1. Sociology 279: Institutional Theories: Cultural / Phenomenological Approaches Class 1: Introduction Copyright © 2011 by Evan Schofer

2. Agenda 1. Review syllabus 2. Introduce course topic: Institutions… Types of institutionalisms Why cultural/phenomenological institutionalism? 3. Explore some of the intellectual foundations of cultural/phenomenological institutionalism Specifically, classic contributions from social psychology

3. Syllabus / Course Info All assignments, readings, and handouts are available online –Course website: http://www.socsci.uci.edu/~schofer/2011Soc279IT/home279IT.htm –Course readings via webfiles: https://webfiles.uci.edu/schofer/classes/2011soc219IT/ UCI ID & password required Sign up for reading “mini-reports” today Hand out sheet…

4. Background: Institutional Theories The 1980s saw the rise/revival of institutional scholarship in economics, political science, sociology, and other fields Reactions (variously) to: 1. Functionalism – Parsons; plus “lay functionalism” which crops up even today 2. Materialism – ‘interest-based’ explanations 3. Rationalism / Realism / Microeconomics – Emphasis on de-contextualized rational actors.

5. Institutional Theories “New” Institutionalisms took many forms: 1. New institutional economics Moving beyond pure rational actors in a vacuum… The world is not made up entirely of markets… –Economic actors create organizations (firms, states) –Actors function within institutional frameworks (laws, etc) –Questions: Under what conditions to actors form organizations & institutions? How do institutions shape/channel economic behavior?

6. Institutional Theories 2. Institutionalism in International Relations: “International Regimes” Prior theory (“neo-realism”) characterized states as rational actors in an anarchy (Waltz) But, states cooperate via treaties, organizations (e.g., the WTO) Again: What leads to cooperation/coordination? How do these “regimes” shape state behavior?

7. Institutional Theories 3. “Bringing the State Back In”… institutions in political sociology The 1960s saw lots of research on voting behavior and pluralism/interest group representation… –Politics = aggregation of individual/group interests Skocpol and others reasserted the importance of the state (i.e., governing institutions, policies, law) in channeling & shaping politics. Also: attention to history, “path dependence” –The ways a particular policy gets implemented channels subsequent action, possibilities –Aka “historical institutionalism”

8. Institutional Theories 4. Institutionalism in organization research –1960s scholarship emphasized the rational & functional features of organizations Or, brought in context in a limited manner (“old institutionalism”) – e.g., politics / vested interests New institutionalism emphasized embeddedness of organizations within a wider political, legal, cultural context

9. Institutional Theories Common theme of “institutionalisms”: Greater attention to context within which social actors are embedded… –Key differences: What kind of context? What kind of actors? What kind of action?

10. Kinds of Context (Fragile) agreements that rational/interested actors enter into Economic actors may form a corporation to reduce transaction costs Countries may enter into a treaty to improve security Path-dependent / emergent features of history (arbitary) Ex: Skocpol’s work on social policy –The way things developed in the past shape future possibilities Ex: QWERTY keyboard

11. Kinds of Actors / Action Culture / ideology / “social order” that influences actors – or even “constitutes” them Key issue: Actors aren’t the starting point… –Interests, preferences, perhaps even identities = shaped by social context Ex: The phenomenological tradition –We are born into a world in which most social realities are already defined for us… –We “enact” rules of our world… Others: Powell: (emergent) culture & networks Etc., etc.

12. Kinds of Actors Key distinction in modern sociological theories: Conceptions of actors/action –At one extreme: rational, interested actors –ex: microeconomics, rational choice theory –At the other extreme: “stage” actors that enact roles in society –Ex: phenomenological institutionalism –Various compromise positions Ex: Bourdieu – habitus, field, etc.

13. Why Phenomenology? Why focus on cultural/phenomenological institutionalism? –Sociology continues to be dominated by theories that privilege actors & interests; & functionalism In large part because wider culture seeps into sociological thinking –Yet, cultural/phenomenological institutionalism has been empirically very fruitful It predicts things that others haven’t… sees things that are in our “blind spots” In sum: It is a powerful but very non-intuitive way of thinking…. Worth learning.

14. What is Phenomenology? Phenomenology in philosophy (Husserl): study of subjective experience Phenomenology in sociology (Schutz, Garfinkel): Examination of the subjective or “lived world” of everyday life –Further elaborations in 1960’s, 70’s: Focus on “taken-for-granted” features of reality Attention to the socially/culturally constructed reality that we inhabit

15. What is phenomenological institutionalism? Ethnomethodology: a phenomenological tradition that focuses on how “reality” emerges from direct interaction Related tradition: symbolic interaction Phenomenological institutionalism (aka cultural institutionalism) Similar in that it focuses on socially constructed realities… –But it doesn’t just look at immediate social interaction… Instead, it looks at the broader culture and institutions of society.

16. 2X2 Table: Types of Theories Main typology: –Realist vs. Phenomenological –Micro vs. Macro Also: sub-types of realist Functional, Economic, Political

17. Readings –Amenta, Edwin and Kelly M. Ramsey. 2010. “Institutional Theory.” A review of various institutionalisms –Jepperson, Ronald L. 1991. “Institutions, Institutional Effects, and Institutionalism.” Pp. 143-163 in Walter W. Powell and Paul J. DiMaggio (eds.). The New Institutionalism in Organizational Analysis. Chicago, IL: University of Chicago Press. Addresses foundational issues: what is an institution. Read carefully. –Meyer, John W. 2008. “Reflections on Institutional Theories of Organizations.” In The Handbook of Organizational Institutionalism, ed. by R. Greenwood, C. Oliver, R. Suddaby & K. Sahlin-Andersson, Thousand Oaks, CA: Sage, 2007. A review paper. Read carefully.

18. Readings Recommended readings: *March, James G. 1984. “The New Institutionalism: Organizational Factors in Political Life.” The American Political Science Review, Vol. 78, No. 3 (Sep., 1984), pp. 734-749 Another overview of many institutionalisms *Kathleen Thelen. 1999. “Historical Institutionalism in Comparative Politics.” Annual Review of Political Science. 2: 369-404. Example of ‘historical institutionalism. *Williamson, O. 1981. “The Economics of Organization: The Transaction Cost Approach.” American Journal of Sociology, 87:. Example of economic institutionalism *North, Douglass and B. Weingast. 1989. “Constitutions and Commitment: The Evolution of Institutions Governing Public Choice in Seventeenth Century England.” The Journal of Economic History, 4:803- 32. Example of economic institutionalism.

19. Discussion & Break Questions?

20. Foundations: Social Psychology Cultural/Phenomenological institutionalisms = a product of many intellectual currents Cognitive Social Psychology: provided key insights about the extent to which humans: 1. Are shaped by social context 2. Depart from standard “rational actor” assumptions –Therefore, the tradition provides an important basis for thinking about actors as “socially constructed”.

21. Group Discussion Task: Take 10 minutes to read handouts: Foundational ideas from social psychology –Then we’ll have an open group discussion Sherif Asch Milgram Zimbardo –Issues: Importance of context / situation Dynamics of conformity Action as rule-following  culture as scripts, models.