Delft University of Technology
The recursive interaction of institutional fields and managerial legitimation in large-scale
projects
Hetemi, Ermal; Marrewijk, Alfons van; Jerbrant, Anna; Bosch-Rekveldt, Marian
DOI
10.1016/j.ijproman.2020.11.004
Publication date
2021
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Final published version
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International Journal of Project Management
Citation (APA)
Hetemi, E., Marrewijk, A. V., Jerbrant, A., & Bosch-Rekveldt, M. (2021). The recursive interaction of
institutional fields and managerial legitimation in large-scale projects. International Journal of Project
Management, 39(3), 295-307. https://doi.org/10.1016/j.ijproman.2020.11.004
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InternationalJournalofProjectManagement39(2021)295–307
ContentslistsavailableatScienceDirect
International
Journal
of
Project
Management
journalhomepage:www.elsevier.com/locate/ijproman
The
recursive
interaction
of
institutional
fields
and
managerial
legitimation
in
large-scale
projects
Ermal
Hetemi
a,∗,
Alfons
van
Marrewijk
b,c,d,
Anna
Jerbrant
a,
Marian
Bosch-Rekveldt
ca KTH Royal Institute of Technology, Sweden b Vrije Universiteit Amsterdam, The Netherlands c Delft University of Technology, The Netherlands d BI Norwegian Business School, Norway
a
r
t
i
c
l
e
i
n
f
o
Keywords:Large-scale projects Industry
Institutional field complexity Legitimacy
Institutional theory Case study
a
b
s
t
r
a
c
t
Heedingrecentcallsformorestudiesontherelationshipbetweenprojectsandinstitutions,thispaperreportsona collaborativecasestudytoshedlightontherecursiverelationsoflarge-scaleprojectsandtheirinstitutionalfields. Giventheindustryasthefield-levelinstitution,thisstudyexploreshowtwoprojectorganizationsexperienced theindustrychanges,itsinfluenceonthearrangementoflarge-scaleprojects,andthemanagementresponse usedtolegitimizethesearrangements.ThequalitativesecondarydataanalysisoftwoHigh-Speedrailprojects inSpainandTheNetherlandsisbasedonsemi-structuredinterviews,observations,anddocumentanalysis.This paperprovidestheinstitutionalfields’contextualdetailanddeepensourunderstandingoftemporalinstitutional complexitythatboundlarge-scaleprojectarrangements.Thefindingssuggestthatinbothcasesthemanagement responsesalteredacrosstimeandevolveddependingonthesalienceoftheinstitutionalpressure,throughthe interplaywith1)regulative,2)normative,and3)dynamiccultural-cognitiveforces,resultingincyclesofproject legitimacy.
1. Introduction
An organizing form defined as megaproject, global project, or service-led project gained renowned influence in recent years (Scott, et al., 2011; Gemünden, 2015; Söderlund, et al., 2018). Theselabelsapplytolarge-scaleprojectsthattypicallyinvolve multi-organizationsanddeliverasubstantialphysicalinfrastructureora com-plexproductwithalifecyclethatcanextendfordecadesandacross in-dustries(Sanderson,2012;Scott&Levitt,2017;Hetemi,etal.,2020b). Large-scaleprojectsarecomplexendeavorsembeddedinhighly institu-tionalizedsocialstructures,involvingpublicandprivateactorswith var-iousrationalities,modesofcollaboration,andprojectmanagement com-petencies(Brunet,2019;Hetemi,Gemünden,&Ordieres-Meré,2020a; vanMarrewijk,2016).Whilelarge-scaleprojectsareanessential vehi-clefordevelopingsustainability-orientedinfrastructurethathelps over-comemanyoftoday’ssocietalconcerns,theirperformanceintermsof budgetandtimeremainspoor(Flyvbjerg,2014;Flyvbjergetal.,2018). Flyvbjergandcolleagueshavebeencentralinexplainingthe irrational-ityintheplanningoflarge-scaleprojectsandpointingtotheimportance of cost/benefit analysis for improved performance(Flyvbjerg etal.,
∗ Correspondenceauthorat:DepartmentofIndustrialEconomicsandManagement,KTHRoyalInstituteofTechnology,Lindstedtsvägen30,SE-10044Stockholm,
Sweden.
E-mail addresses: ermal.hetemi@indek.kth.se(E.Hetemi),a.h.van.marrewijk@vu.nl(A.vanMarrewijk),anna.jerbrant@indek.kth.se(A.Jerbrant), m.g.c.bosch-rekveldt@tudelft.nl(M.Bosch-Rekveldt).
2018).Theseinsights,however,highlightinstrumentalfactorsand con-sidertechnical elementsthat decontextualizetheprojectsfrom their environment(cf.Ainamoetal.,2010;Hetemi,Gemünden& Ordieres-Meré, 2020a),andprovidelimitedexplanatorypowerconcerning re-currentproblemswithlarge-scaleprojects(vanMarrewijketal.,2008). Thenewgenerationoflarge-scaleprojectscompelseffortsthatrequire managementtominimizeeffectsonthesurroundingenvironmentand seeklegitimacyfortheproject(Uriarte,2019;vandenEnde&van Mar-rewijk,2019).
Increasingly itis recognizedthatlarge-scaleprojectarrangements andtheirorganizinglargelydependonthecharacteristicsofthe institu-tionalfieldinwhichtheyoperate(Scott,2012;Biesenthaletal.,2018;
Lieftink,Smits&Lauche,2019;WinchandMaytorena-Sanchez,2020). Itisthesetofdecisions,goal-formulation,financing,andlevelsofactor participationintheseprojects,whichwecalltheprojectarrangement.
DiMaggioandPowell(1983,p.148)definetheinstitutionalfieldas “rec-ognizedareasofinstitutionallife:keysuppliers,resourceandproduct consumers,regulatoryagencies,andotherorganizationsthatproduce similarservicesorproducts.” Giventhisdefinition,“industries” areoften seenasinstitutionalfields(e.g.,Zietsma,Groenewegen&Logue,2017;
Lieftinketal.,2019).Large-scaleprojectsextendacrosstheinstitutional
https://doi.org/10.1016/j.ijproman.2020.11.004
Received5December2019;Receivedinrevisedform17October2020;Accepted19November2020 Availableonline3December2020
fields (Scott,2012; Dille,SöderlundandClegg,2018; Lieftinket al., 2019).Hence,thedevelopmentoftheseprojectsisrelatedto numer-oussalientinstitutional elementssuchastheregulatoryenvironment (Miller&Lessard,2000;Chi&Javernick-Will,2011),socialfootprint (i.e.,thesize,compositionandthepopulationsaffected)(DiMaddaloni &Davis,2017),environmentalcomplexity(Bosch-Rekveldtetal.,2011), etc.Yet, therelatively temporary nature andstructural hybridityof large-scaleprojectarrangementsallowsaresponsetoshiftingsituational challenges(Raynard,2016).Thechallenge,however,liesinfindinga dynamicbalancein responsetothetemporalinstitutionalfieldshifts (cf.Pemsel&Söderlund,2020).
Sofar,extantresearchhas,forthemostpart,notdealtwiththe dy-namicsofinstitutional fieldshiftsandtheirinfluenceson large-scale projects.We agreewithotherscholars(e.g., Biesenthaletal., 2018;
Söderlund& Sydow,2019),that projectstudiesmayhavedescribed “what” institutionalforcesimpactlarge-scaleprojects.Yetweknowvery littleof“how” theseforcesinfluencethearrangementofprojectsand theirorganizingovertime.Hence,wealignourselveswithscholarswho exploretheinstitutionalprocesses– therelationbetweeninstitutional fieldsandlarge-scaleprojects(e.g.,Dille,etal.,2018;Lieftinketal., 2019;Matinheikki,Aaltonen&Walker,2019).Accordingly,ourstudy aimstounderstandhowinstitutionalfield(s)influencethearrangements oflarge-scaleprojectsandhowmanagerslegitimizethearrangements. Atthemostgenerallevel,legitimacyreferstothedegreeofalignment amongtheprojectorganization’sstructures,procedures,andtheorders andassumptionsofitsinstitutionalfield(Scott,2012).Wespecifically focusonhowtheinstitutionalfieldshiftovertime– theexisting indus-trialrestructuration– influencesthelarge-scaleprojectarrangements.
Tofullygrasphowshiftinginstitutionalfieldsinfluenceproject ar-rangements,wedrawfrom therecentstreamin institutionaltheory, emphasizinginstitutionalcomplexityandlegitimacy(Greenwoodetal., 2011;Raynard,2016).Weexplorehowindustry-widereformations pro-ducetemporalpressuresforprojectadaptation.Inthisview,project or-ganizationsdonotsimplyextractlegitimacyfromthefield-level institu-tions,butratherstruggletofindlegitimacy,inaplayingfieldinwhich institutionallogicsandprojectarrangementsincludinggoverning prac-ticesco-existandevolvethroughouttheprojectlifecycle.
