I
NSTITUTIONALIZING THEC
ONCEPT OFS
USTAINABILITY FROM AT
ETRALOGICALP
ERSPECTIVE:
THE CASE OFP
RO-G
UAÍBAAr t u r N e v e s de Assis*
Abstract
T
he obj ect ive of t his st udy was t o int egrat e Mor in’s com plex t et ralogical m odel and neoins-t ineoins-t uneoins-t ionalism in or ganizaneoins-t ional analysis neoins-t heor y in or der neoins-t o analyze neoins-t he per for m ance of neoins-t he Pr o- Guaíba Pr ogram in inst it ut ionalizing t he concept of sust ainabilit y in an or ganizat ional fi eld of t w elve co- execut or inst it ut ions in t he Guaiba Wat er shed Region of Brazil. I n or der t o achieve t his, bot h docum ent ary research and in- dept h int erviews were conduct ed wit h t he purpose of fi nding infor m at ion t o be cat egor ized accor ding t o pr eviously defi ned t heor et ical const r uct s. The dat a analysis was per for m ed t hr ough cont ent analysis. As a r esult , it was possible t o obt ain a com plex and neoinst it ut ional descr ipt ion of t he r ole of t he pr ogram in cr eat ing t he necessar y int eract ions am ong t hese inst it ut ions in or der t o st r uct ur e a sust ainable or ganizat ional fi eld and, t hus, t o inst it ut ionalize t he pr ogram ’s concept of sust ainabilit y.Ke y w or ds: Neoinst it ut ionalism . Com plexit y. Sust ainabilit y. Or ganizat ional fi elds. Edgar Mor in.
A Institucionalização do Conceito de Sustentabilidade por uma Perspectiva
Tetralógica: o caso Pro-Guaíba
Resumo
O
obj et ivo dest e est udo foi int egrar o m odelo t et ralógico da com plexidade de Morin e a t eoria neoinst it ucionalist a de análise organizacional para analisar o papel do Program a Pró- Guaíba na inst it ucionalização do conceit o de sust ent abilidade em um cam po or ganizacional de onze inst it uições co- execut oras na Região Hidr ogr áfi ca do Guaíba, no Brasil. Para isso, pesquisas docum ent ais e ent revist as em profundidade foram conduzidas com int uit o de encont rar infor m ações e cat egor izá- las de acor do com const r ut os t eór icos pr eviam ent e defi nidos. Para a análise de dados foi em pr egada a análise de cont eúdo. Com o r esult ado, foi possível obt er um a descr ição neoinst it ucional e com plexa do papel do pr ogram a em cr iar as necessár ias int erações ent r e est as inst it uições de for m a a est r ut urar um cam po or ganizacional sust ent ável e, enfi m , inst it ucionalizar o conceit o de sust ent abilidade pr opost o pelo pr ogram a.Pa la v r a s- ch a v e : Neoinst it ucionalism o. Com plexidade. Sust ent abilidade. Cam pos or
ganizacio-nais. Edgar Mor in.
* Mest r ado em Adm inist r ação pela Univer sidade Feder al do Rio Gr ande do Sul – UFRGS. Pesquisador
Adj unt o do gr upo de pesquisa Callipolis - Polít icas Públicas e Desenvolvim ent o do Cent r o de Ciências da Adm inist r ação e Sócio Econôm icas da Univer sidade do Est ado de Sant a Cat ar ina – ESAG/ UDESC – Flor ianópolis/ SC/ Br asil. Ender eço: 76 Quint Ave, Apt . 3, Allst on, MA. 02134 USA. E- m ail:
Introduction
P
r o- Guaíba is t he St at e Gover nm ent of Rio Grande do Sul’s ( Brazil) pr ogram for ecological sust ainabilit y and social developm ent of t he Guaíba Hydr ographic Wa-t er shed Region ( NORONHA, 1998; RI O GRANDE DO SUL, 2001) . The Pr o- Guaíba pr ogram is know n for a var iet y of r easons, one of w hich is it s size as it cont ains m ore t han 250 cit ies or 30% of t he st at e t errit ory, and m ore t han 6 m illion inhabit ant s. I n addit ion, it s longit udinal dim ension is im pr essive, as t he pr ogram was conceived in 1989 w it h a pr oj ect ed lengt h of m or e t han 20 year s. The t ot al public invest m ent was USD 220.5 m illion, 60% of w hich was fi nanced by t he I nt er- Am er ican Developm ent Bank and 40% by local st at e funds. How ever, Pro- Guaíba was not chosen for t his st udy because of it s not able scope but rat her because of t w o inst it ut ional pr oblem s: ( a) aconcept ual problem relat ed t o t he necessary inst it ut ionalizat ion of Pro- Guaíba’s concept
of sust ainabilit y; and ( b) a pr agm at ic pr oblem r elat ed t o t he pr ogram ’s st rat egy t o inst it ut ionalize t his concept int o t he pract ice of a gr oup of differ ent co- execut or inst i-t ui-t ions. This si-t udy supposes i-t hai-t i-t hese i-t w o aspeci-t s have i-t he dual effeci-t of si-t r uci-t ur ing and r est r uct ur ing as w ell as of inst it ut ionalizing and deinst it ut ionalizing Pr o- Guaíba’s defi nit ion and act ions of sust ainabilit y dialogically w it h t he inst it ut ions in t he fi eld in or der t o guarant ee t he developm ent and per m anency of t he pr ogram .
Regar ding t he concept ual pr oblem , t he Rio Grande do Sul st at e gover nm ent cr eat ed t he Pr o- Guaíba Pr ogram by Decr ee nº 33.360 ( RI O GRANDE DO SUL, 1989) , and lat er m odifi ed t he pr ogram defi nit ion by Decr ees nº 34.047 ( RI O GRANDE DO SUL, 1991) , and nº 35.003 ( RI O GRANDE DO SUL, 1993)1. Fr om t hese decr ees, t he
Rio Grande do Sul st at e gover nm ent inst it ut ionalized t he fi r st Pr o- Guaíba’s defi nit ion ( RI O GRANDE DO SUL, 1993) :
Ar t . 1º - I nst it ut e t he Pr ogram for Rat ional Developm ent , Recuperat ion and Envir on-m ent Manageon-m ent of t he Guaíba Hydr ographic Wat er shed Region - Pr o- Guaíba, t he obj ect ive of w hich is t o cr eat e t he necessar y condit ions t o develop it s nat ural r esour-ces, t o enable t he r ecover y of t he qualit y of t he envir onm ent in ur ban and agr icult ural ar eas, and t o pr om ot e t he aut o- sust ainable2 envir onm ent m anagem ent of indust r ial,
agr icult ural, livest ock and for est pr oduct ion in t he ext ended ar ea of t he wat er shed.
Subsequently, on Decem ber 30, 1994, the Rio Grande do Sul state governm ent passed the State Water Resources Policy following Law nº 10.350 (RI O GRANDE DO SUL, 1994)3.
By this law, the state governm ent defi ned the principles and objectives to balance econo-m ic and social developecono-m ent with environecono-m ental preservation, and created the Watershed Managem ent Com m ittees. The objective of these com m ittees is to prom ote com m unity engagem ent in water resource m anagem ent by incorporating governm ent institutions, water collectors, and users of water resources. As a result, the State of Rio Grande do Sul started to follow a worldwide environm ental trend called “ integrated water resource m anagem ent ” (DUDA, 2003; RAHAMAN, VARI S, KAJANDER, 2004; REGMI , 2003; RI CHTER, MATHEWS, HARRI SON, WI GI NGTON, 2003; WALLACE, ACREMAN, SULLI VAN, 2003).
Furt herm ore, following t he effort s of t he Unit ed Nat ions Environm ent Program ( UNEP) t o inst it ut ionalize environm ent al issues int o public policies in developing count ries ( BI ERMANN, 2002; HANDL, 1998; NOBRE, AMAZONAS, 2002) in 1993, Pro- Guaíba’s Execut ive Secret ary replaced t he “ aut o- sust ainable” t erm wit h t he “ sust ainable” t erm t o defi ne t he t arget of t he program . The “ sust ainable” t erm works in accordance wit h UNEP’s concept of “ sust ainable developm ent ”4 ( NORONHA, 1998; WORLD COMMI SSI ON
1 These decr ees and law s ar e available at ht t p: / / w w w .al.r s.gov.br / legis/ .
2 Even t hough t he t er m “ self- sust ainabilit y” is usually r elat ed t o aut opoiesis ( VARELA, MATURANA, &
URI BE, 1974) , in t his case t he t er m is synonym ous w it h sust ainabilit y.
