Operationalisation refers to climate adaptation becoming incorporated, codified and implemented as a central tenet of urban planning governance. This paper has three purposes. First, it examines conceptual perspectives on the role of transformative stressors in compelling institutional change. Second, it establishes a conceptual approach that characterises climate change as a transformative stressor requiring institutional change within planning frameworks. Third, it reports emergent results and analysis from an empirical inquiry which examines how the metro-regional planning regime of Southeast Queensland has responded to climate change as a transformative stressor via institutional change and the operationalisation of climate adaptation.

Constructing Universities as Organizations: University Reforms in Poland in the Light of Institutional Theory

This chapter shows that apart from changes at the systemic and institutional levels, successful reform implementation struggles with a gradual change in academic beliefs, attitudes and behaviours. Currently, visions of the university proposed by the Polish academic community and visions of it proposed by Polish reformers and policymakers (within ongoing reforms) are worlds apart. I shall study recent reforms in the context of specific academic self--protective narratives being produced in the last two decades (at the collective level of the academic profession) and in the context of the Ivory Tower university ideals predominant at the individual level (as studied comparatively through a large--scale European survey of the academic profession). Institutions change both swiftly, radically – and slowly, gradually. Research literature on institutional change until recently was focused almost exclusively on the role of radical changes caused by external shocks, leading to radical institutional reconfigurations. And research literature about the gradual, incremental institutional change have been emergent for about a decade and a half now (Mahoney and Thelen 2010; Streeck and Thelen 2005, 2009; Thelen 2003). Polish higher education provides interesting empirical grounds to test institutional theories. Both types of transformations (radical and gradual) may lead to equally permanent changes in the functioning of institutions, equally deep transformations of their fundamental rules, norms and operating procedures. Questions about institutional change are questions about characteristics of institutions undergoing changes. Endogenous institutional change is as important as exogenous change (Mahoney and Thelen 2010: 3). Moments in which there emerge opportunities of performing deep institutional reforms are short (in Poland these moments occurred in 2009-2012), and between them there are long periods of institutional stasis and stability (Pierson 2004: 134-135). The premises of theories of institutional change can be applied systematically to a system of higher education which shows an unprecedented rate of change and which is exposed to broad, fundamental reform programmes. There are many ways to discuss the Kudrycka reforms - and "constructing Polish universities as organizations" (rather than traditional academic "institutions") is one of more promising. In this account, Polish universities are under construction as organizations, and under siege as institutions. They are being rationalized as organizations, following instrumental rather than institutional logics. Polish academics in their views and attitudes are still following an institutional logic, while Polish reforms are following the new (New Public Management-led) instrumental logics. Both are on a collision course about basic values. Reforms and reformees seem to be worlds apart. I am discussing the the two contrasting visions of the university and describing the Kudrycka reforms as the reistitutionalization of the research mission of Polish universities. The core of reforms is a new level of funding and governance - the intermediary one (and no longer the state one), with four new peer-run institutions, with the KEJN, PKA and NCN in the lead. Poland has been beginning to follow the "global rules of the academic game" since 2009. I am also discussing two academic self-protection modes agains reforms: (Polish) "national academic traditions" and "institutional exceptionalism" (of Polish HE). Both discourses prevailed for two decades, none seems socially (and politically) acceptable any more. Old myths do not seem to fit new realities. In this context I am discussing briefly and through large-scale empirical data the low connectedness to the outside world of Polish HE institutions, low influence of the government on HE policies and the low level of academic entrepreneurialism, as seen through the EUROAC/CAP micro-level data. The conclusion is that the Kudrycka reforms are an imporant first step only - Poland is too slow in reforms, and reforms are both underfunded and inconsistent. Poland is still accumulating disadvantages as public funding and university reforms have not reached a critical point. Ever more efforts lead to ever less results, as macro-level data show. Consequently, it may be useful to construct universities as organizations in Poland to a higher degree than elsewhere in Europe, and especially in Western Europe.

The transformation of Ireland 1958 - 93: the role of ideas in punctuating institutional path dependency at critical junctures

Ireland experienced two critical junctures when its economic survival was threatened: 1958/9 and 1986/7. Common to both crises was the supplanting of long established practices, that had become an integral part of the political culture of the state, by new ideas that ensured eventual economic recovery. In their adoption and implementation these ideas also fundamentally changed the institutions of state – how politics was done, how it was organised and regulated. The end result was the transformation of the Irish state. The main hypothesis of this thesis is that at those critical junctures the political and administrative elites who enabled economic recovery were not just making pragmatic decisions, their actions were influenced by ideas. Systematic content analysis of the published works of the main ideational actors, together with primary interviews with those actors still alive, reveals how their ideas were formed, what influenced them, and how they set about implementing their ideas. As the hypothesis assumes institutional change over time historical institutionalism serves as the theoretical framework. Central to this theory is the idea that choices made when a policy is being initiated or an institution formed will have a continuing influence long into the future. Institutions of state become ‘path dependent’ and impervious to change – the forces of inertia take over. That path dependency is broken at critical junctures. At those moments ideas play a major role as they offer a set of ready-made solutions. Historical institutionalism serves as a robust framework for proving that in the transformation of Ireland the role of ideas in punctuating institutional path dependency at critical junctures was central.