Theinstitutionalapproachenablesustodeconstructthetemporal dy-namicandmultifacetedrelationshipbetweentheinstitutionalfieldand theprojectorganization(Söderlund&Sydow,2019).Itgivesaninsight intotheinter-institutionalnatureoflarge-scaleprojects(Dille& Söder-lund, 2011), characterized by multiple “authorities” and conflicting “stakeholders” profferingalternativebasesoflegitimation(Scottet.al., 2011,p.60).Methodologically,webuildonacollaborativecasestudy (Georgeetal.,2005),andusesecondaryanalysisofqualitativedatafrom twoin-depthcasestudies.TwoHigh-SpeedrailLine(HSL)projectswere studied: HSL Madrid-Barcelona (1990-2017, Spain), and HSL South (1998-2009,Netherlands).Datagatheredin1995-2018wasanalyzed, includingasubsetoftheprimarystudies’data,observations,official re-portsandinternaldocuments,17interviewsontheSpanishcase,and 19interviewsontheDutchcase.
Thisresearchisalignedwiththegrowinginterestsofproject schol-arsininstitutionaltheory(Bresnen,2016;Söderlund&Sydow,2019) andmakesatwo-foldcontributiontothedebateonlarge-scaleproject organizing. The first contribution is that we provide a detailed ac-countoftheeffectsoffieldrestructurationtolarge-scaleinfrastructure projectsasinter-organizationalsettingasaskedforbyothers(cf.Sydow &Braun,2018).Wefoundthatprojectactorresponseswerenotsingle andsustainableresponses,norframedthewholetimestrategicallyas frequentlyhighlighted(e.g.,Derakhshan, etal.,2019;Nguyenetal., 2019),butprimarilytemporalresponsesfocusedongainingsocial le-gitimacy. Inlight of the emergingindustryprinciples, new industry procedures,andsubstantiveagendas,diverselegitimacyapproaches co-occurredandalternated(i.e.,normative,technical,etc.),thus,creating whatwelabelascyclesofprojectlegitimacyprocess.Secondly,we de-velopadynamicandnuancedinsightconcerningtherecursiveinfluence
ofinstitutionalfieldsonprojectlifethroughtheroleofregulative, nor-mative,andcultural-cognitiveforcesthatthereformationof collabora-tionmanagement(re)createdthroughthecourseoflarge-scaleprojects. Ouranalysesestablisheddifferenttypesoflegitimationapproachesas unfoldingeventsinwhichprojectactorsengagedinarathertemporal responsivemanner.Wefoundthreelegitimationacquisitionapproaches that the management of the two studiedHSL projectsemployed in coping withthepressurefromtheinstitutional fieldsthroughout the projects’lifecycle.Ourfindingsaffirmthatthearrangementsmadeby projectactors(organizationsandindividualsalike)arepossiblypartial andheavilyinfluencedbychangesintheindustrystructure.
Afterthisintroduction,thepaperisstructuredasfollows.First,the institutionaltheoryandlegitimacyconceptiscriticallyreviewed, fol-lowedbytheresearchdesignandmethodsusedinthispaper.Third,the findingsaresharedaddressingtheinstitutionalfield,anditsinfluencein theHSLprojects’arrangement,theresponsesthattheirmanagement em-ploysforcopingwithit,theacquisitionapproachestogainlegitimacy. Finally,thediscussionandconclusionsectionsprovidetheanalysis, im-plications,paperlimitations,andfutureresearchsuggestions.
2. Institutionaltheoryandlegitimacy
Theinstitutionaltheoryisknownforitscapacitytocontextualize or-ganizationalphenomena(Scott,1987).Ithasasociologicalflavor, ques-tioningwhetherindividualchoicesandpreferencescanbeadequately understooddespitehistoricalandculturalframeworksinwhichtheyare embedded(DiMaggio&Powell,1983).Inourresearchcontext,this im-pliesthattheinstitutionalfield– theindustry– penetratesthelarge-scale (projects)temporaryorganizingandcreatesthelensesthroughwhich projectactorsviewtheworld.
2.1. Institutionalcomplexityandlegitimacy(what,whereandhow)
Aninfluentiallinethatrunsinstitutionaltheoryistheinstitutional logics perspective, whichstands againsttheindividualistrationalism perspectiveandbringssocietybackintothemeaningfulpracticeof or-ganizationalspheres(Thornton,OcasioandLounsury,2012,2015;see alsoFriedlandandAlford,1991).Definedasthe“sociallyconstructed, historicalpatternsofculturalsymbolsandmaterialpractices” that sig-nifypatternsthatconstituteproperbehaviorandestablishthecriteria forlegitimacy(Thorntonetal.,2012,p.2),institutionallogicsbridges societalinstitutionsthatyieldstabilityandmeaningwiththelegitimate actionsoftheindividual(projectororganization).Typically,(project) organizationscopewithmultiplelogics,underpinningdifferentand of-tencontradictorynorms,understandings,andidentities,thus experienc-inginstitutionalcomplexity(Greenwoodetal.,2011).Theunderlying argumentisthat(project)organizations’abilitytoengageorrespond tomultiplelogicsthatmanifestattheinstitutionalfielddelivers legiti-macybutalsohasimplicationsfortheirperformanceinsolvingtoday’s complexsocietalconcerns(Greenwoodetal.,2011;Raynard,2016).
Legitimacyisthecornerstoneoftheinstitutionaltheory,understood asthesocialacceptabilityandcredibilitythattheprojectorganization requirestosurviveandthriveintheirenvironment(Pedersen& Dob-bin,2006;Scott,2012).Inprojectstudiestheconceptoflegitimacyand institutionaltheoryatlargeisnascent(Bresnen,2016;Biesenthaletal., 2018;Söderlund&Sydow,2019).Previousresearchhasconsidered dif-ferentmanagementactionstobecriticalinachievingprojectlegitimacy. Somestudieshavefocusedon decisionprocessstrategiesandfactors consideringlegitimacy-as-property(e.g.,Aaltonen,2013;Nguyenetal., 2019),afixedresourcethatismeasurableandoperationally manage-able.Littleisknownabouttheprocessoflegitimacybuilding,how man-agerslegitimizethesearrangementsandhowtheprojectprocessesand activitiesareaffectedbytheirinstitutionalfield(cf.vandenEnde&van Marrewijk,2019).
We therefore turn our attention to organization studies where the concept of legitimacyhas receivedsignificant attentionand has
E. Hetemi, A. van Marrewijk, A. Jerbrant et al. International Journal of Project Management 39 (2021) 295–307 beenthesubjectofextensiveresearch(Deephouse&Suchman,2008;
Suddaby,Bitektine& Haack,2017).Organizational scholarshave fo-cusedtheireffortsoninvestigatingtheessentialpropertiesoflegitimacy andhavecategorizeditintodifferenttypologies.Suchman’s,influential typologyidentifiesthreebroadtypesoflegitimacy:pragmatic,moral, andcognitive(seeSuchman,1995).
Organizationstudiesliteratureisparticularlyhelpfulfor understand-ingthewhat,where,andhowof legitimacy.Yet,a profound reflec-tiononthesocialnatureoflegitimacyisneededastheconceptisbuilt onboththestrategic(Oliver,1991) andinstitutionaltraditions(e.g.,
Meyer&Rowan1977;DiMaggio&Powell1983).Toourknowledge, currentprojectstudiesseemtoignoresuchconsequences.Inresponse tothequestionof whatlegitimacyis,weinclinetowardstheprocess perspective. Thus,legitimacy is understood here as not beinga sta-blecondition,butrather“asbeingactivelyandcontinuallynegotiated” (Suddabyetal., 2017, p.24).It isanongoingprocess showingthat theactionsareappropriatewithinthesociallyconstructedsystemof normsandvalues,whichmustrepeatedlybe“created,recreatedand conquered” (ibid.p.25).Contrarytothepriorunderstandinginproject studies(e.g.,Aaltonen,2013),legitimacyisnotmonolithicandcanvary overtime.Indeedthesameprojectpractices,actions,andjudgmentscan becomelegitimateornotovertime.
Turning to the second implied question, where does it occur? When legitimacy is seen as a process, a multi-level analysis is re-quired including the institutional project field and the project ac-tors’inter-relations(Scott,2012).Todate,legitimacyinproject stud-ies hasadoptedcross-sectional case studiestoidentify stable strate-gies(e.g.,Aaltonen,2013;Nguyenetal.,2019)andelementsof legiti-macy(e.g.,Derakhshanetal.2019).Takinganinstitutionalapproach,
Scott(2012)commendsthateachproject,independentlyofitsscaleand scope,willbeconfrontedbyitsinstitutionalfield.Thefieldwillinclude (1)relevantgovernmentalorganizations(localornationallevels includ-ingtaxagenciesandofficesreinforcinglaborandenvironmental stan-dards);(2)individualandorganizationalresidentsresidinginand shar-ingtheprojectenvironment(thegroupsthathavealreadyestablished normativeandcultural-cognitiveframeworks);(3)thosecurrently em-ployedintheaffectedsector(e.g.,unionorganizations);(4)social move-mentorganizations(e.g.,professionalassociations,concernedwith nor-mativearguments);and(5)potentialbeneficiaries(thosewhose inter-estsareservedintheeventthattheprojectdevelopmenttakesplace).
