Convening Opportunity: Social Entrepreneurship in Two Community Development Initiatives

By

Sandra Sattler Weber

A DISSERTATION

Presented to the Faculty of The Graduate College at the University of Nebraska In Partial Fulfillment of the Requirements For the Degree of Doctor of Philosophy

Major: Interdepartmental Area of Human Sciences (Leadership Studies)

Under the Supervision of Professors John Allen and Susan Fritz

Lincoln, Nebraska

May, 2006

UMI Number: 3214777

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CONVENING OPPORTUNITY: SOCIAL ENTREPRENEURSHIP IN TWO COMMUNITY DEVELOPMENT INITIATIVES

Sandra Sattler Weber, Ph.D. University of Nebraska, 2006

Advisors: John C. Allen and Susan M. Fritz

This study explored the process of social entrepreneurship in the nonprofit setting. Theoretical constructs of institutional structures and social capital were integrated into an emerging theory of social entrepreneurship in two community development Initiatives. A grounded theory approach was used in this qualitative multiple case study. A comparison was made of two Initiatives striving for systemic change. Each Initiative focused on two different subsets of community (rural and urban) and shared values of public engagement. A knowledge structure emerged from the study that related the external pressures of the institutional environment and internal circumstances that influenced process for each of these Initiatives. Convening opportunity was an in vivo term applied in this study to explain the process of social entrepreneurship. The actions sets that describe convening opportunity are recognizing opportunity, strategizing opportunity, and structuring opportunity. Social capital was found to be a significant facilitator in two strategies that were instrumental in this process. These strategies are "making the case" and forging partnerships. It is recommended that these newly discovered constructs, grounded in the data, be tested empirically to move toward a grand theory of social entrepreneurship.

1 CHAPTER I Introduction..............................................................................................................5 Purpose Statement....................................................................................................5 Context of the Study ................................................................................................6 Statement of the Problem.........................................................................................8 Research Questions..................................................................................................9 Background to the Study........................................................................................10 Institutional Structures ...............................................................................10 Social Capital Framework..........................................................................12 Intent of the Study..................................................................................................13 Definition of Terms................................................................................................14 Delimitations and Limitations of the Study ...........................................................18 The Significance of the Study................................................................................18 CHAPTER II Review of Literature ..............................................................................................20 Social Entrepreneurship in the Nonprofit Setting..................................................20 Theoretical Underpinnings of Institutional Structure ............................................23 Basis of Institutional Theory......................................................................23 Table 1. ..............................................................................24 Institutional Structure and Structuration Theory ...................................................24 Figure 2. .............................................................................29 Institutional Perspectives of Social Entrepreneurship ...............................29 Table 2. ..............................................................................29 Regulative .........................................................................................30 Normative .........................................................................................32 Cognitive...........................................................................................33 Social Capital as a Transforming Tool . ....................................................36 Measurement Issues in Relevant Research ................................................37 The Context of Nonprofit Organizations ...............................................................38 Table 3. ..............................................................................38 Nonprofit Institutional Structures Traditions and Values ......................40 Institutional Practices Capacity Issues...........................................42 Institutional Practices Strategic Readiness ....................................44 Institutional Practices Inter-Institutional Behaviors & Alliances. .45 Institutional Practices Leadership ..................................................46 Summary ................................................................................................................47 CHAPTER III Procedures..............................................................................................................48 Assumptions and Rationale for a Qualitative Design ............................................48 Knowledge Claims.....................................................................................48

2 Methodological Assumptions ....................................................................49 Type of Design.......................................................................................................51 A Grounded Theory Multiple Case Study .................................................51 The Role of the Researcher....................................................................................53 Data Collection Procedures........................................................................54 Sampling Parameters .....................................................................54 Table 4. ..............................................................................55 Sampling Method...........................................................................55 Table 5. ..............................................................................56 The City Initiative ..........................................................................56 The State Initiative.........................................................................57 Data Collection ..........................................................................................58 Access ............................................................................................58 Ethical Considerations ...............................................................................58 Data Analysis Procedures ......................................................................................58 Grounded Theory Methods ........................................................................59 Computer Analysis.....................................................................................60 Methods of Verification.............................................................................61 Internal Validity .............................................................................61 External Validity............................................................................62 Reporting the Outcomes ............................................................................63 CHAPTER IV Descriptive Case Studies of Two Community Development Initiatives ...............64 Introduction................................................................................................64 Foundation for Rural Opportunity .........................................................................64 Institutional Features..................................................................................64 The State Initiative Conveners of Opportunity...................................................67 Opportunity Trajectories............................................................................67 Facilitators......................................................................................67 Convening Opportunity .............................................................................68 Recognizing, Strategizing, and Structuring Opportunity...............68 Foundation for Excellence ....................................................................................70 Institutional Features..................................................................................70 The City Initiative Conveners of Opportunity ....................................................74 Opportunity Trajectories............................................................................74 Facilitators......................................................................................74 Convening Opportunity .............................................................................75 Recognizing, Strategizing, and Structuring Opportunity...........................75 Summary ................................................................................................................79

3 CHAPTER V Developing a Grounded Theory.............................................................................80 Coding Procedures .....................................................................................80 Open Coding ..............................................................................................82 Table 6 ...............................................................................83 Axial Coding..............................................................................................84 Category 1. Opportunity trajectories..............................................85 Property 1. Thought leaders...............................................86 Property 2. The social entrepreneur. ..................................86 Category 2. Convening opportunity...............................................87 Property 1. Recognition opportunity..................................87 Property 2. Strategizing opportunity..................................87 Property 3. Structuring opportunity. ..................................88 Category 3. Strategies. ...................................................................90 Property 1. Making the case...............................................90 Property 2. Forging partnerships........................................91 Property 3. Relationships ...................................................92 Category 4. Capacities. ..................................................................92 Property 1. Institutional capacities.....................................93 Property 2. Organizational capacities. ...............................93 Property 3. Personal capacities. .........................................94 Category 5. Domain level analysis ................................................94 Property 1. Macro-Dynamics.............................................95 Category 6. Network development model .....................................95 Property 1. Great groups. ...................................................95 Selective Coding ........................................................................................96 The Emergent Knowledge Structure......................................................................97 Figure 3 ..............................................................................98 CHAPTER VI Description of Theoretical Constructs ...................................................................99 Opportunity Trajectories........................................................................................99 Convening Opportunity .......................................................................................106 Recognizing Opportunity.........................................................................107 Strategizing Opportunity..........................................................................110 Structuring Opportunity ...........................................................................114 The Context..........................................................................................................120 Community Context.................................................................................120 Interpretations within the Domain ...........................................................121 Institutional features.....................................................................121 Intervening Conditions.........................................................................................127 Institutional Capacities.............................................................................127 Community Capacities ............................................................................131

4 Personal Capacities ..................................................................................133 Strategies..............................................................................................................135 Making the Case ......................................................................................136 Forging Partnerships ................................................................................139 Outcomes .............................................................................................................143 Summary of Convening Opportunity...................................................................146 CHAPTER VII Convening Opportunity in Social Entrepreneurship ...........................................148 Research Question One Defining Social Entrepreneurship .............................148 Theoretical Propositions ......................................................................................150 Theoretical Proposition One ....................................................................150 Theoretical Proposition Two....................................................................151 Theoretical Proposition Three .................................................................151 Theoretical Proposition Four ...................................................................152 Theoretical Proposition Five....................................................................152 Discussion ............................................................................................................153 Research Question Two Constraining and Facilitating Factors .......................148 Theoretical Lenses ...................................................................................153 Institutional Analysis ...................................................................153 Social Capital ...............................................................................156 Constructs of Convening Opportunity .................................................................161 Table 7. ............................................................................161 A Comparison of Convening and Collaborating .....................................166 Summary ..............................................................................................................177 Conclusions..........................................................................................................179 Recommendations................................................................................................179 References........................................................................................................................182 Appendix A Literature Map..........................................................................................203 Figure 1 ............................................................................204 Appendix B Invitation for the Study.............................................................................205 Appendix C Interview Protocol ....................................................................................207 Appendix D Informed Consent Forms..........................................................................211 Appendix E Examples from ATLAS ti.........................................................................214

5 CHAPTER I Introduction In the new Millennium, social issues persist despite technology having reshaped economies. These last three decades have been marked by revolutionary changes in technology, which have connected the world and expanded markets for increased global trade. The result is a new competitive landscape that is unpredictable and chaotic, creating parallel and major social changes. For this reason, individuals and collectives have organized to bring balance to an unbalanced world. This organization has resulted in many creative and strategic social innovations being advanced by nearly 1.4 million nonprofit organizations operating in the United States alone (Mangan, 2004). Every year, thousands of social entrepreneurs achieve extraordinary things in difficult circumstancesthe bonds that individuals make with each other and their communities are every bit as important as the things provided for them by the state. So I set down a challenge: That we mark the Millennium with an explosion in 'acts of community' that touch people's lives. British Prime Minister, Tony Blair, 1999. Purpose Statement The purpose of this grounded theory study was to develop a substantive theory of the process of social entrepreneurship. Two nonprofit foundations are used as referent organizations for the two community development Initiatives that are the focus of this study. The institutional features and networks of engagement described in the process were of particular interest. Grounded theory methodology (Strauss & Corbin, 1990, 1998) was applied in this study of social entrepreneurship.

6 Context of the Study The nonprofit sector has a rich tradition and an important future in championing social causes through collective means. Although governments have responsibilities to provide public order by means of organizing and coordinating economic and social spheres, they have depended upon support from the nonprofit sector (Thompson, et al., 2000). Historically, nonprofit organizations (NPOs) and non-governmental organizations (NGOs) have been essential to improving people's quality of life throughout the world. In the U.S. the magnitude and spectrum of social missions range from neighborhood Little Leagues, for example, to large corporations engaged in critical educational and scientific research. Globally, the effort of nonprofit programming has enhanced or fundamentally changed the social milieu of nations, communities, special populations, and individuals. New-federalism of the late 1970's, early 1980's, and again in the mid-1990's gave more policy choices and program management to the states regarding social issues (Foy, 2004; Morial, 2004). Essentially, the states were given programs that were initially created and funded by the federal government. This devolution of government has contributed to growth in the sector by shifting many public service roles to the private sector. The breadth of services and products derived from nonprofit organizations are so pervasive and significant that the sector is positioned as the third sector of economic activity in the U.S. behind business and government (Raymond, 2004). Growth in the nonprofit sector is significant. For example, the so-called 501(c) 3 nonprofits, which have tax exempt status in the U.S., have grown 128 percent over the past two decades (Raymond, 2004). Consequently, more jobs and services are available in the sector now than ever before.

7 This growth is a challenge facing the nonprofit sector. Resources are a prominent issue, which includes a need to expand physical, financial, social, and human capital. A need for resources, coupled with government budget deficits that limit opportunities for grants and contracts available to them, makes it difficult for many nonprofit organizations to have the full resource capacity to carry out their social mission. Social entrepreneurship has become one process of adjusting to limited financial resources by developing social enterprises. The social enterprise, as framed by Dart (2004), is "a set of strategic responses to many of the varieties of environmental turbulences and situational challenges that nonprofit organizations face today" (p. 413). However, these innovative approaches are problematic in terms of reconciling traditional ways of operating in the sector. Thus, creative reallocation of resources is paramount to effective mission support. This puts pressure upon nonprofit organizations to find creative ways to support their missions (Chasse, 1995; Raymond, 2004). Increasingly, these organizations are relying on fees and contracts as opposed to grants and donations (Dart, 2004; Lasprogata & Cotten, 2003). This tremendous growth in the sector, and its associated problems, has led to increases in applied and basic research on nonprofits. Investigative efforts have led to exponential growth in professional organizations, journals, academic units and research institutions focusing on the nonprofit sector. For example, between 1990 and 2002, university courses dealing with nonprofit organizations have tripled (Wimberley & Rubens, 2002). Although substantial information about the sector exists (Mangan, 2004), sufficient research to articulate a unified theory of social entrepreneurship is lacking

8 (Dart, 2004; Prabhu, 1999; Thompson, et al., 2000). Further, there is not a clear understanding of how the nonprofit sector is changing the economic landscape or how well social opportunities at the micro level are recognized and exploited (Mair & Marti, 2004). A better understanding of the social entrepreneurship process is important. Currently, social needs are being met by all three sectors: government, business, and nonprofit. Not one sector can meet these needs based on its capacity alone. Thus, societal needs are being shifted between all three sectors. The highly institutionalized character of the nonprofit sector makes this shift difficult if entrepreneurial activities are misunderstood or constrained. Society's cultural expectations and norms (DiMaggio & Powell, 1983; Meyer & Rowan, 1977) factor in on any new organizational processes, and this makes managing change difficult, particularly if processes alter conventionally-held perceptions or legitimated images of the sector. Statement of the Problem The process of social entrepreneurship is not well defined and there is a lack of theoretical and data-based research that evaluates the context of social entrepreneurship in the nonprofit setting. Thus, there is limited ability to identify those institutional practices that either constrain or facilitate the process of entrepreneurship. Although there are considerable conceptual writings and empirical research regarding the nonprofit sector, there has been little integration of theoretical constructs of institutional structures, leadership, and social capital together into a process theory of social entrepreneurship. In general, the primary cause of theoretical dissonance in the field of entrepreneurship is the difficulty of integrating theory across disciplines (Mair & Marti,

9 2004; Thornton, 1999). Often the entrepreneur is seen as the essential level of analysis to be studied, reasoning that once a business transaction occurs the entrepreneur then becomes a business owner or founder, and is no longer an entrepreneur. In this paradigm there is little relevance for entrepreneurship because the process ends at the onset of the business cycle. But, competing interpretations suggest that starting a business is not the core of entrepreneurship. Many ideations of entrepreneurship suggest that an entrepreneur is a catalyst for innovation and market changes (Dees, 1998) and the process of entrepreneurship is an organizational level phenomenon (Mair & Marti, 2004). In this study, entrepreneurs were viewed as change agents and the domain or field level, which was inclusive of multiple organizations, was where the entrepreneurial phenomenon occurred. Though the study of social entrepreneurship is similarly bogged down with disagreement, Dees (2001) contended that the field should utilize the traditions and logic of market theories of entrepreneurship while drawing distinctions regarding the challenges of the social mission. However, the following questions remain: What is a process theory for social entrepreneurship in the nonprofit setting? Does the process of social entrepreneurship and the market theories have one-dimensionality? Or are there distinct differences in the social entrepreneurship process that would inform theory and practice? Research Questions

In scientific studies, research questions establish the parameters of the study and guide the choice of methods that are used (Creswell, 2002; Strauss & Corbin, 1998). In

10 this study, the main research question considered process, which led to the grounded theory paradigm as the preferred method for research. Because of the inductive nature of this particular research method, the researcher framed and reframed the research questions as the study progressed. Strauss and Corbin (1998) stated: "Although the initial question starts out broadly, it becomes progressively narrowed and more focused during the research process as concepts and their relationships are discovered" (p. 41). The study was guided by two major research questions: What is the theory that explains the process of social entrepreneurship in Community Development Initiatives? How and to what extent do institutional structures and processes of engagement facilitate or constrain the process? The hallmark of the grounded theory paradigm (explained extensively in Chapter Three) is to discover an emergent theory grounded in data. Using existing theories to frame the study was useful to amplify the theoretical connections between an emerging theory and broader theories (Strauss & Corbin, 1998). Institutional theory and the concepts of the social capital framework reflect primary influences in social action, specifically for social entrepreneurship in the nonprofit sector. Thus, framing the research questions with existing theories provided a basis for a more detailed literature review that follows in Chapter Two. Background to the Study Institutional Structure Institutional structure represents the meaning systems within society and organizations that produce and legitimize patterns of behavior. This structure is a process, which will be expanded on in Chapter Two. Institutional structure supports the rules,

11 roles, beliefs, and practices within organizations, which in turn influences and is influenced by individual understandings and actions (Meyerson, 1994). Therefore, the antecedents of social entrepreneurship, or the patterns of behavior, will be impacted by the institutional character of the organization. Although most nonprofits will reflect their founding missions, many will change radically in response to the challenges of resources and changes in the sector. This is considered an entrepreneurial response (Thornton, 1999). An entrepreneurial response is contextdependent or has a cause-effect pattern, specifically related to institutional and economic stimuli (Hayton et al., 2002) Thus, to prevail in changing times, nonprofit organizations must create organizational capacities to foster their distinct social missions by balancing the workings of innovative enterprise with institutional effects and unstable economic environments. Other studies have taken a supply-side view of entrepreneurship. This includes an individual-level focus that concentrates on the traits and motives of the entrepreneur (Gartner, 1989b; Salamon, 2003). A less extended perspective is from the demand-side. The demand-side examines the process of entrepreneurship or the context in which entrepreneurship emerges (Thornton, 1999; Frumkin, 2002). This study will emanate from a demand-side perspective, fully examining the context of social entrepreneurship and identifying its process. A theory emerges that explains social entrepreneurship at the community-field level (Smets, 2005; Wilkins, 1991) in two community development Initiatives. The importance of the demand-side perspective is its potential to relate social missions to process and context. Stevens (2003) developed a typology of the social entrepreneur (as founder and leader) in nonprofit

12 organizations. Her findings suggested that many of the characteristics and patterns of the social entrepreneur mirrored the research on the business entrepreneur. Nevertheless, in her qualitative study, Stevens encouraged a demand-side view that focuses on process. She suggested that because a founder is there primarily to answer a 'call', it "is wiser to build organizational structures that allow this sense of purpose to flourish" (p. 161). The 'market call', created by the changing needs for goods and services, has compelled many nonprofit organizations to adopt business models. This change will likely invoke many institutional responses and adjustments in institutional structure through this evolution. Both institutional and economic contexts are fundamental in creating entrepreneurial-friendly environments (Hayton, et al., 2002). However, the nonprofit setting has a unique institutional character that is steeped in non-market traditions, that is now placed within a volatile economic environment. Why would more study need to be done to focus upon institutional effects? Most empirical studies are evaluating entrepreneurship in the business sector. The nonprofit setting is a highly institutionalized sphere for economic exchange. Though Dees (1998) considered the economic model of entrepreneurship a reliable mirror, others argue that social entrepreneurship requires more study (Mair & Marti, 2004; Thompson, et al., 2000), particularly from the demand-side which focuses on context (Stevens, 2003). The Social Capital Framework Altogether, building relationships across community fields is a critical competency of the nonprofit sector (Alvord, Brown, & Letts, 2004; Orr, 2001). Engagement emerges through networks of relationships best defined under the social capital framework. Social capital is described as both the glue that holds social structures

13 together, as evidenced by trust, cooperation, and long-term relationships (Putnam, 1996), and the lubricant that moves information and processes through social networks (Anderson & Jack, 2002). Accordingly, Temkin and Rohe (1998) identified institutional infrastructure as being analogous to bridging social capital (the ability to extend organizational networks to enhance public prominence and increase opportunities). This underscores the importance of relationships and networks in the social entrepreneurship process. Social entrepreneurship is changing the nonprofit environment and, therefore, highlighting the impact of leadership in these processes. There are notable advances in research to conceptualize the social entrepreneur as leader (see Amit, Glosten, & Muller, 1993; Brant, 1995; Chell, 2000; Euske & Euske, 1991; Gupta, MacMillan, & Surie, 2004; Prabhu, 1999; Stevens, 2003; Waddock & Post, 1991). However, traits of leadership will not be a focus for studying process in social entrepreneurship. The assumption is that traits influence behavior (Gartner, 1989a). Nonetheless, an individual must have an infrastructure to mobilize in the process of social entrepreneurship, where collective processes are essential. How authority, resource mobilization, and ideologies of entrepreneurship are featured in the structural arrangements of nonprofit organizations will be of interest to connect leadership process to social entrepreneurship. Intent of the Study This study was cross-disciplinary, using perspectives from sociology, leadership, and organizational behavior as theoretical support. Because entrepreneurship combines resources in new productive ways, new organizational arrangements emerge (Dart, 2004; Gartner, Bird, & Starr, 1992). Entrepreneurship is a socially constructed phenomenon. In

14 fact, Dart (2004) avowed that social entrepreneurship in the nonprofit sector may be "a 'faddish' response to changes in the sociopolitical environment" (p. 412). Thus, how members of an entrepreneurial initiative perceive the environment and respond to challenges is important. This study uses an integrated definition of social entrepreneur and social entrepreneurship. The social entrepreneur is one who searches for social change, recognizes opportunities and takes action to develop these opportunities into social enterprise by mobilizing resources (Gupta et al., 2004; Stevens, 2003; Thompson, et al., 2000). Thus, social entrepreneurship in the context of a nonprofit organization can be understood to mean the process of continuous realization of opportunities to pursue social innovations and the adaptation and development of these innovations into social enterprises. A priori theories are generally not used in grounded theory studies (Glaser & Strauss, 1967; Strauss & Corbin, 1998). However, as stated earlier, the highly institutionalized environment for social innovation calls for a unique understanding of context. Hence, the lenses of institutional theory and the social capital framework are useful lenses to induce discovery. The study of social entrepreneurship enhances the understanding of leading processes that create change. Definition of Terms Community Development Community development is the linking of individuals and organizations to activities that increase positive efforts toward common community goals (Humboldt Area

15 Foundation, 2001). These goals are generally to strengthen the local economy and to build and strengthen social capacities through networks and leadership development. Community-Field A field is the result of community members' interactions, mutual influence of one another, and the shared meanings produced from these interactions (Smets, 2005; Wilkinson, 1991). Community Foundation "A community foundation is a permanent charitable public benefit organization supported by local donors and governed by a board of private citizens who speak for the needs and well being of the community. The Internal Revenue Service designates community foundations as public charities because they raise a significant portion of their resources from a broad cross section of the public each year" (Humboldt Area Foundation, 2001). Initiative An initiative is a strategic approach to address the needs or requests of a population, institution, community, or population (Humboldt Area Foundation, 2001). Institutions Institutions are the "cognitive and symbolic systems that produce and legitimize patterns of [institutional structure, which are] culture, including symbols, beliefs, roles, and meanings within organizations, which in turn shape and are shaped by individual actions, interpretations, and understandings" (Meyerson, 1994, p. 630). This can be embodied in an established organization with public character such as a church, university, or a nonprofit organization.

16 Institutional Structure Institutional structure represents the rules, roles, practices and beliefs of the nonprofit organization and is influenced by the sociopolitical environment. Nonprofit Organizations Nonprofit organizations (see also: Not-for-profit and NPO) are described as agencies, organizations, or institutions, owned and operated by one or more corporations or associations whose net earnings do not benefit, and cannot lawfully benefit any private shareholder or entity (34 CFR 77). Retrieved September 28, 2004, from http://www.washingtonwatchdog.org/documents/cfr/title34/part77.html Nongovernmental Organizations Nongovernmental organizations (see also: NGO) are described as private organizations pursuing activities to relieve suffering, promote the interests of the poor, protect the environment, or undertake community development, (World Bank Operational Directive 10.70). Retrieved September 28, 2004, from http://www.fao.org/docrep/V8350E/v8350e0f.htm Opportunity "Opportunity is the possibility that a member of the community-field will identify with or create and implement promising innovations, and necessary resources will be found and applied in order to sustain innovations over time" (Dorado, 2005). Social Capital Social capital is characterized as social relationships found in active connections, with observed behaviors of trust, mutual understandings, reciprocity, and conformity to norms and culturally shared meanings (Cohen & Prusak, 2001; Nahapiet & Ghoshal,

17 1998). Social capital is "realized through members' levels of goal orientation and shared trust, which create value by facilitating successful collective action" (Leana & Van Buren, 1999, p. 538). Social Enterprise Social enterprise is a social purpose venture that seeks self-sustainability through generating revenues (Dart, 2004; Dees, 1993). Social Entrepreneurship Social entrepreneurship is a continuous realization of opportunities to pursue social innovations. Social innovations are adapted and developed to satisfy needs that cannot be met by the government (Mair & Marti, 2004; Thompson, et al., 2000). Social Entrepreneur The social entrepreneur is one who searches for social opportunity, recognizes an opportunity and takes action to develop this into a planned social change by mobilizing resources (Gupta, et al., 2004; Stevens, 2003; Thompson, et al., 2000). Social Innovation Social innovation is the introduction of a new social purpose, product, or service into the marketplace, or an improvement in social purpose organizations or processes. (American Heritage Dictionary, 2004). Stakeholders A stakeholder is "any group or individual who can affect or is affected by the achievement of an organization's objectives"(Mitchell, Agle, & Wood, 1997, p. 854).

18 Delimitations and Limitations of the Study The study was delimited as follows: the unit of analysis was limited to two community development Initiatives in the Midwest. Although the sample population interviewed represented one public, two private, and 12 nonprofit organizations; the two principal or anchor organizations in the study were each organized under the U.S. Internal Revenue Code (IRC) as a 501(c) 3 Foundation (see definition, page 16). A limitation of the study is the small representative sample of perceptions and opinions about the patterns of behavior that describe social entrepreneurship in community development Initiatives. There remains an inherent assumption that there will be generalizable conclusions made in the study that will signify social entrepreneurship processes in larger populations. The Significance of the Study This study will help satisfy the need for more in-depth knowledge of social entrepreneurship in the nonprofit setting from an institutional perspective. It explores the interstitial areas connecting such disciplines as leadership, organizational behavior, and sociology. Moreover, an important contribution will be the study of the relatively unexplored area of how organizational processes sponsor new practices or transform existing institutions (Lawrence, Hardy, & Phillips, 2002) and how these can be institutionally legitimized (Mair & Marti, 2004). This study regards social entrepreneurship as a transforming process of which the antecedents are not well known (Mair & Marti, 2004). Therefore, an important study goal is to uncover those entrepreneurial supports and capacities (Thompson, et al., 2000) from within the institutional structure that allow leadership to prosper and social innovation to

19 flourish. These goals are accomplished by providing the field a substantive theory of convening opportunity through community development Initiatives, a process of social entrepreneurship. While this study focuses on social entrepreneurship, its findings will also give insight into what constitutes an entrepreneurial-friendly environment or those institutional features that nurture and support entrepreneurial behavior. Thus, study findings will also inform rational economic models of entrepreneurship and support new insights rather than detract. This chapter reviewed the substantive goals of this study. A preview of the context for the study, the complexity of the problem and its significance, the methods used, and the guiding theoretical frameworks were addressed. The research focus and questions guiding the research methods indicated in this chapter are addressed more fully in subsequent chapters. The next chapter reviews literature which connects theoretical progress in the field with the outcomes of this study.