3 This law w as endor sed by Ar t icle 21, I t em XI X, of t he 1988 Br azilian Feder al Const it ut ion, w hich
est ablished par am et er s for t he cr eat ion of t he Nat ional Wat er Resour ces Managem ent Syst em , and by Ar t icle 171, of t he Rio Gr ande do Sul Const it ut ion, w hich est ablished t he Wat er shed St at e Syst em .
4 Developm ent t hat m eet s t he needs of t he pr esent w it hout com pr om ising t he abilit y of fut ur e
ON ENVI RONMENT AND DEVELOPMENT, 1987) , which also st rongly refl ect s eco- deve-lopm ent and Agenda 21 concept s ( SACHS, 1986; SACHS, LOPES, 1993) . This not ion is reaffi rm ed by Pro- Guaíba’s report of m odule 1 t hat redefi ned t he program “ based on a syst em ic vision focused on t he const ruct ion of an ecologically sust ainable, econom ically viable and socially fair m odel” ( RI O GRANDE DO SUL, 2001, p. 7) .
I n sum m ar y, since 1989, Pr o- Guaíba’s Execut ive Secr et ar y has defi ned t his pr ogram as: ( a) an env ir onm ent al sanit at ion pr ogram for t he Guaíba Wat er shed ( 1989) , ( b) a com m it m ent t o aut o- sust ainable handling of t he nat ural r esour ces in accor dance w it h social- econom ic developm ent ( 1991) , ( c) an ecologically sust ainable, econom ically viable and socially fair pr ogram ( 1993) , and m or e r ecent ly ( d) an eco-logically sust ainable and socially fair developm ent pr ogram for t he Guaíba Wat er shed Region ( 1998)5 ( ASSI S, 2004; ASSI S, PEDROZO, 2003, 2005; NORONHA, 1998; RI O
GRANDE DO SUL, 2001) . Alt hough t hese changes ar e j ust ifi ed by social and polit ical t ransfor m at ions dur ing t he per iod of t he pr ogram developm ent , t his inst abilit y has given r ise t o several cr it icism s about t he scope and effi cacy of Pr o- Guaíba in enfor cing bot h concept ual and pragm at ic aspect s as descr ibed pr eviously.
Concer ning t he pragm at ic aspect of t he pr ogram , Pr o- Guaíba’s Execut ive Se-cr et ar y em phasized t he com plexit y of t he pr ogram execut ion because of t he r equir ed int erdependence bet ween eleven co- execut or st at e inst it ut ions ( RI O GRANDE DO SUL, 2001) . Nor onha ( 1998) r epor t ed t hat inst it ut ional st r engt hening and consolidat ion of an int egrat ed legal syst em for t he wat er shed r egion ar e cor e st rat egies t o enable t he pr ogram t o over com e t his bar r ier. How ever, pr ogram effor t s t o analyze and design a new inst it ut ional syst em for t he wat er shed r egion w er e inconclusive ( RI O GRANDE DO SUL, 2001) . Consequent ly, new doubt s about t he effi cacy of t he Pr o- Guaíba Pr ogram w er e raised, and t her e was r ecognit ion of t he need for an alt er nat ive inst it ut ional analysis of t he pr ogram .
Th u s, t h e ob j ect iv e of t h is p ap er is t o in t eg r at e n eoin st it u t ion al t h eor y ( DI MAGGI O, 1991; DI MAGGI O, POWELL, 1983; JEPPERSON, 1991; MEYER, ROWAN, 1 9 7 7 ; POWELL, 1 9 9 3 ) w it h Mor in ’s com plex t et r alogical m odel ( MORI N, 2 0 0 1 , 2 0 0 2 a) in or der t o an aly ze t h e r ole of t h e Pr o- Gu aíba Pr ogr am in in st it u t ion alizin g t h e con cept of su st ain abilit y in a fi eld of elev en co- ex ecu t or st at e in st it u t ion s. Th is paper does n ot in t en d t o pr opose solu t ion s f or t h e con cept u al an d pr agm at ic as-pect s discu ssed befor e bu t r at h er t o pr esen t an alt er n at iv e an aly sis of t h e ch an gin g in st it u t ion al dy n am ics.
The Tetralogical Perspective
of Institucional Analysis
A tetralogical model in organizational analysis
Sev eral aut hor s hav e used t he concept s of inst it ut ionalized or ganizat ions, isom or phism , and or ganizat ional and int er - or ganizat ional fi elds in or ganizat ional analysis ( DI MAGGI O, 1991; DI MAGGI O, POWELL, 1983; JENNI NGS, ZANDBERGEN, 1995; JEPPERSON, 1991; MEYER, ROWAN, 1977; SCOTT, MEYER, 1993; TOLBERT, ZUCKER, 1996 and ot her s) . How ever, t he t heor et ical quest ion about how inst it ut ions, or “ t he r ules of t he gam e in a societ y” ( NORTH, 1996, p. 3) , have been cr eat ed and t ransfor m ed st ill r em ains only par t ially answ er ed ( BENSON, 1977; HOLM, 1995; SEO, CREED, 2002) . I f t he pow er and t he int er est s of t he agent s play an essent ial r ole in inst it ut ional st ruct ure and change ( DI MAGGI O; POWELL, 1983) , how can we explain t he fact t hat t he agent ’s act ions, int ent ions and rat ionalit y ar e also infl uenced by t he sam e inst it ut ions t hat t hey w or k t o change? Ar e inst it ut ions defi ned by agent s’ int er est s and ideas, or ar e t hese sam e agent s’ int er est s and ideas defi ned by inst it ut ions? ( TAPI A; GOMES, 2008)6 Fur t her m or e, how can inst it ut ional st abilizat ion ( MEYER; ROWAN,
5 This last defi nit ion excludes t he econom ic dim ension of sust ainabilit y.
6 Tapia and Gom es ( 2008) point out t he need for appr oaches t hat consider t he for m at ion of int er est s
1977) and t ot al inst it ut ionalizat ion ( JEPPERSON, 1991; TOLBERT, ZUCKER, 1996) be under st ood w hen inst it ut ions cont inue t o w or k r ecur sively and sim ult aneously in t he syst em as bot h cause and consequence of t he confl ict s and t ensions t hat cont r ibut e t o bot h inst it ut ionalizat ion and deinst it ut ionalizat ion? These quest ions suggest t he need for inst it ut ional appr oaches t hat consider r ecur sive and syst em ic aspect s in pr ocesses of inst it ut ional change from a m ult iparadigm at ic perspect ive ( ASSI S, PEDROZO, 2005; MACHADO- DA- SI LVA, FONSECA, CRUBELLATE, 2005) .
Mor in’s com plex t et ralogical m odel ( MORI N, 2001, 2002a) was chosen for t he present st udy over ot her t heoret ical m odels, such as Benson ( 1977) , Prigogine ( 1963) , and Luhm ann ( 2003) because of t he abilit y of Morin’s t heory t o int egrat e m any discipli-nes and t o const r uct br idges bet w een t hem ( DOBUZI NSKI S, 2004) . Thus, on t he one hand t he neoinst it ut ional t heorist s m aint ain t hat organizat ions develop inseparably from econom ic and social syst em s by m echanism s of inst it ut ional isom or phic adj ust m ent s; on t he ot her hand, w e int r oduce Mor in’s dialogic7 pr inciple t o affi r m t hat or ganizat ions
ar e dialogically connect ed by int eract ions w it h endocausal and exocausal t ensions ( MORI N, 2001, 2002a) t hat pr ecede t hese adj ust m ent s. Mor in’s dialogic pr inciple of com plexit y st at es t hat or der, disor der and or ganizat ion ant agonize, com pet e, and com plem ent sim ult aneously in t he sam e phenom enon. Consequent ly, t he analysis of or ganizat ional fi eld int eract ions is fundam ent al t o under st anding t he or ganizat ional phenom enon of st r uct ur ing and changing.
I nt eract ions are reciprocal act ions t hat are m ot ivat ed by encount ers t hat , in som e condit ions, becom e int er connect ions ( associat ions, links, com m unicat ions et c.) ( MO-RI N, 2002a) . I nt eract ions ar e essent ial for t he exist ence of or der and or ganizat ional. How ever, disor der s ( agit at ion, t ur bulence, or change) ar e also sour ces of encount er s t hat pr om ot e new or ganizat ional int eract ions. Ther efor e, t o under st and t he dialogic of or ganizat ional change, it is necessar y t o fram e or der, disor der, and or ganizat ion in t he sam e “ t et ralogical cir cuit ”8 ( MORI N, 2002a, p. 104) w her e t hese elem ent s coexist t hr ough sim ult aneous int eract ions of com plem ent ar it ies, com pet it ions, and ant ago-nism s. Mor in’s int eract ions and dialogic pr inciples ar e applied in t his st udy t o descr ibe t he phenom ena of st r uct ur ing and r est r uct ur ing of t he or ganizat ional fi eld t hr ough t he t et r alogical m odel of inst it ut ional analysis, descr ibed in Figur e 1. By analyzing t he int eract ions of t he t et ralogical cir cuit elem ent s in t he or ganizat ional fi eld, it is possible t o under st and how t hese elem ent s m odify t he or ganizat ional fi eld behavior and na-t ur e, and cr eana-t e a com plex or ganizana-t ional fi eld na-t hana-t sna-t r ucna-t ur es and r esna-t r ucna-t ur es ina-t self t hr ough dialogic pr ocesses of inst it ut ionalizat ion and deinst it ut ionalizat ion.