Toaddress the thirdand last question: howdoes legitimacy oc-cur?,weneedtoaccountfortheinstitutionalapproachintheproject, entailingacloseunderstandingoftheinter-organizationalfacetsover aperiod.Throughtheinstitutionalprism(Scott,2013),legitimacy is understood via the process of how the project organization creates and maintains “alignment” between the internal structural/ perfor-mance characteristics andexternal fieldpressures in building legiti-macy.Suddabyetal(2017),addressingtheconceptoflegitimacy, ob-servedthreedistinct organizationalapproachestogaining legitimacy – a“fit” withtheenvironmentalpressures:(1)isomorphismor adap-tiontofitunderlyingcultural-cognitivelegitimacybasis,(2)decoupling oradaptationwithin twoenvironmentsorsignalingnormative legiti-macyand(3)performing ordemonstratingtechnicallegitimacy.The mechanismstoensurelegitimacyequalroughlyScott’s(2013)outlining ofthreekindsof‘institutionalpillars’:technical/regulative,normative, andcultural-cognitive,whichservesourframing.
2.2. Projectresponsemechanismstoinstitutionalcomplexityandpressures
Large-scale projects’temporariness andthe conditions of institu-tionalcomplexity can have major implications for theproject man-agementandlegitimacy(Dille& Söderlund,2011;Greenwoodetal., 2011;Scott,2012;Dilleetal.,2018).Institutionalcomplexity resem-blesthemultivocalunderstandingsthatprojectactorsposeinthe man-agementoflarge-scaleprojects(Biesenthaletal.,2018;Gottliebetal., 2020; Winch & Maytorena-Sanchez, 2020). The “temporariness” of
large-scaleprojectsposessignificantmanagementchallenges(Grabher & Thiel, 2015,p.330). Preciselytheir temporarinessandthenature of institutional complexity concerning large-scale projectsimply the need for explicitly connecting themas projectsin multiple contexts (Manning,2008).Inthebroaderpicture,large-scaleproject arrange-mentandtheirorganizingarenotsubject totheintra-organizational constraintsonly or theirtechnicalenvironment. There arealsojoint constraintsandenablersfromtheinstitutionalfield,suchasthe inter-organizationalnetwork(Sydow&Braun,2018)orthesectorand indus-try(Manning,2008;Scott,2012).Projectsareembeddedinother per-manentinstitutional,butstillchanging,environments(Manning,2008;
Winch&Maytorena-Sanchez,2020).
Hitherto, scholars have recognized the importance of large-scale projects in acquiring knowledge of local institutions (Grabher & Thiel,2015),andthenecessityforaligningtheprojectwiththe insti-tutional field(Engwall,2003;Chi&Javernick-Will,2011).However, projectstudiesareambiguouswhendiscussingtheinstitutionalfieldof theproject(Scottetal.,2011;Scott,2012).Someassociateitwiththe formalandregulatorybodies– treatinginstitutionsasenvironments ex-ternaltotheproject(e.g.,Miller&Lessard2000).Otherstreatitasa fieldthatneedsattentionbutcanbemanagedbytheprojectmanager (e.g.,Morris&Geraldi,2011;Aaltonen,2013).WeagreewithSöderlund &Sydow(2019)thatprojectstudieswouldbenefitfromaddingthe in-stitutionalingredientsofmeaning,conceptcategories,andmodelsfor organizing,perinstitutionaltheory.Inthisregard,itisnolonger pos-sibletothinkoftheinstitutionalfieldsasbeingoutthere(Granqvist& Gustafsson,2016;Tukiainen&Granqvist,2016).Instead,theirelements arepartoftheprojectorganization,infusingitwithvalueand connect-ingitwithlong-termstructures. Theseconsiderationsunderscorethe opportunitytoaddress institutionalfieldcomplexity through institu-tionalprojectresponsemechanisms,temporaryorganizing,andhybrids (Granqvist&Gustafsson,2016;Raynard,2016).Furthermore,these in-sightssuggestthatprojectsas“temporaryorganizations” with “institu-tionaltermination” provideanimmensepotentialfortemporalanalysis of therecursiveinteractionbetween inter-organizationalprojectsand theirinstitutionalfields;onhowlarge-scaleprojectsasrelatively tempo-raryendeavorsrelyupon,copewithandreshapelonger-termstructures (cf.Grabher&Thiel,2015).
Howtheinstitutionalfieldinfluenceslarge-scaleprojectsandhow projectsrespondtoinstitutionalcomplexityandpressurehasrecently attracted academicattention(Hall &Scott,2019; Matinheikkietal., 2019;Qiuetal.,2019;Gottliebetal.,2020).Notsurprisinglyan emer-gentandgrowingstreamofresearchhasstartedtoexaminetheuseof “hybrid” andrelativelytemporaryarrangementsforcopingwithvolatile complexity(cf.Raynard,2016).Forinstance,Gottliebetal.(2020)see thedynamicshapingofprojectpartnerships,influencedbychangingand cominglinginstitutionallogics.Theydistinguishdiversecoping mech-anisms toinstitutional demandsthrough:(1)articulating newlogics, (2)disassociatingexistingpractices,(3)redefiningroles,and(4) creat-ingrulestofacilitatecollaboration.Matinheikkietal.(2019)showhow publiccommissionersofatunnelconstructionprojectadoptedproject alliancingprinciplestoconstructahybridorganizationtorespondto in-stitutionalcomplexity,combiningtherationalesofdifferentlogicsinto theirmodusoperandi.Torespondtoexternaldemands,theyusedthree mechanisms:(1)publicizinganewhybridformof organizing,(2) re-ceivingsocialacceptancefromprojectstakeholders,and(3)selective couplingofexternaldemands.Tomitigateinternaltensions,theyused three othermechanisms:(1)jointlyformingstructurestoaligngoals andunifyactions,(2)ensuringadaptivecapacity,and(3)blending di-verse professionalgroups.Qiuetal. (2019)contemplatefourcoping mechanismsofinstitutionalcomplexityintheirstudyoftheHong Kong-Zhuhai-MacaoBridge.Twomechanismswerefoundforalleviatingthe impactofconflictinginstitutionaldemandsontheperformance:(1)the establishmentofasystemleadertocoordinatewiththegovernments, and(2)thelocalizationofpracticestoreducetheconflictsbetweenthe regulationsandstandardsofthethreeinvolvedregions.Furthermore, 297
theyfoundtwomechanismsforreducingthemicro-levelimpactof con-flictinginstitutionaldemandsthrough:(1)thecreationofthestructure ofahierarchalfunctionfortasksandorganization,and(2)the flexi-bledesignoftheprojectorganization.Adistinctioncanthusbemade betweenthemacroandmicroinstitutionalcomplexityofresponses. Be-sidesthis,responsemechanismsofprojectstocopewithinstitutional complexityandpressurecanalsoshiftovertime.
VandenEndeandvanMarrewijk(2019)foundthatinametrotunnel megaprojectthestrategiesforcopingwithinstitutionalpressureshifted; fromoppressiveuseofmilitarypolicetorepositioningtheprojectas en-vironmentallysensitive,inclusiveandopen;from hidingfrompublic debatetoengaginginpublicdebateandmakingtheprojectmore vis-ibleandaccessible;andfromdeclaringfuturemetrolinestabooto en-gagingandcommunicatingwithsocietyovernewmetrolines. Further-more,theresponsemechanismcaninfluenceinstitutionalcomplexity.
HallandScott(2019)forexample,reportonatemporaryproject-based organizationthatsignificantlytransformedtheinstitutionalframeworks andassociatedrules,norms,andbeliefsystemssurrounding construc-tionprojectorganizations–inmuchthesamewayas(alineageof) in-novativeexploratoryprojectscantransformtheinstitutionalframework oftheconstructionsectorandthuscreateanopeningforsustainable in-novations(Koch-Ørvadetal.,2019).Amechanismforrespondingto in-stitutionalpressureisthusamulti-levelphenomenon,whichcanchange overtimeandcantransforminstitutionalframeworks.
3. Researchdesignandmethods
Webuild on acollaborative case studydesigntounderstand the recursiverelationsbetweenlarge-scaleprojectsandtheirinstitutional fields.Acollaborativecasestudydesignisacasecomparisonmethod, includingcases,builtbydifferentscholars(Georgeetal.,2005). Accord-ingtoGeorgeetal.,scholarsare“increasinglyworkingcollaboratively acrosscasestoadvance sharedsubstantiveresearchprograms” (ibid. 55).However,astructuredandfocusedcasecomparisonisdifficultto carry out,whendifferent scholarshaveundertakeneach case study, as reportedhere. Specific methodologicalconsiderations are needed whenusingexistingdatatogenerate newknowledge (Heaton,2008;
Andrewsetal.,2012;Dufour&Richard,2019).Wereturntothemin section3.4.
3.1. Caseselection
The railway sector in Europe has undergone considerable
(de)centralization variation over time as a sector (Geyer & Davies,2000).Weselectedthetwocases– theHSLMadrid-Barcelona andHSL South – throughtheoreticalsampling becausewe consider themtobesuitableandrevelatoryinthelightofinstitutionalconstructs (Eisenhardt & Graebner, 2007). Firstly, the cases were comparable as they were conducted within the same industry. Although the institutional reform of the rail sector took place in different years, 1995intheNetherlandsand2002in Spain,bothcasessharerelated institutionalelementswithin theEuropean railindustry,i.e.,sharing similarindustrystructuressuchastheERTMSsafetysystems,among others. We considera complex of diverse organizations sharing the same or relatedinstitutional habits asthe focusof analysis. In this context,wetreatspecificprocessesandprojectactivitiesindetail,but itis “the nesting of these processes intothe whole thatgives them meaning” (Scott,1987,p.494).Secondly,bothcasesprovidedaccess topotentially richcriticaldata.They wereconsidered bothsymbolic in terms of infrastructure investment, and there was considerable documentary evidence of them in newspapers, audits, and official reports(Report,2012,2017;OmegaTeamReport,2014).Bothofthe casesthatweexaminehereillustrateorganizingandpracticesdriven bothbytheindustry’sstructuralchangesandtheagencyinprojects.