20 CHAPTER II Review of Literature This chapter will demonstrate the relevance of institutional theory, along with concepts of social capital, to the understanding of social enterprise and social innovations. Accordingly, the study will integrate literature from sociology, organizational behavior, and leadership to lay the foundation for this multiple case study. A brief review of social entrepreneurship provides general direction of the study. Following this is a section that assesses relevant literature related the nonprofit setting. A third section develops the contextual environment of the nonprofit for social entrepreneurship. A literature map (Figure 1) is provided in Appendix A, which demonstrates the relationship of the areas of study. Social Entrepreneurship in the Nonprofit Setting Understanding social entrepreneurship is complicated by the different types of enterprises that occur in the nonprofit setting. Many nonprofit organizations that previously relied solely on philanthropy, membership fees, or government funding are becoming entrepreneurial by combining resources from multiple sources. A combined model of social enterprise that serves both a financial (or for- profit) and a social mission is referred to as having 'double bottom lines' (Dart, 2004). Organizational missions that are social, financial, and environmental are 'triple bottom lines' (Johnson, 2000). These new arrangements are reshaping many of the strategies, norms, and values to be characteristically similar to that of the business sector (Dart, 2004). To better understand social entrepreneurship a grasp of the terminology is needed. Unfortunately, there is no standard. For example, terms of nonprofit commercial

21 ventures, social entrepreneurship, institutional entrepreneurship, and nonprofit entrepreneurship are often used interchangeably in studies on social entrepreneurship. This may come from inconsistent definitions and perceptions of the term 'entrepreneurship'. This variation may explain emerging ideas on entrepreneurship, specifically, regarding attitudes and activities in different cultures (Hyrsky, 1999). Because social entrepreneurship combines business and social interests, its roots are in the literature on entrepreneurship. Entrepreneurship has been under study since early in the twentieth century (Low & McMillan, 1988). Others have applied entrepreneurial concepts to the study of social movements during the institutionalization of empires and religious orders. The evidence of "charismatic entrepreneurs" and "political entrepreneurs" as actors in society has been persuasive in linking institutions and change (Eisenstadt, 1995). The study of entrepreneurship is much like the thrill of the pursuit to innovate. As a result, the reality is that definitions have faltered in explaining the process. The phenomenon of entrepreneurship is intertwined with a complex set of contiguous and overlapping constructs such as management of change, innovation, technological and environmental turbulence, new product development, small business management, individualism and industrial evolution. Furthermore, the phenomena can be productively investigated from disciplines as varied as economics, sociology, finance, history, psychology, and anthropology, each of which uses its own concepts and operates within its own terms of reference. Indeed, it seems likely that the desire of common definitions and a

22 clearly defined area of inquiry will remain unfulfilled in the foreseeable future. (Low & Mac Millan, 1988, p.141). The seminal work of Joseph Schumpeter (1934) has been explored and referenced extensively in studies of entrepreneurship undertaken over the last half century. Schumpeter (1939) viewed the entrepreneur as a super-heroic leader with a strong volition to break with social traditions and create economic opportunities. In Schumpeter's view, entrepreneurs support new inventions and transform them into market innovations. Short term profits would then draw imitators into the market. As a result, existing market structures would destabilize and a rebound of innovation would occur. This model was perceived as a series of business cycles and considered economic development (Schumpeter, 1934). Many scholars since Schumpeter have offered models of entrepreneurship as new venture creation. Six elements of the innovation process are frequently cited in the literature. This model posits an entrepreneur would: (a) locate a business opportunity, (b) accumulate resources, (c) market products and services, (d) produce the product, (e) build an organization, and (f) respond to government and society (Gartner, 1985). Gartner designated the individual, the organization, and the environment as the three domains in his model. Entrepreneurship was distinguished as a process of the interaction among these variables, which would produce a variety of organizational forms and experiences. While many scholars refer to those entrepreneurial processes emerging from within an organization as "intrapreneurship" (Frumkin, 2002; Kuratko & Montagno, 1989; Wortman, 1990), this study recognized social entrepreneurship as a collective change process. Because global economic pressures have put economic development

23 expectations upon nonprofit organizations and social needs have increased, social entrepreneurship emerges through new social enterprises in existing organizations or through collaborative means. Historically, most institutions are at risk during turbulent times. Hughes (1942) observed that during World War II American institutions were influenced to spare nothing in order to mobilize people and resources. The result was that the taken-forgranted activities performed by nonprofit organizations were likely the first to face financial crises. Theoretical Underpinnings of Institutional Structure Basis of Institutional Theory Institutional theory has contributed to the understanding of processes in organizations. Particularly, the theory enlightens our understanding of social change (Powell & DiMaggio, 1991), organizational adoptions of innovation (Jonsson, 2003), as well as founding and failure rates in businesses (Martinez & Dacin, 1999). Institutional theorists have demonstrated that organizations are embedded in social structures. Social structures (institutional structures) make up society's cultural expectations, norms, and behaviors (DiMaggio & Powell, 1983; Meyer & Rowan, 1977; Zucker, 1987). Because of this embeddedness thesis, the appropriate level of analysis to explore human nature is at the organizational level (Granovetter, 1985). Institutionalism focuses on symbolic elements and power. Whereas, neoinstitutionalism (thoughts instituted 1950 and forward, e.g. Berge, 2001) has focused on legitimacy and cognitive insights. Lawrence (1999) suggested that bringing the two

24 focuses together resulted in a better understanding of the environmental context and strategies in the organization. Scott (1992) provided a concise explanation of four approaches to institutional theory that have been studied over the last half century (see Table 1). Table 1. Synthesis of Seminal Approaches to Institutional Theory Scholar(s) Seminal Approaches

Hertzler, 1937; Hughes, 1942

Institutions are social spheres. This approach combines a view that persistence and stability are essential to the structural/functional perspective that views society as interrelated systems that are both symbolic (cognitive, normative) and behavioral.

Selznick, 1949

Processes of institutionalization, which instill value, are necessary for self-maintenance and perpetuating the institution. Leaders are responsible for protecting the distinctive characteristics of the organization (Scott, 1992).

Berger & Luckmann, 1966; Meyer & Rowan, 1977

The process of institutionalization creates "institutional myths". These are stable patterns of behavior

25 guided by a belief system that the institution provides Tolbert & Zucker, 1994; effective and necessary rules. Zucker, 1977, 1987

Meyer & Rowan, 1977; Scott, 1992

The foundation of institutional systems rests on the role of symbols, cognitive systems, and normative beliefs that are valued over the task environment or organizational goals.

In summary, institutional theory is primarily concerned with how an organization adapts to its institutional environment and the resulting behavioral effects. Thus, an institutional framework describes organizational characteristics (Martinez & Dacin, 1999) that reflect the socio-political and economic context for entrepreneurial activity. Perhaps what is most persuasive in the institutional approach is that institutionalists have traditionally considered economic activity to be based on social values (Chasse, 1995). Conceivably then, institutional theory will help explain, among other things, how motives to generate resources and social values converge with one another in the social entrepreneurship process. Institutional Structures and Structuration Theory Concepts of institutional structure illustrate the interconnectedness of the nonprofit entities and the environment (see Figure 1). Institutional structure is the social structure in an organization or setting that embodies society's cultural expectations and its norms and behaviors. It guides action at the organizational level (DiMaggio & Powell,

26 1991; Meyer & Rowan, 1977) and then at the individual level (Berger & Luckmann, 1966). A key element of the institution is the practical knowledge gleaned from "taken for granted" processes that sanction the routines of social life (Giddens, 1984). This, of course, varies according to the conditions of the institution. In a societal institution such as marriage, there are "taken for granted" processes that prescribe roles or rules (or laws) within the institution. For instance, the role to provide for physical, social, and emotional needs is shared across the marital relationship more equally in some cultures than others. An example of a "taken for granted" process affecting nonprofits is in the practice of philanthropy. At least in western cultures, most people believe that giving charitably and providing for social needs is altruistic (Piliavin & Hong-Wen, 1990). Processes in institutions are termed "institutional knowledge" (Giddens, 1984). This knowledge is a boundary for structuring the enduring set of activities that make up the institution. To identify what or how changes occur, it is helpful to link institutional elements with structuration theory. "Structuration theory suggests that the ability to go on within social routines, to enact social practice, requires knowledge in the form of rules" (Lawrence, 1999, p.164). These rules are the "techniques or generalizable procedures applied in the enactment/reproduction of social practices" (Gidden, 1984, p. 21). Rules and standards then give reason (or structure) to a variety of recurring social practices, resulting in institutionalized sets of rules or structures, including hierarchical status. The rules of hierarchies in a social structure are identified in numerous ways. For example, the office

27 of a graduate student will have fewer resources and amenities than a Professor, a Department Chair, or a Chancellor in a University setting. Giddens' (1984) theory of structuration is a middle ground theory between agency and environmental determinism (Jones & Conway, 2004). In the tenants of structuration theory, structure does not necessarily dictate over the individual (agent). Rather, human action can also influence structure. Thus, this provides an opening for leadership or entrepreneurship theory to have relevance and potentially a pivotal role in these structural arrangements. Leaders act as change agents and new structures can be developed. Following the example of the offices in the hierarchy above, this can relate to leaders who choose to flatten hierarchical structures and distribute resources more evenly. Or in the case of the social entrepreneur, an innovative arrangement of resources will impact structure. Institutional structures (i.e., those rules, roles, practices, and beliefs) are incorporated into both the formal and informal processes of organizations through normative behavior (Meyer & Rowan, 1977). This normative behavior is developed by individuals who rely fundamentally upon the institutionalized social structure to achieve approval or legitimacy in their organizations (Lawrence, 1999). Although each organization has its own distinctive rules, norms, and standards, these structures are subordinate to the larger socio-cultural norms and rules of their institutional environment (Hollingsworth, 2000). For instance, an after-school program may have rules, norms, and standards of how it operates and how rules are enforced. However, the organization overseeing the project may be subject to external rules, standards, and norms from the nonprofit setting. Further up this chain of influence, the nonprofit setting is obligated by

28 policies and dependent upon the culture and national interests of the environment to which it belongs. Institutional space refers to those sets of cultural values and perceptions (the "collective mental programming") that support socio-cultural identity (Hofstede, 1984, p. 21). This institutional space is evident at all levels. The notion of structure being a process is important. Structure occurs in and through the institutional environment relative to its national setting (Hofstede, 1984; Howard, 1994). This helps explain the influence that national culture has on entrepreneurial orientations (e.g. Tan, 2002). As agents interact with the conditions in their structural environment, behavior is either constrained or facilitated by institutional forces. Forces within the institutional environment for nonprofit entities appear to be societal, demographic, and economic in nature (DiMaggio & Anheier, 1990). So, an individual or organization advancing social innovation has a complex environment in which to create change.

29

National Setting

Economic and SocioPolitical Context

Facilitation

Institutional Space

Culture

Beliefs

Nonprofit Initiatives

Behavior

Constraints

Figure 2. Flow of process in Institutional environments: A domination view of antecedent variables in a social structure Institutional Perspectives of Social Entrepreneurship The underlying institutional theories useful to develop a theory of social entrepreneurship in the nonprofit setting were reviewed in the previous section. This section will use the nomenclature of Scott (1995) to organize empirical evidence proving that an institutional perspective is appropriate for developing an explanatory theory in the nonprofit setting. It is the tension between the rigors of institutionalism and the need for innovative action to serve social purposes that will be addressed in this study. Scott (1995) offered a contemporary typology for behavior in organizations based on "three pillars" of institutional structure (see Table 2).

30 Table 2. A Typology of Institutional Theory Cognitive Pillars Regulative Normative (Sense-making) Basis of Compliance Expedience Social obligation Taken for granted

Mechanisms

Coercive

Normative

Mimetic

Logic

Instrumentality

Appropriateness

Orthodoxy

Rules, laws, Indicators sanctions Certification

Prevalence of isomorphism

Basis of Legitimacy

Legally sanctioned

Morally governed

Culture, knowledge

Note: Adapted from Berge, 2001, found October 17, 2004 at www.sv.ntnu.no/iss/Erling.Berge Regulative The distribution of power (e.g. Bourdieu, 1989), is a regulative principle of institutional theory. Power is a relational practice exercised within institutional boundaries. This is what guides the sociological perspective that leadership is a practice. It is also perceived as influence or pressure stemming from the institutional space. An example of power at the organizational level was shown in Wicks' (2004) study of nontenured faculty. Study results indicated that administration manipulated and controlled

31 situations through rules and practices in order to meet organizational goals. Therefore, rules and practices contributed to the established hierarchy, which included both incentives and constraints to enforce compliance. Another example of power in institutional functioning is found in the government having broad power over other institutions. As is the case for the nonprofit, the structuring of the sector is largely determined by governmental regulations regarding taxation (Euske & Euske, 1991). Clarke's (2001) essay explained this relationship, noting that because nonprofit organizations operate in a "quasi-market" context, there are constraints of laws and rules operating at many levels (which lead to isomorphism in the sector). However, the government's conferring legal status as a nonprofit also confers legitimacy. Legitimacy facilitates how organizations are able to access resources and hold status within society (Baum & Oliver, 1991). In turn, the expectations from the institutional environment are translated into the structure and operations of the nonprofit sector (Euske & Euske, 1991). Legitimacy, both legally and socially, will constrain any deviance from standards set in the sector (Miller, 2002). The coercive pressure from society's expectations and inter-dependencies is a universal concept associated with institutional theory (Zucker, 1987). Essentially, the public sector can use rules and regulations to enforce compliance (Frumkin, 2002). For instance, nonprofit organizations are being pressured from Managed Care regulations (Clouties-Fisher & Skinner, 2006). Furthermore, new corporate oversight legislation in the Sarbane-Oxley Act of July 2002 has state and federal officials interested in increasing regulations over the nonprofit sector.

32 As recent as February 2006, the Internal Revenue Service issued a report to advise the nonprofit sector after citing several tax-exempt organizations, primarily churches, for politicking during the 2004 campaigns. Laws prohibit charities from participating in political campaigns (IRS Report 302, 2006). The nonprofit sector uses its goodwill with external organizations to promote its collective goals. This clearly distinguishes the nonprofit from the public sector (Frumkin, 2002). Goodwill between organizations will facilitate social innovation. Social movements require good working relationships. However, politics from within nonprofit organizations can induce conformance and constrain innovation. In a study of six United Way state associations, Rugh (1996) found political power, internally or externally, can impede social innovation by interfering with consensus building. Building trust and reciprocal behaviors were an integral part of managing power relationships. Thus, regulative dimensions of institutional structures have dictated much of the organizational conformity in the nonprofit setting. It has also limited the institutions' ability to be innovative. That is why policy is so critical to sustaining changes that result from social innovation. Normative Institutional theory has been useful in demonstrating how organizations adopt some policies that are primarily for symbolic value, so that they may have external legitimacy (Meyer & Rowan, 1977). As an example, since the Enron debacle of 2001, many organizations looked carefully at the tenets of social responsibility in order to

33 maximize shareholder and consumer confidences. This led to more language around "accountability" in the nonprofit sector (Raymond, 2004). Normative and mimetic pressures can be a consequence of professionalization. These are explained as a need to reduce uncertainty (Martinez & Dacin, 1999) or to stabilize behaviors (Tolbert & Zucker, 1994). Many workgroup norms would be an example, such as found in Meyerson's (1994) study. Meyerson's (1994) study found that interpretations of ambiguity, burnout, and general job stress were both normal and desirable in social work ideology. Her study illuminated the relationship between daily individual (micro) processes and the macro institutional forces. Secondly, organizational culture reflected and reinforced institutional characteristics. Affirming legitimacy is a dynamic process that requires time to affect change. Therefore, some norms can be based on a societal myth. Because of this expectations, rather than realities, often guide legitimacy (Euske & Euske, 1991). Wicks (2004), in a case study of two Canadian academics, examined the institutional legitimacy of tenure. Tenure (because of its enduring character) is an institution resistant to change. The outcomes of tenure, which were limited in this analysis to the support of academic freedom and trade-off for higher pay, were considered an institutional myth. Tenure purportedly protects academic freedoms; however, the study suggested that tenure is a mechanism for constraining or controlling behaviors. The legitimacy of an institution is not evaluated necessarily against specific standards, but against traditions. For example, the success for new religious start-ups is dependent upon social perceptions of how credible the founders' commitment is to the

34 religious beliefs that represent a larger community of faith. If the espoused religion is deviant from legitimized forms, the likeliness of success dwindles (Miller, 2002). In the entrepreneurship field, it has been shown that new organizational forms will struggle with legitimacy and external stakeholders may resist innovation (Aldrich, 1999). Thus, if any traditions, which are held as normative behaviors, are changed by social innovation or if new institutional forms emerge there may be resistance. For example, it is probable that if a new social innovation, such as a large Initiative with multiple partners pooling cutting edge resources, was made available as a resource for communities and the Initiative charged for services, there would be resistance if previously the government had provided a similar (or perceived to be similar) service for no or low cost. If legitimating is critical for innovation, then what else should be considered? Networks and social support are related with legitimacy and important facilitators of innovation by creating environments of trust and understanding (Deeds, Mang, & Frandsen, 2004; Maguire, Hardy, & Lawrence, 2004). Cognitive Cognitive processes in institutional theory have been well studied (Covin & Slevin, 1989; Keh, Foo & Lim, 2002; Mitchell, Busenitz, & Lant, 2002). The focus has been primarily on opportunity recognition in different environments. The socio-cultural environments of entrepreneurship have explained cultural level influences that impact individual-level decisions to be entrepreneurial (Begley & Tan, 2001; Hayton, George, & Zahra, 2002; Tan, 2002). Hayton, George, and Zahra's (2002) meta-analysis of entrepreneurship in 21 empirical studies reinforced culture as a keydeterminant that influences motives, values, and beliefs of individuals. Whereas, Tan's

35 (2002) study looked more specifically at culture and national effects and found national differences were found to be more influential than ethnicity. Tan's study suggested the importance of institution-building in promoting an entrepreneurial-friendly environment. Institutional theory has been a useful framework for numerous studies related to innovation. Studies in absorptive capacity, where firms are able to recognize value in external opportunities, assimilate the opportunity, and apply it to for profit (e.g. Cohen, & Levinthal, 1996), or strategy and decision-making in entrepreneurship (e.g. Ireland, Hitt, & Sirmon, 2003) have also provided a breadth of understanding to the study of entrepreneurship. However, few empirical studies of the nonprofit sector have provided much detail in the areas of capacities, strategies, and decision-making from an institutional perspective. Mohr (1969) examined the determinants of innovation. His research confirmed that innovations are the "function of interaction among the motivation to innovate, the strength of obstacles against innovation, and the availability of resources to overcome such obstacles (p. 111)." Overall, Mohr's findings on innovation influenced current definitions of innovation in an applied setting (e.g. Glor, 1997). Institutional environments and processes that foster social entrepreneurship are of interest in this study. Social network theory has been used to describe the links between entrepreneurs, opportunities, and resources. Primarily the theory has described the broad and complex social process of entrepreneurship that personality-based theory does not explain (Amit et al., 1993). Because these personal and professional networks are instrumental in changing institutional structures (Lawrence, 1999), the study of social

36 entrepreneurship will gain by connecting to larger bodies of existing network research, such as social capital frameworks (Johnson, 2000). Social Capital as a Transforming Tool A tenet of social capitalism is that recurrent patterns of interpersonal interaction will foster ties of trust and reciprocity that result in formal and informal alliances. The social capital framework extends beyond socialization tactics because its results become embedded into the structure of the organization. Work in organizational behavior has determined that formal organizations are made of informal networks of reciprocity (Bendor & Mookherjee, 1987; Burt, 1992). Moreover, significant work by Burt (1992) provided the field multiple empirical analyses that explain a network phenomenon of social capital at the organizational level. Over the past decade Burt's studies demonstrated that structural holes, which are the absence or relative weakness of connections between people, offer opportunities for "entrepreneurial behavior" in order to access the knowledge of others. Social capital is built through interpersonal relationships in social networks, increasing the flow of information for the benefit the organization (Granovetter, 1977; Burt, 1998). Burt suggested that social capital and social structure are a parallel phenomenon. Giddens (1979) opined that a structure that does not translate into action cannot truly be a 'social' phenomenon. Social capital may be what drives structure. Studies on social capital have been meaningful to the nonprofit sector as organizations must rely upon coalitions to sustain themselves (Clarke, 2002). The ability to mobilize and use resources is being entrepreneurial (Loidl-Keil, 2002). A better understanding of how social capital is acquired and used in institutional structures may

37 answer several questions. How does social capital commit others to the organization and its mission in the process of social entrepreneurship? How do these ties move innovation and risk-taking in an institutional structure? Measurement Issues in Relevant Research The previous literature reviewed has demonstrated an abbreviated view of the scope of research on social entrepreneurship. Other empirical measures have added to the understanding as it relates to supporting theories. The Aston measures have been used over the last few decades to examine organizational features of innovation (Osborne, 1998; Walker, Jeanes & Rowlands, 2002). These measures originally contained five structural variables (centralization, formalization, standardization, specialization, and configuration) and eight contextual variables (size, age, founding, technology, ownership/control, dispersal of locations, charter, and external resource dependency). The measures are useful in examining characteristics of innovative organizations; however, the measures do not demonstrate the way organizations can manage or develop innovations (Walker, et al., 2002). Social capital also has been an illusive concept to measure. The most consistent empirical approach to measuring social capital has been to align it with the definition used in a particular study. Thus, network theory has been used extensively (e.g. Burt, 1992; 1997a; 1997b; 1998) but has not been used to fully explore the relationship factors that mobilize individuals or bind them to the collective. No consistent scale to measure effects at the organizational or community level has evolved, so proxies are used in most research into social capital. For example a sense of attachment to a community (e.g. Cordes, et al. 2003; Miller, 2001; Pooley, Cohen & Pike, 2005).

38 In summary, there is no set of uniform variables that adequately explain the process of social entrepreneurship as it relates to social capital or institutional theory. The social entrepreneurship process may be the nexus of leadership influence, institutional structure, and social capital in nonprofit organizations. The Context of Nonprofit Settings This section delves more deeply into the research that has guided the nonprofit sector and explains its role in the context of the national setting. The first part of the section explains theories as they relate to nonprofit organizations. Following this discussion are sections organized by how institutional practices have guided the sector. Social entrepreneurship research and theoretical viewpoints are integrated into this section. Salamon and Anheier's (1998) theoretical perspectives are helpful to gain an overall sense of the evolution and role of the nonprofit sector. An abbreviated table is offered in summary (see Table 3). Table 3. Synthesis of Theory in the Emergence of Nonprofit Organizations Theory Explanation for emergence of an NPO

Government Failure/Market Failure

Based on the classical economic perception that the market is limited to supply sufficient quantities of "public goods".

39 Supply-Side Under particular circumstances, people (social entrepreneurs) have an incentive to create a nonprofit organization to meet a demand.

Trust

Due to a lack of information to judge the quality of goods or services, purchasers will seek alternative bases to establish trust. The nonprofit sector may achieve trustworthiness because they are less likely to be operating solely for financial gain.

Welfare State

The nonprofit sector exists as a residual to what the state cannot or does not provide.

Interdependence

There is an interdependence and partnership between the state and the nonprofit sector.

Social Origins

Based on an embeddedness perspective, where prevailing social and economic structures will have significant impacts on nonprofit structures.

Note. Adapted from Social origins of civil society: Explaining the nonprofit sector crossnationally by Salamon, L.M., & Anheier, H.K. (1998). International Journal of Voluntary and Nonprofit Organizations, 9(3), 213-248. The theory of social origins coincides with a demand-side perspective on social entrepreneurship. The demand-side view, as stated earlier in Chapter I, closely examined the context in which entrepreneurship emerges (Frumkin, 2002; Stevens, 2003; Thornton,

40 1999). This typology further demonstrates the potential for social theories to understand the emergent process of social entrepreneurship and contextual impacts. Nonprofit Institutional Structures Traditions and Values The four functions of the nonprofit sector noted by Frumkin (2002) are to promote political and civic engagement, to deliver critical social services, to be a vehicle for social entrepreneurship, and serve as an outlet for expression of faith and values. It is his premise that "only when nonprofits achieve important successes in each of their functions will they receive and sustain financial support and public acceptance that they need to continue to grow" (p. vi). Social entrepreneurship appears to be explained as a normative behavior in the nonprofit sector. Institutional theory predicts that the more an activity becomes a state of "taken-for-grantedness", the greater the possibility that it becomes institutionalized (Wicks, 2004). No unified theory of social entrepreneurship exists (Bygrave, D'Heilly, McMullen, & Taylor, 1996; Johnson, 2000). Social entrepreneurship is dominated by practice (Johnson, 2000) and social models of entrepreneurship are not distinguished as separate in many research agendas. The breadth of interdisciplinary research in entrepreneurship is "mind-boggling" (Kickul, Krueger, & Maxfield, 2005). Even premiere research conferences blend economic and social entrepreneurship under one umbrella (e.g. the annual Babson-Kauffman Entrepreneurship Research Conference). There are challenges in the nonprofit sector that affect the sustainability of programs (Pietroburgo & Wernet, 2004). Nonprofit organizations have moved more toward fees and charges for services, which has attracted for-profit entities to compete for providing these services (Salamon, 1999). Contracts with government and the private

41 sector have required a reengineering of the nonprofit sector's ability to provide effective and cost efficient services. Greater efforts have been made by nonprofit organizations to build internal capacities to provide and sustain programming (Lets, Ryan & Groomsman, 1999). Traditionally, there has been trust in the nonprofit sectors ability to be good stewards of philanthropic dollars. The new market-like character of the sector has undermined some of this trust. According to Salamon (2004), "a serious fault line seems to have opened in the foundation of public trust on which the entire edifice of the nonprofit sector rests" (p. 29). Values are a prominent feature of the sector. Volunteerism, pluralism, altruism and participation are the hallmarks (DiMaggio & Anheier, 1990). These values have reflected the American political values of minimalist government, pragmatism, and individualism (Clarke, 2001). Apparently the mainstay values conflict ideologically with the market-like quality of the sector. Consequently, the increased demands on leadership to follow current business trends must be balanced with preserving public perceptions of the organizations social character. It is beneficial for the role of nonprofit entities to be more visible (Raymond, 2004), and to have organizational accountability foremost on their agendas (Lee, 2003). There is growing concern by some who dispute the tax-exempt status for nonprofit organizations engaged in commercial ventures (Lasprogata & Cotten, 2003; Lets, Ryan, & Groomsman, 1999). There are some nonprofit-qualifying outliers, such as the National Football League (which has saved club owners under nonprofit IRS rulings millions of dollars by securing low interest loans for stadium projects (Peter, 2002). However, the majority of nonprofits work hard to encourage public trust. To do so, they

42 must clearly demonstrate the connection between their social mission and their moneymaking ventures. Government reaffirmed a commitment to monitor the nonprofit sector. A "Taxpayer Bill of Rights 2" created in 1996 and refined in 1998, imposed penalties for 501(c) 3 and 501 (c) 4 organizations to control excessive compensation and benefits given to employees (Burnstein, Boulanger & Batchis, 2001). And more permanent guidelines have been mandated under Internal Revenue Code 4958. This highlighted accountability and transparency as growing issues for the nonprofit sector. Institutional Practices Capacity Issues To better understand social innovations, it is necessary to examine organizational capacities. Capacities refer to operations, structures, and processes that shape and influence action (Sowa, Selden, & Sandfort, 2004). Few detailed models of good practice exist in the literature on nonprofit organizations (Johnson, 2000). However, there are many books and magazines that explain how to run a nonprofit entity. What is salient to the capacity issue is that, according to Salamon (2003), effectiveness in the sector is actually determined by organizational capacity. The question of whether the nonprofit organization has the capacity to be flexible and endure the risks involved for social entrepreneurship is an important one. Scale of the organization is significant. The flexible organization has more opportunity to forward social innovation. An ability to have lean, flexible organizations with decentralized knowledge and action is relevant to size and access to resources (Raymond, 2004). Small organizations have challenges. The majority of nonprofit organizations have incomes of less than $25,000 with limited market share. "Only three percent of nonprofits have

43 expenses over $10 million; 43.2 percent have assets of under $100,000" (Raymond, 2004, p. 103). Many nonprofit organizations are limited by their budgets to acquire the many advantages available in technology (Raymond, 2004; Salamon, 2003). An 'effective' organization in the nonprofit setting has, (a) effective boards as determined by stakeholder groups, (b) boards with higher social prestige, (c) use of management techniques that have been accepted as a norm among practitioners, and (d) change management strategies (Herman & Renz, 1998). Effectiveness is not a property of the organization (such as an employee); it is socially constructed as a set of judgments from stakeholders. Establishing benchmarks for effectiveness is difficult. There are twenty-seven types of tax exempt 501 (c) organizations alone (Raymond, 2004). Their missions range from educational, civic, social, fraternal, health, legal, religion, to arts and culture. These organizations target specific, needy populations to provide direct services or jobs with competitive wages (Boschee, 1995; Raymond, 2004). Even though the variety of services can be somewhat simplified as having "mutual benefit" or "public benefit" (Lee, 2003), effectiveness is still determined by outsiders' perceptions of mission fulfillment (Kaplan, 2001). Unfortunately, the rational economic model of entrepreneurship has demonstrated that many small community-based organizations cannot compete as well as larger organizations (Ireland, Hitt & Sirmon, 2003). As stated earlier, the size of most organizations in the nonprofit sector may limit their success in competitive situations.