I nt er act ions ( I ) - I nt eract ions ar e t he cent er of all inst it ut ionalizat ion and
deinst it ut ionalizat ion pr ocesses. Accor ding t o Mor in ( MORI N, 2002a) , int eract ions ar e em er gences, im posit ions, com plem ent ar it ies, and ant agonism s t hat coexist in t he w hole syst em . Em er gences ( Em) ar e qualit ies or pr oper t ies of t he syst em elem ent s
( par t s) t hat ar e not new t o t he individual par t s, but ar e new t o t he syst em .
7 Mor in defi nes dialogic as “ a com plex unit bet w een t w o logics, ent it ies or subst ances, t hat ar e com
-plem ent ar y, com pet it ive, and ant agonist ic, and t hat feed each ot her , com -plem ent each ot her , but also count er act and com bat each ot her ” ( MORI N, 2002b, p. 300- 301) . Mor in’s dialogic defi nit ion differ s fr om Hegel’s dialect ic. I n Hegel, cont r adict ions ar e r esolved t hr ough a solut ion t hat over com es and suppr esses t hem int o a higher logical st at em ent . I n dialogic, ant agonism s per sist and ar e const it uent s of com plex or ganizat ions t hr ough t et r alogical loops of int er act ions.
8 Fr om Ancient Gr eek ( t et r a, “ four ” ) + ( logos, “ speech, or at ion, discour se, quot e, st or y,
Figu r e 1 - Th e Te t r a logica l M ode l of I n st it u t ion a l An a ly sis
ACTI VE I SOMORPHI SM ( AI )
Wor k ( Wr)
Pr axis ( Px)
Poiesis ( Ps)
Change ( Ch)
ACTI VE ORGANI ZATI ONAL FI ELD ( AOF)
I NSTI TUTI ONALI ZATI ON / DEI NSTI TUTI ONALI ZATI ON
I NTERACTI ONS ( I )
Or ganizat ional Field ( Of)
Em er gences ( Em)
Com plem ent arit ies (Cm)
I m posit ions ( Im)
Ant agonism s ( An)
Exocausal Tensions ( Ex)
Endocausal Tensions ( En)
Adapt at ion ( Ad)
Select ion ( Sc)
Norm ative I som orphism (Ni)
Coercive I som orphism (Ci)
Mim etic I som orphism (Mi)
Thus, new associat ions of exist ing par t s w it hin t he syst em can cr eat e a new syst em qualit y or pr oper t y. I n addit ion, som e pr oper t ies r em ain in a pot ent ial st at e because t her e ar e no associat ions yet . I m posit ions ( Im) ar e m echanism s of cont r ol,
lim it s, r ules, and differ ent iat ions t hat inhibit qualit ies or pr oper t ies t hat m ay j eopar-dize t he syst em ’s st abilit y. Com plem ent ar it ies ( Cm) ar e int eract ions bet w een par t s of
a syst em , and bet w een t hose par t s and t he w hole syst em t hat or ganize t he syst em .
Ant agonism s ( An) ar e m echanism s t hat pr oduce and lim it com plem ent ar it ies t hr ough
a cont inuous pr ocess of cr eat ing and inhibit ing ant agonism s. Based on t he pr em ise t hat or ganizat ional fi elds ar e com plex or ganizat ions connect ed dialogically by int e-ract ions, hence:
Hypot hesis 1: The com plex or ganizat ional fi eld st r uct urat ion is sim ult aneously a cause and effect of int eract ions of em er gences, im posit ions, com plem ent ar it ies and ant agonism s bet w een t he fi eld inst it ut ions and t he w hole syst em .
Act ive or ganizat ional fi eld ( AOF) - Or ganizat ional fi elds ( Of) ar e “ t hose or gani-zat ions t hat , in t he aggr egat e, const it ut e a r ecognized ar ea of inst it ut ional life: key supplier s, r esour ce and pr oduct consum er s, r egulat or y agencies, and ot her or ganiza-t ions ganiza-t haganiza-t pr oduce sim ilar ser vices or pr oducganiza-t s” ( DI MAGGI O; POWELL, 1983, p. 148) . Mor in ( 2002) defi nes as act ive or ganizat ions t hose w hich cr eat e int eract ions and ar e cr eat ed fr om int eract ions dialogically. This m eans t hat act ive or ganizat ions pr oduce, or ganize, and r eor ganize t hem selves r ecur sively by a logical cir cuit of praxis, w or k, pr oduct ion, and change – t he praxical cir cuit ( MORI N, 2002) . Pr axis ( Px) includes all
act ions t hat have an or ganizat ional charact er ist ic. Wor k ( Wr) includes all pract ical
ac-t iviac-t ies of pr oducac-t ion and change. Pr oducac-t ion or poiesis ( Ps) is t he generat ive aspect of
int eract ions. Change ( Ch) refers t o all act ivit ies t hat result in new organizat ional form s.
Hypot hesis 2: The com plex or ganizat ional fi eld praxical cir cuit operat es cont i-nuously t o st r uct ur e and r est r uct ur e t he fi eld by inst it ut ionalizing and deinst it ut iona-lizing int eract ions bet w een t he fi eld inst it ut ions and t he w hole syst em .
Act ive isom orphism ( AI ) - DiMaggio and Powell ( 1983, p. 149) describe inst it ut ional
isom orphism assert ing “ aft er a cert ain point in t he st ruct urat ion of an organizat ional fi eld, t he aggregat e effect of individual change is t o lessen t he ext ent of diversit y wit hin t he fi eld”. These aut hors affi rm t hat inst it ut ional isom orphic changes occur t hrough t hree m echanism s: ( a) coercive isom orphism ( Ci) t hat “ result s from bot h form al and inform al
pressures exert ed on organizat ions by ot her organizat ions upon which t hey are depen-dent , and by cult ural expect at ions in t he societ y wit hin which organizat ions funct ion” ( DI MAGGI O; POWELL, 1983, p. 150) ; ( b) m im et ic isom orphism ( Mi,) t hat occurs when
organizat ions “ t end t o m odel t hem selves aft er sim ilar organizat ions in t heir fi eld t hat t hey perceive t o be m ore legit im at e or successful” ( DI MAGGI O; POWELL, 1983, p. 152) or due t o uncert aint y; and ( c) norm at ive isom orphism ( Ni) which happens when m em
-bers of an occupat ion defi ne t he condit ions and m et hods of t heir work, and est ablish a “ cognit ive base and legit im acy for t heir occupat ional aut onom y” ( DI MAGGI O; POWELL, 1983, p. 152) . Our t hird prem ise is t hat t hese m echanism s of inst it ut ional change are organizat ional m echanism s, according t o Morin’s ( 2001) defi nit ion of adapt at ion and select ion. Adapt at ion ( Ad) is an organizat ional process of inst it ut ing int eract ions of
com plem ent arit ies and/ or ant agonism s wit h ot her organizat ions t o resist com pet it ions and confront aleat ory event s from t he whole syst em . Select ion ( Sl) is an organizat ional
process of self- select ion by select ing t he int eract ions t hat are m ore viable and feasible, and elim inat ing t he ot her ones t hat are less viable or feasible. Therefore:
Hypot hesis 3: Mechanism s of inst it ut ional isom orphic change are com plex orga-nizat ional fi eld m echanism s of adapt at ion and select ion of t he necessar y int eract ions t o confr ont exocausal and endocausal t ensions.
