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Clemmens (1999) - Politics and Institutionalism - Explaining Durability and Change
Clemmens (1999) - Politics and Institutionalism - Explaining Durability and Change
Clemmens (1999) - Politics and Institutionalism - Explaining Durability and Change
25:441–66
Copyright © 1999 by Annual Reviews. All rights reserved
POLITICS AND
INSTITUTIONALISM:
Explaining Durability and Change
Elisabeth S. Clemens and James M. Cook
Department of Sociology, University of Arizona, Tucson, Arizona 85721;
e-mail:clemens@u.arizona.edu, jcook@u.arizona.edu
ABSTRACT
From the complex literatures on “institutionalisms” in political science and
sociology, various components of institutional change are identified: muta-
bility, contradiction, multiplicity, containment and diffusion, learning and
innovation, and mediation. This exercise results in a number of clear pre-
scriptions for the analysis of politics and institutional change: disaggregate
institutions into schemas and resources; decompose institutional durability
into processes of reproduction, disruption, and response to disruption; and,
above all, appreciate the multiplicity and heterogeneity of the institutions
that make up the social world. Recent empirical work on identities, interests,
alternatives, and political innovation illustrates how political scientists and
sociologists have begun to document the consequences of institutional con-
tradiction and multiplicity and to trace the workings of institutional contain-
ment, diffusion, and mediation.
INTRODUCTION
Institutions endure. As a reaction against methodological individualism, tech-
nological determinism, and behavioralist models that highlight the flux of
individual action or choice (March & Olsen 1989), the resurgence of institu-
tional analysis in recent years has forcefully reminded social scientists of the
significance of this “relative permanence of a distinctly social sort” (Hughes
1936:180, Zucker 1988:25). Observing that organizations and nation-states re-
semble one another more than one would predict given their different circum-
stances (DiMaggio & Powell 1983, Meyer & Rowan 1977, Meyer et al 1977),
441
0360-0572/99/0815-0441$08.00
442 CLEMENS & COOK
between normative and cognitive variants are necessarily blurred insofar as the
process of institutionalization, as understood by ethnomethodologists, “is one
in which the moral becomes factual” (Zucker 1977:726). Although the cogni-
tive or cultural emphasis in institutional analysis is often linked to the charge
that institutionalism is apolitical, the processual question of how social ar-
rangements and beliefs come to be taken for granted resonates with political
theorists’ articulation of a “third level of power”: “the means through which
power influences, shapes or determines conceptions of the necessities, possi-
bilities, and strategies of challenge in situations of latent conflict” (Gaventa
1980:15, see also Lukes 1974).
Both theoretical models may account for the same empirical observations.
If a mouse repeatedly takes the same path across a table, this regular pattern
may be due to either to the presence of a maze that obstructs many possible
changes in direction or to effective socialization through behavior modifica-
tion. However, since the mouse may be well-socialized and in a maze, these
“institutionalisms” are properly understood as complements, rather than as
mutually exclusive explanations. Recognition of the multiple sources of regu-
lar patterns in social life has the further advantage of allowing one to conceptu-
alize institutional durability as a continuous variable. Given a well-built maze
and thoroughly conditioned mouse, one would not expect the mouse to deviate
from the appointed path; given a less sturdy maze and a mouse bent on escape,
the outcome is less certain.
The theoretical literature employs varied combinations of these two basic
images of institutions: the first constraining and proscriptive, the second con-
stitutive and prescriptive. One strategy has been to sort the social world into
domains governed by noninstitutional “instrumental logics” or technical con-
siderations and those governed by “logics of appropriateness” (March &
Olsen 1989, Meyer et al 1983). This approach is undermined, however, by the
increasing recognition of the socially constructed character of technical ration-
ality (Espeland 1998, Porter 1995) as well as by attention to how actors per-
ceive and interpret information (North 1995, Ikegami 1995:340). The once-
stark lines between rational choice (the “positive theory of institutions”) and
historical or cultural institutional analyses have been eroded by the elaboration
of a “choice-theoretic” or “choice-within-constraints” version of institutional
theory, which adopts a culturally or contextually nuanced sense of “thick ra-
tionality” (Nee 1998:10–11). Network analysis has also diminished the dis-
tinction between these imageries. Networks may generate durable ties and
practices through constitutive processes of social interaction or by shaping
the opportunities and obstacles to exchange and cooperate (Nee & Ingram
1998, Powell 1991:190, Zucker 1988:29). From many directions, the devel-
opment of institutional analysis has muted the conventional distinctions
among institutionalisms.
POLITICS AND INSTITUTIONALISM 447
MUTABILITY Although much political analysis concerns the change from one
sort of institutional order or regime to another, a more fundamental form of
institutional change involves the loss of order or growth of social entropy
(Zucker 1988). Reliable reproduction in the face of stochastic change is thus
central to the concept of institution: “institutions are those social patterns that,
when chronically reproduced, owe their survival to relatively self-activating
social processes” (Jepperson 1991:145).