44 Institutional Practices Strategic Readiness Under an economic model of entrepreneurship, entrepreneurs are seen to create value in a crowded market by creating new markets that move the economy forward (Sullivan Mort, et al., 2003). Whereas, nonprofit entities differentiate themselves in a crowded market through social entrepreneurship to add value by solving social issues (Barman, 2002). Because social entrepreneurship serves as an important benchmark to grow or sustain nonprofit organizations, it may be plausible that social entrepreneurship is motivated by a need for differentiation to attract new stakeholders or retain current ones. This may provide evidence that social entrepreneurship is a strategy for continuation. A better understanding of strategies for the adoption of market principles is needed in the nonprofit sector (Salamon, 2003). According to Sullivan Mort, Weerawardena, and Carnegie (2003), "entrepreneurship and marketing are closely related (p. 77)." Businesses can adopt strategies to address market demands while adjusting or expanding their missions. Conversely, nonprofit organizations must maintain their social mission as they look for innovative strategies. How social enterprises are marketed will greatly impact social perceptions and success at market entry (Sullivan, et al., 2003). There is a stream of literature on corporate entrepreneurship that from a rational economic point of view that examines strategy for gaining competitive advantages and increased firm performance (e.g. Ireland, Kuratko, & Covin, 2003; Zahara, Jennings, & Kuratko, 1999). Businesses are adopting innovation as part of their vision and culture. Thus, they use entrepreneurial approaches in their strategic planning. Ireland and colleagues contended (2003) that entrepreneurial approaches are really adaptive strategies

45 reacting to ''triggers" from the external environment. This pursuit for opportunity and growth, they stated, should define the "essence of the firm's functioning" (p. L1). Hence, corporate entrepreneurship is strategic in nature. Corporate entrepreneurship then is a process of committed action at the organizational level. Given the economic crisis in the nonprofit sector, are organizations committed to new ways of acting and responding, including corporate social entrepreneurship throughout their stakeholder networks? Is there evidence that there are institutional constraints attributed to the social entrepreneurship process? Institutional Practices Inter-Institutional Behaviors and Alliances New small businesses spur the economy, in part, by replacing outdated companies. The larger organizational mergers stimulate increases in market size, reportedly due to more efficient operations. What is not clear according to Raymond (2004) is whether these "death cycles" or the "urge to merge" scenarios are as useful in the nonprofit sector. If it is so, Raymond suggested that perhaps mergers and alliances may be what are needed to alleviate the current trend in declining revenues in the nonprofit sector. At present, hospitals, educational institutions, and only a small number of charities are able to successfully launch social enterprises (Thompson et al., 2000). Cross-sector alliances between business and social enterprise are promising events. These alliances have helped sustain nonprofit organizations while benefiting communities (Lasprogata & Cotten, 2003). Clay and Bangs (2000) provided a case-study of a public and nonprofit library system finding private funding. Fund raising and development have become necessary in library budgets, in part due to the costs associated with technology. In this situation the library reinvented itself as a public service

46 corporation. Strategy, information symmetry, mobilization of volunteers, innovative thinking, and strong evaluation processes helped strengthen their position in forging a private-public partnership. This was enforced through a managerial committee that oversaw the requirements to match goals and funding objectives that met requirements for legitimacy, including its tax-exempt status. Among other strategies, the library leveraged use of their foundation to attract financial support and partnered with two local utility companies to provide additional funding for their environmental collection. The study provided an exceptional example of a well orchestrated strategy to move processes through institutional structures. Institutional Practices - Leadership Strengthening vision, leadership, and resources are fundamental to continuation of the nonprofit sector (Thompson et al., 2000). Even though the capabilities and qualities of leaders are important, the concept of leadership as a process was often overlooked (Bate, Kahn, & Pye, 2000). Leadership was the identifiable pattern of behavior in the institution (Howlett, 2003). In the nonprofit setting, leadership can be distributed across the structure through key stakeholders. Building leadership can be an asset of the system, rather than a single person As mentioned earlier, leadership capacities in the nonprofit sector are challenged from a lack of marketing and financial management skills needed for a market-based approach to social innovation (Raymond, 2004; Zietlow, 2001). In a paper by Lasprogata and Cotten (2003), a 'call' to be entrepreneurial in the sector also required an ability to understand the legal implications of new enterprise and apply well-informed decisionmaking skills to the process. This included how to commercialize core programming or

47 adopt new programs to commercialize. Sometimes this requires establishing a separate independent business enterprise, forming a second nonprofit corporation, or forming subsidiaries. New organizational forms will require balancing social missions and revenues with its nonprofit status. Leadership is instrumental in change processes. A study by Nathanson and Morlock (1980) demonstrated that it was not the resourcefulness of an individual that brought forward innovation in the organization, it was the leadership capacity. Secondly, while the nonprofit sector is characterized by its ability to work collectively, it was determined that centralized power in a hospital setting facilitated innovation. This was counter to Raymond's (2004) assertion that lean, flexible organizations with decentralized knowledge and action are more able to be entrepreneurial. More entrepreneurial talent is needed in the nonprofit sector. An emerging talent was characterized as being more holistic in their thinking and possessing strong personal values of social activism (Raymond, 2004; Salamon, 2003). Leaders must be more skillful in collaborating and decision-making (Henton, Melville, & Walesh, 1997; Johnson, 2000). Summary The review of literature informed and provided an historical context for social entrepreneurship. Previous studies made apparent the institutionally charged and complex nonprofit environment. Also, relationship-building was featured as an asset of the organization. Moreover, studies found social entrepreneurship is an interdisciplinary area that remains in flux.

48 CHAPTER III Procedures This chapter outlines the procedures used in this qualitative multiple case study. First, the assumptions and rationale for a qualitative design are explored. Following this, the grounded theory design is briefly described, as is the role of the researcher, data collection procedures, data analysis procedures, methods of verification, and the procedures for reporting the outcomes of the study. Assumptions and Rationale for a Qualitative Design The core concepts associated with scientific analysis are philosophical in nature; they are the beliefs or assumptions researchers bring to a study. These concepts help to explain that there is lack of perfection in research because humans are involved (the individual as a researcher). This imperfection relates to how these assumptions influence research design and the efforts to understand the meaning of it all (Bryant, 2004). The qualitative paradigm used in this study possessed assumptions of knowledge claims about how the researcher will learn and what will be learned (Creswell, 2002b). These knowledge claims were the underpinnings of this primary research and the stimulus for selection of a grounded theory approach to the study. Knowledge Claims The qualitative paradigm is based on a constructivist principle: the belief that reality is socially and subjectively constructed (Merriam, 1998; Creswell, 2002a, 2002b). The socially-constructed institutional and social capital framework used as a backdrop to social entrepreneurship in the nonprofit sector indicates a naturalistic inquiry found in

49 qualitative research. The array of participants' world-views explained the social activity within culture and context (Allan, 1991). Interpretive research requires an understanding and analysis that is induced by the researcher. The researcher interacts with the participants to get close to the findings. Guba and Lincoln (1989) opined that the "inquirer and the inquired-into are interlocked in such a way that the findings of an investigation are the literal creation of the inquiry process" (p. 84). In this multiple case study, preconceived theory is used inductively to integrate with the emerging theory. A priori theory has interpretive value to understand another's reality and to explain behaviors or attitudes, particularly for an event, process, or situation (Creswell, 2002a; Merriam, 1998). A qualitative approach means the researcher is a participant with full awareness that it is a values-laden process (Dixon-Woods & Fitzpatrick, 2001) factoring in personal experiences and orientations. The researcher is an instrument in data collection (DixonWoods & Fitzpatrick, 2001; Merriam, 1998). Therefore, a researcher's worldview is relevant. While having acknowledged experience and knowledge in the areas of community, education, entrepreneurship, and the nonprofit sector, the researcher attempted to establish an objective stance toward the content and findings as they emerged. Methodological Assumptions An objective of this study was to develop a theory of social entrepreneurship that was grounded in context by using a qualitative case study approach. Merriam (1998) stated that if variables are so embedded into the situation as to be impossible to identify ahead of time, case study is likely to be the best choice. Using the case study approach,

50 questions of 'how' and 'what' gained access to the thoughts, ideas and emotions of the participants that would not be available in a quantitative approach. A second endeavor was to explore the process of social entrepreneurship using institutional theories and a supporting framework of social capital. This attempt to bridge theory as a new theory emerged was evidenced in the types of questions asked and probes used. This use of predetermined theory helped to shape the problem statement (Merriam, 1998) and was also a more purposeful application of what Glaser (1978) called "skip and dip". Glaser (1978) stated that the inductive, grounded theory design requires the researcher to read widely in substantive areas prior to fieldwork somewhat different than the actual target phenomenon. As the project enfolds, the researcher will then read and incorporate research that is more specific to the research area studied. Glaser suggested that the researcher can "skip and dip, thereby gaining greater coverage, since he now has a clear purpose for covering his field, which is to integrate his generated theory with the other literature in the field" (p. 32). It is clearly the researcher's objective to position the emerged theory as middle ground into the macro institutional theory and discover how the emergent theory may link to other theoretical frameworks. This, then, guides the last objective of the study. A third objective of the study was to integrate previous findings from multiple academic disciplines. A grounded theory of convening opportunity will expand interdisciplinary theories of leadership and social entrepreneurship. This emerging theory helped to bear out recommendations or propose best practices for Community Development Initiatives in the social entrepreneurship process. Merriam (1998)

51 emphasized that qualitative research is a holistic process that relates how interrelated parts form a whole. Entrepreneurship is considered a sequence of activity and behaviors, including the perception of opportunity. The characteristics of this holistic process are to create a new organization and pursue opportunities (Bygrave & Hofer, 1991; Hofer & Bygrave, 1992). Therefore, it was necessary to match the right methods to the purpose of the study. Grounded theory has been useful in examining leadership processes (Kan & Parry, 2005; McCaslin, 1993; Parry, 1998). Because researchers in the field of leadership use primarily psychometric testing of variables, an "enduring and integrative theory of leadership" (Parry, 1998, p. 85) has not evolved. Leadership is a social influence process and is best measured when the broader social context is considered. Given that future research agendas have called for more study on organizational processes of entrepreneurship (Zahra et al., 1999) and specifically, social entrepreneurship (Mair & Marti, 2003), then grounded theory, a comprehensive qualitative method, was an optimal choice to meet the study criteria. A grounded theory approach within this substantive area helps to resolve some of the deficiencies of quantitative measures by exploring and integrating context. Type of Design A Grounded Theory Multiple Case Study Grounded theory design is a "systematic, qualitative procedure used to generate a theory that explains at a broad conceptual level, a process, an action, or interaction about a substantive topic" (Creswell, 2002a, p. 439). The procedure involves the constant comparison of data with the emerging categories and continual sampling. This procedure

52 maximizes the similarities and differences in the data, grounding the theory in the views of the relevant participants (Creswell, 2002; Strauss & Corbin, 1998). Grounded theory methods were discovered by sociologists Barney Glaser and Anselm Strauss in the late 1960's. This method of research emanated from studies of terminally ill patients. It was Glaser and Strauss' contention that discovering theory based on concepts derived directly from participants will better fit the situation being researched than the more predominant sociological methods of verifying and testing theories (Creswell, 2002a; Strauss & Corbin, 1998). The properties of a grounded sociological theory related well to the objectives of this study, particularly, opportunities in Community Development Initiatives. The properties of a functional grounded theory are: (a) the theory fits closely to the area of study; (b) it is understandable by laymen concerned with this area of study; (c) it is sufficiently general so as to apply to daily situations; and (d) a person applying this theory can have control in everyday application of the theory to make it useful (Glaser & Strauss, 1967). Merriam (1998), in defining case study, concluded that the process of case study is melded between the unit of study and the type of investigation. This study was an instrumental case study. Primarily, the cases considered were secondary to the goal of understanding an evolving theory of social entrepreneurship (Creswell, 2002b). Consistent with the grounded theory methods, the significance and scope of domain and process were determined. The unit or domain level of analysis was apparent following a pilot test of the study protocol. The researcher was advised by an Executive Director in one of the nonprofit organizations that to truly explore processes "you will

53 want to study the initiative, which is our process of being entrepreneurial." Each initiative was explored at the domain level. "Domains can be thought of as the set of actors (individuals, groups, and/or organizations) that become joined by a common problem or interest (Gray, 1985, p. 915)". Exploring initiatives allowed the study to change the unit of analysis to the domain rather than an organizational set. This approach gave field level results as well. The field level focuses on the interaction between the aggregate community and its environment. A field is the result of community members' interactions, mutual influence of one another, and the shared meanings produced from these interactions (Smets, 2005; Wilkinson, 1991). The Role of the Researcher The researcher's bias is that the researcher's worldview is centered in experience and knowledge of the subject area. The researcher's past experience as a board member in a nonprofit organization, several years experience as a practitioner in Community Development, graduate education in relevant disciplines, and many years of experience in management and leadership roles. This experience base was helpful in gaining entry into the field portion of the study and was also useful in understanding terms or jargon used in the field. The disadvantage was an over curiosity of the researcher, since it is an area of interest to the researcher. The predetermined organization and techniques prescribed in the Strauss and Corbin (1998) methods were beneficial. This technique consistently grounds the analysis in data. The constant comparative analysis and simultaneous data collection also gave sufficient opportunity for the researcher to remain close to the data and not force the development of theory.

54 Glaser and Strauss (1967) called this relationship between the researcher and the data 'theoretical sensitivity'. It is an expected feature of grounded theory development. There are two characteristics of the researcher's temperament that define theoretical sensitivity. The first is an ability to have theoretical insight. The second is an ability to use the insight to make connections into that particular area of research. Theory that emerges in the study is derived from data and must be "illustrated by characteristic examples of data"(p.5), which further keeps the researcher close to the data. Techniques to reduce the data are essential in the application of grounded theory. The interview in grounded theory follows the criteria of qualitative research and is dialogic. However, it is necessary to move from broad to specific in order to reduce the data to specific patterns of activity or behavior. Hence, it is useful to use less structured questioning in the first phase of the study and to use very specific questions as the substantive theory emerge. A blueprint or knowledge structure of these patterns is a constructive guide for the researcher (Cohen, 1989). As the data are reduced the researcher is able to integrate other types of data into the study and into the final analysis. Data Collection Procedures Sampling Parameters A pilot test of the protocol began in July 2005 with seven in-depth interviews of key decision-makers representing four nonprofit organizations. This purposeful sampling provided information-rich details that identified the 'how' of processes as well as who, what, and where (Sandelowski, 2000). There are 27 types of tax-exempt organizations. So, a purposeful sampling technique was chosen (see Table 4).

55 Table 4. Sampling Parameters Sampling Parameters Settings Possible Choices Nonprofit organizations classified as 501(c) 3 with a mission that emphasized educational programming or advocacy for awareness. Key-decision makers as identified by the organizations. A social innovation as determined by the organizations. The actions, reactions, and strategies that introduce new ideas, opportunities, and influence the process of social entrepreneurship.

Actors

Events Processes

Sampling Method A qualitative design assumes the refocusing of the parameters for sampling throughout the study (Merriam, 1998). Thus, organizations were initially selected based on recommendations given through nonprofit networks and referrals. Data collected in the pilot phase demonstrated that nonprofit organizations may not be entrepreneurial. Once data had been collected that determined entrepreneurial processes could not be examined, it was beneficial to focus on Initiatives in the nonprofit setting as entrepreneurial processes. It also became evident to the researcher that a grounded theory approach would provide rigor as a qualitative technique to examine structure and process. Thus, purposive sampling changed to theoretical sampling as the study progressed, so that participants were recruited according to the needs of the developing theory (Glaser & Strauss, 1967, p. 45). This became a process of simultaneous data collection and data

56 analysis. Strauss and Corbin (1998) stressed the importance of careful theoretical sampling because it gives the researcher maximum opportunity to sequentially relate the emerging theory to new concepts derived from participants. By August 2005 the sample was refocused to participants representing public, private, and nonprofit organizations involved in either of two Initiatives. A total of 22 people were interviewed between July 2005 and March 2006. Second and third round interviews included six of the former respondents. Initial interviews from seven participants not related to the two foci Initiatives were used to augment data, but only as it related to institutional structure in the local nonprofit sector. Later, it was determined to not use the augmented data in this study. A total of 29 interviews were conducted for the study. Nonprofit organizations designated as Internal Revenue Code (IRC) 501(c) 3 Foundations were chosen as the entry point. The two foundations held primary roles in the two Community Development Initiatives studied. The U.S. Internal Revenue Service (2005) designates community foundations as public charities. The field-level Initiatives studied were a city and a state initiative. Participants were selected to be interviewed because of their engagement in the Initiatives and are identified by their role and relationship to the Initiatives (see Table 5): Table 5. Sampling for Two Initiatives City Initiative Organization Title National Foundation associated with Chief of Staff Initiative State Initiative Organization Title National Foundation associated with Vice President Initiative

57 Anchor Foundation Partner in Initiative Board for Foundation Partner in Initiative Nonprofit Entity and Partner in Initiative Partner in Initiative Partner in Initiative Partner in Initiative The City Initiative The city initiative was funded from federal and local grants, the local school foundation, and community-based organizations. Partners represented in the initiative included private, public, nonprofit, business, and community members. These partners provided leadership, resources, and programs for the initiative. The purpose of the initiative was to provide innovative programs for youth, families, and the community to improve learning and overall enrichment opportunities for the child and the community as a result of strong school/community partnerships. The State Initiative The state initiative was funded from national, state, and local philanthropic funds, fee-based services, public entities, and community-based organizations. Partners represented in the initiative were private, public, nonprofit, and community members. These partners provided leadership, resources, training, policy information, and programs to target the goals of the initiative. The goals of the initiative were to provide a Executive Director Chairman Initiative Coordinator Executive Director Anchor Foundation Partner in Initiative Board for Foundation Nonprofit Entity and Partner in Initiative Nonprofit Entity and Partner in Initiative Nonprofit Entity and Partner in Initiative Partner in Initiative Partner in Initiative President and CEO Past Board Chairman Co-Executive Director Co-Executive Director Executive Director Site Leadership Program Organizer

Public Partner Private Partner Site Leadership

58 framework to work in partnership with rural communities to reverse current trends of rural decline and foster new hope and strategies for a prosperous future. Data Collection Access According to the research protocol, the Executive Directors of five nonprofit organizations were first contacted by letter or email to introduce the study and invite participation (see Appendix B). The researcher returned phone calls to individuals or responded to emails to schedule interviews and answer questions. One organization did not respond to the invitation, and one organization chose not to participate. Each willing participant signed an informed consent to be (audio-tape) interviewed (see Appendix C). With the exception of two phone interviews, all first round interviews were in person at their work locations. Two Community Development Initiatives were the focus of the study. The anchor organizations of these Initiatives, two nonprofit foundations, were selected as entry points into the study. Each foundation's Executive Director provided an overview of the network and contact information for the partners in the Initiatives. The directors also gave continuous support and additional materials throughout the study. Ethical Considerations The following general standards were adhered to in this study: (a) the primary researcher was responsible for the ethical standards; (b) all participants were informed about aspects of the study that could influence their participation; (c) requirements of the University of Nebraska, Institutional Review Board were followed (see Appendix C). Executive Directors from the two anchor organizations were considered individuals with

59 authority or gatekeepers (Creswell, 2002a). Their permission was sought for access to study participants involved in the Initiatives. To respect privacy, pseudonyms were used for both the participants and the organizations. Data Analysis Procedures Grounded Theory Methods Two key features of the systemic design (Creswell, 2002) for grounded theory were implemented. The design provided a close reciprocal and iterative relationship among data collection (data and participants), analysis, and theory. After a determination was made to proceed with a grounded theory approach, the researcher chose the rigor of the Strauss and Corbin (1998) techniques. The stages of Straus and Corbin's methodology that followed in this study were: 1. Identify a substantive area to be examined. 2. Delimit a process in this domain. 3. Collect data to explain the phenomena that underlies this process. 4. Open-code the emerging categories in the data. 5. Identify a central category. 6. Axial code data to rearrange the categories in meaningful ways to identify how process relates to structure so that a model of a knowledge structure would emerge. 7. Selective coding of data to explain the key categories and present a story by integrating and refining the theory. These stages were both simultaneous and concurrent as the study moved forward. The nature of the study (how it unfolded) determined the movement between coding stages.

60 This was based on the quality of the interviews and the interaction between the researcher, the data, and the evolving theory. Computer Analysis A choice was made to use computer-based qualitative data analysis software. The relevance of this decision will be made more apparent in Chapters Five and Six. Software usage provided maximum opportunity to collect a broad range of data, organize data sets, and give instant retrieval of data consistent with grounded theory (Bong, 2002; Pandit, 1996; Weine, et al., 2004). ATLAS ti, V. 5.0 was the qualitative data analysis software used in the study. The researcher was self-taught. The version of software operates in a Microsoft Windows environment and is exceptionally user-friendly. However, there were some problems experienced that resulted in lost or corrupted files. These problems were most likely a result of user-error than a problem in the software. The features of the software that proved most useful included having the files act as containers for memos, coded transcripts, materials supplied by participants, copies of relevant research and news articles, and the narrative support (which included transcripts and notes after speaking with cultural informants). Instantaneous retrieval of data enhanced the comparative analysis to elaborate relationships or develop dimensions in the study. Methods of Verification Strauss and Corbin (1998) discussed the suitability of using quantitative standards to judge qualitative. According to them, validating or verifying the accuracy or credibility of a grounded theory study is found in strategies incorporated into the research and

61 quantitative measures are not sufficient. According to Merriam (1998), the internal validity comes from the match between what is real and the researcher's understanding of the realities constructed by the participants (Creswell, 2002b; Merriam, 1998). Internal Validity The steps used to ensure internal validity in this grounded theory study were: 1. Triangulation. Multiple sources of data and methods were used. The number and range of interviews were consistent with the grounded theory design. Sampling was completed when saturation of categories occurred (Strauss & Corbin, 1998). Additional materials were provided by participants. They were: transcripts of a produced DVD, newsletters, news articles, web-based data, journal articles, and additional commentary from phone conversations. Observations of the researcher in the setting provided another source of data. 2. Inquiry audit. A process developing through the constant comparative analysis done in the grounded theory procedures and captured in the memos created by the researcher. 3. Member checks. All participants reviewed verbatim transcripts of their

interviews. Participants were interviewed sequential to data analysis. This provided feedback on the knowledge structure as it developed and helped develop the generative theory. 4. Peer debriefing. An alternative to an external audit was a peer debriefing accomplished through the Office of Qualitative and Mixed Methods Research, University of Nebraska-Lincoln. The researcher met with Dr. Vicki Plano-Clark at regular intervals throughout the study from April 2005 to March 2006, to debrief on issues related to the

62 research methods and techniques used in the study. In addition, Drs. Gina Matkin, Georgianne Mastera, Dana Miller, and Kay Lynn Kalkowski were available for open discussion on conceptual issues and methods that helped bring concepts to a manageable level during theory building. 5. Respondents were involved in all phases of the research. Many participants in the study enthusiastically provided general comments about the research during the interviews. Several participants were interviewed multiple times with specific questions related to the 'gaps' which formed as theory evolved. 6. Recognition of researcher's biases. At the onset of the study the researcher's biases and assumptions were stated. The researcher provides an interpretation of another's reality. External Validity Validity, according to Strauss and Corbin (1998), is the explanatory power of building a substantive theory "one developed from the study of one small area of investigation and from one small population" (p. 267). The purported merit of a grounded theory study is the application to the population from which it originated. The more the inquiry is systematic and intensely reaches the significance of the process through theoretical sampling, the greater the explanatory power of the theory. The results of this study cannot be applied to all community Initiatives, or to all cases of social entrepreneurship. The descriptive detail from interviews with such extraordinary social entrepreneurs (leaders) should provide the field an opportunity to compare, contrast, and relate.

63 Reporting the Outcomes The description used in qualitative analyses can become a profound picture of phenomena when reported in a study. However, Strauss and Corbin (1998) emphasized in report writing that there are specific formulations that prove theoretical density and description is secondary. Grounded theory reports an analytical story that clearly incorporates the formulations of "problems, issues, and the use of strategies or actions/interactions to manage these problems or issuesand explain what consequences occur as a result of those actions/interactions" (p. 267). This is a theoretical study. Few references to related research are interspersed through this story of an emergent theory. The shaping of theory comes from the data. Insights from the researcher link the emergent substantive theory of 'convening opportunity' to broader theories in the final analysis. Hopefully, the paper provided intellectual stimulation and has probed theoretical connections. However, true to the qualitative paradigm, the participants' in vivo terms and natural language from extensive interviews provide a story of social entrepreneurship. It is their view of personal beliefs, oftentimes why they believed, and a wealth of experience that are unique to this study alone.