3.2. Briefdescriptionofprimarydatacollected
Over more than 15 years, data were collected through semi-structuredinterviews,observations,secondarydatasources,audits,and officialreports.Theprimarysourceofinformationconsistedof137 in-terviewswithrespondentsfromtheMadrid-BarcelonaHSLprojectand theHSLSouth.Wehavecollecteddatafrommultiplelevelsanddifferent actorviewpoints,includingAdifandProRailmanagementdivision, ma-jorcontractors,andsuppliers.Interviewsweresemi-structured,lasted approximatelybetweenoneandtwoandahalfhourseach,andwere digitallyrecordedandtranscribed.InTable1,weexplaintheprimary datacollectedforbothcasesingreaterdetail.
3.3. Qualitativesecondarydataanalysis
Forthesecondary data analysis(Andrews etal., 2012; Dufour& Richard,2019),whichisthefocusofthispaper,asubsetofthedata fromtheprimarystudiesincludedobservations,reports,andinternal documents,17interviewsforcaseI,and19interviewsforcaseII.The firstandsecondauthorswerepartoftheindependentresearchdata col-lectionteams,andtheyanalyzedtheprimarydataforthespecificcases publishedinpeer-reviewedjournals,whichhelpedavoidthemain pit-fallsofsecondaryanalysis(Andrewsetal.,2012).However,alimitation isthatthefirstauthorparticipatedonlyinthesecondhalfofthedata collectionprocessforthefirstcase– thesecondperiod,seeTable1.The extensivecasestudiesanddetaileddatacollectionprocessarereported inresearcharticlesAandB.Inthispaper,wepooledthedatacollected separatelyforthetwocases.Weworkedwithtwootherindependent researchers,thethirdandfourthauthors,incarryingoutthesecondary analysis.Inthesecondarydataanalysis,anin-depthinvestigationofthe emergentaspectsofdatathatwereonlypartiallyaddressedintheprime studiesisundertaken.Indeedthehindsightapproach,whichweemploy, isconceivedtoovercometheessentialprobleminlarge-scaleproject re-searchofthetime-frozencross-sectionofaprocessthatunfoldsover manyyears.Thebenefitsofthisapproachhavealsobeenreportedas the“wisdomofhindsight” (Dufour&Richard,2019).Employingthis approachavailstheknownoutcomesoftheHSLcases,andthedepthof theprimarydatacollectedover15years.
Sinceitisdifficulttoobjectivelymeasuretheinfluenceofthe institu-tionalfieldonlarge-scaleprojects(Tolbert&Barley,1997;Scott,2012), we used an interpretative research approach consciously attempting to discover interviewees’points of view (Gioia, Corley & Hamilton, 2013).Followingtheguidelinessetforqualitativeinquiry (Denzin& Lincoln,2011),we usedbothfirstandsecond-order analyses.Inthe first-orderanalysis,weaimed tounderstandthepeculiaritiesandthe overallimplicationsoftheinstitutionalfield– theindustrialstructure wheretheprojectorganizationsresided.Giventhesuggestionsofearlier researchthatlinksactionsandinstitutions(Tolbert&Barley,1997),we consideredthesetasksinthesecondarydataanalysisthatanalytically correspondtotheresearchprocess.Theyinclude:1)Definingthe insti-tutionalfieldasanindustry,whichinthiscasehadundergonechange over thetermof theimplementedHSLprojects;2) Tracingactivities attheHSLprojectsitesandextractingtranscriptsreferringtoactivities ofparticularperiodscorrespondingtothechange;3)Reviewingscripts forevidenceofchangeininteractionpatternsduringthesameperiods; 4)Connectingfindingsfromobservationaldatawithothersourcesof dataontheindustryrestructuration,e.g.,officialreports(Report,2012,
2017;OmegaTeamReport,2014).
Throughsamplingoftheprimarydatacollected,weincreasedthe possibilityofrevealingtranscriptstomaintainthesuspectedindustry influenceswhileactivelyscanningfordatatodisconfirmthepresence of suchrelations (Chiasson& Davidson, 2005).We employed event structure analysis toidentify the maincross-case patterns of impor-tance:theinstitutionalfield– theindustrialstructure,thephilosophy, andlegalboundariesinfluencingtheprojectprocessesandits organiz-ing.Fromthispartoftheanalysis,fourinstitutionalfieldsor
industry-E. Hetemi, A. van Marrewijk, A. Jerbrant et al. International Journal of Project Management 39 (2021) 295–307
Table1
Asummaryofprimarydatacollected.
Data collection method Data collected Case I: Madrid-Barcelona HSL project
Semi-structured interviews
First period (1996-2010)
40 interviews with the HSL PM, Adif Quality Controller, Head of Infrastructure Projects, Engineer at Organization B, project proponent and other relevant actors. Average duration was slightly over one hour.
Second period
(2015-2018) 12 interviews with the program managers and other relevant actors (project managers, construction manager at Adif, Organization A Contractor PM, Organization B Supplier, Organization C Contractor PM). Average duration was slightly over one hour.
(Participant) Observations First period (1996-2010) Participant observations Group interviews
Extensive informal communication Second period
(2015-2018)
The insider spent 2-3 days per week at the organization’s offices and conducted observations: 7 management meetings
Extensive informal communication Field notes for each of the days spent on site Case II: HSL South project
Semi-structured interviews
First period (2003-2005)
85 interviews with four public organizations in the field involved: the Ministry of Infrastructure and Environment; Rijkswaterstaat, which manages road and water infrastructure; ProRail, which manages rail infrastructure; and the passenger rail operator Dutch Railways. The HSL PM, Adif Quality Controller, Head of Infrastructure Projects, Engineer at Organization B, project proponent and other relevant actors. Average duration was slightly over one hour.
Second period (2007-2010)
10 interviews with relevant stakeholders in the project (project managers, construction managers, and other large contractors and suppliers involved in the project)
Third period (2014-2015)
Three interviews were held with former HSL managers (Participant)
Observations First interval (2003-2005) Participant observations were carried out for 18 months, for three days a week Group interviews Desk research
Extensive informal communication second interval
(2015-2018)
Extensive informal communication Field notes for each of the days spent on site Document analysis
for both case I, and II.
In total more than 30 documents:
For both cases we reviewed internal program documents (internal financial and audit reports, overview presentations, internal organization and escalation matrices, lessons learned, and program tools, e.g., risk logs).
Organization-wide guidelines and frameworks for project and program risk management related to the HSL Madrid-Barcelona. Three parliamentary enquiries related to the HSL South project: the enquiry of the HSL tender process (Survey-Committee-Construction, 2002), of the decision-making process used (Commission-Duijvensteijn, 2004), and of the tendering for the high-speed trains called Fyra (Parliamentary-Commission, 2015).
300:; ∗ ˆ pages of public material drawn from the press coverage of the HSL projects.
relatedthemesemerged:1)therestructuringoftherailwaysector,2) assignmentoftheproject,3)tenderregulations,and4)fragmentation ofprojectorganization.
In the second-order analysis, we aimed to understand how the managerslegitimizetheHSLprojectarrangements,andtheresponses thattheirmanagementemploysforcopingwiththeinstitutional influ-ence.Whiletherewerenohypothesesapriori,toensure comparabil-itybetweenthecases,thecontentanalysisofthedatawasguidedby
Scott(2013).Thedataatthisstagewereanalyzed,studyinghowour in-tervieweesinterpretedthe“institutionalenvironment” and“theproject” toseehowtheformerinfluencedtheiractivities,overtimeandpractice. Inthisphaseoftheanalysis,weadoptedaniterativemethodofconstant comparison,movingbetweenthedataandtheinstitutionaltheory. Em-ployingthe“patterninducing,” analysis(ReayandJones, 2016),we tabulatedtheprojectparticipants’activitiesoneachprojectandtheir managementresponsesforcopingwiththeinstitutionalinfluences.For instance,whether,duetosectorreformsintherailwayindustry,the projectactivitieswereinfluenced;orwhethersafetyandengineering normschanged,andhowtheyaffectedtheprojectoperations,etc.In tracingthemanagementresponsesthroughtime,wepaidparticular at-tentiontoeventswithintheprojectlevel,andintheinstitutionalfield level—theperipheraleventsseeminglyremotefromtheproject—in cre-atingatimedependentstorylineofevents,seeFig.1.
Foreach case,themost frequentactivitiesrelatedtolegitimation weregroupedandlatercoded.Again,wefollowedTolbertandBarley’s (1997) recommendations andadopted these processes for analyzing scripts:1)arrangeddatabycategoriesandunitofobservation,2) iden-tifiedactivitieswithin categories,3) identified commonalitiesacross cases,and4)comparedtranscriptsovertime.Weconsidertherailway industrytobearelativelyhighlyinstitutionalizedfield,anindustrywith
existingpractices,powerstructures,governancemechanisms,and sub-jectpositions,whichhelpedustodistinguishtheindustryinfluences (Zietsmaetal.,2017).Foreachinstitutionalfielddimension(e.g., indus-tryorganizationmemberinteraction,involvingnewprocedures,rules), alegitimationelementwassetandcodedindependently.Fromthe de-tailedcaseanalysesandtheircomparison,threelegitimationacquisition approachesweredistinguished.Wediscussthemextensivelyinsection 6.Attheendofthesecondarydataanalysis,theaugmenteddata struc-turewascreated,seeTable.2.Weshowtherepresentativequotations, firstthemes,andempiricaleventsassupplementarymaterialforspace reasons.