I nst it ut ionalizat ion/ deinst it ut ionalizat ion - Our four t h pr em ise in t his st udy is
t hat st r uct urat ion and r est r uct urat ion of t he act ive or ganizat ional fi eld ( AOF) depends on Mor in’s ( 2001) idea of dynam ic balance ( or m or phost asis9) bet w een exocauses and
endocauses. Exocauses ( Ex) ar e det er m inist ic or aleat or y t ensions fr om t he m acr o envir onm ent or w hole syst em . Endocauses ( En) ar e m icr oenvir onm ent al cause-
and-effect aspect s fr om or ganizat ional int eract ions. This m eans t hat t her e ar e infi nit e cause- and- effect com binat ions bet w een bot h exocausal and endocausal t ensions, including int eract ions w it hin t he fi eld, t hat can pr om ot e inst it ut ional change. Conse-quent ly, t he elem ent s of t he t et ralogical cir cuit can r esult in bot h inst it ut ionalizat ion and/ or deinst it ut ionalizat ion dialogically, t hus r esult ing in a com plex and dynam ic phenom enon of or ganizat ional change. Hence:
Hypot hesis 4: Com plex inst it ut ional isom or phism and st abilizat ion depend on t he dynam ic balance of exocausal and endocausal t ensions, and int eract ions r elat ed t o fi eld inst it ut ions, or ganizat ional fi elds, and t he w hole syst em .
The tetralogical model of institutional analysis
The t et ralogical m odel of inst it ut ional analysis int r oduces at least t w o not ions: ( a) t he not ion of act ive isom or phism and ( b) t he not ion of an act ive or ganizat ional
fi eld. The not ion of act ive isom or phism int egrat es t he idea of inst it ut ionalized or
ga-nizat ions and isom or phic inst it ut ional change ( DI MAGGI O, POWELL, 1983; MEYER, ROWAN, 1977) w it h Mor in’s ( MORI N, 2001) defi nit ions of adapt at ion and select ion. The neoinst it ut ional t heor y defi nit ion of isom or phism focuses on t he or ganizat ional t endency t o incor porat e rat ionalized concept s fr om t he social syst em as a way t o obt ain legit im acy, r esour ces, st abilit y, and enhanced sur vival pr ospect s. The com plex defi nit ion of act ive isom or phism focuses on how int eract ions bet w een fi eld or ganiza-t ions, acganiza-t ive or ganizaganiza-t ional fi eld, and ganiza-t he w hole sysganiza-t em esganiza-t ablish com plem enganiza-t ar iganiza-t ies
9 Pr ocesses in com plex syst em - envir onm ent exchanges t hat t end t o ser ve or m aint ain a syst em ’s given
and ant agonism s w it h endocausal and exocausal event s in or der t o r est r uct ur e, st abilize and incr ease t he per m anency pr ospect s of fi eld or ganizat ions, act ive or ga-nizat ional fi eld, and t he w hole syst em . Or gaga-nizat ions adapt t hem selves t o t he act ive or ganizat ional fi eld envir onm ent by select ing int eract ions ( em er gences, im posit ions, com plem ent ar it ies and ant agonism s) w it h inst it ut ions t hat ar e t he m ost r eliable and/ or viable in or der t o ensur e t heir per m anency in t he act ive or ganizat ional fi eld, and t o ensur e t he sur vival of t he act ive or ganizat ional fi eld it self. At t he sam e t im e, t he act ive or ganizat ional fi eld m ust also select or ganizat ions t hr ough it s int eract ions, as a way t o adapt it self t o t he m acr o- envir onm ent and guarant ee it s ow n per m anency. Ther efor e, act ive isom or phism is defi ned as an or ganizat ional sur vival m echanism of select ing int eract ions ( of com plem ent arit ies, com pet it ions, and ant agonism s) bet ween or ganizat ions in t he fi eld in or der t o adapt int eract ions fr om bot h or ganizat ional fi eld and t he gr eat est syst em in w hich t he act ive or ganizat ional fi eld is em bedded in an int er dependent associat ion. The idea of act ive isom or phism does not cont radict t he t radit ional defi nit ion of isom or phism ; rat her, t his idea adds t he dialogism and r ecur-siveness of t he int eract ions t o t he inst it ut ional isom or phic change analysis.
The idea of an act ive organizat ional fi eld confers t o t he t radit ional organizat ional fi eld concept m ore t han j ust t he charact erist ics of “ t hose organizat ions t hat , in t he aggregat e, const it ut e a recognized area of inst it ut ional life” ( DI MAGGI O, 1991, p.64) . An act ive organizat ional fi eld is defi ned as a com plex organizat ion com prised of ot her organizations em powered with both generative and regenerative internal qualities capable of st ruct uring, rest ruct uring and adapt ing t hem selves t o t he whole syst em dialogically, recursively and cont inuously by int eract ions. Therefore, t here is a sym biosis bet ween t he poiesis of t he act ive organizat ions t hat const it ut e t he fi eld and t he poiesis of t he act ive organizat ional fi eld t o adapt and select it self t o t he whole syst em as an act ive organizat ional ent it y. The act ivit ies of t he organizat ions t hat com prise t he organizat io-nal fi eld operat e for t he purpose of self- product ion and for t he product ion of t he act ive organizat ional fi eld sim ult aneously, inst it ut ing and changing t heir specifi c organizat ional processes of self- product ion int o organizat ional processes of st ruct urat ion and rest ruc-t uraruc-t ion of ruc-t he organizaruc-t ional fi eld. The descripruc-t ion of ruc-t his sym biosis is corroboraruc-t ed by t he classic defi nit ions of coercive, m im et ic and norm at ive isom orphism ( DI MAGGI O; POWELL, 1983) and by t he not ion, previously present ed, of act ive isom orphism .
According t o t he t et ralogical m odel approach, t he subj acent processes of inst it u-t ionalizau-t ion and deinsu-t iu-t uu-t ionalizau-t ion occur in nonlinear, inu-t er connecu-t ed, r eu-t r oacu-t ive, r ecur sive, and dialogic m anner s, t hus confi gur ing a com plex charact er ist ic of aut o-endo- exo- causalit y t hat t ranscends t he t radit ional m odels of neoinst it ut ional analysis. Ther efor e, based on t he pr evious pr em ises:
Hypot hesis 5: Tensions, ant agonism s, and deinst it ut ionalizat ion ar e not ins-t iins-t uins-t ional paradoxes, buins-t rains-t her essenins-t ial elem enins-t s ins-t o pr om oins-t e inins-t eracins-t ions ins-t hains-t ar e necessar y for inst it ut ional isom or phism , st abilizat ion, and per m anency of t he or gani-zat ional fi eld, fi eld or ganigani-zat ions and m acr o envir onm ent .
Research Design
Met hodologically, Pr o- Guaíba was divided int o sub- unit s of analysis accor ding t o t he six subpr ogram s t hat ar e over seen by t he co- execut or inst it ut ions in Module 1 of t he Pr o- Guaíba Pr ogram : ( a) Subpr ogram 1 - St r uct ur ing and St r engt hening of t he Legal and I nst it ut ional Foundat ions of t he Pr ogram ; ( b) Subpr ogram 2 - Diagnosis, Managem ent St rat egies, and Monit or ing Syst em ; ( c) Subpr ogram 3 - Pr event ion and Cont r ol of I ndust r ial and Dom est ic Pollut ion; ( d) Subpr ogram 4 - Renewable Nat ural Resources Managem ent ; ( e) Subprogram 5 - Prot ect ed Areas - Parks and Reservat ions; and ( f ) Subpr ogram 6 - Envir onm ent al Educat ion ( NORONHA, 1998) .
The dat a- gat hering process was conduct ed t hrough bot h docum ent ary research and in- dept h int er view s, t he obj ect ive of w hich was t o fi nd evidence t hat w ould be cat egor ized accor ding t o t he neoinst it ut ional and com plexit y t heor et ical const r uct s. The docum ent ar y r esear ch included: ( a) fi ve offi cial decr ees ( Decr ee n° 33.360/ 89, Decr ee n° 34.047/ 91, Decr ee n° 35.003/ 93, Decr ee n° 35.004/ 9, and Decr ee n° 36.127/ 95) ; ( b) t w o law s ( Law n°9.893/ 93 and Law N° 11.362/ 99)10; ( c) t w o r epor t s
of t he pr ogram Module 1 ( 2001 Pr ogr ess Repor t , and 2002 Final Repor t ) ; and ( d) t w o cont ract s bet w een t he I nt er- Am erican Developm ent Bank ( I DB) and t he Execut ive Secr et ar y of t he Pr o- Guaíba Pr ogram .