64 CHAPTER IV

Descriptive Case Studies of Two Community Development Initiatives Introduction The purpose of the study was to develop a theory of social entrepreneurship drawing upon two community development Initiatives. The research design is a grounded theory multiple case study. More explicitly, it is an instrumental study, which places the emerging theory 'convening opportunity' as the item of interest and the cases studied in a supporting role (Stake, 1994). What follows in this chapter are two descriptive accounts of the cases used in the study. These accounts describe the context for an emerging theory of social entrepreneurship. Two nonprofit foundations are featured in the study. Each organization has a singular founding history and different missions and programs serving a targeted constituency. Each is organized according to its own charter and bylaws. For purposes of anonymity the description of the cases will incorporate pseudonyms and a required vagueness to protect confidentiality of the participants. Accuracy in portraying the Initiatives was provided by participants' interviews, additional written and audio materials, and the researcher's observations. Foundation for Rural Opportunity Institutional Features The Foundation for Rural Opportunity (FRO) was established in 1993 as a nonprofit, charitable organization. It manages over $17 million in assets and provides financial management, strategic development, and educational services to donors,

65 organizations, and communities in the state. The organization has established approximately 170 affiliated funds intended for community betterment projects. Under the FRO umbrella, community organizations are able to obtain IRC 501 (c) 3 nonprofit status. The Foundation manages the funds for a small fee, and is able to aggregate the funds and invest them for an enhanced rate of return. FRO also assists with fund raising and several business management operations with the community organization. The Foundation has 22 directors on its board and another 16 serving in honorary capacities. These directors live and work in multiple areas across the state and represent the diversified needs of the state. Several of the founders of the organization, including a President Emeritus and an Immediate Past Chair, remain active influences in operations and outreach. The board for FRO had well developed leadership. The breadth of experience included: entrepreneurs, policy-makers, business owners, bankers, and more. Training provided by a national Institute benefited relationship building within the executive group. Enhanced communication and direction setting, particularly converting general ideas to specific application, was considered important to a board according to its past Chair. Having philosophical agreement on the most important issues was also important. Engaging the public and making decisions about their future was one value that led to promoting an environment where a hometown takes care of its politics, leadership, youth engagement and philanthropy. This follows the foundations simple mission "the betterment of the state's communities and organizations". Due to its administrative role over other foundations within the state, FRO has committed to being a clearinghouse of information regarding best practices for foundation administration, fund raising, governance, development, education, and outreach. FRO was on a continuous pursuit to find and exploit the standards of success in community development as it related to philanthropy.

66 Joseph, President and CEO for the Foundation, reflected that a healthy institution is necessary in order to provide the kind of cutting-edge work needed in a state that is facing so many economic challenges. Although increasing staff beyond the current 11 would be favorable to meet a growing demand, Joseph considered his staffs' talents instrumental in the innovative approaches to philanthropy. FRO has received national attention for its innovative approach to applying wealth-transfer strategies to philanthropy. In 2000, the foundation benchmarked a new tool in community fundraising. The tool was challenge grants of several thousand dollars contributed by individuals, corporations and foundations to be used in communities across the state. A community match was required, based on a population-based sliding scale. Census figures determined the matching requirements. Communities had up to four years to reach their required match. This encouraged local community leaders to create and build endowments by starting "founders clubs". This effort was consistent with FRO's goal for the state's philanthropic funds to gain at least five percent of the wealth-transfer in the state. A national study published in 1999 estimated that the transfer of wealth in the U.S. would be in the trillions over the next few decades. Leadership from FRO partnered with the Rural Policy and Business Center (RPBC) to examine implications from the study. Using strategies from this study, the partners instituted their own study in 2001. They found that the peak wealth-transfer in the state would occur in 2015. Given a sense of urgency from these findings and current conditions of rural socio-economic decline in the state, a philosophy to "marry philanthropy and entrepreneurship" was born. FRO drew into partnership with two other nonprofit agencies the RPBC and the Midlands Management Institute (MMI). These partners intended to "make the case" for a broad rural redevelopment strategy. Part of the case was to change prevailing mindsets

67 that had fatalistic attitudes about rural decline. For example, it was stated that Midwestern values of modesty were an asset and could also be a problem if it "manifested negative projections about the future" in rural areas. Rural areas needed archetypes of success to demonstrate that local people in rural areas could reinvigorate their economies and curtail outward migration. There just wasn't enough charitable money or government to get everything done that was needed to reach these goals. FRO believed money was a tool, not an end goal. Therefore, values, strategy, serendipity, and expertise were translated into an initiative to "grow hope" through a social enterprise. Joseph, stated, "The beauty of the way the State is set up, and the way the culture works in this particular place, is there is the opportunity to collectively pursue the greater good here. So as I think through wanting to be a social entrepreneur in an environment like this I cant think of a better place to do it." Joseph saw his role as a leader to connect the dots, to walk before running and to remain in the context of "proven-up relationships". The State Initiative Opportunity Trajectories Facilitators By 2001 three nonprofit entities, including FRO, created a strategy for a state initiative that would essentially "marry philanthropy and entrepreneurship". A short time into this process a fourth core partner was identified. All four partnering organizations had statewide and national recognition regarding their work on rural issues. Over the previous four or five years there had been continuing sets of conversations regarding the critical resources necessary to commit to an Initiative for rural redevelopment. In 2002, a small grant was given by a national rural development consortium to pilot a comprehensive Initiative in one county in the state. This pilot, which would become Sustaining Rural Prosperity (SRP), was a new social enterprise

68 formed by three of the core partners. The scope and impact of this Initiative had never been realized before in the state. There had been prolific conversations over the years between the core partners of this Initiative and a leader from a national foundation. According to the national foundation leader, the earlier work of FRO, which had signified wealth-transfer as having considerable impact on rural revitalization, had caught the attention of the national foundation. Based on the fertile relationships between the national foundation's leadership and the core partners, the new focus on wealth-transfer, and the achievements of the pilot project, SRP was awarded two million dollars over a three-year period to expand SRP into the rest of the state. The framework created by SRP was recognized for its reachable goals and strategies that focused on building the capacities of leadership, wealth-transfer, entrepreneurs, and youth in rural areas. Convening Opportunity Recognizing, Strategizing, and Structuring Opportunity The SRP Initiative grew organically around existing relationships of colleagues working on rural issues. They were not considered as partnerships of peers alone. The Initiative sought partners wherever mutual interests brought people together so that working together brought everyone farther than if done independently. Over 20 collaborative partners have been acknowledged, which included groups or organizations that were public, private, and nonprofit. The four core partners had portfolios of programs and training, in which they were already engaged statewide and some nationally. These programs represented leadership development, entrepreneurship research and training, consulting, policy, grant making, and philanthropy. SRP would receive much of its initial support from the funding of the national foundation. However, the Initiative would be a consulting business model. Partners have a performance contract whereby they are compensated for hours or completed objectives.

69 This compensation would come from the communities that engaged the SRP Initiative. The partners considered this social enterprising essential for sustaining the Initiative and to honor the values of collective goals. The Initiative established new sets of systems "that would take a series of burdens off the backs of small communities." The focus for the Initiative would be communities with a population of less than 5000, which was over 90 percent of the state's communities. Balancing the basic values that underlie SRP and its mode for service delivery helped determine the scale and scope of the Initiative. Primarily, the leadership of the partners in the Initiative believed that communities do a better job of controlling their destiny as opposed to somebody else. Therefore, in their view it was important that the redevelopment processes be owned by that community. Leadership in SRP believed that charging fees for their services in communities was aligned with those values. The SRP Initiative grew "organically around existing relationships". The Initiative was new and sought to create viable networks to apply learning from the three dimensions featured in forming the strategies of the Initiative. These were to align the benefits of research, practice, and community voices. In the words of the SRP members, this collaboration was not considered as "partnerships of peers"; partners were sought wherever "mutual interests brought people together so that working together brought everyone farther than they could independently". The framework was operating in seven communities in the state. They had plans to expand over the next three years. How SRP was structured is difficult to describe. The structure resembled the reported outcome, which is a flexible community that is open to emergent change. Each of the partnering organizations provided some type of programming based on assessment of the community's needs. These processes were undergoing development and had the potential to be in a constant dynamic state. Essentially, the outreach from many resource providers is gathered under the umbrella of the Initiative and focused toward one of the

70 four core targets of philanthropy, youth, entrepreneurship, or leadership development. This focus and umbrella approach helped to avoid duplication of services and had provided a network that did not exist prior to the Initiative. Activities were intended to be "value-added" into the community's own processes and not interventions imposed from the outside. The key to focusing community engagement into one or more of the target activities was a person in the community or county who served as coordinator. This coordinator may be a service provider or, potentially, a community volunteer. A characteristic of the model was the "fuzzy boundaries" concept that is consistent with an entrepreneurial model. The hallmark of the SRP Initiative was to build capacities not only for the communities but for those doing rural development. SRP had received national attention as a transportable model that could provide systemic change in rural areas. Many of the partners were asked to present the concept to national audiences. The Initiative has hired external evaluators to look at these processes. As an archetype for rural redevelopment, the evaluation will help to determine among things whether the model is sustainability over time and can demonstrate measurable impacts. The latter has already been identified. Stories were published in syndicated newspapers that demonstrated "hope grew" in several communities in the state through new strategies for redevelopment. The stories captured the communities' voices, and the SRP was merely a backdrop to their stories. SRP, according to one of the partners, was right where they wanted to be. Foundation for Excellence Institutional Features The Foundation for Excellence (FE) was established in 1989 by a school board to support public education in a large urban area in the Midwest. From an initial gift of $150,000 to becoming a pass-through organization of over 13.5 million dollars, the

71 foundation has provided a significant "margin of excellence" to public education in the community (Newsletter, 2005). There was proven leadership at FE. Kathy, the Executive Director, credited the competencies of the foundation's staff and governing board. Kathy had led the organization for 15 years. She was recognized on local and national levels and served as a consultant for other educational funds nationally. She remained active in community groups and sat on the board of directors for other local nonprofits and a national educational network. An ample number of volunteers served on the board of directors (21 to 29 at any one time). The board met six times a year and each director served on one standing committee and one fund raising committee. Committee chairs were also required to attend an Executive Committee that met once a month. Directors were chosen from leadership in many professions, including public education. Fundraising requires an agile board. Kathy's past experience led her to conclude that having more members was better and keeping them longer best. Bylaws of the organization limited each member to two terms of three years. According to Kathy, this is not long enough for fundraising. Kathy innovated by creating a non-governing group of around 60 volunteers called a Board of Trustees. This board consisted primarily of couples, with perhaps one of the couple having had previous experience with the foundation. This enhanced networking is vital in philanthropy. Maintaining institutional histories and knowledge are considered important to nonprofit boards and the wellbeing of nonprofits in the community. Thus, the requirement to rotate-off boards isn't optimally efficient for organizations. According to a

72 board member of FE, "there are a handful of people" willing to volunteer for nonprofit boards in the city. It was related that although there is a desire to bring new "blood and new experience" into the governing roles, there were benefits to having this handful of people serve on boards around the city. In his estimation, there was value in the "crossfertilization" provided from those few volunteers that remained faithful to serve on nonprofit boards. The shared institutional histories from other organizations opened communications and allowed for more unified support. Understanding mission risks or opportunities are aspects of careful and strategic decision-making. The Board Chair stated it was "absolutely true" that board members must understand the culture of the nonprofit environment. It takes time to adjust to the language in the nonprofit sector, especially the excessive use of acronyms. It was related that, "You probably get the highest value from your board member after theyve been there for awhile." About ten years ago, a local study showed that 75 to 80% of the city's residents no longer had children in school. As a result of these findings, and a trend nationally to encourage social responsibility, the directors of the Foundation created a Public Engagement Committee. Its purpose was to inspire more community involvement that would promote the reciprocal benefits of a healthy educational system. There was resistance by core collaborators to the concept ''public engagement". Some had the notion this term meant something was broken and required fixing. However, the committee understood public engagement as positive, meaning "democracy in action". The school district had been recognized as one of the best in the nation. Reassurance by the Foundation and broader use of the term elsewhere in society relieved misunderstandings.

73 This view of public education's link to public engagement and democracy was also promoted by the National Network of Foundations for Education (NNFE). An executive for NNFE emphasized this by stating, "We believe in the role citizens and the public play in improving our systems of public education". The role of local education funds, such as FE, was to be "effective intermediaries in their community". These were core institutional values for public education as stated from an NNFE representative: We believe that public education is fundamental to a democratic and civil society. The American public needs to see public education as a kind of institution that really helps move forward the agenda of a democratic and civil society. To shape new creative social movements that engage a broader constituency requires convening processes that move with and against forces of change. The Foundation for Excellence's mission was to raise funds, recognize excellence, and reinforce positive relations between the community and the school. The first two "R's" in the mission support the last "R". Reinforcing positive relations requires balancing leadership among the foundation, the school district, and the community, and also balancing available resources. Julia, a former foundation employee and member of the city initiative, identified the highly bureaucratic nature of the public educational system as "predictably planned, annual activities that happen over and over". Usually these large structures support only incremental changes. The change agents (leadership) within and without of the system have unique challenges. "You have to be able both to be willing to challenge people on the strength of their conventional thinking and challenge them to think in new ways and just do it."

74 The City Initiative Opportunity Trajectories Facilitators The apothegm of "just do it" in the minds of the foundation was a community Initiative. There were several trajectories that created the Initiative. A national foundation would commit both knowledge and financial capital to grow the social enterprise. Momentum through many varied activities at the local level carried the Initiative. The local community foundation had granted $100,000 to FE for youth development programming. Simultaneously, the school district had applied unsuccessfully for a grant (called 21st Century) directed toward low performing schools, under the No Child Left Behind Act. The focus of the grant was primarily for school districts to provide students with academic enrichment during after-school hours. All activities were geared toward meeting local and state academic standards in subjects such as reading and math. Programs were to also include character building and contemporary issues facing youth and families. A previous Director for Public Engagement at FE had worked closely with the district as they prepared its grant application. The language in the grant application connected to the underpinning ideals in another collaborative that included FE. The scope of the federal grant was to create after-school programs called City Educational Centers (CEC). FE's knowledge and experience in the community helped to determine a broader focus was needed than the federal CEC model. Hence, FE applied for funding from the local community foundation to launch a feasibility study around CEC issues.

75 Convening Opportunity Recognizing, Strategizing, and Structuring Opportunity Parallel to these events, the foundation was working with two other community Initiatives that brought multiple stakeholders together. Experiences demonstrated that there was more public engagement with broader Initiatives. The Foundation compared findings from the feasibility study, assessments of community needs, and weighed these with prospects for funding. After examining the alternatives proposed by the federal grant, they chose to create an Initiative that would be more collaborative and systemic than the features of the CEC model proposed by the federal grant (and what currently represents the models known nationally also as CEC). FE recognized an opportunity to convene other community partners around the issue. Through sets of conversations with stakeholders, a strategy was proposed. Kathy visualized the values embedded in the Initiative as: If you imagine a child coming to school with all these bags [physical, social, and economic needs] they cannot concentrate and be a good student if theyre dealing with all of this. So it was a really clear place for us to be. people were concerned about, Oh should tax dollars be paying this or not? This is clearly community development at work. Our outcome is better achievement and better success for this student in this school. So it was a perfect opportunity for us. Kathy acknowledged the interdependencies between problems, solutions, and stakeholders. The Initiative set a course to make the case for better education through community development. In keeping with the FE mission, this meant that they would have to share financial responsibility among stakeholders able to provide resources. As

76 Kathy stated, "We had to be very careful we didnt want this to become something that we alone had to fund." Over 80 meetings in the first two months were conducted with community-based organizations to get their input and to discover how this new social innovation would be structured. A founder in the Initiative explained:" [The] key innovation with the CEC model was identifying strong community partners that would be the lead organizations in making CEC work". Lead partners in CEC represented another four nonprofit organizations and public education. Other partners included several private businesses and many community members. These partners had to commit and be able to support and promote mutual goals of CEC. Leadership at FE made the case that to be a doable and sustainable Initiative, it was necessary to infuse CEC concepts and planning into the community through these partnerships. This meant bringing the CEC framework through the schools directly to the families. The structuring of the Initiative was values based and focused on the interdependencies around multiple stakeholders that included the community. Public education was seen as the "heart of democracy". Leadership envisioned: collaboration as a basis for positive systems change; life-long learning as a shared responsibility within the community; and that the schools were not solely responsible for education. The CEC model applied these values to four goals: improved student learning and youth development, strengthen and support families, strengthen and engage neighborhoods, and create a systems change that would sustain the first three goals.

77 Committees were not limited to youth development activities or after-school care. Other issues related to health, housing, social services, and neighborhood organizing were under the CEC umbrella. An example of a community betterment project related the purpose of making neighborhoods more appealing for property valuation and pride. Public organizations representing housing and social services were working through committees with CEC, to help with housing. High mobility was seen as having "a tremendous impact on the childs education" when going from school to school. Another strategy would be to use school buildings as pivotal assets. The earlier study by FE had found that 86% or so of the community wanted to have CEC in their school. "The "tipping factor" as Kathy called it, was when sufficient branding of the Initiative occurred so that there was "buy in" from the community. Hence, the tipping factor was favorable. An enterprising feature was that most of CEC sites would initiate some type of fee-for-services in the after-school programming to subsidize costs. This was a major structural shift from the original concepts of the 21st Century grant. The CEC Initiative eventually became a structural umbrella for youth and community development programming in 19 schools provided by five local agencies. These programs were not limited to after-school activities like the scope of the national CEC. Sustainable and systemic change required building current capacities in the community. The first capacity built was five leadership groups to organize the activities of CEC. The structure for the CEC Initiative was, as one member said, "difficult to get your head around." There needed to be enough framework to legitimize the Initiative and avoid turf issues and yet enough flexibility to allow it to be creative. Communication

78 among partners was largely done through formal meetings and informal networks. Lee, a coordinator for CEC said, "Informal meetings with partners, thats a lot of the times where the rubber meets the road." This related to maintaining relationships of trust and obtaining the buy-in of each stakeholder to their ascribed roles. Applying previous experiences and knowledge from multiple collaborations was important. Limited success in two Initiatives showed that it was difficult to sustain public engagement if there was not a "balance" of leadership. Metaphorically, Kathy's view of an Initiative is a sandwich, where an Initiative rests between the two layers of grassroots leadership and formal leadership. In the case of one Initiative, the grassroots side was too heavy and not enough leadership. Whereas, in the other Initiative, formal leadership was held too tightly by one person and subsequently there became a lack of energy around the process. By 2001, FE had received a $536,000 grant obtained through the NNFE for its initiative. The NNFE obtained grants from various private and public sources, including governmental agencies, which they were able to pass through to local education funds. The Network had influence nationally and internationally and functioned as an information clearinghouse for interests in public education. The Network worked closely with policy makers, funders, and foundations to ensure quality and accountability in education. They were able to promote the city's Initiative as a transposable model for other communities to emulate. The city's Initiative was a direct result of leadership at FE and the resources provided through NNFE. Community-based partners, private partners, and public support convened opportunity through the CEC framework. Opportunity was convened around

79 the values and interdependencies of community stakeholders to address systemic change. Hence, the goal of education and public engagement were addressed in a new and creative way. The schools provided the built infrastructure and CEC developed a talented and trained staff with community partners. Through the Initiative new and contemporary services were began for youth and families. There were many conditions that facilitated and constrained the process. The cultural milieu of public engagement rising to the forefront was helpful to make the case in this institutional environment. Finally, local capacities were developed and used to leverage resources and create community partnerships for CEC. Summary The descriptive cases provide a backdrop for the evolving theory of 'convening opportunity' in the two initiatives. Leadership, from the two nonprofit foundations featured in this chapter, was instrumental in championing these new institutional forms the Initiatives. The two nonprofit organizations were the entry point for the researcher in the study and served as referent organizations. This allowed the researcher to address the institutional character of the nonprofit setting. Nonetheless, the data will show that the story of 'convening opportunity' unfolds the result of the Initiatives are to catalyze opportunities during the emergence of the community-field. The field is the pattern of community members' interactions, where these interactions result in mutual influences and shared meanings (Wilkinson, 1991).

80 CHAPTER V Developing a Grounded Theory Coding Procedures The strategies formulated by Strauss and Corbin (1998), and how they applied in this study, are set forth in this chapter. The categories described in Chapter III are developed, the context of the cases in Chapter IV is expanded upon, and a knowledge structure is related to an emergent theory of convening opportunity, which is more fully developed in Chapter VI. The two basic techniques for developing grounded theory are: constantly making comparisons and the asking of questions (Strauss and Corbin, 1998). These operations are interwoven throughout the study. Strauss and Corbin (1998) stated that "A good question is one that leads the researcher to answers that serve the developing theoretical formulation" (p. 76). These may be sensitizing questions that explain the data, e.g., "what is this?", or "what is happening?" or," what actors are involved." Or the questions may be theoretical, e.g., "what would happen if", or "how does what is explained here affect the structural issues I am seeing?" A third type of questioning is more practical or structural, e.g., "which concepts have developed well?", and "is the developing theory logical", etc. The final type of questioning, according to Strauss and Corbin, are guiding questions that open up the research as a theory evolves, e.g., "how does X (the evolved theory) affect Y and influence J?" Grounded theory includes three phases of coding data, while recognizing the artificial boundaries between each such coding phase. This may seem confounding.

81 However, there is automatic and subconscious movement between phases of coding, notwithstanding that very deliberate attention is being given to precision during each phase. Thus, Strauss and Corbin's (1998) analytic techniques are rigorous and very demanding of a qualitative researcher. A required diligence to record thoughts and ask questions of the data during coding alternated moods between tedium and creative fluidity. However, there was always a sense of forward momentum because of the guidance and prescriptive nature of the process. In a personal interview with Dr. Kathy Charmaz (November 2, 2005), (writer and co-editor of Good Days, Bad Days: The Self in Chronic Illness and Time), she stated that the prescriptive nature of the Strauss and Corbin method is limiting. Charmaz claimed that creating procedures as you work with the data is a better approach to grounded theory. In her opinion, systematic grounded theory such as the Strauss and Corbin method is prescriptive rather than theoretical. She feels her approach allows researchers to "innovate, rather than impose upon the data". While this is the researcher's first experience with grounded theory, it appears that the earliest prescripts of Glaser and Strauss (1967) were entrepreneurial and went against conventional standards. The grounded theory method assembles resources in new ways via the ability to systematize data around multiple sources and methods for obtaining data. The researcher concluded that Strauss and Corbin's techniques to use pre-assigned categories (causal conditions, phenomenon, context, intervening conditions, action/interactions, and outcomes) are a pattern to induce process in new theory generation, rather than a template to impose a boilerplate theory or knowledge structure.

82 Open Coding Open coding is a data analysis technique to "open" the data to the emergent phenomenon. "Broadly speaking, during open coding, data are broken down into discrete parts, closely examined, and compared for similarities and differences" (Strauss & Corbin, 1998, p.102). During this phase of coding labels were applied to give meaning to the ideas, events, and incidents participants described. The first twelve interview transcripts were coded sentence by sentence, assisted by the use of ATLAS ti software. This allowed the researcher to become "immersed" in the data. During this process there was constant comparison of the data. Comparable data sets were grouped under like terms. The length of the transcripts, coupled with the small segments of data coded, yielded 213 codes in this first phase. Although these small segments of data provided more codes than manageable, there became an immediate sense that certain groupings or categories were emerging (see Figure 2 in Appendix C). In these mid-to-early phases of analysis, categories and subcategories began to emerge from the data. As many 'in vivo ' codes as possible (terms used by the participant) were used to relate to broader concepts. The technique of adding properties (characteristics) and dimensions (possible range) to the codes evolved into sets of data. This technique conceptualizes what data belong to a category and its sub-category (see Table 6). The categories and sub-categories are data driven, names for properties and dimensions are interpreted by the researcher to characterize the categories. How the data was used to develop these terms is demonstrated in the Axial coding section of this chapter.

83 Table 6. Categories generated during open coding.

Category Trajectories Sub-Category External Facilitator Properties Thought Leaders Champions Resource Provider Leader Legitimacy Social Entrepreneurs Champions Resource Provider Leader Legitimacy Recognize Opportunity Stakeholder Interdependence Values Strategizing Mission Driven Dispersion of Leadership Structuring Institutionalize Process Applied Learning Learning Network Reallocating Resources Strategies Interactions Making the Case Putting problem in context Find agreement/organization Find agreement/partners Obtain community buy-in Forging Partnerships Organizational assets Community assets Public assets Relationships Influence in the Initiative Influence in the Community Influence in the Sector Conditions Capacities Personal Capacities Recognize strengths Legitimating Expertise Institutional Knowledge (in Domain) Organizational Capacities Institutional features Legitimating Expertise Institutional Knowledge (in Domain) Community Capacities Institutional features Dimensions Disengaged <=> Highly Engaged Dissuades <=> Inspires Minimal <=> Much Unrecognized <=> Recognized Disengaged <=> Highly Engaged Dissuades <=> Inspires Little <=> Extensive Unrecognized <=> Recognized Low Prospects <=> High Prospects No stake <=> Fully vested Low <=> High Similar<=> Different Ambiguous <=> Well defined Low <=> High Individualized <=> Shared Rigid <=> Fluid No <=> Yes Problem focus <=> Appreciative Dysfunctional <=> Functional Minimal <=> Great Inside <=> Outside Unclearly <=> Clearly No level <=> All levels No level <=> All levels No level <=> All levels Unleveraged <=> Leveraged Poorly distributed <=> Fairly distributed Poorly distributed <=> Fairly distributed Poorly distributed <=> Fairly distributed Low trust/low value <=> High trust/high value Unbalanced <=> Balanced Unbalanced <=> Balanced Unbalanced <=> Balanced Low<=> High Weak <=> Strong Unknown <=> Respected /Trusted Low<=> High

Internal Facilitator

Convening

Process

Low<=> High Low <=> High Unknown <=> Respected /Trusted Low<=> High

Low<=> High Low <=> High

84
Legitimating Expertise Institutional Knowledge (in Domain) Unknown <=> Respected /Trusted Low<=> High

Axial Coding The purpose of axial coding is to reassemble the data that were "fractured" during the open coding process (Strauss & Corbin, 1998). In this phase, which also overlaps open coding, data are related to categories and subcategories. This overlapping started following a second round of open coding. At this point, I was able to modify my interview protocol and be more direct in questioning. Subsequent interviews helped to refine the categories. Additionally at this time in the process, supplemental data (newspaper articles, website publications, and journal sources) were also added into the ATLAS ti database and were coded. Labels from the codes were placed on two by two inch cards and categories were placed on several eight by eleven inch paper signs. The cards and signs were placed on the wall in my office. This allowed for a tactile and visual analysis, which became a storyboard for the unfolding theory. It allowed me to move data and visualize where a "fit" between concept and process occurred. However, the ATLAS ti software was most useful in moving and retrieving data. Families were created, i.e., that data were separated into retrievable sets. The researcher was able to create families for codes, narratives, and external data. These families could be recombined in any order and searched. For example, the narrative accounts of one Initiative could be searched by a code family that represented one category. The output of that search would be a report of quotations from participants that represented one category of codes. A subsequent search using the same parameters, but using a different

85 set of participants, would provide a report that was used to compare against the first set. The search function in the software allowed any combination of families to be queried. In addition, relationships between codes were created graphically within the software (see Figure 4, in Appendix D). This gave order and meaning to the emerging categories and related subcategories. As mentioned earlier, there are not clear distinctions between moving from open coding to axial coding. In fact, it is a process that seemed like 'spiraling and weaving'. The process of coding was reciprocal and reiterative. The data were woven from a range of sources, primarily participant views. The following are examples of how major categories emerged with sample data. Properties (characteristics) and dimensionality (possible range) created during the open and axial coding processes are helpful to the third step of coding where the story of the theory emerges. Category 1. Opportunity Trajectories Norms within the nonprofit sector dictate that organizations will align with larger, national organizations for resources in terms of funding, networks, and learning opportunities. Each of the Foundations in the study was concomitantly linked to outside facilitators in the process of social entrepreneurship. These facilitators were represented in this study by a national figure nominated by each of the Executive Directors. These external facilitators provided recognized leadership across networks of highly engaged people around domain-specific issues. In this study the issue is community development.