3.4. Criteriaforjudgingthetrustworthinessoftheresearchdesign
Wedrawonthesocialscienceresearchqualitycriteriaforthe re-searchdesign(Denzin&Lincoln,2011).Forspacereasons,as supple-mentarymaterialweprovidethecriteriaandthestepstoaddressthe re-quirementsofbothcasesingreaterdetail.Wealsoindicatethekeyissues relatedtoqualitativesecondarydataanalysis(Heaton,2008;Dufour& Richard,2019),andweexplainthemeasureswehavetakento over-comethem.
4. TheinstitutionalfieldoftheSpanishHSL(CaseI)
High-speed trainsstarted developing in Spain in the1990s. The Madrid-BarcelonaHSL(1990-2017)wasambitiouslyplannedand de-signedtoreachspeedsof350km/h,connectingSpanishcapitalMadrid withthecityofBarcelona.ItalsoconnectedSpaintotheEuropean high-speedrailnetwork.Adif(owner)developedtheprojectscopebasedon threemajorconstructionsegments.ThefirstsegmentreliedonERTMS
Fig.1.Identifiedactionstolegitimationapproaches,compingbothHSLprojectcasetimelines.
Table2
Datastructure,codes,themesandemergentcategories.
Some codes Themes Categories
Railway industry changes Public tendering law
Changes in project procurement Shifts in infrastructure market
Hierarchical governance and organization Diverse teams and expertise
ERTMS system
Installation and manufacturing standards
Project governing and the link to the parent organization Project segmentation
Collaboration or actors’ interaction PPP
Restructuring of the railway sector Assignment of the project Tender regulations
Fragmentation of project organization
The influence of the institutional field in the project arrangement
Managers perform and proactively inform stakeholders Managers review industrial regulations periodically Managers engage in selective coupling
Project members adopt best PM practice and other industry guidelines Mimicking standards, and inclined to complementary technology adoption Endorse project members to participate in external technical discourses Set up of IT integration within organization
Advertising the image of a modern transportation
Advertising the project and its economic benefits and technical content
Normative/Moral legitimacy
Cultural-cognitive legitimation Technical/Pragmatic legitimation
Project legitimacy
1.0,whiletheothertworeliedonERTMS2.0.Theproject’snetwork teamcontinuouslyrearrangedtheproject’sdesignandplans,redefining itsscope.
4.1. Restructuringoftherailwaysector
TheHSLprojectbeingembeddedinthetransportationsectorhas, overtime,undergoneconsiderablecentralizationanddecentralization. Until the early 1990s, most European railway systems were orga-nizedin state-owned andvertically integratedmonopolies (Geyer& Davies,2000;Gruening,2001).Sincethemid-1990s,however,the
rail-waysystemshavebeenrestructuredandderegulated,breakingthe mo-nopolisticpositionsbasedontheEUDirective(Dir.91/440/EEC1991). Suchcircumstancesledtotheemergenceofnewco-operationpatterns amongtherailwaysupplyindustryandtheoperators.Accordingly,in 2003,duringtheMadrid-BarcelonaHSLproject,therailwaysectorwas reorganized,layingthefoundationfornewplayerstoenterthemarket. ThepublicagencyAdifwascreatedandactedastheinfrastructure man-ageroftheMadrid-BarcelonaHSL.Adifreplacedthealreadyassigned functionsofboththeGIFandtheoperator– RENFE.Atthesametime, anewpublicbodywascreated,thebusinessentityRENFE-Operadora [theoperator].TheEuropeanrailindustry,theMinistryof
Infrastruc-E. Hetemi, A. van Marrewijk, A. Jerbrant et al. International Journal of Project Management 39 (2021) 295–307 tureDevelopment,theGovernmentofCatalonia,MadridandBarcelona
citycouncils,theEuropeanInvestmentBank,Adif,RENFE-Operadora, largecontractors,andotherspecializedsupplierswereprincipalactors formingthestructureoftheproject’sinstitutionalfield(Report,2017).
4.2. Assignmentoftheproject
DuringtheHSLprojectimplementation,Adifprocuredthework, per-formedthesupervision,andmanagedtheprojectofthelines’ construc-tion.Theindustryandregulatoryregimeinfluencedthemanagement actions,asthetransportationsectorandtherailindustrywere increas-inglybasedoncontractualrelationships.InSpain,theformal authoriza-tionforprojectinitiationwasgivenbytheMinistryofInfrastructure Development,whichinstructedtheSub-directorateofRailwayPlanning toprepareaninformativestudyinvolvingthedetaileddesignand plan-ningaswellastheenvironmentalandsocialimpactoftheproject.With that,theministryissuedaformalorder toAdiftostartthe construc-tionoftheline,includingthesearchforthefinancingofthenewHSL fromEuropeanfunds,andoveralltoexecutetheproject.Nevertheless, thisformalorder toAdifwasgivenbefore theinformativestudywas approved.AstheMinistryofEnvironmentprocessedtheenvironmental impactstatement,itsprogresswasbeyondthecontroloftheMinistry ofInfrastructureDevelopment.Thisresultedinmajorsetbacks,suchas modificationsthatinfluencedtheimplementationandmanagement.The PMatAdifdescribed:“Thereisnotimetoconductafeasibilitystudy ortoassesstheinfrastructureneedsaccurately.” (Interviewwithformer HSLPM,December1997).
4.3. Tenderregulations
Themanagementof theHSLprojectwasdividedintothreeparts, closelylinkedtothemanagementofthecontractsandthelegalregime, preciselyrelatedtothepublicsectortenderinglaw.Adifis100% pub-liclyowned,i.e.,theSpanishgovernmentholds100%ofthesharesand isrepresentedontheboard.Asindicatedearlier,theplanninganddesign oftheHSLprojectwerean“entry”.Thisholdsuntil2003;afterthatand becauseofinsufficientin-houseresources,theMinistryofInfrastructure DevelopmentdecidedtoinitiatethetenderingasaPublic-Private Part-nership(PPP),i.e.,combiningEUfundswithprivatefinancingresources (Faraetal.,2018).
TheHSLprojectinvolvedprocurementthroughmultiplecontractors andsuppliersat differentpoints intimeandcontractpackages, e.g., tracks,signal systems,installations,energysystems. There weretwo maincontracttypes:Design-Bid-Build(DBB),andDesign-Build(DB).On theonehand,withinDBBcontracts,thecontractorswerenotinvolved inthedesignandspecificationofthework,butthecontractorscould suggestalternativesolutions.Adifdiscussedthesolutionswiththe con-tractors,andwhentheyweretechnicallyequalandeconomically com-plementarytotheagreementproposedin tenderingdocuments,then Adif’smanagementadvancedthatsolution.Itisworthnotingthatatthe timeoftheproject’simplementation,theSpanishcontractorsand sup-plierswereamongthelargestworldwide,andtheyemployedin-house engineers(Belmonte,2016;Report,2017).FollowingtheEuropean ten-deringlawsandregulationsforthesector,thelion’sshareofthecontract packagesintheHSLproject,over75%,weretenderedthrough prequal-ification.However,theSpanishpublicadministrationtendedtoprotect thelocalconsultinganddesignengineeringfirms(Report,2013).Adif focusedoncompetitivetenderingandselectedthecontractorsbasedon thelowestbid/price.Besides,duetopublictenderinglaw,therewere nolong-termcollaborativearrangements,i.e.,procurementwasbased onacontract-by-contractrelationship.Ontheotherhand,theadoption ofDBforheavycivilinfrastructure,suchastunnelsandbridges, oc-curredbecauseAdifexpectedthecontractorsorspecialistsuppliersto provideinnovativetechnologiesinsuchacomplexendeavor(Internal document;cooperationagreement,2006).DBinvolvedtwocontracts forthe28.7kmGuadarramatunnel,andtwootherstoconnectdifferent
nodestotheexistingrailnetworks(Internaldocument;financialreport, 2009).Eachcontractwasgiventoanindependentconsortium.
4.4. Fragmentationofprojectorganization
WhenaprojectisascomplexastheHSLexecution,itisnotpossible todefinethemanagementmodelononelevel.Asseenabove,thistype ofprojectisdevelopedthroughaseriesofperformanceunitsthat ad-dresseitheraspecificspecialtyinline,orsegmentsofthesame.InAdif, theworksweredividedbetweenspecialistteams(theinternalproject stakeholders)attheSpanishregionalheadquarters.Theyworkedwitha rangeofsuppliersand(sub)contractors.Theprojectinvolvedthreemain internalstakeholders:1)theconstructionandengineeringteam,2)the operationsandengineeringteam,and3)theinfrastructureexploitation team.Duetotheprojectprocurementmethodsadopted,thesespecific teamswerenotinvolvedintheproject,whichposedseverechallenges fortheprojectimplementationprocess.Forinstance,onlythe engineer-ingteamwasinvolvedearlyintheprojectandnottheothertwoteams, whichinfluencedfutureinteractions.Theprojectworkershadtorelate toandmakesenseofdifferentteams’opinionsandprocesses,butnot allwereawareoftheimplications.Notallteammembershadaccessor enoughtimetorelatetothemoremacrolevel.Thestructuralchanges in theprojectaffectedtheimplementationprocess,whichalsoledto there-adjustmentoftheorganizationalstructureovertime.Theteam memberswerefocusedongettingtheworkdone.Butthisalsoyielded theissueofalignmentwithintheinternalteamsasraisedbyamember ofAdif’smanagement,whohighlightedthefollowing:
“Iworkcloselytogetherwiththeengineeringanddesignteam,andI prioritizeandreprioritizeworkaccordingtotheirrequests.They are flexible tosome extent, butthey have a program pattern,andthey needtodeliveraccordingly.Wecouldimprovethelearningprocessand gainmutualbenefits,whichwecurrentlydonothave.” (Transcriptofa research-relatedmeetingwithAdif’smanagement,June2017.)