The adoption of advanced feed-in tariffs in Ontario : a case of institutional layering

En mai 2009, l’Ontario a adopté la Loi sur l’énergie verte et devint ainsi la première juridiction en Amérique du Nord à promouvoir l’énergie renouvelable par le biais de tarifs de rachat garantis. En novembre 2010, dans son Plan énergétique à long terme, la province s’est engagée à déployer 10,700 MW en capacité de production d’énergie renouvelable non-hydroélectrique par 2018. Il s’agit de la cible de déploiement la plus élevée dans ce secteur au Canada. Les infrastructures de production et de distribution d’électricité comprennent des coûts d’installation élevés, une faible rotation des investissements et de longs cycles de vie, facteurs qui servent habituellement à ancrer les politiques énergétiques dans une dynamique de dépendance au sentier. Depuis le début des années 2000, cependant, l’Ontario a commencé à diverger de sa traditionnelle dépendance aux grandes centrales hydroélectriques, aux centrales à charbon et aux centrales nucléaires par une série de petits changements graduels qui feront grimper la part d’énergie renouvelable dans le mix énergétique provincial à 15% par 2018. Le but de ce mémoire est d’élucider le mécanisme de causalité qui a sous-tendu l’évolution graduelle de l’Ontario vers la promotion de l’énergie renouvelable par le biais de tarifs de rachat garantis et d’une cible de déploiement élevée. Ce mémoire applique la théorie du changement institutionnel graduel de Mahoney et Thelen au cas du développement de politiques d’énergie renouvelable en Ontario afin de mieux comprendre les causes, les modes et les effets du changement institutionnel. Nous découvrons que le contexte canadien de la politique énergétique favorise la sédimentation institutionnelle, c’est-à-dire un mode changement caractérisé par de petits gains favorisant l’énergie renouvelable. Ces gains s’accumulent pourtant en transformation politique importante. En Ontario, la mise sur pied d’une vaste coalition pour l’énergie renouvelable fut à l’origine du changement. Les premiers revendicateurs de politiques favorisant l’énergie renouvelable – les environnementalistes et les premières entreprises d’approvisionnement et de service en technologies d’énergie renouvelable – ont dû mettre sur pied un vaste réseau d’appui, représentant la quasi-totalité de la société ontarienne, pour faire avancer leur cause. Ce réseau a fait pression sur le gouvernement provincial et, en tant que front commun, a revendiqué l’énergie renouvelable non seulement comme solution aux changements climatiques, mais aussi comme solution à maints autres défis pressants de santé publique et de développement économique. La convergence favorable d’un nombre de facteurs contextuels a certes contribué à la réussite du réseau ontarien pour l’énergie renouvelable. Cependant, le fait que ce réseau ait trouvé des alliés au sein de l’exécutif du gouvernement provincial s’est révélé d’importance cruciale quant à l’obtention de politiques favorisant l’énergie renouvelable. Au Canada, les gouvernements provinciaux détiennent l’ultime droit de veto sur la politique énergétique. Ce n’est qu’en trouvant des alliés aux plus hauts échelons du gouvernement que le réseau ontarien pour l’énergie renouvelable a pu réussir.

Institutional innovation: synthesis of programme outcomes

Report of the work of the Projects funded by the JISC Institutional change/innovation Programme 2008-2010. Report produced by the Synthesis and Benefits Realisation Team linked to the Programme.

Institutional framing of CSR and social entrepreneurship interactions in South Africa

Objectives. This paper considers the intersection of Corporate Social Responsibility (CSR) and social entrepreneurship in South Africa through the lens of institutional theories and draws upon a number of illustrative case study examples. In particular it: (1) charts the historically evolving relationship between CSR and social entrepreneurship in South Africa, and how this relationship has been informed by institutional changes since the end of apartheid, particularly over the last few years; (2) identifies different interactional relationship forms between social enterprises and corporates engaging in CSR, with an emphasis on new innovative multi-stakeholder partnerships; and (3) considers internal engagements with social responsibility by SME social enterprises in South Africa. Prior Work. Reflecting South Africa’s history of division, the controversial role of business during apartheid, and the ongoing legacies of that period, the South African government has been particularly pro-active in encouraging companies to contribute to development and societal transformation through CSR and Black Economic Empowerment (BEE). Accordingly a substantial body of work now exists examining and critically reflecting upon CSR and BEE across a range of sectors. In response to perceived problems with BEE, efforts have recently been made to foster broader-based economic empowerment. However the implications of these transitions for the relationship between CSR and social entrepreneurship in South Africa have received scant academic attention. Approach. Analysis is undertaken of legislative and policy changes in South Africa with a bearing on CSR and social entrepreneurship. Data collected during fieldwork in South Africa working with 6 social enterprise case studies is utilised including qualitative data from key informant interviews, focus groups with stakeholders and observational research. Results. The paper considers the historically evolving relationship between CSR and social entrepreneurship in South Africa informed by institutional change. Five different relationship forms are identified and illustrated with reference to case examples. Finally internal engagement with social responsibility concerns by small and medium social enterprises are critically discussed. Implications. This paper sheds light on some of the innovative partnerships emerging between corporates and social enterprises in South Africa. It reflects on some of the strengths and weaknesses of South Africa’s policy and legislative approaches. Value. The paper provides insights useful for academic and practitioner audiences. It also has policy relevance, in particularly for other African countries potentially looking to follow South Africa’s example, in the development of legislative and policy frameworks to promote corporate responsibility, empowerment and transformation.