86 Property 1. Thought leaders. This was dimensionalized as: Disengaged << ==================================>> Highly Engaged Credentials and scope of network for "thought leadership" (an in vivo code) was identified in the following statement by an external facilitator: I'm a Vice-President for programming in leadership development, technology, diversity, and community development, all of which cut across the traditional programming areas We have the ability to convene high-quality people, who are thought leaders on the cutting edge of issues and who enjoy a national reputation. Property 2. Social entrepreneurs. The institutional rules of the sector traditionally require some type of board of governance over the nonprofit entity. These are voluntary positions, held in esteem by the institutions and the community at large. The board carries the fiduciary responsibility and is the governing body to which the Executive Director is accountable. The influence of a board and its level of engagement within the organization and community will vary. This was dimensionalized as: Disengaged << ==================================>> Highly Engaged As explained to the interviewer during the pilot phase of the study, some Boards take roles associated with management. Participants from the Initiatives revealed that the board would have significant influence in the direction set by the organizations. we cannot be successful in our mission unless we have a healthy institution here, unless we have an active and vibrant board, unless we have organizational

87 structure and capacity and leadership within this organization and not just leadership from me So my board has come along with me and pushed me. I mean I've had incredible mentors off my board. Category 2. Convening opportunity. The reallocation of resources (e.g., money, manpower, physical infrastructure, social capital) to create a new enterprise was accomplished through convening opportunities. As stated by one participant: It really fits neatly and well into what we do well as a foundation, which is to bring people to the table. And that buzz word or term that I had used before, which was this convener of opportunity, I really think that accurately describes what we do best. Property 1. Recognizing opportunity. Interdependencies of stakeholders, values, and timing in the process were critical to how opportunities were recognized and convened. This was dimensionalized as: Low Prospects << =================================>>High Prospects The following is from a participant in the State Initiative: "So the immediate sense is well you've got to reach that opportunity when it comes. That is to say, "Yea but you know one step at a time. Let's make sure we do this right, not just grab an opportunity whether we think it's the right or wrong opportunity."

88 Property 2. Strategizing opportunity.

As noted above, strategizing the opportunity coincides with recognition. In strategizing the opportunity, mission and applied learning were significant to how the opportunity could be cast. This was dimensionalized as: Ambiguous << ===================================>>Well defined Regarding strategy: "We were very careful that we didn't want this to become something that we alone had to fund." There were strategic and insightful plans to convene opportunity around interrelated needs. As stated in regard to systemic change: And again we already know from the analysis that it doesn't take everybody, it takes significant thought leaders making the changes and then seeing the result. In this whole area of innovation, it is about systemic change. We go at it in a very deliberate and strategic way to find the right people, in the right places, and at the right levels. Property 3: Structuring opportunity. The structuring of the opportunity formed a new institutional form called an Initiative. Details of organizational frameworks and funding sources varied between the Initiatives. However, each Initiative had created networks and learning loops. Thus, the structuring was dimensionalized as: Rigid << ==============================================>>Fluid

89 The following from an Initiative's website gives a first-look into the structuring effects in the Initiative (this text is edited and the website not featured so that anonymity can be preserved). The statement weaves the values, interdependencies, stakeholders, and networks that describe the convening opportunity. As stated, Grounded in the belief that relationships and collaborations are the cornerstones that create positive systems change. [Our] partners also believe that life-long learning is a shared responsibility of our community's residents. The schools cannot do it alone. [Our] initiative is an innovative approach designed to link the community, neighborhoods, schools, and people of all ages, backgrounds and walks of life to achieve our stated goals and outcomes. What makes the initiative different is the core value that education is a community-wide responsibility and the emphasis on building capacity within neighborhoods, community based organizations, and other systems to produce sustained improvements and results. The initiative utilizes five leadership groups to mobilize and support the day-to-day activities at the neighborhood based community learning centers. Institutional features were also identified. Structure provided the strategies necessary to meet mission requirements. This was stated as: I mean you've got to have enough structure where it feels like you have a framework and you've got some guidelines and some procedures that legitimize the initiative. But we also know and understand and respect that the informal networks, the informal relationships, and the informal meetings we have with partners. That's a lot of the times where the rubber meets the road.

90 Category 3. Strategies This category symbolized the actions and interactions that commingle with the emergent phenomenon of convening opportunity. Within this category, "making the case" and forging the partnerships became robust features to convene opportunity in the social entrepreneurship process. Property 1. Making the case. Making the case was an in vivo code that became a recurrent theme. There were continuous conversations happening at different levels of the convening process. The property was dimensionalized as: Inside<< ================================================>>Outside The following quote identifies the relevance of making a case that could encourage unrestricted funds: We were looking in the future to sustainability and talking to potential contributors. How do you sell that? They were saying, "Who am I giving this money to? What am I giving this money to? How do I know how it's going to be spent?"... So part of what we were able to do was provide a structure through which funds for sustainability [of the Initiative] could go through. There was also the need to make the case for the internal partners to combine entities and resources. Thus making the case was explicitly stated: I actually saw a file folder that says "making the case." The point waswhat would we do to make a case for a more viable approach to rural community development?

91 Property 2. Forging partnerships. The Initiatives were made of partners with different portfolios of expertise, leadership, networks, and resources. Thus the key was to convene the opportunity by leveraging these assets. The property was dimensionalized as: Unleveraged << ==========================================>>Leveraged As stated: We just don't approach partnerships here between peers. It's partnerships wherever you can build a partnership. Because, you may have a bright collaborative partner out there that's mutually interested in experimenting with you and mutually interested in saying how we can together get farther than we could independently? An external facilitator added to this property by discussing how funders look at strategic partners wanting to create opportunity around systemic change. There is a sense of leveraging the essentials of learning networks and collaboration: ..If it's a strategic initiative, in other words multiple grants being made in a similar area, and very purposefully selected to obtain some kind of a systemic change. Then we make networking and co-learning an essential component of the work. So that forces them to be engaged in a more collaborative, mutual learning environment which usually changes the way that they do their own work. Once they start rubbing shoulders with others with similar issues, new ways of doing almost always comes out. We might put an evaluator on that to glean what they're learning etc., but that kind of convening is what really starts stimulating kind of a cross location thinking and innovation.

92 Property 3. Relationships. The two strategies of making the case and forging partnerships were dependent upon relationships. This may be seen as an intervening condition; however, aspects of bridging and bonding social capital provided support for these relationships to be a strategic measure within convening opportunity. (This will be elaborated in Chapter Six). Low trust /low value << ===========================>>High trust /high value The following example easily details this. As stated: And then we just begin to educate people on the nature of the constituency and the fact that you have to build coalitions just like the rings on a tree, one heart and one mind at a time through the relationships that people have. Additionally, there were turf-related issues within the institutional boundaries of community and partners. As stated: And you know [the Initiative] is a great example. As we got into this, you know when I referenced the potential for turf-related issues, a lot of those barriers came down relatively quickly just based on personal relationships. Category 4. Capacities. Codes representing this fourth category reached saturation in the early phases. (Data saturation is the point where no new meaning for data occurs). Social innovation is related directly to conditioning, strengthening, or building capacities of people, places and things. These conditions will be more evident in the Chapter Six, which will explain the emergent substantive theory found in this study. The intervening conditions were found to facilitate or constrain the actions and interactions of convening opportunity.

93 Property 1. Institutional capacities. The strategic readiness, community norms, and level of engagement affected how the strategies could be structured. This was dimensionlized as: Low << =============================================>>High There were generalizations and specifics that participants brought forward as conditions that were intervened in convening opportunity. The statement below demonstrated this phenomenon by comparing the community's current state with a desired future state to show strategic readiness in the community. Whereas, here you know we have a school district that has a reputation for being one of the best in the country. We have a new school superintendent coming in whose saying, "I want to take you from good to great". And so the role we're playing is not really remedial, but we're saying we can do better. During interviews questions regarding institutional barriers and facilitations were asked. These rendered several examples of intervening conditions like below: In terms of other institutional barriers, I think policy is certainly one. You know often times one of the key factors is to what extent you have quality leadership and rural social capital within the community. Property 2. Organizational capacities. The sampling described in Chapter III demonstrated that there were a variety of institutional partners in each initiative. The partnering organizations represented all three sectors private, public, and nonprofit. Thus, organizational capacities ranged considerably. Low << ===============================================>>High

94 Example text included: [This] collaboration with these agencies in [the City Initiative] is like a perfect fit...it's a perfect fit because we have great schools And we have great social and public human services. Property 3. Personal capacities. Institutional theorists will suggest that leadership is an element of structure that it is a practice. According to Maxwell, (2005) leadership is a disposition, not a position. Therefore, the category of personal capacities as it emerged in this study would vigorously challenge leadership as a practice paradigm of habitual performance. There was every indication of an entrepreneurial leader as defined by the participants. Low << ===============================================>>High Leadership's relationship to institutional features was better reflected in the following: most of the central players in this are pretty entrepreneurial themselves and fairly creative people themselves. So they're bringing those orientations and those personalities to the table. I think the second thing, is we over the last 3 or 4 years, built a culture where we've said that's important. I mean it's important that we get paid, and it's important we do good work; but part of this is, at this point in all of our professional careers, being creative and trying to be on the cutting edge of what's going to work is personally pretty important to us. Category 5. Domain Level Analysis The Strauss and Corbin (1998) method calls for featuring context as a component of an emerging conceptual model. As stated in Chapter Three, this study was focused at

95 the field level of analysis that became the context for the study. Therefore, the chaotic nature of current political and socio-economic conditions is a backdrop of the study. Property 1. Macro-dynamics. Institutional indicators, such as the regulative, normative and cognitive dimensions (See Chapter II, p. 28) were the backdrop to social action. These are dimensionalized as: Lesser institutionalized<< =========================>>Highly institutionalized The following explained what the participant believed will influence the regulative, normative, and cognitive elements of institutional structure to have systemic change. But people have to be able to act differently and that can include a mental model shift, etc. We also think that people have to see a shift of resource flows; and that ties to the third thing, which says that policy has to change. Our premise is that if you look at any issue out there it, the current condition, is the result of some type of a policy that's already enacted. So building capacities, looking at resource flows and then shifting policy that sustains what you're trying to achieve. Category 6. Network Development Model The final element was to consider the consequence of the core category. This became apparent once the core category, convening opportunity, emerged. Property 1. Great groups. One of the intended outcomes from convening opportunities were several distinct leadership structures based on networks, both internally to the Initiatives and externally

96 to the constituencies served. Thus, capacities were strengthened and there are new institutional features within these groups. Lesser capacity<< ================================>> Greater capacity An example cited from the text of the transcripts follows: So we had been gathering people at the table, first housing people and the foundation chaired the meetings. [Among these were the] Housing Authority and we had a few construction folks. Anyway, we started with that kind of a group. Well then we quickly learned from the Principal that you can't deal with these issues until you talk about mental health and wages and all these social service needs. So we plugged in a few more folks So you know it took 2 or 3 meetings to get this concept brought over to this table and bring these tables together so people could see we're not talking about separate issues, these are the same issues. The paradigm established by Strauss and Corbin (1998) provided the structure to integrate these categories and subcategories into a set of relationships that, in summary, provide the causal conditions, phenomenon, context, intervening conditions, action/interactions, and outcomes that developed the emerging theory of convening opportunity as a social entrepreneurship process in community initiatives. Selective Coding Strauss and Corbin (1998) forward this as a three-step process of creating a story line, relating subcategories and their properties around a core category, and then relate this at the dimensional level. The last step in this process is to find additional data to fill any gaps that are apparent in the proposed model. Accordingly, additional sampling was necessary.

97 For a few of the participants there were third round interviews to obtain the "gap" data, followed by a third round of coding for verification. Also, new participants were invited into the study at this phase. These processes fortified the study. The Emergent Knowledge Structure The core category of convening opportunity became the pivotal process to be explained. Meshing categories and subcategories gave a general sense of what the data were all about (Strauss & Corbin, 1998). The story follows: Opportunity was convened through Community Development Initiatives. Convening opportunity was a process of recognizing, strategizing, and structuring opportunity around shared values and partnerships. Leadership from two nonprofit foundations and from national networks kick-started the process by providing resources, such as a shared knowledge-base, networks, and funding. There were multiple conditions that facilitated and constrained this process in the complex environment where it enfolded. A knowledge structure useful to guide the emergent theory is provided in Figure 3. This model diagrams (Creswell, 2002) the process of convening opportunity in community initiatives. Chapter VI explains the paradigm model by exploring each of the categories in the diagram.

98 Context Community Context Interpretation of context (opportunities are defined within domain) Institutional features

Phenomenon Convening Opportunity Recognize Opportunity Stakeholders Interdependencies Values Strategizing Opportunity Mission Aligning leadership Structuring Opportunity Applied Learning Institution building Reallocating Resources

Causal Conditions Opportunity Trajectory External: "Thought Leaders" Allocate Resources Legitimacy Internal: Social Entrepreneurs Champion Allocate Resources Legitimacy

Actions/Interactions Strategies Making the Case Sets of Conversations Over time With Partners With Constituencies Forging Partnerships Balancing Leadership Leveraging Pooled Resources Relationships

Intervening Conditions Capacities Institutional Capacities Community Capacities Personal Capacities

Outcomes Change = the Emerging Field Network Community Development Capacity Building Internal and External to the Initiative

KEY: Words in Italics are in vivo terms used by participants the study. Bolded terms are categories that emerged in the study that identify the phenomenon of convening opportunity.

Figure 3. Knowledge Structure for the Process of Convening Opportunity

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CHAPTER VI Description of Theoretical Constructs This chapter describes the emerging theoretical constructs for convening opportunity using participant views, observations, and news sources. A narrative of social entrepreneurship in two community development Initiatives is given using grounded theory techniques (Strauss & Corbin, 1998). The narrative is mostly iterative, moving back and forth, so that emerging theory is featured above the cases. Structure and process are inextricably linked in the progression and are identified with the following categories: causal conditions, phenomenon, intervening conditions, context, strategies, and outcomes. Opportunity Trajectories Causal conditions are conditions that kick-start the process being investigated. In this study, the macro-dynamics of the political, social, and economic environment in the U.S. had substantial impact on social needs. Given that a goal of systemic change and values underpinned the Initiatives, challenges were frequently articulated. Participants in both Initiatives emphasized education as a "silver bullet," a way to a "prosperous society is exposure for people and higher education" or "fundamental to a democratic and civil society". Viable economies, health, and a critical need for a "leadership base" in communities were other large issues. As a result, social cause based on need was considered as a universal causal condition for convening opportunity.

100 Current conditions were felt to be "always the result of some type of a policy thats already enacted". Consequently, policy was also inextricably linked to conditions that call for social action. A participant's response was: "[Policy] comes in when opportunities are recognized and identified, which results in strategies being created. Strategies require partners to carry it out whether it is a congressional representative, community of people, or another organization." According to the participants in this study, external factors that contributed as causal or kick-started the convening of opportunity' were two national foundations that had greater resource availability, mutual strategies, and a growing knowledge-base. These foundations had missions and program opportunities aligned with the overall goals of each of the Initiatives featured in the study. The National Foundation of Innovation (NFI) is one of the largest private foundations in the country. It is a comprehensive foundation made up of multiple program areas that focus on what is "important for communities to thrive and be successful" in the future. NFI consistently applied learning from its comprehensive efforts to its newest endeavors. According to a leader at NFI, "[The foundation had the ability to] convene high-quality people, who are thought leaders on the cutting edge of issues and who enjoy a national reputation." This capacity gave them an ability to build intellectual and conceptual capacities that facilitated their work with grantees. Their goal was to work with grantees in a "partnering way and link them to others" doing similar work. This allowed for diverse thinking and "allowing for multiple perspectives looking at the same issues." This network model perpetuated more innovation than singular

101 relationships or parochial networks. Organizations were given a competitive advantage from the knowledge-base and networks provided by NFI. Having a grant with NFI or "knowing one of the program directors" was considered an advantage for future funding. NFI was interested in creating a "new entrepreneurship development model to create systemic change in rural areas". A $2 million award was approved by NFI to provide funds for the SRP Initiative. NFI chose to fund six from 180 proposals submitted from around the country. This instilled a sense of "thrill" and commitment in SRP. Funding by NFI provided the resources to expand an earlier pilot of SRP. This was viewed by both entities as a reciprocal opportunity. The NFI saw SRP's proposal as an innovative way to make systemic change needed in rural America. A leader from NFI said, "Building capacities, looking at resource flows and then shifting policy that sustains what youre trying to achieve". There was a match of mission and strategy in the SRP proposal to NFI's conceptual models. The NFI would be able to showcase SRP as an innovative model in rural development. The knowledge gained from applying the new concepts offered in the SRP proposal could be applied elsewhere in the country. The new proposal was placing rural philanthropy 'front and center' in the national spotlight. A participant from NFI said, what would be the way that we could expedite an efficient way of community foundations to be aggressive advocates for change in their communities? And what will come out of it in the next few months actually is an effort to look at community foundations changing role developing rural philanthropywe will

102 likely use the experience here and through other networks to create a new and innovative approach to upgrade community foundations. Funding from another source had given SRP partners experience with using the new framework. This opportunity would expand SRP from its initial seven communities to a few others over the next three years. It also gave SRP national visibility, which expanded their network partners with other grantees around the country. The city Initiative gained its major momentum (and later resources) from FE 's relationship with the NNFE. In 1999, leadership from FE and a group of stakeholders drew interest in a community model of education centers operating in the Midwest. The intent of FE and NNFE was to promote the type of model that was not purely after-school care. NNFE's role was a network of organizations that work together to mobilize people and resources for "quality public education for all children." Network members embraced the concept of systemic reform in public schools. They believed the mechanism to do this is to "believe in the role of citizens" as instrumental in public education. This was articulated as the local educational funds were instrumental leadership to "effectively engage their communities to align resources, policies, and public will". FE committed to the vision of NNFE. The underlying value of NNFE was the increasing need for community responsibility to support public education. It called for educational reform that stated "quality public education for all children." The movement was not intended to "denigrate the hard work or successes" in public education. The network of local educational foundations wanted public education more visible as a kind of institution that moves forward an agenda of a democratic and civil society.

103 FFE was able to obtain grant funding of $536,000 to be used for the City's Education Center Initiative. The national network served as a pass-through for these funds, managed resources and provided technical assistance for a small management fee. (Note: by 2001, the local public school district received 21st Century federal grant dollars, and when combined with other community foundations' and public partners' resources CEC were expanded.) NNFE provided a platform for local educational foundations to showcase best practices. This gave FE an opportunity to feature the city's CEC. The network was a venue for local educational funds like FE to relay news about their communities. This network of peers discussed results and outcomes from specific projects or strategies. The Executive Director from FE was an essential member of the network serving on the board and connecting the knowledge-base and resources available in the network to serve local needs. Both NFI and NNFE infused their well-articulated national goals into these state initiatives. FE and FRO (and partners) had very "proven-up" (respected and trusted) relationships with the leadership in these national foundations. These relationships provided a conduit for input into the design and goals. The agendas included working toward systemic change in communities using social innovation. The Initiatives were new frameworks (a recombination of resources) to build the capacity of communities so that an engaged citizenry (community) could improve its own economic and social conditions that neither current policy nor government could do. A foundation leader at NFI stated,

104 "Our belief is that nothing really creative happens out of sameness; it only happens out of diversity nothing ever creative comes out of the middle of anything. It only comes out of the edges, where people and issues are left that interrelate the different perspectives and generate new ideas." Leaders at NFI believed their "role is to catch the next wave of innovation and expedite it - but not necessarily to create it". Innovation must be created by the community. The innovations proposed by the two initiatives were well developed and incorporated new ideas and proven practices. FRO had proposed an innovative and stimulating approach to philanthropy, which caught the attention of the leadership at NFI. The concept of wealth-transfer was a viable option to rural revitalization. It was not a solution that could stand on its own. The complexity of the economic and social needs in rural areas was well known. There was a need for more leadership, something to "stabilize populations", and help for floundering rural economies. Training, particularly in leadership and entrepreneurship, was already a viable solution. Nonetheless, wealthtransfer not only benefited the steps to engage people in their communities, but it had the potential to "make-up for what government could no longer do". According to NFI's leader, "What youre talking about is creating something the size of the [major foundation] for [your state]. What would happen if that became the economic engine of the future?" NFI leaders were convinced the SRP framework had potential as a national model. The featured wealth-transfer was a viable option to sustain rural communities' futures with an additional benefit of public ownership of the process through the affiliated funds.

105 Leadership at the NFI considered the benefits of the collaborative model proposed by the SRP Initiative. This model included wealth-transfer strategies along with capacity building in the areas of policy, entrepreneurship, and leadership. Easily this was viewed as a positive step toward 'convening opportunity' in communities under one umbrella. The philanthropic concept of wealth-transfer offered new potential. In addition, there was potential revenue to sustain the Initiative past SRP's initial funding. Action research from the SRP model would be applied to other projects. Innovative and strategic thinking at NNFE occurred through applied learning and conversations. Like NFI, there were many collective and cumulative results of many "sets of conversations". NNFE was conversing with mainly local education funds, like FE. Also there were discussions with national leaders in education and policy. The major result of these conversations were considered by National Network For Education's leader as discovering, "one approach, one trend, one kind of activity that local education funds are doing in their communities and how is that affecting school districts and the functions of the community." These discussions were broadened within NNFE into discussions of trends in the larger context, particularly within the landscape of education and grassroots approaches. These broader discussions were through the leadership at the director's level. However, a leader from NNFE stressed that these conversations were rooted in the observations and experiences found at the local level. A significant influence was the combined values and beliefs held by the leadership internally and externally to the Initiatives. These collective values and the institutional features of having nonprofit status kick-started the social entrepreneurship process to convene opportunity for the city and state Initiatives.

106 Comparing across each case, it was found that the trajectory for opportunity was similar. Even though the philosophies of each Initiative were focused on two different subsets of community (rural and urban), the principles remained consistent with deliberative democracy and public engagement. This wasn't a new public agenda. Civic engagement has been a perplexing issue for decades. To heal our broken heartland will take something a thousand times harder to come by and infinitely more precious than economic growth. For in the final analysis what rural America needs most is not more money or more jobs, but democracy the form of citizenry willing and able to participate fully in the development and sustenance of their communities. (Davidson, 1990, p.170). Secondly, the anticipated need was systemic change. In each case, the role of the social entrepreneurs (or institutional entrepreneurs) at the national level was found to be an opportunity trajectory. This trajectory was through the organization of "thought leadership" in response to the institutions and the effect of continual sets of conversations with diverse audiences, which reported experiences and observations, research, and values clarification. These collective wisdoms were combined with the marshalling of financial resources, so that funds were awarded to proposed models for systemic change. Convening Opportunity Strauss and Corbin (1998) used the term phenomenon to describe "what is going on here?" (p.130). Understanding that question is the crux of building new substantive constructs of social entrepreneurship in two community development initiatives. The phenomenon, in the participants' views, was convening opportunity. The opportunity

107 identified was to create systemic change in communities by building the communities' capacities to engage in the process. The data did not refer to a process of ordered steps, but there were logistical qualifications that place one action or condition ahead of another. The qualities of convening opportunity were found to be dynamic and continuous. The conditions of convening opportunity are: recognizing opportunity, strategizing the opportunity, and structuring the opportunity. Recognizing Opportunity Recognizing the opportunity was referred to in the data as the interdependencies related to articulating an opportunity to be convened, recognizing the stakeholders that could convene opportunity, and identifying what values influenced the 'convening of opportunity'. The concept for the SRP Initiative was conveyed during multiple years of conversations between colleagues. The colleagues represented four separate nonprofit entities. Together they articulated an opportunity to be convened by envisioning "new possibilities" for rural communities through new or improved small businesses, philanthropy, networks of concerned and committed citizenry, and engagement of local leadership to work as change agents against the progression of rural decline. A participant said the purpose of SRP was for rural communities "to have the opportunity and to make it happen, if they choose to take advantage of that opportunity." One participant said, This is intended to be a place where people can convene and build partnerships and through those partnerships we can develop greater capacity to fulfill whatever

108 objectives we individually want to accomplish and collectively want to accomplish that ultimately make [the State] a better place to live. Each colleague had claimed a stake in the future of rural areas and was providing a portfolio of expertise and resources to address community needs, thus becoming the first stakeholders themselves. They "were always looking for ways to work together". Further, the partners of SRP infused their value sets for an "entrepreneurial culture" into the Initiative. SRP promoted entrepreneurship as a way to create economic vitality in rural areas, which was mission fulfillment for SRP. There was a balanced distribution of authority among the collaborative partners to become what they termed the "core" leadership of the Initiative. The partners would be the governing body for the Initiative, which would provide its "framework" for opportunity to communities. The work of the Initiative hinged partially upon the four core partners' portfolios of expertise, which was necessary to obtain grant funding. However, there were multiple stakeholders in SRP that came from public, private, nonprofit groups and the community-at-large. A critical piece was community as stakeholders. The SRP Initiative recognized their framework as an opportunity to add value to the strategies that people in rural communities had to build their futures. In other states, the state foundations distributed funds. However, the structure of FRO was unique. Local communities were empowered with their own funds through their affiliated status. This empowerment strategy was developed into the full framework of SRP. Stakeholders in SRP were embedded at the community level. As a participant said," communities can

109 customize for themselves to do this sort of work and then [the expertise held within SRP] can come in from the outside and add value." Discussions around the CEC model began with various leaders in public, nonprofit, and private industry over a period of several years. The focus was an opportunity to launch a city-wide community initiative centered on the schools. These discussions both helped articulate the value of the opportunity to be convened and aided identification of stakeholders. These were broad discussions focusing on community issues, such as housing, migration, safety, health needs, and education. Early discussions weren't quantified. According to one participant over 80 conversations were held among stakeholders in the community after funding was made available. These conversations led to what participants in the Initiative called a "three-legged stool". The CEC concept was considered stable when it found solid support from leaders in the school, city, and business community. There was notable attention given the existing relationships in the community. The new concept was to build on the strengths of a network of community-based organizations and the school district (particularly, the Principals at the schools). Finding the most salient stakeholders to work with the Initiative meant working through the turf issues and finding consensus regarding which stakeholders would help provide services within the framework of CEC. The formalized structure of CEC, such as the Leadership Council and paid staff, would be responsible for the maintenance and continuation of the framework.