The in- dept h int er view s w er e car r ied out t hr ough a sam ple of people chosen because of t heir know ledge of t he pr ogram ’s developm ent : ( a) six subpr ogram co-or dinat co-or s w ho have w co-or ked fco-or t he pr ogram since 1989; ( b) t w o ex- secr et ar ies of t he St at e Secr et ar y of Coor dinat ion and Planning w ho w or ked for t he or ganizat ion in dist inct polit ical per iods ( befor e and aft er t he pr ogram im plem ent at ion) ; ( c) one adm inist rat ive consult ant w ho has w or ked for t he pr ogram since 1989; and ( d) one t echnical consult ant of t he Technical Advisor y Team of t he Guaíba Wat er shed Envir on-m ent al Manageon-m ent and Cont r ol Plan, w ho has w or ked for t he pr ograon-m since 1989. To assur e t he r eliabilit y of t his pr ocedur e, t radit ional t echniques of cont ent analysis w er e applied ( BARDI N, 2008; MORAES, 1999; SAMPI ERI , SAMPI ERI , COLLA-DO, LUCI O, 2006) . Fir st , t he pr ior cat egor ies of const r uct s and t heir m eanings w er e defi ned and codifi ed according t o neoinst it ut ional and com plexit y t heories t o guarant ee t he const r uct validit y ( YI N, 2003b) . Next , t he docum ent s and r epor t s of Pr o- Guaíba w er e analyzed, as w ell as t he r ecor ds of t he in- dept h int er view s. The obj ect ive of t his was t o select sam ples of infor m at ion, w hich w er e m eaningful and r elevant for t he pur poses of analysis ( subt ract ing nonr epr esent at ive infor m at ion and naive r epor t s) . The sam ples of infor m at ion w er e r eview ed out side of t he or iginal cont ext and para-phrased based on keyw or ds in or der t o set t he unit s of infor m at ion11. The keyw or ds
r epr esent t he evaluat ive com ponent s of st at em ent s, i.e. at t it ude obj ect s ( people, gr oups, ideas, t hings, event s) , t he evaluat ive t er m s ( t er m s t hat qualify t he at t it ude obj ect s) , and t he connect or s ( t hat ver bally link t he st at em ent of at t it ude obj ect s and t er m s of qualifi cat ion) ( MOREI RA, SI MÕES, PORTO, 2005) . Then, t he unit s of infor-m at ion w er e cat egor ized accor ding t o t he t heor et ical const r uct s fr oinfor-m neoinst it ut ional and com plexit y t heor ies. Aft er t hat , t he unit s of infor m at ion w er e paraphrased based on t he keyw or ds of t he cat egor y and r ecodifi ed. Finally, t he cat egor ies of const r uct s and t heir r espect ive unit s of infor m at ion w er e gr ouped accor ding t o t heir hist or ical cont ext s w it hin t he pr ogram developm ent t o set t he cat egor ies of cont ext .
This procedure led t o a reduct ion from 121 down t o fourt een unit s of inform at ion wit h m inim al loss of relevant inform at ion. Unit s of inform at ion cannot be confused wit h et hnographic dat a, despit e it s sim ilar it y, because t hey do not consist of raw cit at ions, but rat her result s of an agglut inat ion process ( analogous t o t he m orphological process) of differ ent sam ples of infor m at ion based on keyw or ds. Fur t her m or e, t his pr ocedur e allow ed us t o t r iangulat e dat a fr om docum ent ar y r esear ch and int er view s w it h t he cat egor ies of const r uct s fr om t he neoinst it ut ional and com plexit y t heor ies in a de-duct ive m et hod ( POPPER, 1992) , despit e t he use of pr edefi ned t heor et ical cat egor ies.
10 These decr ees and law s ar e available at ht t p: / / w w w .al.r s.gov.br / legis/ .
11 The t er m “ unit of infor m at ion” is used her e inst ead of t he t er m “ unit y of analysis” t hat is used in
The evidence analysis was done by exam ining t he r elat ionship bet w een unit s of inform at ion and t heoret ical const ruct s according t o t heir cat egory of cont ext . The int er-nal validit y of t his st udy was confi r m ed by using t he t et ralogical m odel of inst it ut ioer-nal analysis, descr ibed pr eviously, as a m ent al m odel t o visualize and analyze t he r ole of t he Pr o- Guaíba Pr ogram in st r uct ur ing t he sust ainable or ganizat ional fi eld. Meanw hi-le, t he st udy’s ext er nal validit y was confi r m ed by int egrat ing t he neoinst it ut ional and com plexit y t heoret ical approaches int o a com m on analysis of t he Pro- Guaíba Program .
Results And Discussion
The obj ect ive of t his sect ion is t o pr esent t he analysis of Pr o- Guaíba’s r ole in inst it ut ionalizing a sust ainable or ganizat ional fi eld. To do t his, t he follow ing sect ions ar e or ganized accor ding t o differ ent hist or ical cont ext s of t he pr ogram ’s developm ent , r espect ively: ( a) t he coer cive isom or phism failur e, w hich r elat es t he hist or ical cont ext of t hose inst it ut ions befor e t he cr eat ion of t he pr ogram ; ( b) t he em er gence of t he Pr o- Guaíba Pr ogram , w hich analyzes t he act ive isom or phism pr ocess of defi ning t he pr ogram ; ( c) t he sust ainable or ganizat ional fi eld st r uct urat ion, w hich descr ibes t he r ole of t he pr ogram in const it ut ing a com m on praxical cir cuit for t he fi eld; and ( d) t he Pro- Guaíba perm anency problem , which analyzes t he role and m eaning of t he program in inst it ut ionalizing t he concept of sust ainabilit y.
The coercive isomorphism failure
Exhibit 1 cont ains infor m at ion r elat ed t o Pr o- Guaíba’s hist or ical cont ext befor e t he program ’s creat ion. The evidence analysis of t his scenario suggest ed t he exist ence of int eract ions ( I ) bet w een bot h exocausal ( Ex) and endocausal ( En) t ensions in t he wat er shed r egion, alt hough t hese int eract ions did not st r uct ur e an or ganizat ional fi eld ( Of) . The act ivit ies of t he praxical cir cuit ( Px, Wr, Ps, Ch) and t he coer cive isom or phism ( Ci) t o st r uct ur e t he or ganizat ional fi eld failed due t o t he absence of m echanism s t o pr om ot e int eract ions bet w een t he inst it ut ional agent s.
Ex h ibit 1 - Th e Coe r civ e I som or ph ism Fa ilu r e
# Ca t e gor ie s of con st r u ct Un it s of in for m a t ion
1 Em , En, Cm , Px, Wr , Ps, Ch, Ci
Befor e t he pr ogram was cr eat ed, a set of st udies and pr oj ect s had been developed t o diagnose exis-t ing envir onm enexis-t al pr oblem s and exis-t o help waexis-t er shed inst it ut ions and t he com m unit y t o w or k t oget her in t he developm ent of a sust ainable st rat egy for Guaiba’s wat er r esour ces. These effor t s culm inat ed in t he cr eat ion of t he Wat er Resour ces Council in an at t em pt t o est ablish an inst it ut ional syst em of wat er m anagem ent , in 1981.
I n 1979 t he federal gover nm ent was w or king t o int r oduce t he Execut ive Com -m it t ee for I nt egrat ed St udies of t he Guaiba Wat er shed ( CEEI G) t he obj ect ive of w hich was t o int egrat e federal, st at e, and m unicipal inst it ut ions in or der t o or ganize t he exist ing know ledge about t he Guaiba Wat er shed, and t o pr opose a new classifi ca-t ion for ica-t s waca-t er r esour ces ( SOARES NETO, FREI TAS, AGRA, 2002; LANNA, 2007) . CEEI G was coor dinat ed by t he Special Com m it t ee for I nt egrat ed Wat er shed St udies ( CEEI BH) under t he super vision of t he Nat ional Depar t m ent of Wat er and Elect r ic Ener gy ( DNAEE) . One of t he m ost not able r esult s of t his act ivit y was t he pr oposal for a m onit or ing net w or k involving t he St at e Depar t m ent of Por t s, River s and Canals ( DEPREC)12, t he Municipal Depar t m ent of Wat er and Sewage ( DMAE) , and t he Wat er
Supply Com pany of Rio Grande do Sul ( CORSAN) , am ongst ot her s. Follow ing t hese init iat ives, in 1981, Decr ee nº 30.132/ 81 was passed t o or ganize t he St at e Wat er Re-sour ce Syst em ( SERH) ( under t he St at e Secr et ar y of Planning - SCP) , w hose pr incipal agency was t he St at e Wat er Resour ces Council ( CONRHI RGS) . How ever, despit e all t hese at t em pt s t o int egrat e, t hese differ ent inst it ut ions cont inued t o w or k in a discon-nect ed m anner ( LANNA, 2007) .
Neoinst it ut ional t heor y usually ar gues t hat inst it ut ional change ( Ci) r esult s fr om bot h form al and inform al coercive isom orphic pressures ( polit ical infl uence, legit im acy, or gover nm ent m andat e) . These pr essur es ar e exer t ed on or ganizat ions by ot her or ganizat ions and by cult ural expect at ions in societ y ( DI MAGGI O; POWELL, 1983) . How ever, t his defi nit ion of isom or phism does not pr ovide an explanat ion for t he failur e of t hese m echanism s t o pr om ot e t he desir ed inst it ut ional change ( Ch) .