At the most basic level, some sets of rules or models of action may be more
mutable than others. For example, Crawford & Ostrom (1995:583) begin with
the concept of an institutional statement, “a shared linguistic constraint or op-
portunity that prescribes, permits, or advises actions or outcomes for actors
(both individual and corporate).” Such statements about “shared strategies” of
action specify to whom the statement applied; for what purposes; under what
conditions; with what sanctions; and whether the statement must, must not, or
may be followed. Clear implications for institutional mutability may be de-
rived from the last of these components. If followed, an exclusively “must” set
of institutional rules would maximize accurate reproduction; a set of “must
not” rules would function as Hobbes’ hedges, predicting only the boundaries
of what is doable; and a thoroughly “may” set would minimize the institutional
determination of social action promoting mutation and innovation.
Institutional statements that neither demand nor prohibit a particular behav-
ior promote heterogeneity of action. Actors relate to institutional rules as a rep-
ertoire or tool kit (Clemens 1997, Minkoff 1994, Swidler 1986) of alternative
models or schemas. The presence of alternatives lessens the institutional deter-
mination of action while also facilitating innovation through recombination.
Haveman & Rao (1997:1620) demonstrate that in an environment of multiple
competing institutional mandates, hybrid forms can emerge that combine vari-
ous properties of competing models. Thus, the contrasts among “must,” “must
POLITICS AND INSTITUTIONALISM 449
highest when (a) models of action are understood to be discretionary, (b) so-
cial heterogeneity is high, and (c) social networks are fragmented and cross
important social cleavages. In their study of political centralization in Renais-
sance Florence, Padgett & Ansell (1993) present a striking analysis of how
the Medici harnessed disjunctures among elite networks and controlled their
own followers by segregating ties based on marriage and economic relation-
ships.
Dense network ties also establish the conditions for maintaining order and
punishing defectors from institutional arrangements (North 1990:36–40).
Grief et al (1995) demonstrate how the ability of merchant guilds to provide
security for long distance trade against the predations of foreign rulers de-
pended on the existence of densely connected merchant communities capable
of punishing any individual who traded with an untrustworthy ruler. Adams
(1996) argues that the Dutch East India company used its monopoly on trade
with the metropole to control its agents in the colony; with the development of
the British trading empire in India, would-be defectors or entrepreneurs had
alternative opportunities to structure the terms of trade.
Network ties may also facilitate the diffusion of institutions (Strang &
Meyer 1993, Strang & Soule 1998). Extensive literatures on the adoption of
the model of the nation-state within the world polity (e.g. Meyer et al 1992,
Strang 1990, Strang & Chang 1993), of policy adoption across subnational
units (Soule & Zylan 1997), and of organizational responses to changes in law
(e.g. Dobbin et al 1994, Edelman 1990, Sutton et al 1994, Tolbert & Zucker
1983) demonstrate how ties, connectedness, visibility, and proximity facilitate
the adoption of new organizational forms or policies (for a review, see Schnei-
berg & Clemens 1999).
Insofar as networks may facilitate either containment or diffusion, the jux-
taposition of these studies raises a basic question. Under what conditions do
social networks have the homeostatic properties associated with feedback
models and historicist explanations (Stinchcombe 1968:103–20)? And under
what conditions do networks propagate initially small variations producing
path-dependent trajectories of social change (North 1990:93–98)?
with environmental demands over time, new organizations and those in chang-
ing environments should display more learning-based change.
Diffusion processes may also spur innovation as actors seek to accommo-
date newly adopted institutional rules to existing practices, resources, and
competing schemas (Campbell 1988:382–83, Soysal 1994, Stryker 1999,
Westney 1987). Such efforts entail the “transposition” of dispositions (Bour-
dieu 1977) or schemas to new settings: “Knowledge of a rule or schema by
definition means the ability to transpose or extend it creatively. If this is so,
then agency, . . . the capacity to transpose and extend schemas to new contexts,
is inherent in the knowledge of cultural schemas that characterizes all mini-
mally competent members of society” (Sewell 1992:18). But such recombina-
tions of schema and context may produce innovation. The greater the muta-
bility or multiplicity of institutional arrangements, the more likely that such
efforts to transpose models and embed them in different social networks or
resources will disrupt reliable reproduction.