5. TheinstitutionalfieldoftheDutchHSL(CaseII)
Inthe1990s,theHigh-SpeedLineSouth(HSLSouth)wasasymbol ofEuropeanintegration(vanMarrewijk,2017).TheHSLSouthconnects AmsterdamtoBrusselsandthefurtherTransEuropeanNetworkof high-speedlines.Themegaproject,which startedin 1995,wascompleted in2009withfouryearsofdelay(vanMarrewijk,2017)andranover budget;originallycontractedfor€6.87billion,itfinallycosted €9.79 billion(OmegaTeamReport,2010,2014).Finally,thehigh-speedline nevercameintofulloperationasthedeliveryofnewhigh-speedtrains wasfirstdelayedandlatercancelledbyDutchRailways.
5.1. Restructuringoftherailwaysector
During theinitial periodof theHSLSouth,the1990s, theDutch government intended to liberalize the Dutch rail sector. This anti-monopolisticthinkingdominatedtheEuropeanpoliticalagendainthe 1990s (vanDuijnhoven,2010) andtheDutchgovernment was opti-misticoveraEuropeanrailmarket,opentocompetition.Consequently, in1995DutchRailwayswasprivatized,withtheDutchgovernment be-ingthesoleshareholder.Therelationbetweenthenationalgovernment andDutchRailwayswasstableandsecure,buttensionsoverthequality andpriceofrailtransportregularlyemerged.Therefore,tenyearslater, theorganizationwassplitintothepassengerrailwayoperatorDutch RailwaysandtheinfrastructureownerProRail.Thissplitwouldallow formorecompetitionontheDutchrailway.ProRailbecamea depart-mentoftheMinistryofI&Eandwasresponsiblefortheconstruction andmaintenanceoftherailnetwork(vanDuijnhoven,2010).The Min-istryofI&Einitiatedrailprojectsandcontrolledthebudget,while Pro-Railwasresponsiblefortheinitiation,decision-making,andoperating phasesoftherailprojects.However,onlyrecentlytheDutch govern-mentdecided,afteranumberofrailincidentsandafterdroppingthe 301
ideaofcompetitionontherailnetwork,tomergeDutchRailwaysand ProRailagain,15yearsaftertheirseparation.Expertsinthefieldofrail transportareverycriticalandthinkthisstructuralmergerdoesnothing tohelpimprovetheircollaboration.
5.2. Assignmentoftheproject
Backinthe1990stheMinistryofI&Ewasstillpositiveaboutthe philosophyofnewpublicmanagement,whichadvocatedreducingthe responsibilitiesofthepublicsectoronthebasisthatmarket organiza-tionscoulddosuchtasksmorecheaplyandbetterthanpublic-sector or-ganizations(Gruening,2001).TheMinistryofI&Ewantedtobreakthe monopolisticpositionofDutchRailwaysandassignedtheDepartment ofInfrastructureandWaterManagement,inthispapercalledDIWM,to managetheHSLproject.Thisdepartmentisnormallyresponsibleforthe design,construction,management,andmaintenanceofroadandwater infrastructureandhadnoexperiencewithrailconstruction.Totheir as-tonishment,DutchRailwaysweresidelined,anditwasonlyafterthe projectwasfinishedthattherailtrackwashandedovertothem. Con-sequently,onlyveryfewprojectmanagerscamefromDutchRailways, whiletheCEOreportedviathesecretary-generaloftheMinistrytothe MinisterofI&E.
5.3. Tenderregulations
TheHSL projectis thelargestPPPcontract everawardedbythe Dutchgovernmentandoneofthemostsignificanthigh-speedrailway projectsinEuropetodate.ThisPPPcontracthasaconstructionperiod offiveyearscoveringthedesign,build,andfinancingofthe superstruc-turefortheHSLline,followedbyatwenty-five-yearmaintenance pe-riod.Althoughmost ofthedesigningwastheresultofpublic-private cooperation,andthehybridorganizationalconstructionwasreflected inthewaytheprojectorganizationswereempowered(70%ofthe em-ployeeswerehiredonatemporalbasis,30%werepublicemployees), exploitationremainedamatterofthestate.WiththePPPcontract,the Dutchgovernmentsawopportunitiestobreakthemonopolisticposition ofDutchRailwaysbypubliclytenderingthehigh-speedlineconcession. DutchRailwayswereveryafraidthatthelinewouldbeoperated by oneoftheirpowerfulcompetitors,suchasDeutscheBahnortheFrench SNCF.Therefore,DutchRailwaystried,unsuccessfully,topreventthe publictenderingoftheHSLSouthconcession.Therefore,theysawno optionotherthantomake anofferthegovernmentcouldnotrefuse, whichwastwice ashighasthebidsofthecompetitors.Not surpris-ingly,alltheintervieweessaidtheyimmediatelyknewthattheoffer andexpectedturnoverwereunrealistic.
5.4. Fragmentationofprojectorganization
Theinstitutionalenvironmentisclearlyvisiblein thestructureof theHSLSouthprojectorganization.TheHSLproject,likethefirstcase, wassplitintothreeparts.Thissplittingintothreeseparatepartswas intended tospeedup therealization of theHSL megaprojectandto makepossiblethepublictenderingoftheconcessionandtheprivate financingoftherailinfrastructure.Thefirstpartwasthefoundationof therailnetwork,consistingoftheconstructionofembankments, tun-nels,viaductsandbridges.Thisinfrastructureworkwasdividedinto fivePPPcontractsforthefoundation.Furthermore,therewasa sepa-ratecontractforaseven-kilometertunnel,andacontracttoconnectthe newraillinetotheexistingnetwork.Eachcontractwasawardedtoa differentconstructionconsortiumafteratenderingprocedure.The sec-ondpartoftheHSLprojectconsistedofconstructingrailinfrastructure, whichcomprisesrails,electrificationandsystemsfor communication andsafety. Thissecondpartwasdesigned,built,financedand main-tainedbyaconsortiumcomprisinginvestors,internationalbanks,and privatecompanies.Until2031,theDutchgovernmentwillpaythe con-sortiumayearlyfeetomaintaintheHSLandguaranteeanavailability
rateof99.46%.ThethirdpartoftheHSLprojectwasthetransport fran-chise.Asdescribedearlier,theexclusiverighttodelivertrainservices wasgrantedtothehighestbiddingparty,whichwasDutchRailways.
6. Legitimationacquisitionapproaches
TheinstitutionalfieldelementsinfluencedthetwoHSLproject ar-rangementsandtheirorganizing.Theinstitutionalreforms,theindustry changescreatedboundariesandshapedtheprocessesinthestudiedHSL projects.However,ourresearchfindingsindicatethattheproject man-agement teamswerenotpassive butdeveloped responsesforcoping withthesechanges.Wefoundpatternsofnormative,cultural-cognitive, andtechnicallegitimationacquisitionapproachesinbothcases, under-liningtheadaptationtotheindustrychangesandtheagencyinprojects. Wedescribethemindetailinthefollowingsections.
6.1. PatternsoflegitimationacquisitionapproachesinCaseI
Normativelegitimationapproaches:Beingundergovernment regula-tion,Adif’smanagementestablishedaphasedreview-basedmodel, seek-inglegitimacyfortheirprojectmanagementactions.Thismodel, follow-ingalinearpath,providedguidelinesfortheiroperationsinrespectof theproject.However,severaleventsintheprojectcontextprevented theAdifPMfromalwaysmakinga“rationaldecision”.Duetohigh un-certainty,projectmanagerssometimesignoredtheprocessguidelines:
“Wewereverytask-orientedandnotbehavior-focused.Weneededa giantsteptobecomingbetterorganized.Therewereprocessguidelines, whichdescribedhowtorunthings,butthewaywelivedlife,theproject hadlittletodowiththem.” (Interviewwiththeconstructionmanager, October2016)
Inthiscontext,PMsatAdifandtheircontractorsengagedin improvi-sationalactions,relatingto“soft” aspectsanddemandsfortheproject, ratherthanthe“hard” keyperformanceindicators.Attheotherend, thecontractorssimilarlydidnotfollowtheguidelinesthoroughly. Of-tentheydidnotrenderthedetailsintheprojectplan,sendingavague designtotheAdifprojectcontrollerforconfirmation.Thishelpedto safeguardthemfromcontextualinfluences.Regardingthis,theAdifCM drewspecialattentiontocontractors’behavior:“Itseemstobea well-knownbehavior:contractorstendtobeverycraftyanddisclose infor-mationorrevealproblemsonlywhentheyreallyhaveto.Itisbetterfor theirbusiness”.(InterviewwithconstructionmanageratAdif,March 2018).However,forAdifandtheprivateorganizationsandother par-tiesinvolved,itwasessentialtohavestandardizedprojectmanagement modelsandcomplywiththem.