I n fact , t he federal gover nm ent act ed as an exocausal t ension ( Ex) t o pr om ot e int eract ions of com plem ent arit ies ( Cm) bet w een agent s in t he fi eld. These com plem en-t ar ien-t ies, in en-t ur n, w or ked ( Wr) t o pr oduce ( Ps) a body of know ledge, a new classifi cat ion of t he wat er r esour ces, and a m onit or ing syst em for t he wat er shed ( Px) . The net w or k m onit or ing syst em can be consider ed an em er gence ( Em) r elat ed t o endocausal t en-sions ( En) because alt hough t he st udies about t he wat er shed w er e not new for t he individual inst it ut ions, t he body of knowledge as a whole as well as t he wat er resources classifi cat ion were innovat ions for t hem . However, despit e t he fact t hat t hese elem ent s w er e essent ial t o st r uct ur ing t he inst it ut ions in a com m on or ganizat ional fi eld ( Of) , t he evidence analysis show ed t hat t he inst it ut ions r em ained disconnect ed. The r eason for t his failur e was linked t o t he absence of a m echanism t o pr om ot e int eract ions cont i-nuously am ongst t hese inst it ut ions via a com m on praxical circuit t hat would rest ruct ure t he set of inst it ut ions as an act ive or ganizat ional fi eld ( AOF) .
The emergence of the Pro-Guaíba Program
Exhibit 2 cont ains inform at ion relat ed t o t he form at ion of Pro- Guaíba. An analysis of t his infor m at ion r eveals t he exist ence of pr ogram act ivit ies t o or ganize t he fi eld and it s st r uct ur e ( Of) t hr ough int eract ions of com plem ent ar it ies ( Cm) , ant agonism s ( An) , em ergences ( Em) , and im posit ions ( Im) . The program select ed ( Sc) an exocausal t ension ( Ex) – I DB – and st ar t ed t he act ivit ies of t he praxical cir cuit ( Px, Wr, Px, Ch) in or der t o adapt ( Ad) t he set of inst it ut ions and t o incr ease t heir pr obabilit y of being select ed by t his exocausal t ension. The exocausal t ension infl uenced t he pr ogram defi nit ion coer-cively ( Ci) and nor m at ively ( Ni) , w hich in t ur n infl uenced t he co- execut or inst it ut ions’ select ion of and adapt at ion t o t he exocausal t ension. The effi cacy of t hese coer cive and nor m at ive m echanism s was associat ed w it h obt aining fi nancial r esour ces, rat her t han legit im acy. How ever, Pr o- Guaíba’s praxical cir cuit ( Px, Wr, Px, Ch) for st r uct ur ing t he or ganizat ional fi eld was not able t o fully elim inat e t he ant agonism s ( An) r elat ed t o t he pr ogram ’s obj ect ives.
Ex h ibit 2 - Th e Em e r ge n ce of t h e Pr o- Gu a íba Pr ogr a m
# Ca t e gor ie s of con st r u ct Un it s of in for m a t ion
1 Em , I m , En, Ex, Sc, Ad, Ci, Ni, Cm
The Pr o- Guaíba Pr ogram was inst it ut ed by De-cr ee nº 33360/ 89, and m odifi ed by DeDe-cr ees nº 34047/ 91 and nº 35003/ 93 as a r esult of cont rac-t ual adj usrac-t m enrac-t s berac-t w een rac-t he srac-t arac-t e of Rio Grande do Sul ( RS) and t he I nt er- Am er ican Developm ent Bank.
2 Em , En Ni, Ps, Px
Pr o- Guaíba was designed by t he st at e of Rio Grande do Sul w it h t echnical as-sist ance fr om t he I nt er- Am er ican Developm ent Bank ( I DB) . The I DB is t he lar gest sour ce of m ult ilat eral for eign assist ance t o t he nat ions of Lat in Am er ica, and pr ovides assist ance t o t he bor r ow ing m em ber count r ies t o develop and im plem ent guidelines on int egrat ed wat er shed m anagem ent . The Pr o- Guaíba concept s of r efer ence, such as inst it ut ional st r engt hening and int egrat ed m anagem ent st rat egy, as w ell as t he pr oposals t o engage com m unit y par t icipat ion, dir ect ly r efl ect t he I DB’s st rat egy for int egrat ed wat er resources m anagem ent – which in t urn follows t he accept ed principles of t he Dublin Declarat ion and Agenda 21 ( I DB, 1998) .
However, four years and t hree decrees were required t o shift t he program from a sect orial t o a m ore int egrat ed st ruct ure. I n 1989, Decree nº 33360/ 89 defi ned t he fi rst inst it ut ional st r uct ur e of Pr o- Guaíba. This st r uct ur e was com posed of fi ve bodies: The Board of Direct ors ( represent ing governm ent inst it ut ions) , t he Consult at ive Com m it t ee ( represent ing civil societ y) , t he Execut ive Secret ary ( responsible for funding cont ract s) , t he Secret ary of Coordinat ion of Planning and Environm ent al Cont rol, and t he Secret ary of Coor dinat ion of Em er gence Response ( bot h r esponsible for t he im plem ent at ion of t he pr ogram ’s act ions) . This st r uct ur e was t op- dow n designed w it h t he Boar d of Dir ect or s ( t op) cont r olling t he dist r ibut ion of all r esour ces t o im plem ent t he pr ogram . I n 1991, t hr ough Decr ee nº 34047/ 91, t he pr ogram act ivit ies w er e r edefi ned in six subprogram s or com ponent s. As w ell as t his, t he Secret ary of Coordinat ion of Planning and Environm ent al Cont rol, and t he Secret ary of Coordinat ion of Em ergence Response w er e m er ged int o a new body nam ed t he Secr et ar y of Coor dinat ion of Subpr ogram s. The Secr et ar y of Coor dinat ion of Subpr ogram s was com posed of eleven co- execut or inst it ut ions13 w hose obj ect ive was t o im plem ent t he subpr ogram s. Finally, in 1993,
Decr ee nº 35003/ 93 decent ralized t he pr ogram r esour ces dist r ibut ion by changing t he Boar d of Dir ect or s int o t he Deliberat ive Com m it t ee t hat cur r ent ly is com posed not only of Gover nm ent inst it ut ions, but also of r epr esent at ives of t he com m unit y.
The for m at ion of t he Pr o- Guaíba st r uct ur e and obj ect ives was associat ed w it h a dialogic process of select ing and adapt ing int eract ions from bot h exocausal ( Ex) t ensions ( I DB’s st rat egy and obj ect ives) , and endocausal ( En) t ensions ( inst it ut ions’ praxis and obj ect ives) . Ther efor e in addit ion t o t he convent ional neoinst it ut ional per spect ive in w hich or ganizat ions sim ply r espond t o pr essur es fr om ot her or ganizat ions on w hom t hey depend, t his st udy ident ifi ed a dialogic pr ocess of “ negot iat ion” bet w een Pr o-Guaíba’s st r uct ur e defi nit ion and t he co- execut or inst it ut ions’ obj ect ives due t o t he need for fi nancial r esour ces. Thr ough t his pr ocess, co- execut or inst it ut ions defi ned Pr o- Guaíba’s st r uct ur e and obj ect ives, and Pr o- Guaíba or ganized t hese inst it ut ions r ecur sively int o an or ganizat ional fi eld.
Despit e t he r isk of confusing inst it ut ionalizat ion w it h r esour ce dependency fr om t he m acr olevel per spect ive ( ZUCKER, 1977) , t his st udy associat ed r esour ces
depen-3 En, Ex, Sc, Ad, Cm
By defending t he int egrat ive and sust ainable m a-nagem ent concept s, t he pr ogram obt ained r esour-ces fr om t he I nt er- Am er ican Developm ent Bank, engagem ent of t he diver se wat er shed inst it ut ions, and com m unit y par t icipat ion, w hich w er e essen-t ial elem enessen-t s essen-t o pr om oessen-t e and develop essen-t he pr ogram st r uct ur e.
4 En, Wr , An
At t he beginning of t he pr ogram , t her e w er e m any co- execut or s w it h low capacit y t o w or k in an int e-grat ed m anner. I n addit ion, t he diver sit y of pr o-j ect act ivit ies and inst it ut ional ar rangem ent s w er e cont rar y for ces hinder ing t he pr ogram ’s develop-m ent , w hich led t o isolat ed act ions w it h low int er-connect ivit y.