While experimentation may be an important part of institutional change,
not all actors are equally likely to experiment. Groups marginal to the political
system are more likely to tinker with institutions for two reasons. Denied the
social benefits of current institutional configurations, marginal groups have
fewer costs associated with deviating from those configurations (Leblebici et
al 1991, Stearns & Allan 1996). Challengers may innovate with the aim of us-
ing an alternative model of mobilization or policy to gain access to the polity
(Clemens 1993, Hirsch 1986, Morrill 1999, Schneiberg 1998). Mutability and
multiplicity enhance the stock of alternative schemas available to be trans-
posed to new efforts; internal contradictions increase the probability that chal-
lengers will exist to exploit these alternatives.
quences. Brubaker (1996) traces how the Soviet regime used the construct of
nationality—as an attribute of both persons and places—to organize the ad-
ministration of its ethnically heterogeneous territories. Although the Soviet
Union itself was not organized as a nation state, this template for identity was
displaced to regional and ethnic entities, made real through administrative
practices such as the passport system, and thus eventually served as fuel for the
thoroughly nationalist disintegration of the USSR. In the struggle to block con-
struction of a dam on their reservation, the Yavapai of Arizona constructed “a
portrait of themselves in categories that made sense to them” and that resisted
the efforts of federal bureaucrats to subsume the unique and incommensurable
character of their land within the cost-benefit framework of technocratic
analysis. With the defeat of the dam, effective political activism was incorpo-
rated as an important component of their collective identity (Espeland 1998:
219–22). In a study of the property tax revolts that culminated in California’s
Proposition 13, Lo (1990) traces the disintegration of the legitimacy of state
government built on the promise of delivering great public education, impres-
sive highways, and safe neighborhoods. Having reconstituted the citizen as
consumer, this politics of technocratic social provision helped to draw more
migrants to the state, which drove up housing prices, which drove up taxes,
which led those citizen-consumers to hobble their government with drastic re-
strictions on revenue collection while they continued to demand high-quality
public services.
Given the destabilization so often associated with the constitution of na-
tional or citizen identities, under what conditions do institutionally constituted
identities contribute to reliable reproduction? For Bourdieu (1994:3–4), the
project of constructing the state entails not only the Weberian requirement of a
monopoly over physical violence but also an incarnation of “itself simultane-
ously in objectivity, in the form of specific organizational structures and
mechanisms and in subjectivity in the form of mental structures adapted to
them.” Ikegami (1995:5) elegantly demonstrates the intertwined processes of
state-formation and the construction of cultural models of the self and institu-
tional settings that enhanced “the trustworthiness of individuals who had oth-
erwise strong centrifugal tendencies.” Her analysis forcefully transcends the
distinction between exogenous constraint and subjective constitution often
used to organize discussions of the multiple “new institutionalisms”: “The
distinctive character of the state lies in its ability to create and sustain a number
of institutions that variously affect people’s lives. Although each institution by
itself is not necessarily embedded in or intended to serve a particular purpose
of moral or ideological regulation, taken together they form an institutional
field that deeply affects individuals’ decision-making. New institutional con-
straints resulting from state-making transform a society’s wider cultural envi-
ronment in critical and unforeseen ways” (Ikegami 1995:33).
456 CLEMENS & COOK
ades later. In the United States, however, the collapse of the Knights of Labor
discredited this model of mobilization just as the failure of the People’s Party
delegitimated the third party model among farmers (Clemens 1997:156–61).
IN CONCLUSION
In the mid-1980s, the call went out to “bring the state back in” (Evans et al
1985) and to challenge the hegemony of behavioralism and methodological in-
dividualism in political science and sociology. The slogan itself only crystal-
POLITICS AND INSTITUTIONALISM 461
lized a turn toward institutional analysis in process across diverse fields within
the social sciences. Initially, this resurgent interest in political institutions pro-
duced an image of the state as a concrete, massive, autonomous force within
politics. Emphasizing durability and embeddedness, this imagery made it dif-
ficult to address the sources and mechanisms of institutional change.
More recently, however, a wide array of scholars have responded to this
dilemma by reconsidering their imagery of the state and of political institu-
tions more generally. Drawing on diverse theoretical resources, they have in-
creasingly disaggregated “the state,” recognizing both that societies are often
structured by multiple institutions and that institutions themselves are com-
plex embeddings of schemas into resources and networks. In the place of an
all-or-nothing durability of the state, analyses of institutional change increas-
ingly address the multiple processes of institutional reproduction, disruption,
and responses to disruption.
Although many surveys emphasize the different theories of action (instru-
mental, normative, cognitive) that inform the various “new institutionalisms,”
when refracted through the sensibilities of a structuralist these literatures
converge on a series of implications for the study of institutional change. For
example, institutional multiplicity should undermine reliable reproduction,
whether strategic actors are playing off competing alternatives, normative ac-
tors are torn between competing ideals, or actors are trying to make reconcile
diverse cognitive schemas. Mutability, contradiction, learning, containment or
diffusion, and mediation are additional conditions or processes that influence
the likelihood and the trajectories of institutional change. Taken together,
these literatures suggest that the analysis of institutional change rests on an ap-
preciation of the heterogeneity of institutional arrangements and the resulting
patterns of conflict or prospects for agency and innovation.
ACKNOWLEDGMENTS
For their valuable comments and criticism, we would like to thank Bruce Car-
ruthers, Frank Dobbin, Ron Jepperson, Woody Powell, Marc Schneiberg,
Robin Stryker, Marc Ventresca, and the members of the Social Organization
Seminar at the University of Arizona.
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