Cultural-cognitive legitimation approaches: Our interviewees de-scribedsituationswhere,eventhoughthenewrulesandguidelinesdid notprovideoptimalconditionsforrationalchoices,itwasalmost impos-sibletoconfrontthem.Adif’smanagementwaswillingtoadoptcertain practicesandexpectedotherstodothesame.Inthiscontext,theproject actorsfeltsaferfollowingthepreferredmethods.Theprojectmembers followedthem– becausethelegitimationoftheiractionswascrucialfor theexecutionoftheproject.Theyhadtorelateto,andmakesensefor, differentaudiencelevels.TheAdifPMdescribedhowthemanagement wasaffected:“Itwaschallengingtodeliverourpartoftheproject.Ihad torelatetoandanalyzetheworkrepeatedlyandintensively,notonly forthetaskathandbutalsoatmacrolevels.” (InterviewwithAdifPM, October2016.)
Therefore,thepreferencesofAdif’smanagementwerenot individu-allydetermined:instead,individualsfittedthemselvestotheactivities andexpectationsofotherswhilerespondingatdifferentlevels.Besides, theAdif managerswereawarethat repetitivechoicesenhanced effi-ciencybutmadethemlessflexible.Inthiscontext,weobservedalack ofmotivationonthepartofAdif’smanagementtoconsideralternatives regardingtheproject.Instead,thebehaviorthatreinforcedrepetitive choicesgainedlegitimacy,triggeringgreateracceptancebytheproject
E. Hetemi, A. van Marrewijk, A. Jerbrant et al. International Journal of Project Management 39 (2021) 295–307 members.Aninterviewwiththeheadofinfrastructureprojects
illus-tratesthis:
“Wehaveafactorcalledsocialrentabilitythatisvaluable!...For instance,ifyougivereasonsforaspecificpartoftheprojectnot per-formingandhavingproblemsduetocommunication,thisargumentis consideredpriortofinancialrentability.” (Transcriptofthenotes col-lectedduringaresearch-relatedmeetingwithAdif’smanagement,April 2017)
Technicallegitimationapproaches:Mimickingstandardsand formal-izingoperationsthroughtheuseandformofcomplementary manage-mentsystems(e.g.,theuseofmanagementstandardsandnational con-structionregulationsinconformitywithpubliclaw)explicitlyguided theprocurementmethods, thus restricting theagents’ choices. Simi-larly,theERTMSsystemanditscorrespondingproductsrepresenteda supportingtool,reinforcingsomeoptionsoverothers.Themanagement practicesattheprojectlevelwereinfluencedbytheregulatory frame-workandtheindustrypracticesinthepublicsector– thepublic procure-mentlawshapedmanagementprocessesandactivitiesby,forexample, reinforcingworkdivisionsduetocostlimitations.Thus,theprojectwas dividedintomultiplepackages,andthemanagementhadtomanage in-dividualworkpackagesthat,simultaneously,influencedeachother.In thiscontext,themanagementatAdifandtheprivateparties (contrac-torsandsuppliers)performedtheirworkthroughrepeatedinteractions onseveralworkpackages.Suchregulatedpublicprocurementandthe industrystandardshadacorrespondingeffectonthecontractors,which focusedonbecomingmorefunctionalinproposing multiplesolutions thatwouldinvolvesimilarprocessesandactivities.
Importantly,theHSLMadrid-Barcelonaprojectsustainedandsailed onregardlessofthedisturbances– legislative,governmental,and ad-ministrative.
6.2. PatternsoflegitimationacquisitionapproachesinCaseII
Normativelegitimationapproaches:TheHSLSouthprojectwas de-finedasaresultofapoliticaldiscussiononfuturemobilityinthe Nether-landsinrelationtosurroundingcountries.Theprojectdesignthat fol-lowedwas“new” inthesensethattheprojectgrouprejecteda“sound blueprint” planin advance (despitegovernmental pressure)but pre-ferredaparticipativemodelofprojectdevelopment.TheDIWMproject administration,whichfurtherdevelopedtheplan,comprised govern-mentalprofessionalswithabroadbudgetmandateandastrongsense ofautonomy.Theyintendedtodevelopaninnovativetendering proce-dureforthePPPcontractsandanewphilosophyofpublic-private col-laboration,bothofwhichwerenewtotheNetherlands.Thisfocuson innovationandautonomyresultedinastrongidentificationof employ-eeswiththeproject.Ashasbeenobservedinearlierstudies(Willems etal.2020)suchidentificationtriggeredaprocessofisolation,which isthecuttingoff ofconnectionswiththemotherorganizationsbythe projectorganization;“they[DIWM]werenotopenanddevelopedan attitudethatputothersoff.Theywenttheirownway” (Interviewwith ProRailmanager,December2003).Inthisway,railwayinfrastructure ownerProRailwasexcludedfromtheHSLprojectorganization;“There wasn’tacooperativeattitude” (Interviewwithamanagerfromthe Min-istryofI&E,September2003).
Cultural-cognitive legitimationapproaches: ProRailargued thatit had100yearsofexperienceinrailconstructionandthatitwasformally responsiblefortheconstructionandmaintenanceofrailinfrastructure intheNetherlands.ProRailpreferredtooptforamatrixmodelinwhich itwouldhavegreaterauthority.Itwantedtodesigninfrastructureand manageapartoftheprojectitself:“Ourpropositionwastogivecertain partsof theprojecttothedifferentpartners,andthatthesepartners wouldbeaccountabletotheprojectmanagement” (Interviewwith Pro-Railmanager,January2004).DIWMandProRailcouldnotagreeon howtheactivitiesshouldbeorganized,andProRailwasleftwithlittle ornoauthorityintheprojectorganization:“Wewerelonelywolvesin
thewilderness.Therewasonlyonepersonwithrailknowledge,andthat wasme” (InterviewwithformerProRailmanager,November2003).
Technical legitimation approaches: Conflicts over project control hadarisenearlierbetweenProRailandDIWM,whichiswhydetailed protocolsforresponsibilities,roles,andcooperationweredesignedfor joint projects.IntheHSLSouth project,DIWMsigneda cooperation agreementwithProRail,asexpertise onconstructingsuchacomplex megaprojectwasneeded:“Giventhesizeoftheproject,thecomplexity andthechallengesfortheorganizationofconstructionworkand inno-vativetechnologies,itisnecessarytousealltheavailableknowledge” (Internaldocument;cooperationagreement,2000).Thispainful exclu-sionofProRailfromtheconstructionphaseoftheHSLSouthprojectwas riskyfortheMinistryofI&EasProRailwould,aftercompletion,be re-sponsibleforthemaintenanceoftheHSL.TherewasariskthatProRail wouldblameDIWMforbadrailconstruction.Indeed,inOctober2015, thefindingsofatechnicalstudy,commissionedbyProRail,indicated thatsomeoftheconcreteusedintheprojectwasofverypoorquality. RespondentsfromProRailcriticizedtheDIWM’sapproachtotheHSL South:
“Wewerenotconstructingarailline,butdikesandtunnels.There wasadominantfocusontheenvironmentwithmanyadaptations,and thatis why[therail]seemstobearollercoaster.Thereisonlyone goodrailline,andthatisastraightline.” (InterviewwithformerProRail manager,November2003)
TheHSLSouthprojectsurvived,yetitnevercameintofulloperation.
7. Discussion
Thispaperaimstounderstandhowinstitutionalfield(s)influenced thearrangementsoftwoHSLprojectsandhowmanagerslegitimizedthe arrangements.Thefindingsfromourcollaborativecasestudiesillustrate thelegitimatingpatternsthatmaketheinstitutionalprojectfieldlevel partoftheproject’slife.Recognizingchangesintheindustryhelpsin understandingtheissuesandmakingsenseoftheactors’project pat-ternsoflegitimation.Thefindingscontributetwomaininsightsintothe relationshipbetweenprojectsandtheirinstitutionalfields.
7.1. Disturbanceintheinstitutionalproject’sfield
Thefirstinsightisthattheinstitutionalprojectfieldsareincontinual flux.Oursecondaryqualitativedataanalysisshowsthatovertime,even maturedfieldsre-formduetoshiftsinsocialsystems,givingrisetonew conditionstowhichtheprojectactors(organizationsandindividuals) responded(Greenwoodetal.,2011;Raynard,2016).Thesefindings con-trastwithpreviousliteratureontheproject’sinstitutionalenvironment consideration(e.g.,Morris&Geraldi,2011),whichprimarilyportrays theinstitutionalfieldassequentiallyorderedandrelativelystable.