110 As stated, "getting your head around the structure" is no easy task. However, each of these stakeholders had a vested interest in the outcome of this Initiative and a claim to influence the process. The mission of the CEC Initiative was conceptualized around contemporary issues facing youth, families, and community. As was mentioned earlier, there was awareness that to amass a kind of systemic change that could improve the socioeconomic conditions in communities it would take an engaged public to productively create their futures. By valuing the need for public engagement, the Initiative would include the client (the community) in its membership. The structure of the Initiative would serve to orchestrate activities. How salient stakeholders were identified to organize the activities happened over a period of time. The original concept for a "wrap-around school initiativepercolated out from a number of sources." FE was able to find funding for the pilots and a feasibility study which led to an award of a larger grant through the NNFE. This connection to resources and FE's vision for the Initiative made the foundation a pivotal stakeholder. The foundation offered proven leadership via a strong supportive governing board of local, recognized leadership and a talented and paid staff, which included a nationally recognized Executive Director. After identifying salient stakeholders, it was also important to frame core values of the initiative. The articulated values of the Initiative mirrored those of the larger network of educational foundations. Recognizing or identifying opportunity was dependent upon the perceptions of the stakeholders and their values.

111 Strategizing Opportunity The next condition (subcategory of convening opportunity) found in the data was strategizing the opportunity. The data referred to the importance of aligned leadership and mission fulfillment as integral conditions for convening opportunity. Participants from the core partnership for SRP made reference to the Initiative being a "transparent model". The SRP model dispersed authority among stakeholders and held core partners accountable in the management of each group's portfolio within the framework. SRPs portfolios included programming or activities in wealth-creation through philanthropy, policy, small-business planning, agriculture interests, entrepreneurship, leadership development, and youth development. Because the model included a research and development component, which matched lessons learned and new information with strategies, it was a model that continually developed. Through the developing framework, the Initiative planned to assist local leadership to "create strategies and reach goals" or to help communities "do a better job of connecting young people to place and helping them to feel like they really have an ownership stake and engagement" in their communities both socially and economically. To do this it was important that they were able to connect with "leaders at the community level, who are authentic representatives of the people who live there" and were aligned with the goals of SRP. Each person in SRP was there "to add value". Based on the value sets and strategic direction of SRP, each of the organizations that contributed programming or resources to the Initiative have mission fulfillment if they stimulate social and economic entrepreneurship in a rural area or bring self-sufficiency to a community that would help

112 to stabilize the population. The practical side of this was stated by one participant as he discussed the growing scale of the Initiative. How do we keep our entrepreneurial culture, our ability for creating new ideas? Were going to go execute it in this place and learn from it and then use it. Maybe adapt it and [it will] evolve in the next place. It was a strategic choice to create a framework for SRP to build community capacities that would in turn create systemic change. SRP had a public venue to state its mission and report successes. Because rural communities needed archetypes of success, national and local newspapers carried stories on community successes. These stories minimized the role that SRP played in a communitys success. Leadership at SRP internalized this as a good thing since the process is owned by the community, not SRP. In its pilot phase, FE played a pivotal role in organizing leaders from local, state, and national government to convene around the opportunities that CEC provided the community. The leaders were brought out to the school sites. These contacts were beneficial in providing access to partners within the local government and to assist with moving the model statewide. The national leader was sponsoring legislation in Congress related to this concept. Overall, the concept was considered intuitively "right" and studies had shown it was something the community supported. It was a strategic decision for FE to remain overseer for the Initiative. FE was closely tied to public education and had a mission to interrelate with the community. Its visibility in local, state, and national networks also made them an optimal choice for a central role. As a participant from FE said, "[CEC] fit well into what we do well as a foundation, which is to bring people to the table." Each partner (organizations that

113 represented public, nonprofit and private and the community-at-large) in CEC had differentiated roles around the same mission. All levels of community were invited to become engaged in the activities of CEC. Nonprofit organizations in the city had a history of partnering around grants. However, the partnering didn't usually produce a collective mission. It was generally multiple missions driven by multiple agencies blanketed under a grant. Once collaborators obtained the awards, often they would retreat from the collective and work independently with their share of the allocated funds. CEC was innovative in that it "pushed the envelope" toward a collective mission. The mission for CEC is intertwined throughout its structure. The various stakeholders in the project are considered partners, which gives a diversity of input and output. The input was given through both informal and formal channels and brought back up through the Leadership Council of CEC. This gave the system flexibility and allowed for the Initiative to consider each school's needs rather than a boilerplate approach in programming. However, there were institutionalized features made public that served to legitimatize the Initiative. These were a series of statements or protocols that included mission and vision statements, operating principles, practice guidelines, and formal evaluation. News releases and formal publications also highlighted the work and carried the ideals of the mission further into the community. The data showed that after recognizing the opportunity, the Initiatives aligned leadership around the functions and goals (mission) of the Initiatives. The locus of decision-making for maintenance of the Initiatives was a core leadership group, which included the two local foundations. Strategizing the opportunity also identified

114 mechanisms to build capacities, evaluate resource flows, and influence policy. This was accomplished through aligned leadership and a combined mission. Structuring Opportunity Structuring opportunity was defined in the data as the creation of permeable boundaries around the activities that will generate ideas and opportunity. The data pointed to how opportunity was convened through frameworks of activity. These activities included institutionalizing features so that rules, roles, practices and beliefs were supported. Learning from outcomes and impacts were applied back into the frameworks. The structure for the SRP Initiative was not a simple structure at the community level. A group of volunteers at the community level were responsible to organize the local activities of SRP. A site leader was responsible for several communities as the framework was implemented. The site leader was generally a paid staff from one of the core partner's organization. This person had the potential to be a specialist in an area of community development, rather than a generalist. This meant access to others in the network of leadership was essential for immediate feedback when issues developed outside the scope of expertise for the person leading activities in a community. The SRP Initiative is considered a flexible framework tailored to each community's needs (this is similar to the CEC framework, which provides for each school and neighborhood). The features offered depended on which portfolio or what combination of portfolios was offered. For example, sometimes the leadership base in a community was very small. Finding the "special people" needed to lead the projects

115 around the SRP framework was difficult. The community may feature one portfolio at a time and over a longer period than a community that has another level of readiness. Several institutional partners were attached to the SRP programming, including colleges and universities, public and private entities. An executive committee acted as the governing body, which was made up of the four core partners and various other selected parties within the field of rural development. The committee's role was to strategize opportunities for communities, provide maintenance to the overall structure of SRP, share learned outcomes, advice on issues (including rural policy) and also provide intervention into the process as needed. It was shared that there is an inherent challenge in this "kind of structure versus a corporate structure". Anyone of the stakeholders violating the trust or accountability had the potential to damage "social contact and relationship" with one another, the communities, or the Initiative. Adding structure that would manage issues, such as reporting functions or formal meetings was instituted as a strategy to overcome any unexpected problems. The SRP Initiative operated under a consulting business model. All partners had a performance contract. Each could be compensated for hours and/or completed objectives. Consulting fees were managed by the organization providing the service(s) and also helped to sustain other programming. Sometimes communities engaged in the SRP framework were asked to supply seed money to match the NFI grant. However, the money from NFI was seen by SRP as "a next stage venture investment" to support research and development of the framework. In order for SRP to have sustaining power, and the community to own the SRP framework, it was felt appropriate for communities to

116 pay for assistance. This was considered related to the value of ownership. The partners will continue to pursue outside funding, which they would like to keep in the research and development coffers. This money may be used to apply the framework for those communities that are under resourced. The Initiative was developing what they called a "learning network". It would expand their communication, help to organize activities and primarily serve as a way to develop the Initiatives capacity by continual learning. The core partners were intentional about creating an inclusive network and being on the cutting-edge of research and policy. SRP was willing to partner with any entity that was amenable to the cause and integrity that moved the SRP Initiative forward. SRP had hired an outside evaluation service for the Initiative. The senior member of this team was an accomplished academic and had been a great resource for the SRP core partners over the last several decades. The participants in the study were looking forward to the learning generated from a high level activity such as the design of this evaluation. According to participants, there was enough of a framework to support CEC to be legitimate. Yet the framework had flexible informal networks to promote innovative changes. The flexibility was a little awkward initially. One participant related it as "a little bit of fumbling around feeling" from "not really understanding who was on first". This was alleviated when two manager positions were created that gave a "better feel that there was somebody in charge." The structure was planned to create an organization that was task efficient and could maintain itself. The Leadership Council's role was to maximize CEC influence and

117 staying power. Participants related responsibilities "to guide the long term financing" and mobilize and leverage resources from the community. Committees represented the neighborhood around each school. These were educators, community-based organizations, businesses, and service providers. Their role was to provide assistance in planning and communication that was consistent with the diversity of its neighborhood. A third body of leadership was called Action Teams, made up of people from various community organizations. These teams leveraged institutional histories and knowledge. Specifically, the teams provided professional development, established best practices, and combined research and evaluation. A network of service providers were able to use these resources to better the activities of the Initiative and to keep the Executive leadership council informed. The role of staff at the school was to implement and integrate programs from all the representative partnerships at the school location. Staff supporting CEC may not have had prior experience with community development. Participants interviewed related that most of the people working in programming at the schools came from specialized backgrounds in youth development, education, or similar areas. The CEC Initiative did not have 501 (c) 3 status as a nonprofit entity. One participant viewed the evolved structure as beneficial for the Initiative. Moreover, money was coming from several funding streams, so the type of structure created was to show a structure that "alleviated some of this pressure to legalize an entity". According to a participant, earlier research from the Foundation had shown "every school it didnt matter where you were, what socio-economics, theres needs that could be accomplished by having it right in the building". The original CEC pilot included four elementary schools and had expanded operations into 19 of the city's

118 elementary and middle schools. Each school was paired with organizations from public and nonprofit entities that had partnered with CEC. There were also two coordinators for CEC. Their offices were located within one of the partnering organizations. In addition, CEC had relationships with local neighborhood organizations and affiliated community-based initiatives that included local businesses. These groups worked together usually in the form of committees. An outreach coordinator from CEC would generally work at the location of the school and would meet with local neighborhood groups to strategize goals and projects that were relevant to that school's location and the surrounding community. The structure of the Initiative also facilitated a feedback loop. Each time an opportunity was convened a lesson was learned and applied to the next opportunity. At the local middle school a student came up to the site CEC leader with an idea to have a 'rock' school with a scheduled performance as part of the after-school activities sponsored by CEC and the local agency sponsor. Not only was this innovative, innovation like it snowballed. Once CEC was able to put resources behind the student's concept, success followed. Academic achievement and character responsibilities were placed on the students as conditions for participation. Eventually, more contemporary and relevant programming started popping up in middle schools there and around the city. Following a media blitz on the rock show, CEC leaders said they received numerous phone calls from young adult musicians in the community who were asking to volunteer in these activities. Citizenry were engaging in an opportunity that had been convened by CEC.

119 An example of community and staff interaction occurred when CEC started at one location five years ago. Staff of CEC was invited to monthly meetings with the neighborhood families and the school. These meetings served as focus groups where trends and issues in the neighborhoods would emerge through discussion. A local swimming pool was getting closed down and that was a concern. Another concern was a safety issue with a street that ran next to the school. The parents and CEC banned together and worked with Urban Development and the city to resolve the two issues. A participant said, "We had a couple that were really strong advocates and they'd call and work really hard to make that happen and they made the case." A participant said that CEC learned quickly that activating the families got more attention with the city (and the city was a great partner). At the same time, the coordinated activities developed through CEC were instrumental in moving the change process. Funding for the Initiative comes from multiple sources, not just the NNFE monies. Many of the activities sponsored under the CEC umbrella were from resources held by partnering organizations. Some of the organizations charged fees for services and resources (social enterprise) that typically support youth development and after-school programming. Many businesses will support efforts through donations of money, time served on committees and buying resources for a particular need. One example was a garbage disposal for the school. According to a staff person with CEC, the greatest example of an engaged citizenry was when neighborhood folks recognized a need and went after funding in a way that matched their abilities. For instance, one mother was a great baker so she held a bake sale to help supply a resource for CEC. The amount of

120 money wasn't significant in the scope of the agency's budget, but the effort and commitment demonstrated the cause. Context Context is the circumstances in which the participants in the study interact or create actions (Strauss & Corbin, 1998). There were four notable conditions of context in 'convening opportunity' that will be described here. They were: macro dynamics of the environment, domain where the activity occurs, opportunity as defined within the respective domains, and institutional features. Community Context Participants spoke of large global issues and state and city issues that contributed to the context. However, according to the participants there were a few conditions of the macro dynamics that formed specific actions. Participants from each Initiative reported conditions of migration that contributed to creating strategies. For the state Initiative, out-migration of young people from rural areas was considered as "by far the most profound and the most detrimental" situation impacting the economic future of rural towns. For the city Initiative, there were concerns of "high mobility" and moving from "school to school". According to a participant, this mobility impacted home-life, school performance, and neighborhoods. Diverse populations stem from macro-situations. Many students and families involved in the CEC framework came from diverse socio-economic backgrounds. Programs and resource flows were adjusted to address ethnic and cultural diversity. In SRP Initiative resource flows and strategies were implemented to adjust to the

121 circumstances found in communities. A partner spoke of the issues surrounding ability to pay. The participant said: I mean to raise that kind of money [for the framework] you need a population of about 5,000 at least. So for smaller communities, it means they might have to collaborate together to raise that for that level of engagement (working together is not necessarily a norm in rural areas). The downside is that theres a whole set of limited resource communities. Of course thats where well use some of our grant money. It gives us an ability to partner with the tribes, with the new Americans, with the historic Hispanic communities. This is where the capacity right now isn't there to pay full freight. So you know thats where were going to provide leveraged opportunities to work with those communities. Interpretations within the Domain The domain is the "specific goals [the organization or group] wishes to pursue and the functions it undertakes to implement its goals" (Levine & White, 1961, p. 597). Each of the Initiatives described their functions related to development activities. However, the CEC Initiative's central focus was public education and development activities other than education were described more as a means to that end. SRP's goals were specific to development. The domain influenced what actions or interactions occurred. SRP's domain was building capacities through an initiative. The variety of names identified by participants included: "economic development", "rural development", "community development", "leadership development", and "entrepreneurship development". There were also internal goals related to capacity in their Initiative. The SRP framework was an "opportunity to innovate and so in this way it's very much a

122 laboratory." SRP intended to "push the envelope and try ideas, learn from that, revise and over time have the set of approaches that really do have traction". The participants of the CEC Initiative, referred to the functions of the Initiative as "programming", "after-school programming", "community-based programming"," youth development", "community schooling", "community building", and "community development", with tangential impacts of "economic development". There were internal goals identified as "staff development", so internal capacities could be increased. However, the goals of CEC were to address "the needs of poor children and youth, to close the achievement gap between minority and non-minority students, and to foster community involvement in school improvement efforts". A constant-comparison of the data revealed two sets of language in the Initiatives. Opportunities, context, and strategies were defined within the domain of the respective Initiatives and their organizational culture using the language and philosophies characteristic of their constituency (e.g. rural economic development versus urban educational contexts). Each of the Initiatives, however, viewed convening opportunity was through stakeholder networks. They applied frameworks to convene opportunity by managing resource flows, provide learning networks, and legitimated structure with wellarticulated, value-driven collective goals. Opportunity defined by participants from SRP revealed a framework to "grow hope" by "building capacities" in leadership, small business owners, entrepreneurs, communities, and in the SRP framework. The greatest advantage of having the opportunity was to increase rural communities' capacities to solve their own problems.

123 CEC defined opportunity along the line of a framework to "build learnercentered communities through public engagement". This was also a capacity building framework. However, the goal had the student and education explicitly "in the center". While each Initiative's participants used the words "community development" to describe "goals" or "mission" objectives, each domain had a somewhat different meaning to describe context. For instance, in SRP Initiative, community development was stated with terms to increase leadership capacities or economic or social conditions in community. Whereas, CEC, since their primary goal (and organizational culture) was public education and youth development, "community development" was stated in terms like an "holistic approach" or "family outreach activity" or combating the overall affects of a child coming to school with "all this baggage" so that health and social conditions were addressed. The data also supported that the participants were well read and well versed in topics related to their domain. Several were published authors. Participants used patterned language and jargon associated with their domain. Much of the language used by SRP was script-like. This was most evident when participants discussed entrepreneurship. Perhaps this was a result of "multiple sets of conversations" over the years or shared experiences in writing grants and proposals. One participant volunteered a history of entrepreneurship and traits of entrepreneurs from his vast reading and experience. Participants had also professed an entrepreneurial culture. Institutional Features Several institutional features provided a context for interaction. The data revealed several partners in the Initiatives having 501 (c) 3 statuses and governing structures that

124 gave input for the Initiatives. This broadened the influences, relationships and boundaries for the Initiatives. Both structures of the Initiatives had features resembling their organizational structures. Terms that identified units were: "executive", "leadership", "management", "program," "community," or "neighborhood." These units were organized on: "boards", "councils", "committees" or "groups". Roles were labeled "partner"," president", "vice president," "chairman", "chief executive officer", "Co-Director", "Executive Director", "boss", "supervisor", "staff", "coach", "member", "lead person," "lead representative" or "volunteer." Most relationships were described in terms of "collaborating" or "partnerships." An interesting feature between the two Initiatives was that participants from CEC reserved the term "leadership" for those at the apex of the Initiative. An exception was a participant who worked directly with neighborhood groups used the term of "mantle" to describe actions of leadership taken on by community members. A focus for SRP's Initiative was to create youth and adult "community leaders". Each Initiative had a hierarchy of task assignments that were managed within a partner's organization or at the community or school. Some members in CEC had "dotted lines" between organizations. Because the Initiatives' frameworks were applied differently within the communities, there were considerable differences in how task assignments were carried out. Operating guidelines were formalized and explicitly stated by the CEC framework. Each community-based partner also had its own structure and rules. This according to one participant could be confusing for a site supervisor working "on the ground" with an

125 agency. In the SRP Initiative, operating rules were generated and managed by the organization providing services. In both Initiatives some services were free to the community and others required fees. Managing resource flows was a function of the institutional structure and a significant contextual condition that impacted action. Managing resource flows in the nonprofit setting meant being careful of "turf issues" or "competing with your own partners" for resources. The partners at CEC were already putting in more than the typical 40 hour work week. Chasing grants wasn't good. According to a participant, you can't "let the tail wag the dog". However, some schools "were already out of funding to do family outreach or community development" so grants were a viable option. One participant from CEC agreed that revenues generated by nonprofit organizations are likely to become subject to more scrutiny, especially if the money didn't go back into the mission. Partners with CEC who charged for before-or-after school programs were doing so to help sustain missions. Fee-based programs were in areas of the city where socio-economic conditions were good. The Initiatives' generated revenues were used to support their frameworks or were recovered by the partnering organization. In SRP additional revenues could help "pay the freight" for under resourced communities, which was a norm in the nonprofit setting. SRP was also able to provide assistance and mentoring, training, and consulting. This was "to facilitate those groups of volunteers or employees to build action plans and strategy". So in-turn they take their resources and expand the SRP framework in their community.

126 SRP emphasized an often overlooked resource flow. Capital could be tapped under the wealth-transfer paradigm that FRO had championed. Communities could create affiliated funds under the FRO umbrella and provide funding to utilize the SRP framework. According to a participant it was "always assumed within broad economics, but especially within rural economics" that "capital was our limiting resource". Communities paying "the freight" for their own futures looked promising. Leadership from FE also recognized the potential of wealth-transfer between generations to bring resources to K-12 education. The two foundations in the Initiatives knew the tension that comes with philanthropy. "Thats always the trick getting the unrestricted dollars, because most people like to leave restricted dollars." Funds are needed for the "back office" work in philanthropy. Besides sustaining the foundations, a concern for SRP was how to establish endowments to sustain communities forever. Unrestricted endowments were needed "because we know that what they [community] need today, and what they need twenty years ago. We cant possibly determine what theyre going to need in twenty years." "Selling an unrestricted endowment isnt "sexy" because "its not bricks and mortar." CEC were able to get additional resources from the community-at-large by networking and "bringing partners to the table". The consistency of volunteer resources had an ebb and flow, which made it difficult to predict impact. These resources were based on voluntary donations or grants. By placing the framework for the CEC Initiative in the schools, they were utilizing a "best public resource" and a fixed infrastructure. Macro dynamics such as diversity and socio-economic conditions were considered as context. The domain each Initiative was located in influenced

127 interpretations of opportunity and shared meanings. Several other institutional features, including culture and norms were found as context. Intervening Conditions Intervening conditions "mitigate or otherwise alter the impact of causal conditions on phenomena"(Strauss & Corbin, 1998, p. 131). The opportunity trajectory (causal condition) was the national foundations providing the capacities to convene opportunity as city and state Initiatives. The national foundations provided financial, knowledge and social capital. This included a well-articulated, values-driven social cause with strategies identified (were conditional to funding) and the resources to permit the Initiatives to convene "opportunity". The conditions identified that could mitigate or alter the resource flow or strategies identified were capacity issues. These were institutional, community, and personal capacities. Institutional Capacities The participants expressed conditions regarding the scale and the scope (including diversity issues) of the Initiatives' institutional capacities. Maintaining a viable framework remained a challenge to institutional capacity. SRP participants expressed concerns with the Initiative adapting to increased scale. This meant protecting the entrepreneurial culture. A participant projected that, "if you move to scale and as you achieve growth, if you dont build mechanisms for [an enterprising culture] to happentheres a whole set of organizational constraints that begin to ratchet that down". There were also opportunities considered. A participant stated:

128 Ive tended to be pretty conservative about our growthwanting us to make sure we kind of incrementally grow. But of course with [the NFI grant] that raised the profile. There were a whole lot of folks now that said boy we want to partner. So the immediate sense is well youve got to reach that opportunity when it comes. The CEC Initiative also had mixed concerns for growth and many concerns for sustainability. Resources were a predominant issue. A participant stated, "Creativity, it far outpaces the resources we have and the [staff] time we have to develop those". Another participant said, As we grow bigger, as we expand the base within the communities or the neighborhoods in terms of program offerings and more agencies get involved, I dont know. It may come to the point where weve got to draw a line, but I dont think were there yet. Addressing issues in diversity, (gender, culture, race or national origin), was a condition that mitigated process. A participant from CEC related that local leadership is primarily "white middle class, upper class people, who don't reflect the communities they serve". However, communities that are diverse in culture or race or national origin primarily had the same handful of community activists or leaders. It was a well known challenge in the city that it was difficult to get good representation of the diverse community on committees or councils. Partners in CEC could have missions aligned with faith-based principles not necessarily in alignment with beliefs held in all of the communities. This was a tension, although well-articulated goals of CEC overcame most issues.