13 These eleven co- execut or s r epr esent t he or ganizat ional fi eld of t his st udy, and w er e also descr ibed
dency w it h or ganizat ional adapt at ion ( Ad) and select ion ( Sc) at bot h m acr o and m icr o levels. At t he m acr olevel, Pr o- Guaíba select ed ( Sc) t he I DB’s exocausal t ension ( Ex) and t hen adapt ed ( Ad) t he pr ogram ’s st r uct ur e and obj ect ives t o com plem ent ( Cm) t his t ension. At t he m icr olevel, co- execut or agent s had t o select ( Sc) and adapt ( Ad) t he endocausal ( En) em er gence ( Em) of Pr o- Guaíba’s st r uct ur e and obj ect ives int o t heir or ganizat ional pract ices.
The sustainable organizational field structuration
Ex h ibit 3 - Th e Su st a in a ble Or ga n iz a t ion a l Fie ld St r u ct u r a t ion
# Ca t e gor ie s of con st r u ct Un it s of in for m a t ion
1 Ex, Em , I m , Cm , An, Sc, Ci
Law n° 10.350/ 94 inst it ut ed t he St at e Wat er sour ces Syst em ( par t of t he Nat ional Wat er Re-sour ces Syst em ) t hat adopt ed t he hydr ographic wat er shed planning and m anagem ent unit , and included t he River Wat er sheds Com m it t ee t o ela-borat e t he wat er r esour ces planning w it h t echni-cal subsidies fr om t he Hydr ographic Wat er sheds Agency and public consult at ion.
2 Ex, Cm , Em , I m , Ad, Sc, CI , CN, Px, Wr , Ps, Ch, OF
The pr ogram follow ed t he cr it er ia of Law n° 10.350/ 94 t o engage t he public par t icipat ion sys-t em s ( Par sys-t icipasys-t or y Budgesys-t ing, Regional Develop-m ent Council, and Wat er shed CoDevelop-m Develop-m it t ees14) and
t radit ional sect or s ( envir onm ent al, r ural, r eligious and cult ural sect or s) in t he int egrat ed wat er shed m anagem ent st rat egy.
3 En, An
The diver sifi ed cr it er ia adopt ed by public inst it u-t ions exisu-t ing in u-t he wau-t er shed r egion incr eased t he inst it ut ional com plexit y t hat t he pr ogram ’s de-velopm ent had t o face.
4 Ex, En, Em , Px, Wr , Ps, Ch, OF
The pr ogram used t he wat er shed com m it t ees’ st r uct ur e t o execut e t he public consult at ion and t o expand t o ent ir e wat er shed r egion, including com -m unit ies locat ed in t he int er ior of t he st at , and t o engage ent it ies such as syndicat es, envir onm ent al associat ions, univer sit ies and business or ganiza-t ions.
14 Those syst em s cit ed w er e par t of a num ber of innovat ive r efor m pr ogr am s t hat allow cit izens t o
ident ify, discuss, and pr ior it ize public spending pr oj ect s.
15 Accor ding t o Ar t icle 21 of t he Br azilian Const it ut ion, t he Union has t he pow er t o est ablish t he nat ional
syst em for t he m anagem ent of w at er r esour ces and defi ne cr it er ia for t he concession of t he r ight t o t heir use ( BRAZI L, 1994) .
SERH is under t he Nat ional Wat er Resour ces Syst em ( SNRH) t hat , in 1997, defi ned t he legal and inst it ut ional inst r um ent s t o m anage issues r elat ed t o wat er r esour ces ( Law nº 9433/ 97) . These inst r um ent s ar e: ( a) Wat er shed Resour ces Plan, elaborat ed by wat er shed r egions and t he st at e of Rio Grande do Sul, ( b) t he classifi cat ion of t he wat er r esour ces by cat egor y of uses, ( c) concessions for wat er r esour ces use, and ( d) charges for wat er resources use. At t he sam e t im e, t he proposed Law nº 9984/ 0016 – t he
obj ect ive of w hich was t o cr eat e t he Wat er shed Nat ional Agency ( ANA) t o im plem ent t hese inst r um ent s ( MACHADO, 2003) – was being discussed in t he Nat ional Congr ess. These t hr ee law s had a double inst it ut ional effect on t he per for m ance of Pr o-Guaíba. On one hand, SERH and SNRH r einfor ced Pr o- Guaíba obj ect ives and legit i-m acy t o develop a st rat egy for int egrat ed wat er shed r esour ces i-m anagei-m ent , w hich cor r esponds t o I DB’s st rat egy for t hese r esour ces. On t he ot her hand, ANA st ar t ed t o com pet e w it h t he st r uct ur e and obj ect ives of Pr o- Guaíba.
The evidence analysis of t his scenar io suggest s t hat law s nº 10350/ 94 and nº 9433/ 97 w or ked sim ult aneously as int eract ions of: ( a) im posit ion ( Im) , or t he coer cive aspect of law enforcem ent ; ( b) com plem ent arit y ( Cm) , or t he law ’s obj ect ive of prom o-t ing an ino-t egrao-t ed m anagem eno-t syso-t em for o-t he wao-t er shed r esour ces; ( c) ano-t agonism ( An) , r elat ed t o t he supposed com pet it ion bet w een Pr o- Guaíba’s Execut ive Secr et ar y and ANA st r uct ur es; and ( d) em er gence ( Em) , a r esult of t he new legal and inst it ut io-nal inst r um ent s t o pr om ot e t he int egrat ed r esour ce m anagem ent of t he wat er shed. To deal w it h t his com plex set of int eract ions ( I ) , Pr o- Guaíba select ed ( Sc) new legal and inst it ut ional inst rum ent s and st art ed t o work act ively t o adapt ( Ad) it s st rat egy t o t his exocausal ( Ex) em er gence ( Em) and consequent ly t o inst it ut ionalize t hese legal and inst it ut ional inst r um ent s int o t he or ganizat ional fi eld st r uct ur e ( AOF) . This act ive isom orphic st rat egy prom ot ed a sym biosis bet w een Pro- Guaíba and ANA’s int eract ions in or der t o st r uct ur e t he or ganizat ional fi eld of co- execut or inst it ut ions.
An illust rat ion of t his sym biosis bet w een Pr o- Guaíba and ANA was obser ved dur ing t he for m at ion of t he Guaíba Lake Com m it t ee. This com m it t ee was inst it ut ed in 2007, dur ing a m eet ing or ganized by Pr o- Guaíba w it h fi nancial r esour ces obt ained fr om I DB ( SOARES NETO et al., 2002) . Fur t her m or e, by w or king t o pr om ot e ANA’s legal and inst it ut ional inst r um ent s, Pr o- Guaíba expanded it s boundar ies of infl uence in t he wat er shed r egion.
The Pro-Guaíba Program’s permanency problem
Exhibit 4 cont ains inform at ion from t he fi nal period of Module 1 of Pro- Guaíba t hat is r elat ed t o t he concept ual and pragm at ic pr oblem s of inst it ut ionalizing t he concept of sust ainabilit y. Analysis of t his infor m at ion suggest s t hat t he inst it ut ionalizat ion of t he sust ainable or ganizat ional fi eld ( AOF) depends on t he per m anency of t he praxical cir cuit st r uct ur e cr eat ed by Pr o- Guaíba as an inst it ut ionalized or ganizat ion.
Ex h ibit 4 - Th e Pr o- Gu a íba Pr ogr a m ’s Pe r m a n e n cy Pr oble m
16 This law w as passed on July 17, 2000.
# Ca t e gor ie s of con st r u ct Un it s of in for m a t ion
1 Em , Cm , Po, Pr , Wr , Ch, Of
The cr eat ion of t he Pr o- Guaíba I nt egrat ed I nfor-m at ion Syst enfor-m ( SI GPROGB) including differ ent co- execut or s pr om ot ed an int egrat ed pr ocess of planning and m onit or ing act ions for t he benefi t of t he wat er shed
2 Pr , Ch, Of, NI , En, Em , Cm
The var ious out com es descr ibed in exhibit 4 illust rat e t he per for m ance of t he pr ogram in im plem ent ing it s act ivit ies. How ever, t hese act ivit ies ar e not t he pr incipal out com es of t he pr ogram . Rat her, t hey ar e par t of Pr o- Guaíba’s st rat egy t o engage inst it ut ions in an int egrat ed syst em of wat er shed m anagem ent . Thus, t he SI GPROGB, t he agr eem ent s ( legal, envir onm ent al, fi nancial, and evaluat ion asset s) , t he for um of co- execut or s, and several ot her r epor t ed act ivit ies of t he pr ogram cannot be used in-dividually as param et ers t o evaluat e Pro- Guaíba’s perform ance. Rat her, t he “ horizont al cut ” result ing from int egrat ing Pro- Guaíba’s act ivit ies should be considered t he principal out com e of Pr o- Guaíba. Pr o- Guaíba pr om ot ed an int er sect ional st r uct ur e int egrat ing differ ent inst it ut ions t o for m a com m on or ganizat ional fi eld, t he necessar y condit ion t o develop an int egrat ed st rat egy for wat er shed r esour ce m anagem ent .