Ourempiricalaccountshowsthattheinstitutional reformofboth national railway sectors(Duijnhoven,2010) andthe introductionof PPPcontractingcreatedturbulencesattheprojectlevel,butwith differ-entconsequences.IntheSpanishcase,Adifemergedfromthereforms andstrengthenedtheirpositionwithin theHSLproject byprocuring thework,supervisingit,andmanagingthelines’constructionproject. Whereas,intheDutchcase,thereformsweredeeplyunsettlingfor Pro-Rail,potentiallychallengingitscentralroleontheprojectdelivery.As largeandinnovativecontractswereinexperttotheorganization,itgave risetoaconflictwiththemainactorRijkswaterstaat,whichheld Pro-Railoff frommanagingandcontrollingtheproject.Thus,thereforms madesomeprojectactorslesspowerful,alteringthepowerdifferentials withotheractorsintheprojectsetting.Inbothcases,weseethatthe exerciseofpowerwassubtleanddiscreetduringtheperiodof distur-bance;suchassettingagendasandcontrollingnegotiations.This indi-catesthattheindustryreformation(thiscriticaljuncture)produced rel-ativelylargerdiscursivespacesforrenegotiationoftheprojectactors’ powerandauthority.Insum,weexaminedsimilarprojectorganizations 303
andindustrysettingspurposefully.Yetwedetectedthatthechanging in-stitutionalfieldinfluenceisnotaninvariantprocessaffectingallactors intheprojectsettingequally.
Acrucialconstitutionalconditionintheprojectsetting,influencing whetheranorganizationpursuesanappropriateresponse,isthe organi-zationalpositionthatenablesthemtoaffectthedevelopmentanddesign ofthenewprojectarrangements.Thegovernment,theregulatory sys-tem,andtheindustrialdynamicsinparticularareessentialinstitutional forces,particularlyconcerningthearrangementoflarge-scaleprojects (Chi&Javernick-Will,2011;Scott,2012).Weseefromourcasesthatthe institutionalinfluenceincreasinglystemsfromtheinternationallevel, forinstancethroughtheEuropeanindustrialregulationsandoptimistic politicaldreamofintegratingEuropeintoonepolitical-economic com-munity.So,thelegitimacyrequiredtoconveythesetypesofprojectsis contestedandremainswithintheinter-institutionalprojectactors,the industry,thelocalandinternationalgovernmentbodies.
Theinfluenceoftheinstitutionalfield’schangesmanifestedthrough normativestructuresoforganizationsandindustrialregimes.Therules andnorms,theseinstitutionalforces,alteredtheestablishedmeaning systemin the large-scaleprojectsetting, shiftinginfluences of inter-nalandexternalforcesintheHSLprojects.Severalactorsandforces criticallyinfluencedtheHSLprojects’governancestructuresandother projectprocessesandactivities.Inthefollowingweturntothe evolv-ingcollectivelegitimacyperceptionsbetweentheindustryandproject actor’ssubset.
7.2. Theprojectasadynamicsettingofinstitutionalforces
Thesecondinsightof ourstudyisthattheinfluenceofthe insti-tutionalfieldsis notunidirectional;thatprojectlegitimacy,in conse-quence,isneithergiven,nordoesitpurelyemerge.Thatis,the man-agementlegitimacyacquisitionapproachesdidnotmanifestmerelyas aconsequence of theinstitutional projectfield’s changes orbecause of criticaljuncturesbut insteadby acontested change along a con-tinuum,whichculminatedwiththereformation’simplementation.We identifiedthattheHSLprojectmanagersusedthreelegitimation acqui-sitionapproachestocopewiththeinstitutionalfieldchanges,which createdpressurestoadaptthroughouttheprojectlifecycle.Wethereby developedanarrativeandtimelineofeventsillustratingthelegitimacy approachvariationduringtheHSLprojectsgivenchangeswithinthe project,andtheinstitutionalfieldlevel,see Fig.1. Weexposedhow actorsengageinmultiplelegitimationactivitiesintheconfluenceof in-stitutionalfieldandindustrypressures.Thiseventtimeview,whichwe haveundertaken,enabledustothoroughlyappreciatethelegitimacy approachesasthey proceedcyclicallyandcapturetheresulting slow endogenousshiftsmorerealistically.
We provide a temporaldynamic on cycles of project legitimacy processand our interpretation of theempirical constitutive features whencomparingbothcaseslegitimatingapproachdominance through-outtheprojectlifecycle.Theproject’sfront-endpromulgatethe nor-mativestructuresoforganizationsandindustrialregimesasdominant inprojectlifeparticipation.Hence,itisthenormativelegitimating ap-proachesthatreflectedthepositiveevaluationoftheHSLproject orga-nizations.Insuchconditions,bothcaseshadtobeconstructed,aligned withthetimerequirements.Thus,theprojectmanagers’normative le-gitimatingapproachesdominated,seeFig.1.Atthisstage,HSL man-agementwasmuchmorewillingtoinitiateproceduralratherthan sub-stantivesolutions,despitetheirproposals beingframed in communi-cationsemphasizingtheircontributionstoprojectorganizational effi-ciency.Whilethusfarseeminglyfluid,theHSLproject’slegitimacy ap-proacheswerenotwithoutresistance.Instead,theproject’slegitimating processwasinherentlychallengedbytheemergingissuesandtheir ac-tivepresenceininstitutionalfields’level.
Atthe projectimplementationlevel, thetechnical elementswere dominant,sotechnicallegitimacyprevailed.Atthisstage,accordingto ourfindings,theprojectgainedprominencethroughtheproject
man-agers’performingapproaches.FurtherinsightconcernstheHSL man-agement’sconsiderationsoftheroleofintegrativearrangements– con-tinuallyrecognizingtheneedtosecureendorsementbyfield-level indus-tryactors,seeFig.1.Inbothcases,theprojectmanagersturnedto activ-itiesthatenabledbettercommunicationwiththeir“central stakehold-ers.” Thisconformanceoccurredbothattheprojectfront-endandthe projectimplementationlevel.Intheformercase,however,theproject proponentsgavemeaningtothedecisiontobuildbyadvertisingthe im-ageofmoderntransportationandconnectingtotheEuropeanrail net-work.Concernfocusedmainlyonnormative(external)legitimacywhile addressingbothprojectorganizationalandtechnicalissuesrelatedto theHSLprojectsinarathersuperficialmanner.Yet,weobservedthatthe rulesdonotalwaysgovernsocialactioninprojects,i.e.,thatalthough present– thechanging normsandregulations didnotdirectly affect theprojectandlinemanagementbehavior.Accordingly,inbothcases, theprojectorganization’snormativestructurebecamepartly coupled withitsbehaviorstructure.Insuchacontext,theprojectmanagersat Adifandtheircontractors,forexample,engagedinimprovisational ac-tionsrelatingtothe“soft” objectivesanddemandsoftheprojectrather thanthe“hard” costperformanceindicators.Similarly,ourinterviewees fromProRailcriticizedtheRijkswaterstaatapproachoftheHSLSouth project.Hence,thesefindingsaffirmoneofthemaincontributionsof theopensystemsperspective– theunderstandingthatanorganization’s normativestructureisonlylooselycoupledwithitsbehavior(Scott& Davis,2007).
Besides,eveninrarecasesthroughout theprojectlifecyclewhere theHSLprojectorganization’senjoyedsupportandrecognitionasa rel-ativelylegitimateactor;weobservednoperfectalignmenttothefield levelinstitutions– theindustry.Adoptingalessfocalview,weobserved that themanagement, in bothcases,followedguidelineswithout ac-knowledgingtheirpeculiarinfluencesordevelopingthemfurther.For instance,thePPPadoptionwasselectedwithoutactually demonstrat-ingvalue-for-moneyoverthetraditionalmeans(cf.Faraetal.,2018). Theintervieweesgenerallyinterpretedthenecessityfortheirprojectsto bealignedwithcentralstakeholders,suchastheEU,theregionaland localgovernmentalbodies.ThisindicatesthatthePMeffortswerenot framedstrategically,atleastnotsolely,aspartoftheexistingliterature highlights(e.g.,Aaltonen,2013;Derakhshanetal.,2019).
Insum,thedisturbanceintheinstitutional project’sfield,the in-dustrychangingconditions,contestedtheHSLprojects’development. Theyhadadirectbearingonprojectlegitimacyasanintervening dis-courseapproachamongthefield’schangingconditionsandtheproject’s relevance.Inlight oftheemergingindustryprinciples,new industry procedures,andsubstantiveagendas,diverselegitimacyapproaches co-occurredandalternated(i.e.,normative,technical,etc.),thus,creating whatwelabelascyclesofprojectlegitimacyprocess,seeFig.1.
8. Conclusions
Inthispaper,weexpandthetheoryoftemporaryorganizing(Lundin &Söderholm,1995)byfocusingattentiontothethusfardownplayed inter-organizingfacet(Sydow&Braun,2018;Hetemietal.,2020b).We provideanunderstandingoflarge-scaleprojectsastemporary(inter-) organizationsoperatingunderconditionsoftemporalinstitutional com-plexity(Greenwoodetal.,2011;Dilleetal.,2018).Wehavestudiedthis bylinkingandrecognizingtheheterogeneityofinstitutionalfields(cf.
Greenwoodetal.,2011;Raynard,2016),andthelegitimacyconcept flu-idity(cf.Suddabyetal.,2017).Weexplorehowtheinstitutionalfield, inpart,determinestheprojectarrangementsoftwoHSLprojectsand howprojectmanagersuselegitimatingpracticestocopewiththe insti-tutionalfieldshifts.Thepapermakesthefollowingcontributionstothe projectstudies.
8.1. Theoreticalcontribution
First,itcontributestoadeeperunderstandingofinstitutionalfields – theindustry– acrosswhichlarge-scaleprojectsextend.Althoughprior