129 A facilitating feature of the Initiatives' structure was that community representatives were convened to decide what their neighborhood or communities needed in terms of service or programs. For instance, in the CEC model, there were different programs at each center due to the local leaders' input. In the SRP model, the communities' leadership could choose any one of the four portfolios the framework offered. And this service could be provided by a number of service providers. The decentralized features of embedding leadership at the community level and convening multiple partners at the location of the community were a unique to the SRP Initiative. Continuous training of new leadership at the local level could have the effect regenerating the framework with new capacities that could influence the intended outcomes of change. There were discussions within SRP about "exit strategies". However, the framework, particularly under an affiliated fund model for local philanthropy, made SRP "forever" partners in communities. Because communities provided the "bulk of the resources" for the framework, "quality control" and oversight were a function of the local "site coaches". These coaches (usually a person affiliated with a partnering entity) were described by a participant as, "lead representatives in that community to ensure quality control. We want to know that were being creative in helping solve problems [and] taking advantage of opportunities." This "architecture" was designed to create a "learning community" by establishing a network to gather the input and output information through the site coaches. For CEC the benefit of a loose structure with many partners was "people did not feel the pressure against their turf". Each partnering organization worked within guidelines of their organization. Member partners also had representation on the

130 governing structure of the Initiative. Regarding working with these community-based partners a participant said, [Community-based partners] have the wherewithal to raise some of their own funding. But [CEC] are giving enough funding that community-based partners want to stay part of this larger initiative. So you know you extend your ability by tapping into the strengths of other organizations that have a proven track record in the community. The governing group tried to establish a system so staff "on the ground" did not have to "serve two masters". With the arrangement as it was with multiple organizations, participants acknowledged that "open communication" was essential. Communications were made "easy" by "inter-school mail" and "web-based e-mail". Nonetheless, the framework's permeable boundaries made "plugging-in" the various partners difficult to conceptualize. The feeling was that if you "kind of herd these cats in one direction" the framework was working. Proximity to others was an organizational characteristic that kept coming up in the data. This impacted engagement in the process and expanded learning opportunities. FE and FRO were each advantaged by their propinquity with the national foundations. Having access to these networks and the leadership at the national level was instrumental in gaining access to information and resources. CEC centralized their activities in "outreach" facilities. CEC ability to place staff near the Principals and hold activities in the school was important for public engagement. Secondly, placement of the office for CEC coordinators provided a "closer working relationship with our partner because were housed in their building". Several of the core

131 partners in SRP were co-locating into shared office space to facilitate easier access to one another and foster "a creative environment". Community Capacities The communities' capacities was said to have varied across space and time. The communities in the city didn't yet have the level of readiness to take full advantage of public engagement through CEC framework. It had taken seven years to see the successful results of a community betterment project that stemmed from a joint Initiative around housing. Growth in the Initiative's partners suggested engagement was still emerging. Most of the successful programming featured in local media was youth development. Adult development was still lagging. A participant said (regarding the school buildings and adult programming), You know people dont consume public goods very much anymore. Parks tend not to appeal to affluent suburban populations, as much as they appeal to new Americans or refugees. Our society tends to look down on public goods and maybe the fact that there isn't a lot of adult programming in schools is not a failure of CEC. Its just a reflection of the consumer demand. There were several examples of community readiness that impacted public engagement (or "psychological engagement") with Initiatives activities. Due to the newness of the concept of frameworks, there was a generalized lack of understanding in the community that CEC provided an "infrastructure that anybody can plug into as long as theres the need". The CEC Initiative required a cross-section of community leadership's "buy-in" in order to mobilize partnering agencies. It was felt that the city had an effect of being a

132 "small community" that had advantages and disadvantages. It was stated that like within many communities, the formalized leadership will have some people "committed to and living by the status quo", which acted as a constraint to other development activities. However, within the CEC Initiative the "small community effect" was an advantage. Good relationships with the community were viewed as instrumental in enrolling partners. Also, there was a kind of checks and balance that came with diverse thinking around the "child at the center". A participant said, You need some kind of institutional behavior. You need people who are worried about pennies and you need people who are worried about formalities and structures. And then you need these soft, mushy hearted people who are thinking lets get through this crap and make sure that these kids are getting what they deserve. SRP experienced problems with community readiness related to community size, or a lack of local leadership available to coordinate activities. In other communities, support from elected officials was necessary to get "complete buy in." Sometimes the necessary "advocates" were not available. There was always a sense of optimism in approaching any community. According to one participant, What we know about systems change, and what we know about movements is you dont need a majority. In fact, you can get by with 30% of highly passionate people to actually change an entire system. There were many communities very strategically ready to apply the framework of SRP and had. The annual report of the NFI had showcased one community that had an increase of ten young couples moving to the rural town of Pandora. The report included a

133 short video, which used a lot of symbolism to frame the work of SRP in the state. The message was that a rural community could "basically control your own destiny". According to the video, "a hallmark of this initiative iscreative cooperationbased on homegrown assets". The video went on to show that the focal community was replicating the Initiatives' creative cooperation and had built a new capacity to continue to do so. Personal Capacities The personal capacity of leadership was a strong mitigating factor. The relational networks of trust and reciprocal behavior, social capital, held by the leadership in both Initiatives influenced the availability of resources. "Relationships" and "trust "were threaded throughout the data. The relationship that partnering organizations had with each other was found to develop respect and trust. A participant said, You know you have to have that ability to kind of weigh things and make decisions kind of on the fly that are both practical and reasonable. But also serve the interests of your students or chances are you miss getting any opportunities. And that depends upon you having good relationships. If you dont have good relationships youre unwilling to take those kinds of risks. So the relationship that [two partners in CEC] have allows him to take those kinds of chances. To do things a little bit on the edge that you know you have to do to be a successful entrepreneur. Particularly, it was felt that the principal's support and understanding of "what [CEC] is and what it isn't" was critical. It was also important for executive leadership to understand that for those "on the groundthe world looks very different than sitting in an administrative chair", so communication and understanding were underscored.

134 The capacities of leadership within the Initiatives were significant influences on process. Because the study featured FE and FRO as entry points into the study, there were many supportive comments by participants regarding the top leadership of those two organizations and their directors. The national foundations' leadership was also highly praised. Observation and interaction with all of the participants interviewed (who were recognized officially by one another as "leaders") illustrated personal capacities of great intellect, passionate persuasive abilities, and strategic orientations. The comments that demonstrated the strengths of leadership were plentiful. The participants were humorous, and thoughtful. Participants revealed insights into their character and abilities to influence. For example, as one participant said, "But it's fun because we take the community's cares and concerns, all the families, you know neighborhood people, we'll interact with them or the business people and say, "Gosh we're having a lot of problems with tagging, what can you guys do about that?" Examples are given for several comments that demonstrated knowledge or experience of colleagues. "He is the perfect example of the social entrepreneur." "He is very savvy." "I had been picked out of a pool of people from the state's industry to help decide how to advance entrepreneurship in the state." It was stated that for an entrepreneur is was important to "leverage your experiential past and add to it with the educational past." Additionally, there were insights into the depth of understanding that some of the participants had about self in entrepreneurship or as an entrepreneur. A participant described a philosophy that each person has a filter of "whats rightful and appropriate"

135 as determined by "culture". Each person has orientations that are "political, economic, social, altruistic, individual, and theoretical", according to the participant. An aware person can be self-regulating and find strategies to balance these dimensions of self. It was considered important to uncover "operating models" of entrepreneurship. The personal capacity to be innovative as a leader was a critical condition that would facilitate or constrain process. Leadership asked hard questions and moved through bureaucratic trappings. As a participant said, people that are willing to kind of say, Well I understand that but is that really enough? It may be sufficient but is it really adequate? So they are always thinking about new ways to bring in new resources in creative ways. I think [it] tends to make people who are used to a very comfortable bureaucracy, uncomfortable. The intervening conditions for 'convening opportunity' were those capacities that were dynamic and could always be in flux. These conditions and capacities could facilitate or constrain the strategies or outcomes of the causal condition of the Initiatives. Each Initiative had similar categories of conditions, but each case had some degrees of difference. Strategies "There are actions/interactions, which are strategic or routine responses made by individuals or groups to issues, problems, happenings, or events that arise under those conditions" (Strauss & Corbin, 1998, p. 128). Answering the process questions of how opportunity was convened and who convened it formed an understanding of the strategies

136 used. Making the case and forging partnerships were the two primary strategies in the process of convening opportunity. Making the Case "Buy in" or "psychological engagement" or "sell" or "making the case" were terms used to describe the interactions to persuade others to support a social cause or to move others to action in the Initiatives. Audiences for making the case ranged from policy makers, supporters, or partners who provide services to the consumers of the service. Persuasive language was used to explore collective goals and to leverage resources. Sometimes it was democratic principles and utilitarian concepts projected in the language used. For example one participant said, "That they [the community] could be the next one to do some greater good on behalf of society." Creating rhetoric to cast meaning that was "conceivable and believable" was considered a strategic necessity. Especially, since the leaders believed that the "ownership stake" communities must address was a pivotal piece. As one participant stated, "The problem with community is nobody owns it and everybody owns it". So how the case was made to community was critical. This was considered to be "psychologically engaging" people. Both Initiatives were using techniques of appreciative inquiry to draw upon the communities' voices in determining community needs and desires. When asked how you would advise someone doing the work, a participant with the CEC Initiative said, I would say, get out and talk with people. Meet with people and find out what drives them. Find out what's important to them and what they want to see in the community that is centered on the school. Talk with parents, talk with kids, find

137 out, talk to the neighborhood people, talk to the business and just listen. The issues involved with making a case were critical to the mission of the Initiatives. Consequently, framing was important to narrow meanings down to something understandable. The issues framed by SRP were to show economic "relevancy" of rural areas and convince others "theres not enough either of government or charitable money to get this stuff done", it would take entrepreneurship or leveraging resources. For the CEC Initiative making the case required framing the Initiative as natural partners in creating a healthier, more participative community. The way to "make the case" was the same in each Initiative. The best communication was "telling the stories". Sometimes these were stories of the needs, but mostly the "success stories" encouraged "buy-in". Sometimes it was multiple "sets of conversations" over time that built relationships. And then we just begin to educate people on the nature of the constituency and the fact that you have to build coalitions just like the rings on a tree, one heart and one mind at a time through the relationships that core of people have. In each Initiative public engagement was a "cornerstone" to the movement for systemic change. The earliest problems that the CEC Initiative had with the buzzword "public engagement" had made it clear that not only a "case" was to be made for engagement, but a clear understanding of the "case" was critical. Accordingly, a participant explained how important it was to be "introducing language with the idea that that helps you build culture and a shared understanding of what it is were trying to do".

138 The words used to name SRP sometimes were not understood by people outside the immediate culture of SRP. To make the case in communities and with collaborators there was a commitment "to creating some new language. A participant from SRP said, Our work is based on pretty rigorous research. But when we go out into the field and work with people those translations are made so that folks can understand it. I mean its like this idea of entrepreneurial talent its awkward for people at first but we think its important that we have a shared understanding of this concept Branding was helpful to leverage or mobilize resources. The CEC model received national branding under the 21st Century grant. The city Initiatives network model was unlike most other CEC initiatives. It was felt by one participant that other centers with "less of an ability to raise their own funds is probably more dependent on the brand and the materials". Local news carried many stories about CEC. However, the reality was that on the ground CEC were known by parents and students as "before-and-after school programs". Collaborators in the SRP Initiative often used their own program name-brands as they provided services in communities. The local coordinator was responsible for fitting these pieces together under the SRP umbrella. The name "Sustaining Rural Prosperity" was thought to "evoke an emotional response from people beyond just saying your community." A participant said, "We are very intentional about using the word [sic] because were pretty sure it has an amazing emotional connection to their hometowns". Another participant said, "Words are important and we spend a lot of time with it and probably should spend more."

139 The message was articulated multiple times by each participant in SRP Initiative. They said (in same or similar version), [SRP] says it says, keep in touch. You may go outside to learn, but dont dismiss the fact that you can have an environment in your hometown, if the hometown takes care of its politics, leadership and youth engagement and philanthropy. Its possible for you to come back to this small town and do it. Participants from CEC used words like "working together and get organized" as something the partners were doing. Subsequently, creating and organizing activities for adult and families that utilized the school buildings was something that they found challenging. One participant told of the problem with engaging parents at CEC "in any kind of meaningful way in terms of direct services provision". The participant said, "So in order for communities to truly utilize schools resources, [schools] just cant be glorified, extended day learning opportunities. If you really want to take ownership over your schools, you have to be able to use [the schools] more for everybody. Forging Partnerships SRPs core partners envisioned "a very long term endeavor" under a basic collaborative model. As a partner said, "Thats how we do business and have done business for quite some time. So that part is not unique to us." Historically, the partners had witnessed as a rural development strategy "based upon deficiency". Government grants were based on who could plead the best case. A participant said, "Weve said you need to give us money because were poorer than you are and thats the system weve set up". The new strategies were a major shift. As a partner said,

140 You know I think weve a real commitment on all of our parts to use this as an opportunity to kind of rationalize our relationship. I mean really integrate the services we offer to communities Actually instead of seeing all these different players out there they see a cohesive mold thats really been thought out and that fits together. The partners of SRP were individually committed to having an entrepreneurial culture in the partnership. A participant said, Most of the central players in this [partnership] are pretty entrepreneurial themselves and fairly creative people themselves. Theyre bringing those orientations and those personalities to the table. I think the second thing is over the last three or four years we have built a culture where weve said [entrepreneurial approaches are] important. I mean its important that we get paid. Its important we do good work. But part of this is, at this point in all of our professional careers, being creative and trying to be on the cutting edge of whats going to work is personally pretty important to us. The partners believed that communication in the culture was "wide open". Being colleagues had brought them through "difficult times" and worked it through so that they have maintained friendships and professional relationships. The next challenge to the partnership was how to bring new partners into an existing culture. The leadership for SRP was thoughtful about how to balance strategic and creative processes. To convene opportunity they were "intentional", "deliberate", and "strategic" in locating the "right people", "right places" and at the "right levels". And creative processes were beneficial in convening opportunity. A participant said,

141 The other thing that were currently working on is through our learning community... set aside bigger blocks of time pull into that creative mold when you do that is the opportunity to bring other people in so that you expand the kinds of people around the table, which enriches the creative process. So were trying to be fairly intentional about ensuring that we maintain a creative element in this and I think thats particularly important that as we are growing the demands to simply run this thing are getting bigger. And its very easy then to let the creative time get pushed out. The SRP Initiative participants had to balance their time with being creative and learning from their "experiment". This work was a learning process to balance the "tension between short term and long term gain". The short term was to have funds to pay the bills and the long term was to create mechanisms that could sustain the Initiative. The partners also had to learn the balance of immediate value and long term effects in the communities. A participant said, I mean communities they like this stuff. But when they go back to the County Commissioners, theyre going to look at those bottom line metrics and [ask] has progress been made. Whether we feel more enlightened or not isnt going to get them to write a check. The community-based partners in the CEC framework were considered strong partners by participants. The network provided resources for partners, which included some funding and materials. However, there remained a tension for community-based partners to keep their branding and their relationship in the community solid because

142 each partner was responsible for his/her primary source of funding. The success of the network was the relationships being built. A participant said, Working in partnership of all these collaborative organizations and the school and that's, that was really tricky. And it did, it took a long time and cause we had to build relationships and that's, I guess essentially that's what it's about is building relationships between people between organizations, building trust and it takes a long time and it doesn't take much to wreck that. Partnering meant that there was a value-added resource of the CEC framework available in the community. An example of a partner's work "on the ground" in this new area of community development was that of facilitating community's engagement. A participant said, Were just more as an advisor and kind of help facilitate the use of the building and connections. Sometimes there's value added resources, like we're members of the food bank. So if like they [the local neighborhood committee] need food brought, we'll check the food bank list. If we can provide that we'll let you know. Or we've got a babysitting club [at another site] and there's a parenting class going to be put on by the school psychologist and school counselor. We'll match that resource to provide childcare for the parenting class. So we kind of help facilitate these things. About three times a year we really start talking about goals and what do we want to try to accomplish and things. But in between those meetings, it's really about getting those things done and checking that list off and jump through all the hoops we got to get these things done.

143 Each Initiative used making the case and forging partnerships to convene opportunity. The behaviors that participants identified were both strategic and routine actions. Making the case was through multiple sets of conversations with different audiences. These conversations and dialogues were both appreciative inquiries from the communities and making a "sell" to the community for them to engage. There was considerable attention given to framing language or developing shared meanings within the culture of each Initiative. Partnering was strategically locating and identifying the most salient stakeholders. Balancing the power in the Initiatives, as well as pooling resources, was a process of acknowledging partners strengths and leveraging those strengths. Outcomes

Strategies (actions/interactions) have outcomes. These outcomes may be a failure to respond to or a result of the strategies (Strauss & Corbin, 1998). An outcome of systemic change was not a verifiable condition of 'convening opportunity' in this study. The primary outcomes in both Initiatives were creating frameworks that continued to convene opportunity. The frameworks had both intended and unintended outcomes. The model of SRP was considered "innovative" by the initiators and the facilitator. The scope of this community development effort pushed into unexploited areas by placing multiple resources into one Initiative. According to a participant, "It becomes very robust in terms of the number of communities, the scale, the budget, and the number of people involved. So that makes it unique because of the duration and the scale of the Initiative." Additionally, the feature of SRP being a "network" embedded into

144 the community was intentional. A participant said, "They dont have to be doing [development of rural areas] in a vacuum or in a silo, but now are part of the community doing this". The partners had also developed a framework that was meant to appeal to the sense-making abilities of people in community. The SRP Initiative's approach to philanthropic grant-making gave communities a framework to "break away from the restrictions that are placed on us when we get a grant from the government". Through the affiliated fund approach power was given to the community through greater "autonomy than that of a government relationship". SRP's framework was also an opportunity for the partners to innovate within their own domain of community development activity. They could, as a participant said, "Go out and push the envelope and try ideas, learn from that and revise and over time. Learn all the sets of approaches that really do have traction. So thats part of this too the learning community. It is really the foundational tool of what were trying to do with [the model]. Money and materials, and the social connections, "benefited the partners" in CEC. Although, the core work of each partner is focused on schools that they have relationships with to provide service. Since each community-based partner in the Initiative must raise funds or their own organizations, those with "less of an ability to raise their own funds are probably more dependent on the CEC brand and the materials that they provide". An innovation of the network was to enter into the domain for community development in programs other than before-and-after school programs. These community development activities were undergirded by the philosophy of public engagement.

145 Serendipitously or strategically, the before-and-after school programs provided a bridge to bring the community-at-large into the framework. A participant said, relationships they get to know staff, through positive interactions that they learn to trust us and see us as partners helping their kids and their families provide a service for free for them from thisThe Neighborhood Committee has really taken the mantle on strengthening families and doing family events and things like that. Sometimes community development was happening in more incremental steps than the youth development work (e.g. the neighborhood betterment project that had been in committee for several years before fully engaging the neighborhood in a community betterment project). However, the partners at the schools were also instrumental in making community development happen. As a result, they were building their capacities to learn and grow from the community processes. So I think that's what, you know working together, everybody playing their role and coordinating with everybody else we actually produce something far greater than if you just kind of thrown little 'stone soup' out here. The ability of the CEC Initiative to overcome "turf issues" was considered a positive outcome by participants. Each partnering organization had autonomy with its partnered schools and neighborhoods. CEC was a supporting framework that communitybased partners could attach to, so "turf" was less and less an issue after initial roll-out. Both Initiatives received local, state, and national attention for their innovation in community development and public engagement. The outcome of this recognition was "humbling" and gratifying for the Initiatives' leaders.

146 Summary of Convening Opportunity The logic of Strauss and Corbin's (1998) technique is to organize findings within categories to discover the process being studied. The logic applied to the study found when a causal condition(s) exist (well-articulated values-driven cause and resources availed) and these conditions contribute to a phenomenon (convening opportunity through an Initiative), the context (macro and domain influences and institutional features) and intervening conditions (institutional, community, and personal capacities) influence the strategies that are employed (making the case and forging partnerships) to bring about certain outcomes (frameworks that are network models of community development that continue to convene). For both cases the opportunity identified was to create systemic change in communities by building the communities' capacities to engage in the process of convening opportunity. These changes were articulated differently. However, the overall effects were intended to be healthier more vibrant communities with greater social and knowledge capacities. Opportunity was the possibility that a member of the communityfield identified with or created and implemented promising innovations, and necessary resources were found and applied in order to sustain the innovation over time (Dorado, 2005). Initiatives were created to provide a framework that was intended to build capacities in individuals, community, and also within the frameworks. These strengthened capacities were framed by stakeholders as a pattern of actions-reactions that would lead to systems change. An engaged public could improve social conditions,

147 because of the underpinning values of democracy and public engagement (community ownership). Convening opportunity in social entrepreneurship at was an action-reaction process of recognizing opportunity, strategizing the opportunity, and structuring the opportunity. Recognizing the opportunity provided a clear, well-articulated value-driven cause to create strategies and structures that could mobilize resources and stimulate collective action. The identified opportunity was to create systemic change by building the communities' capacities to do so. The overarching value was identified as a democratic principle of public engagement and the "community had to own the process" in order for real change to occur. Strategizing the opportunity identified mechanisms to build capacities, evaluate resource flows, and influence policy. This was accomplished through aligned leadership and a combined mission among all partners, including the constituencies plugged into the network or framework. Structuring the opportunity provided a framework for how opportunities were convened within the social and community fields. These varied by context for each Initiative.

148 CHAPTER VII Convening Opportunity in Social Entrepreneurship This study integrated categories of causal condition, phenomenon, context, intervening conditions, strategies, and outcomes using grounded theory methods (Strauss & Corbin 1998) (see Figure 3). The study was guided by two research questions. Research question one asked: What is the theory that explains the process of social entrepreneurship in Community Development Initiatives? This study found action sets of convening opportunity as a process definition of social entrepreneurship was discovered. Research question two asked: How and to what extent do institutional structures and processes of engagement facilitate or constrain the process of social entrepreneurship? Institutional structures were found to be significant contextual and intervening variables in the phenomenon of convening opportunity. New institutional building was a consequence of convening opportunity. Social capital was found to be a necessary element to facilitate process. Evidence from the study provided new constructs, grounded in the data. This evidence has generated theoretical propositions and sub-propositions related to the two research questions that guided the study. Recommendations are made to test the propositions so that the constructs can add to a grand theory of social entrepreneurship. Research Question One Defining Social Entrepreneurship "Good science has to begin with good definitions"(Bygrave & Hofer, 1991, p.13). This study supports the following definition of social entrepreneurship in two community development Initiatives. Social entrepreneurship is a process of convening opportunity,

149 where opportunities are recognized, strategized, and structured so that communities may exploit and reconvene them. Dorado's (2005) definition of convener in the context of institutional entrepreneurship varies from what is found in this study. Dorado stated, "In contrast to entrepreneurs who define a project, conveners identify a problem and convene other actors to define a solution"(p. 409). According to Dorado, the conveners are organized to be problem solvers and are not necessarily entrepreneurs. Trist (1983) would agree. This study uses the term convener for two reasons. This was an in vivo term used by participants in each Initiative. Secondly, there are no cognitive, social, or political reasons a convener may not be someone who searches for social opportunity, recognizes an opportunity and takes action to develop this into a planned social change by mobilizing resources (Gupta et al., 2004; Stevens, 2003; Thompson et al., 2000). In this study the conveners were able to convene others into the process of entrepreneurship. This doesn't move too far from Dorado' model though, as she places the convener as one who mobilizes resources. Based on findings in this study it is reasonable to make opportunity the subject of convening. Especially, given the following definition of opportunity that Dorado provided, "opportunity is the possibility that a member of the community-field will identify with or create and implement promising innovations, and necessary resources will be found and applied to sustain innovations over time (p. 391)." Opportunity is described in the organizational literature as creating organizational advantage or competitive advantage (Anderson & Jack, 2002: Davis & Aldrich, 2000; Day, 2001; Nahapiet & Ghoshal, 1998). Opportunity defined in the study was to create a framework

150 that built the communities' and the frameworks' capacities to engage in the process of creating systemic change. Theoretical Propositions and Subpropositions Theoretical Proposition One 1.0 Social entrepreneurship in the nonprofit setting is a process of convening opportunity. The process is identified by actions of recognizing opportunity, strategizing opportunity, and structuring opportunity. 1.1 Convening opportunity is a trigger-response that sets into motion activereactive patterns of change. 1.1.1 Any element of the process will overlap and be interdependent with the action, interaction, and strategies of the actors (leadership). 1.2 Recognizing opportunity is an action set to develop a clear, well-articulated value-driven social cause to create strategies and structures that will mobilize resources and stimulate collective action. 1.3 Strategizing the opportunity is an action set to identify salient stakeholders (aligned leadership), and frame a mission that identifies the values in the social cause. 1.3.1 Strategizing the opportunity establishes mechanisms to build capacities, evaluate resource flows, and influence policy. 1.4 Structuring opportunity is an action set to create a basis for managing the strategies, which has potential for new institutional building.

151 1.4.1 The structure is dependent upon a solid knowledge-base of the context of the opportunity and useful strategies. 1.4.2 1.4.3 The structure is able to manage and allocate resources. The structure has permeable boundaries around the activities so that it will generate ideas and opportunity. 1.4.4 The structure is legitimated through the successful institutionalization of convening opportunity processes, which includes making the case and forging partnerships. Theoretical Proposition Two 2.0 Making the case is a strategy used to engage people in the process of convening or exploiting opportunity that has been convened. 2.1 2.2 Making the case occurs through relationships. Making the case occurs through multiple sets of conversations or dialectical means. 2.3 Making the case will engage people having the capacity to engage or will motivate people to build the capacity to engage. Theoretical Proposition Three 3.0 Forging partnerships is a strategy used to build the capacity to convene opportunity. 3.1 Forging partnerships intends to disperse and balance power across the framework structured to convene opportunity. 3.2 Forging partnerships leverages pooled resources of talent, expertise, and revenue.

152 3.3 Forging partnerships is predicated on relationships built in strategizing the opportunity. Theoretical Proposition Four 4.0 The process is recursive. It is a process that is characterized by indefinitely repeating itself and reapplying itself to its output. 4.1 4.2 During recursion, the process will change as context and capacities change. An outside facilitator is any entity that has already recognized, strategized, and structured opportunity. Theoretical Proposition Five 5.0 Facilitating and constraining events in convening opportunity are defined by the actors' social reality and the institutions' response to new institutional building. 5.1 When entrepreneurial mechanisms in the framework pressure the status quo change emerges in the community-field. 5.2 Social capital is both a facilitator and constrainer for convening opportunity. 5.2.1 Social capital constrains 'convening opportunity' when actors are not able to use the social capital of another actor or actors possess low levels of trust and relationships in the social field. 5.2.2 Social capital facilitates 'convening opportunity' when actors are able to use the social capital of another actor or actors possess high levels of trust and relationships in the social field.