On one hand, a w eakness of Pr o- Guaíba’s st rat egy is t he fact t hat t his st r uc-t ur e depends on fi nancial r esour ces and if uc-t hese r esour ces ar e no longer available iuc-t can disappear. On t he ot her hand, Pr o- Guaíba’s st r ong point is t he st r uct urat ion and or ganizat ional lear ning about int egrat ed wat er r esour ces m anagem ent . Cur r ent ly, Pr o- Guaíba is being consider ed t o becom e t he fi r st of t hr ee Regional Agencies for Wat er shed Managem ent by t he gover nm ent of Rio Grande do Sul, follow ing t he st at e legislat ion ( RI O GRANDE DO SUL, 2007) .
This st udy suggest s t hat Pr o- Guaíba’s “ hor izont al cut ” can be under st ood as t he praxical cir cuit st r uct ur e ( Px, Wr, Ps, and Ch) t o pr om ot e t he act ivit y of t he sust ainable or ganizat ional fi eld ( AOF) . This infor m at ion pr ovides a differ ent explanat ion of t he neoinst it ut ional st at em ent t hat t he or ganizat ional fi eld st r uct urat ion is a consequence of m echanism s of isom or phic inst it ut ional change. Using t he t et ralogical view of inst i-t ui-t ional analysis, i-t he praxical cir cuii-t was obser ved i-t o w or k dialogically as boi-t h cause and effect of t hose m echanism s t hr ough pr ocesses of adapt at ion ( Ad) and select ion ( Sc) of int eract ions ( I ) r elat ed t o exocausal ( En) and endocausal ( En) t ensions t hat , in t ur n, pr om ot ed t he or ganizat ional fi eld ( Of) .
Conclusions
This st udy of Pr o- Guaíba, based on t he hypot hesis of t he t et ralogical m odel of inst it ut ional analysis, has offered a rich set of fi ndings regarding t he role of t his program
4 En, Em , Cm , Ni, Pr , Wr , Po, Ch, Of
Dur ing t he inst it ut ional syst em ’s developm ent , m or e t han 80 agr eem ent s w er e est ablished be-t w een wabe-t er shed insbe-t ibe-t ube-t ions and sbe-t abe-t e agencies t o execut e t he pr ogram obj ect ives, including legal, envir onm ent al, fi nancial, and evaluat ion asset s.
5 En, Em , Cm , Pr , Pr , Wr , Ch, OF, Ad, Sc
The diver sit y of par t icipant s was conducive t o t he r ealizat ion of m eet ings w it h all co- execut or s t o discuss t he w or k in pr ogr ess t hr ough t he Co- Exe-cut or s’ For um , per ceived as pr ogr ess in t he st r uc-t ur e of uc-t he insuc-t iuc-t uuc-t ional sysuc-t em .
6 En, Em , Cm , Pr , Wr , Po, Ch, Of, Ad, Sc
The inst it ut ional syst em prom ot ed a “ horizont al cut ” in t he st at e st ruct ure t hat m ade inst it ut ions wit h different rules begin t o work t oget her, and t he program act ivit ies st art ed t o becom e part of t hese inst it ut ions’ rout ines, result ing in m ore effi ciency.
7 Pr , Wr , Po, Ch, Of, Ad, Sc, Ni, En
in inst it ut ionalizing t he concept of sust ainabilit y. The concept s of act ive or ganizat ion fi eld and act ive isom or phism bet t er explain t he nat ur e of Pr o- Guaíba’s inst it ut ional change because it r eplaces bot h t he concept s of dialect ic as w ell as paradoxes w it h t he concept of dialogic. This is t o say t hat cont radict ions, com plem ent ar it ies, and com pet it ions ar e not only a const ant sour ce of inst it ut ional change, but t hey ar e also t he r eason for inst it ut ional st abilizat ion as w ell as t he im possibilit y of t ot al inst it ut io-nalizat ion. On one hand, cont radict ions w er e a sour ce of exocausal and endocausal t ensions t hat st im ulat ed new int eract ions t o change. On t he ot her hand, due t o t he need for r esour ces, it was obser ved t hat cont radict ions w er e accept ed by agent s and t ur ned int o rat ional agr eem ent bet w een agent s, sim ilar t o Sim on’s ( 1997) assum pt ion of bounded rat ionalit y, w her e agent s aim ed for sat isfact or y and not opt im al solut ions. Fur t her m or e, exocausal t ensions det er m ined t he “ pr inciple of rat ionalit y”17 t hat
governed t he co- execut or inst it ut ions’ decisions. Despit e t he fact t hat legit im acy, or t he “ value pat t er n of t he societ y” ( STI LLMAN, 1974)18, has been consider ed an essent ial
fact or in neoinst it ut ional analysis ( 1997) , t his st udy has show n t hat dependence on r esour ces was t he pr incipal explanat ion for Pr o- Guaíba’s for m at ion, alt hough legit i-m acy was a for i-m al r equir ei-m ent t o acquir e t hose r esour ces. Resour ce dependence has been ident ifi ed as a cause for inst it ut ional change because it const rains or ganizat ions under sim ilar pr essur es t hat pat t er n or ganizat ional behavior ( DI MAGGI O, POWELL, 1983; PFEFFER, 2003) . This r esour ce “ pat h- dependency” has also been ident ifi ed by Rocha ( 2004) as a pr econdit ion for inst it ut ional change in public policies in Brazil. This obser vat ion also cor r oborat es Machado- da- Silva and Fonseca’s ( 1993, 1996) claim t hat t he pr ocess of or ganizat ional st r ucut urat ion is not only a r esult of inst it ut ional exigences, but also fr om int er pr et at ive and cir cum st ant ial schem es. I n t he case of t he Pro- Guaíba Program , t his “ resource- pat h- dependency” was direct ly relat ed t o exocausal t ensions t hat dialogically infl uenced t he endocausal int er pr et at ive and cir cum st ancial schem es t hat led t he pr ogram t o inst it ut ionalize t he I DB’s “ st rat egy for int egrat ed wat er r esour ce m anagem ent ” ( I DB, 1998) as t he concept of sust ainabilit y.
Concer ning t he pragm at ic aspect , t his st udy has dem onst rat ed Pr o- Guaíba’s r ole in pr om ot ing t he praxical cir cuit t o int egrat e differ ent inst it ut ions int o a com m on int er sect ional and int er or ganizat ional st r ucut ur e - t he “ hor izont al cut .” The act ivit ies of t he praxical cir cuit operat ed act ively t o int egrat e t he co- execut or inst it ut ions int o t he sam e st rat egy for t he sust ainable m anagem ent of wat er r esour ces.
How ever, t he effi cacy of t he pr ogram w ill be ver ifi ed only by t he per m anency of it s concept ual st r uct ur e int o t he praxis of t hose or ganizat ions. Thus, t he success of t he pr ogram st ill depends on t he adopt ion of Pr o- Guaíba’s concept ual and st r ucut ural elem ent s int o t he Regional Agency for Wat er shed Managem ent of t he Guaiba Region, w hich can pr ovide legit im acy and r esour ces for it s per m anecy.
I n addit ion, t he adopt ion of t he Pro- Guaíba Program as t he fi rst regional agency of wat ershed resources dem onst rat es: ( a) t he inst it ut ional st abilizat ion of t he concept ual aspect of t he Pr o- Guaíba Pr ogram ’s concept of sust ainabilit y, and ( b) t he inst it ut ional st abilizat ion of t he pragm at ic aspect of t he Pr o- Guaíba Pr ogram , i.e. of t he praxical cir cuit st r uct ur e developed by t he pr ogram t o im plem ent t his concept ual aspect .
Sum m ar izing, t his st udy has dem onst rat ed t hat t he exist ence of a praxical cir cuit st r uct ur e, w hich can act ively defi ne or infl uence int eract ions and isom or phism pr ocesses of fi eld st r uct urat ion, is fundam ent al t o m anage t he pr ocess of inst it ut ional change. I n addit ion, t he adopt ion of t he Pr o- Guaíba st r uct ur e for m ally in t he for m of a gover nm ent agency can be consider ed em pir ical evidence of t he st abilizat ion of Pr o- Guaíba as an inst it ut ionalized or ganizat ion.
17 New ell’s pr inciple of r at ionalit y: “ I f an agent has know ledge t hat one of it s act ions w ill lead t o one of
it s goals, t hen t he agent w ill select t hat act ion” ( NEWELL, 1981, p. 8)
18 St illm an’s ( 1974, p. 39) t ent at ive defi nit ion of legit im acy is “ a gover nm ent is legit im at e if and only if
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