Theoretical and Empirical Lessons from
Neo-Institutional Theory to
Study Urban and Regional Resilience
International Conference - Resilience in Urban and Regional
Development. From Concept to Implementation
March 27–28, 2014 – Berlin
Martin Stumpler
Dresden Leibniz Graduate School (DLGS)
Source: The
Telegraph
(Ansell /
McLellan)
Urban Resilience and Neo-Institutionalism
Agenda
1. A brief introduction to (urban) resilience
2. (Urban) governance in resilience studies
3. Critique on (urban) resilience
4. Bridging the gap: neo-institutional theory and analysis in
(urban) resilience studies
5. Conclusion
Martin Stumpler, Dresden Leibniz Graduate School (DLGS)
International Conference on Urban and Regional Resilience,
March 28, 2014
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Urban Resilience and Neo-Institutionalism
1. A brief introduction to (urban) resilience
Two distinct epistemological origins:
System ecology (HOLLING 1973): resilience as measure for the
persistence of ecosystems; ability to absorb disturbances and
maintain functions/relationships
Child development, psychology (WERNER 1971): individual's
capacity to bounce back from adversity, best understood as a
process
Applications of resilience in urban realm (VALE 2014):
a theory on system’s behaviour across scales,
a practice or proactive strategy to system planning across social
places,
an analytical tool to examine system’s response to disturbance.
Martin Stumpler, Dresden Leibniz Graduate School (DLGS)
International Conference on Urban and Regional Resilience,
March 28, 2014
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Urban Resilience and Neo-Institutionalism
Fig. 1: Urban Resilience
Source: Resilience Alliance 2007: 10
Martin Stumpler, Dresden Leibniz Graduate School (DLGS)
International Conference on Urban and Regional Resilience,
March 28, 2014
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Urban Resilience and Neo-Institutionalism
2. (Urban) governance in resilience studies
Analytical:
governance arrangements as complex systems, constituted by
adaptive agents (TEISMAN et al. 2009)
focus on adaptive capacities, system transformation, thresholds,
cross-scale interactions (DUIT et al. 2010)
system and complexity terminology in empirical studies
Normative:
‘diversity hypothesis’ (DUIT et al. 2010) – diversity of agents, ample
opportunities for interaction, comprehensive repertoire of action
e.g. adaptive governance for SES (FOLKE et al. 2005)
strong collaborative imperative on ‘governance for a resilient
society’ (INNES & BOOHER 2010)
Martin Stumpler, Dresden Leibniz Graduate School (DLGS)
International Conference on Urban and Regional Resilience,
March 28, 2014
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Urban Resilience and Neo-Institutionalism
3. A critique on (urban) resilience
applicability of complexity theory inspired concepts in the social
science? (SAWYER 2005)
under-theorization of power imbalances, naive belief on learning and
institutional design, contradiction of conflict in society as well as an
reductionist understanding of culture (HORNBORG 2009)
conservative, technocratic and elitist concept(MACKINNON & DERICKSON
2012)
neo-liberal discourse due to fostering processes of responsibilization,
e.g. hazard mitigation or security policy (COAFFEE 2013, JOSEPH 2013,
WELSH 2013).
resilience of neoliberal urbanism, resilience as “alias to dispossession
and territorial stigmatisation” (SLATER 2014)
Martin Stumpler, Dresden Leibniz Graduate School (DLGS)
International Conference on Urban and Regional Resilience,
March 28, 2014
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Urban Resilience and Neo-Institutionalism
Fig. 1: Poster in New Orleans
Source: SLATER 2014 via http://candychang.com/resilient/
Martin Stumpler, Dresden Leibniz Graduate School (DLGS)
International Conference on Urban and Regional Resilience,
March 28, 2014
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Urban Resilience and Neo-Institutionalism
4. Bridging the gap: neo-institutional theory and analysis
(Neo-)institutional accounts in (urban) resilience studies: GARSCHAGEN
2011, KUHLICKE 2011, LANG 2011, PELLING & MANUEL-NAVARRETE 2011
Neo-institutional theory in urban politics (LOWNDES 2001):
Formal and informal institutions enable and constrain political
processes
Institutions are normatively and historically embedded
Institutions are both, human constructs and social forces in their
own right
Timely contribution to study fragmentation of urban governance,
rise of partnerships and networks, new public management
practices, etc.
Dynamic concept of institutions: institutional change
Martin Stumpler, Dresden Leibniz Graduate School (DLGS)
International Conference on Urban and Regional Resilience,
March 28, 2014
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Urban Resilience and Neo-Institutionalism
Institutional change in neo-institutional theory (SCHMIDT 2010)
Rational choice institutionalism: institutional change as change in
preferences of rational actors e.g. caused by exogenous shock,
otherwise stable incentive structures
Historical institutionalism: institutional change only at critical
junctures, otherwise path-dependency in structures and practices
Sociological institutionalism: institutional change as a result of
cultural norms and frames that are not seen as ‘appropriate’ anymore
Discursive Institutionalism: dynamic change through ideas and
discursive interaction, endogenous change through ideational
background and discursive abilities
Martin Stumpler, Dresden Leibniz Graduate School (DLGS)
International Conference on Urban and Regional Resilience,
March 28, 2014
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Urban Resilience and Neo-Institutionalism
Institutional framework for analysing transformations in urban
governance (HEALEY 1997, 2007)
Foundation: Sociological wing of neo-institutionalism
Three-tiered analytical framework:
‘Specific episodes’ – agents, arenas for interaction and
communicative practices
‘Mobilization of bias’ – coalitions and networks, stakeholder
selection, discourse, practices and routines
‘Culturally embedded assumptions and habits’ – range of
accepted modes of governance and cultural norms, formal and
informal structures for policing discourses
Case study: Newcastle upon Tyne
Martin Stumpler, Dresden Leibniz Graduate School (DLGS)
International Conference on Urban and Regional Resilience,
March 28, 2014
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Urban Resilience and Neo-Institutionalism
5. Conclusion
Neo-institutional theory and analysis provides valuable insights and
tools to overcome some of the critique attached to the current urban
and regional resilience debate
Strong role of incentive structures, historic path-dependencies,
diversity in cultural norms and habits as well as different discursive
abilities needs to be considered in any institutional design for resilient
cities and regions
Shift towards forms of urban and regional resilience can happen if it
transcends the visible world of actors, acknowledges and overcomes
existing modes in the production of bias as well as challenges
powerful norms and structures in decision-making
Martin Stumpler, Dresden Leibniz Graduate School (DLGS)
International Conference on Urban and Regional Resilience,
March 28, 2014
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Urban Resilience and Neo-Institutionalism
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International Conference on Urban and Regional Resilience,
March 28, 2014
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Urban Resilience and Neo-Institutionalism
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Martin Stumpler, Dresden Leibniz Graduate School (DLGS)
International Conference on Urban and Regional Resilience,
March 28, 2014
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