153 Discussion A process of social entrepreneurship was studied in two community development Initiatives. This study extended research in the field of institutional entrepreneurship and also offered new insights on social capital, which were two theoretical lenses that support findings in the study. This discussion first integrates findings with theories used in the study as constraining and facilitating factors. Finally, the emerging constructs are discussed and linkages are made to other theories. Research Question Two Constraining and Facilitating Factors Theoretical Lenses Institutional Analysis Primarily, the study has extended an understanding of how institutionalized structures affect the use of entrepreneurial mechanisms to pressure the status quo. The studied Initiatives were developed as social organizations building new institutional forms. The purposes of these Initiatives were related to a need for systemic change. Institutional theory has been influential in explaining processes for organizational actions and the development of new organizational forms (Dacin, Goodstein, & Scott, 2002; Greenwood & Suddaby, 2005; Maguire et al. 2004). Studies that use an institutional approach focus attention on the relationships among organizations and the fields in which they operate. In this study the domain activity was similar in each of the two cases. Participants and their organizations were attached to the nonprofit setting. The two local foundations, FRO and FE, had legitimated status with the respective national foundations. Legitimacy was based on the shared culture and knowledge between the two organizations. In addition, leadership in each

154 organization had status with the leadership in the national foundations, which facilitated resource sharing. There were mimetic pressures through the national networks to address agendas for systemic change. These mimetic pressures were affects from affiliation to the larger nonprofit setting. Mimetic pressures reduce uncertainty (Martinez & Dacin, 1999) or stabilize behaviors (Tolbert & Zucker, 1994). It's normative behavior for state foundations to assimilate the goals and strategies of a national network of foundations (Hollingsworth, 2000). The scope and scale of the national foundation gave its leadership more power through resource flows. The foundations had greater positional and legitimated power from their national statuses, which also facilitated more political influence. Greater knowledge of the macro-environment and the social, political, and economic issues facing their constituencies were organized in data sets and clearly articulated as value and knowledge statements from the national leaders. Cognitive processes in institutional theory relate to recognizing features within a domain that are potential opportunities (Covin & Slevin, 1989; Keh, Hoo, & Lim, 2002; Mitchell, Busenitz, & Lant, 2002). A national leader at the Foundation for Innovation regarded social entrepreneurship as changing a system. Consequently, the recognized opportunity appeared to be related to "change". Strategies were outlined as "three major things that have to happen to change a system, they were: "building capacities, looking at resource flows and then shifting policy". Building capacities was evidenced by providing training and opportunity for change. One example was giving the role of leadership to community members so that

155 the role would as one participant said, to empower or enable people "to act differently than they have before". This change occurred when new events emerged in the social or community field. For instance, a dialogue in a community on wealth-transfer provided a young woman an opportunity to publicly address a community issue. Norms in the community were such that attempts were made by some to have her not be heard. However, the local leader from SRP managed the situation by stressing acceptance and the young woman's rights to having a voice in community issues. This represents the cognitive and symbolic elements of institutional structures that create patterns of behavior (Meyerson, 1994). Changing behavioral patterns meant sometimes managing conflict or providing a new rule or resource to give a community member the opportunity to act differently. In both cases the opportunities to connect to resources with the national foundations demonstrated how Initiatives were extending the institutional goals of the national social sphere. The sense-making of "public engagement" and new economic strategies were translated to the work of the local Initiatives. The CEC Initiative addressed "public engagement" for systemic change and SRP addressed hope for rural revitalization with new strategies that mirrored the larger foundations. However, field influences and contextual environments were not as similar between the Initiatives. The CEC Initiative was from an urban setting, which produced a set of constraining and facilitating factors to influence this new structure. Whereas, the SRP Initiative had a different set of institutional features that affected its system. To analyze change in the nonprofit setting, a structural analysis is essential. A structural analysis will identify equilibrium, common values, and boundary maintenance

156 in the social structure. Critics of this type of analysis assert that this view gives little account for change in a system. Eisenstadt (1995) observed no such limitation. "Our major point is that the institutionalization of any social systembe it political, economic, or a system of social stratification or of any collectivity or rolecreates in its wake the possibilities for change"(p. 87). The process of institutional building is not random. Institutional analysis demonstrates institutionalization will organize a prescribed system as a solution to problems in social life (Eisenstadt, 1995). Social Capital Public engagement was central to the values and mission of the two Initiatives. An emphasis was continuously placed on relationships and interests in the "hearts and minds" of the community. Social capital has been an area of focus in public engagement (Putnam, 1995; 1996; 2000) and is central to many debates. Social capital begins through people's social connections and networks based on values of trust, mutual reciprocity, and norms of action. "Trust is the expectation that arises within a community of regular, honest, and cooperative behavior, based on commonly shared norms, on the part of other members of that community" (Fukuyama, 1995, p.26). Community is an arrangement of social forms (Bender, 1978). Social processes to interact within the community have been viewed as networks. The study participants from each Initiative viewed their organized structures as networks of partners (Initiatives). Of particular interest is how these networks facilitated public engagement. Engagement (commitment to social action) is an emergence in the network. This can be a personal (social) network or a community-field network (Allen, Personal communication, November 3, 2004). The community-field is the pattern of community

157 members' interactions, where these interactions result in mutual influences and shared meanings (Wilkinson, 1991). To engage people in the social network may or may not create norms of trust and reciprocal behavior in those relationships. Interaction in the social-field may create shared understandings and or normative behaviors, but it will not connect to public engagement in terms of the inspiration (influence) to act. When engagement (or social capital) emerges from the community-field these patterns of activity will result in influence and shared meaning, which is a higher level of engagement than engagement in the social network. To engage community as it relates with the field concept, "attention is directed more to the dynamic processes that create and alter community structure than to the effects of structure on social processes" (Wilkinson, 1991, p. 32). By engaging the community-field, new institutional forms can emerge. Social innovation is the result of new networks of norms, trust, and reciprocal behavior pushed beyond the social field. There were indications that SRP had their framework adapted to the communityfield. The outcomes from communities had provided evidence that the communities were taking ownership of the process. The framework did several things that facilitated the community-field emerging. First, it provided a stimulus for ownership by the community because it created pooled resource flows using the wealth-transfer model. This in turn inspired "hope" and a sense of continuance. Secondly, SRP's framework didn't give the community merely task assignments to organize. The framework gave meaning by ascribing the role of leadership at the community level. Symbolic interactionism and role theory are likely two theories that could be used to explore the structural influences of community members leading in the

158 Initiative. What these theories presume is that there are sets of cultural and normative influences that will facilitate or constrain the leader's actions in the community field. Further, the role of the local leadership and the training provided by the Initiative was intended to create an "entrepreneurial culture" with language and ascribed meanings that were meant for the community to imbibe. Social capital facilitates 'convening opportunity' when actors are able to use the social capital of another actor or possesses high levels of trust and relationships in the social field. To show the significance, it is helpful to look at the differences between a community and social field. "The primary distinction between the two fields is that in the social field individuals pursue their own self-interest while a community field cuts across these fields and is more generalized, it is within the community field that we see collective action focusing on public good" (Allen, 2001, p. 119). An example of engaging at the level of the social-field is the scenarios described when grantees may collaboratively apply for grants, but fail to move to a level engagement that would facilitate innovation or change in a system. Interactional perspectives and social capital concepts have been of interest to community development research. These concepts demonstrate the relationship between communities' capacities for engagement and the community structure (Allen, 2001; Sharp, 2001). Community fields are studied under each of these constructs. However, both constructs have theoretical ambiguity and proxies for measurement that remain too varied (Sharp, 2001). The results of this study indicated that when emergence happens in a communityfield an entrepreneurial event occurs. News sources provide accounts of events that each

159 Initiative sponsored. These field level examples of engagement occurred as entrepreneurial events of change. For the SRP Initiative, this was a community's successful economic revival. And for CEC, the community events that had a high level of public engagement was an entrepreneurial event that pushed the status quo. Structures of the Initiatives facilitated or constrained the emerging of community field. The SRP Initiative had a greater propensity for engagement in the community field because how the organizational framework was arranged. SRP was more decentralized and communities were embedded into the framework. Consequently, communities were responsible for process, including managing resource generation and leadership. Studies of social entrepreneurship (institutional entrepreneurship) have demonstrated the ability of technical leaders to have influence on new organizational forms within the fields they operate (Greenwood & Suddaby, 2005; Maguire et al., 2004). It is probable that emergence in the community-field (engagement) and local leaders having absorbed a capacity to have technical skills will have greater effects on systems change. In the case of CEC there was evidence that there was more activity at the social field because of its structure. The management level of the organization was more centralized (board, leadership council, school principals, community-based partners, etc.) and these entities were predominantly responsible for resource flows. This distance of leadership from the community-field meant that engagement happened more frequently at the social field, where meetings and programs were a venue for organizational maintenance and task assignments between partners and community members.

160 A high level of appreciative inquiry at the community level and the work of the service providers at the schools can provide direction and engagement for community field level action. Indications for the emergence of the social field and the community field did occur when innovation emerged from the community. Such as, the rock show, bake sale, and community betterment projects. (It is probable that there were more examples). However, public interest in some of these activities may have be motivated by self-interest (e.g. a community member volunteers because they love rock music). New behaviors of public engagement may occur at the social field and have good results. However, a more deep and durable change happens at the community field level. In each of the models of community development commonly described in the literature, change is enforced by actors who act as facilitator, advisor, or advocate/organizer. The change mechanisms in a self-help model presuppose that people in the community will identify and solve problems themselves. A technical assistance model has experts (science), who can provide the necessary means and solutions to community problems. Whereas, a conflict model of community development presumes power as the basic resource (Flora, et al., 1992; Green & Haines, 2002). SRP and CEC developed networks of partners or agents (drawing upon Agency, e.g. Giddens, 1984) in an entrepreneurial model. The Initiatives avail themselves as experts (technical capacities). And the networks also built capacities in the community, believing the community could best determine their own needs (self-help). These networks would also act as frameworks (containers) to draw resource capacities into the framework and build consensus around social issues. The open nature of these systems

161 makes it a viable opportunity to bridge policy makers and community members together through modern technology and the network the Initiatives provide. Constructs of Convening Opportunity To understand how social entrepreneurship is a process of convening opportunity, it is helpful to show how the constructs emerged in relationship to conceptual understandings of entrepreneurship. (See Table 7). Table 7. Comparison of Entrepreneurship Models Collaborative ProblemSolving Entrepreneurship Convening Opportunity McCann, 1983; Gray, 1985) (Institutional (Social Entrepreneurship) Entrepreneurship) Gartner (1985) Sattler Weber (2006) (Dorado, 2005)

Locate Opportunity

Recognizing Opportunity

Problem Setting

Strategizing Opportunity Accumulate Resources (Making the Case) Market Products and Services Produce Product Structuring Opportunity Structuring (Forging Partnerships) Networked Model of Direction Setting

162 Community Development Build an Organization Respond to Government and Society Gartner's (1985) maintained that the process of innovation was the interaction of the elements (described in Table 7) and the "domains" of the individual, the organization, and the environment. In the present study, referred to here as Sattler Weber (2006), the researcher's findings replicated Gartner's "domain" interactions. However, the elements or phases of innovation differed. McCann's phases of problem-solving, which according to Dorado (2005) is a feature of institutional entrepreneurship, were most applicable. This study explicitly relates to only the first phases of new venture creation Gartner's (1985). Each Initiative had social enterprises (generated revenues) operating within their models of social entrepreneurship. The study of convening opportunity focused on the patterns of activity and institutional responses that occurred through the convening opportunity phase. The study did not address an economic model of entrepreneurship nor a focus on outcomes, which are the final phases in Gartner's model. Convening opportunity addresses a social movement process of entrepreneurship, with field level changes as social innovation. Social systems are those patterns of relationships in a society that once established tend to perpetuate themselves (Giddens, 1984). Change in the institutional context (structure of rules, roles, practices, and beliefs) occur depending on agency, resource mobilization, and opportunity (Dorado, 2005). Dorado stated that studies help to

163 enlighten the field on the "paradox of how institutional change is possible if actors' intentions, actions, and rationality are conditioned by the institutions they wish to change (p. 385)." In this study, each Initiative was engaged in institutional building to develop and expand value-sets. This was to establish new networks that could change existing norms and patterns of behavior. The complexity and myriad of social and economic issues was too large for any single organization to make significant impacts so Initiatives were created. According to Dorado (2005), actors define a project, gain support from backers, and in tandem with backers will bargain for acceptance from external stakeholders. The bargaining is to frame issues so as to convince others in the field a need for change. This calls for politically skilled actors. Change agents are skilled at environmental scanning; understand the mutual benefits of collaborating; and are attentive to evaluating and using lessons learned. Largely, the skill is needed because a complex problem will call for convincing others of the need for collaborative solution making (Dorado, 2005; Gray, 1985; Weick, 1998). In collaboration, agents are catalysts to explore the possibilities of cooperation. These agents, according to Dorado, must be credible, knowledgeable, and positioned as an unbiased entities. Coalitions increase in times of crisis and may be field-level attempts to create change (Gray, 1985; Trist, 1983). In this study the Initiatives were created by nonprofit organizations that had prior experience with other Initiatives addressing social issues. However, in each of the cases addressed in this study, the new Initiative had a much larger scope and scale than previous experiences.

164 Weick (1998) stated that when complexities are large it is important for organizations to develop a "coherent story of what is going on as much as to decide what should be done given the unfolding story (p. 40)." In convening opportunity this was considered as strategic sensemaking or making the case. There were successful strategies to bring partners to the table and to engage community members into active participation in economic and social issues. Gray (1985) asserted that collaborations are "the set of actors (individuals, groups, and /or organizations) that become joined by a common problem or interest (p. 912)." Problem domains require the resources of several stakeholders to achieve optimal outcomes. However, to effectively problem-solve, there must be attention given to process and not how to control another organization in the collaboration (Gray 1985; Trist, 1983). The organizational arrangements of the Initiatives in this study were not similar, although each Initiative claimed of having "networks" of stakeholders or partners. SRP had a more decentralized structure. Focus was placed on moving the client into the structure. Leaders in the community or partnering organizations provided task assignments (training or community organizing) as services at the location of the community. CEC had formal rules and guidelines organizing its overall structure. Programming by CEC partners was facilitated using local infrastructure (the school building), and task assignments were the responsibility of each partnering organization. Local coordinators acted as quality control and capacity builders for the framework. This structure was necessary in order to have legitimacy in its organizational field of education

165 in an urban environment. CEC had "pushed the envelope" in terms of the scale and scope of the Initiative, as compared to previous collaborations. The reason the Initiatives in this study came into being was the identified need for social change was bigger than any one entity could solve alone (Trist (1983) called these metaproblems). Gray (1985) defined this as "pooling of appreciations and/or tangible resources, e.g. information money, labor, etc. by two or more stakeholders to solve a set of problems which neither can solve individually (p. 912)." For several years FE had worked in smaller, local initiatives and saw that bringing the "tables together" would help to overcome limitations in resource flows. They also recognized that a simple network of community-based organizations would not have the capacity to create change without collective action. Partners from SRP echoed similar reasons for wanting the power to do things in a collective manner. According to Gray (1985), bureaucratic organizations are not likely to adapt to complex environments. The complexity of the social issue involved partnering across public, private, and nonprofit entities in the Initiatives. This was likely to influence institutional processes in each of the sectors represented. Action by one organization will have an influence on the remaining partners. This Gray believed, enhanced a "pooling" to achieve greater understanding of the context. To Gray, the "pooling" effect is a negotiated order of events that are managed collectively and incorporate the different perspectives. Institutions preserve their boundaries (Selznick, 1949). This would indicate that in this study, each of the Initiatives were likely to have functional changes as a result of the multiple organizations in the Initiatives and constant negotiation in institutional boundaries. A minor occurrence of this in the study was the example of hashing through

166 to negotiate the term "public engagement". Once the school district understood the rationale or definition, it was accepted as a viable means to promote educational outcomes. SRP purposely used "learning networks" to pool information flow. By having community members as part of the network understandings of process and shared meanings were distributed through Initiative. In CEC, this was accomplished through meetings and events held at the school. Both Initiatives had public venues for communicating outcomes and presence in the area. A Comparison of Convening and Collaborating To illustrate by comparing and contrasting, the findings in this study will be related to Gray's (1985) model of inter-organizational collaboration. Her model uses constructs from McCann's (1983) collaborative problem solving model. McCann's model has been used to illustrate mechanisms of institutional change (Dorado, 2005; Gray, 1985). Gray's (1985) model is set in the context of collaborations between business, labor and government. How that context applies in this study is the Initiatives had multiple stakeholders from business, government and other private organizations; however they were predominantly nonprofit organizations. Thus, the institutional features of the Initiatives were like that of the organizations in the nonprofit setting and within their domain of activities (i.e. education and community development). Three sequential phases, i.e., problem setting, direction-setting, and structuring (McCann, 1983), will be used to illustrate the similarities and differences this study found in regard to convening opportunity. It must be emphasized that social entrepreneurship is

167 a process to solve social issues in innovative ways. The strategies of the problem solving model are useful concepts to illustrate and discuss findings. The major differences between the McCann's (1983) categories used by Gray (1985) and the categories found in this study is the "glass half-full" affect. Social entrepreneurship was a process to incorporate innovative (catalytic) changes for an overall systemic change. This was to be done by building upon the capacities of the communities and the Initiatives. Each Initiative is attempting to evoke agency or a collective response to change the environment. Agency suggests that resources may be used creatively to bring about institutional change (Giddens, 1984). Gray's use of McCann's model is not intended to bring about catalytic results or necessarily promote creativity. A second important difference between Gray's propositions and findings in the study relate to the sequential phases of collaboration in problem solving. The process of convening opportunity was not a sequential or a simple iterative process that applied action sets over and over again. This study demonstrated the dynamic, recursive nature of convening opportunity as a strategy that interacted with the institutional environment (Aldrich & Martinez, 2001). The process of convening opportunity was to learn and apply. Engagement in the social or community field is connected to the framework of the Initiatives. Over time, the acquired capital (social, human, and sometimes financial) provided a means to affect the Initiatives' stocks of capital, which served to provide more opportunity (new stories and knowledge to make the case for engagement). A recursive action will apply it back to the actions output (Lounsbury & Glynn, 2001; van der Wusten, & Knippenberg, 1998).

168 The following section begins with a definition by Gray (1985) using McCann's typography. Following each of Gray's conclusions is a similarly defined event from the model developed in this study. A brief explanation with findings is given. Problem setting in collaborations The objective of problem setting, according to Gray (1985) is to give "explicit form or identity" to the issues that allows stakeholders to communicate about the issue and eventually to act. This identification includes who has a legitimate stake in the situation and how the situation is defined. Recognizing opportunity in social entrepreneurship In this study, recognizing opportunity is found to be actions that develop a clear, well-articulated, value-driven social cause to create strategies and structures that would mobilize resources and stimulate collective action. In the present study values and goals undergirded the Initiatives, so that all stakeholders (public, private, or business) were aligned to one mission in each respective Initiative. As stakeholders convened, the governing boards for each of the nonprofit groups also actively engaged in forming the Initiatives. Each partnering organization had their internal controls and values. Lawrence, Hardy, & Phillips (2002) suggest that the local effects of collaboration can generate what they call "proto-institutions" or institutions in-the-making. When new "practices, rules, and technologies transcend a particular collaborative relationship" there was potential for new institutions (p. 281). Lawrence and colleagues suggested that there is potential for interorganizational collaborations to be catalysts of change in the institutional fields and potentially to shape them. Given the views of Lawrence and

169 colleagues, there is evidence that the Initiatives in the study were building new institutional responses (via the frameworks) to the issue of public engagement in community development. This work by Lawrence and colleagues (2002) has implications for this study. These Initiatives catalyze change when engagement occurs in the community-field. This also suggests that there may be a "second order" effect, a recursive affect that if institutional change occurs at the community field, institutional changes may occur in the network (Lawrence et al., 2002; Warren, 1967). According to Gray (1985) those who initiate collaborations critically impact their success or failure. This person or entity is considered the convener in Gray's model. In the studied Initiatives the local foundations had natural authority and were legitimated partners. They reflected the local histories and had built on existing relationships (Padgett et al., 2005). These arrangements facilitated resource distributions and knowledgesharing. Stakeholder theory implies that an actor must have a stake and an ability to influence. There is risk in having a stake (Mitchell, Agle, &Wood, 1997). FE met some resistance initially because the community viewed the Foundation as an extension of the public school system. The community was concerned with having an "800 pound gorilla" leading the initiative, assuming that the foundation was a bureaucratic function of the local school district. This is a natural response given that stakeholders are dependent upon the group to minimize harms and achieve interests (Mitchell et al., 1997). Stakeholders were more amenable to the Initiative once they recognized the Foundation was a separate entity.

170 Participants in study acknowledged that the strengths of the Initiatives were based on the strengths of its partners, including community members. This coincides with Gray's (1985) conclusion that stakeholders must represent the complexity of the problem and have the requisite expertise to address it. Expertise requires a capacity of knowledge and reputation to address issues. In this study capacity was both an outcome of convening opportunity (building capacities in the constituency) and the current capacities were facilitating and constraining conditions for convening opportunity. Direction setting for collaborating The objective of direction setting according to Gray (1985) is to have the values articulate and direct a common purpose. This legitimates the mission. Stakeholders benefit from an expanded view of the situation and knowledge of the mission. This also establishes a clear direction for policy. Strategizing the opportunity Strategizing the opportunity is identifying salient stakeholders (aligned leadership), and framing a mission that identifies the collective values and goals in the social cause. The strategy to create Initiatives was a strategy common to the field, which is to leverage access to resources (Pietroburgo & Wernet, 2004; Raymond, 2004; Salamon, 2003). Shared leadership, rather than fusing leadership into one group, was featured in the study. Core partners at SRP and the Executive Leadership group in CEC worked as the primary group to collaboratively strategize and provide maintenance of the Initiatives. Each of the partnering organizations had their respective leaderships' input into the processes of their Initiatives.

171 In this study, shared leadership had advantages. By working together there was collective sense-making. The partners were able to "construct, filter, frame, and create facticity" (Dorado, 2005, p. 389) in order to make sense of the situation. Making sense of what is going on in complex situations is as important as knowing what to do (Weick, 1998). Studies on institutional change have shown that there is a dialectical process that goes on between actors, meanings, and actions (Dacin et al., 2002). This suggests that the many sets of conversations that the core partners had were foundational to change. In both cases, these conversations progressed over several years before the Initiatives were developed. The result of these sets of conversations was to acknowledge the interdependencies between stakeholders and values, which corresponds to Gray's (1985) conclusion on collaboration. These conversations served to legitimate generalized values that were held by the collective. This was pronounced in how the underlying values were repeatedly articulated by participants. Values motivate leadership in grassroots activism, whereas practices of leadership are not different from business (Brant, 1995). A question of values versus business leadership was not answered in this study. However, each Initiative partner having 501 (c) 3 status acknowledged their governing boards as giving it needed support. There were planned sessions for the boards to have creative and strategic input. The study revealed what was articulated as "aligned leadership" or the "right person at the right place at the right time" or general comments of how critical the leadership was "on the ground ". The site leaders (located directly with the community, either in the rural area or at the schools) were also managers. They had task assignments

172 to manage innovation. Could they be innovative? Institutional theory would say that routine behaviors, like managing tasks, most likely produce incremental and transient change (Dorado, 2005; Giddens, 1984). However, according to Giddens (1984), agency occurs when a person is creative and motivated to move away from scripted patterns of behavior. Thus, the social entrepreneur "on the ground" for the Initiatives had a critical role to engage community members and a motivation to be creative. Structuring for collaboration The objective of structuring, according to Gray (1985), is to have systematic interactions among stakeholders provide ongoing and essential appreciative processes. This was seen as a self-regulating process, whereby stakeholders view themselves as convening opportunity or producers of change. In Gray's view, this structuring sets the stage for strategic negotiations and the redistribution of power. A collaborative structure also reinforces interdependence within the collaboration. Structuring opportunity Structuring opportunity is creating a basis for managing the strategies, which has the potential to create new institutional networks with new sets of values and norms. An orientation toward local interests is the "hallmark of community action" (Wilkinson, 1991, p. 83). Community action occurs in the social field. A community field change will have new sets of values, norms and networks that serve to link and coordinate action to reinforce the special interests in the field (Wilkinson, 1991). The community field is considered an abstraction of the social field. The "frameworks" that are applied in communities are strategic in both Initiatives. They are meant to create planned change.

173 Nonprofits have been seen as policy-shapers. Nationally, nonprofits have roles in mobilizing popular support and being able to identify concerns of citizens (Orr, 2001). There had to be awareness at the local level but it was also critical to keep checking the policy environment. A participant said, "You raise your head up. That youre able to articulate to the people at the top, whats happening at the local level". In Gray's (1985) meta-analysis, the proposed collaborative model is dependent upon a solid knowledge-base of the context of the problem and useful strategies. This was also the case in this study. Knowledge was consumed and produced by the process of convening opportunity. Structuring the opportunity provided a means to determine how opportunities were convened within communities. According to Quinn (1988), organizations will seek flexibility and adaptive capacities and yet they desire stability and control. FE responded to external pressures to change the foundation's name, so as to give it branding. They also framed "public engagement" in a way that eased constituency concerns and provided for an organizational structure that legitimated the Initiative. Whereas, SRP partners created a management structure that was based on a business model (contractors). Strategies for organizational structures for SRP were based on collegial experiences that brought multiple perspectives on issues. SRP appeared to have an agenda for a "new economic institution" in rural areas (Dacin et al., 2002). The result of this agenda could not be determined in this study, except for stories of successes in communities that were individually recognized for new economic impacts. In each case, the Initiatives provided a framework so that community members were essential in the process of creating change. The broader these networks

174 become, the more backgrounds and experiences are apt to bring new social interpretations and behavior that acts to diminish consensus around the taken-for-granted practices. Zilber (2002) considered this the "micropolitics" of institutional change. From an institutional perspective, leaders in nonprofit entities are tasked with producing a rational image to meet the external environments expectations (Euske & Euske, 1991). At the same time there is a need to create frames (such as public engagement) that condense contextual realities into words that make meaning. (Several examples were provided in Chapter VI). Collective action frames are meant to inspire and motivate others toward collective action (Benford & Snow, 2000). Therefore, strategic planning and development of practices such as framing were a way to provide a rational image. Entrepreneurship is said to flourish more readily in less formalized and adaptive structures, such as an open systems model with boundary spanning (Buxton, Carlone, & Carlone, 2005). There are rational systems (formal system) and open systems (Scott, 1992). An open system (interdependent with its environment) will have an organizational structure that eliminates or reduces formalization and is adaptive to its environment (Scott, 1992, Starnes, 2000). It is important for the structure to have permeable boundaries around the activities, so that it will generate ideas and opportunity. Plugging in new partners was seen as an ongoing function of the system. Studies have shown that each stakeholder must believe benefits exceed costs. This underscores the importance of the combined mission, pooling of resources, and a capacity that together can solve a complex problem. The capacity of communities to work together must be perceived as a benefit.

175 According to Gray (1985) when stakeholders are dispersed transaction costs increase. These transaction costs to partners are often time and money (Ostrower, 2005). Nonetheless, decision-making (Jelinek & Litterer, 1995) and social capital (Burt, 1992, 1997a, 1997b, 2000; Purdue, 2001) depends upon whether or not there are good communication flows in a network. Networking addressed the distance between partners (for both Initiatives) and was a means to have high-involvement and shared learning. A participant from SRP spoke of the transaction costs associated with networking. He stated that these cost issues had to be addressed but that cost analysis should not deter networking. High-involvement in networks may also stimulate social capital, which may increase the flow of information and knowledge and reduce transaction costs in networks (Bolino, Turnley, & Bloodgood, 2002; Burt, 1992, 1997a; Nahapiet & Ghoshal, 1998). (See Chapter II, i.e. network theory and social capital). The constructs developed in this study indicate that there were two essential strategies in the process of convening opportunity. They were making the case and forging partnerships. Making the Case Social entrepreneurs are able to mobilize resources based on framing values that are found to be legitimate in society (Beford & Snow, 2000). Burns (1978) regarded these values as monitors of leadership. Examples were liberty, justice, and equality, which were values articulated in both Initiatives. Values attributed to social entrepreneurs are usually expressed as end-values. They are collaborative values expressed in models of transformational leadership theory

176 and framed by social entrepreneurs as the principles for collective action. Such values inspire as well as place institutional constraints on those who would refrain from supporting them or on those apathetic to such values (Waddock & Post, 1991). Clarke (2001) stated that organizations will frame their political identity, social authority and agendas based on funding sources. Making the case was the same in each Initiative and telling the stories when it related to community. However, for the SRP Initiative the community was a paying client. It was important to make the case by speaking to the community in their language and not in the language of research. Social interaction (mutual minding) is the major substance of community. "The interaction is not contrived rather [it is] ubiquitous and genuine" (Wilkinson, 1991, p. 14). This places extraordinary pressures to be both natural and strategic in making a case for change. Forging Partnerships Forging partnerships is a strategy used to build the capacity to convene. Each of the Initiatives had public partners in their networks, which is considered a normative behavior. Along with the interdependence between the state and the nonprofit sector (Salamon & Anheier, 1998), cross sector alliances with business has been successful in the past (Clay & Bangs, 2000). Businesses were represented as partners in each Initiative, which is particularly useful to gain resource capacity (Lasprogata & Cotten, 2003). Some businesses were connected at the neighborhood and community-level as support. It was told that "on the ground" there was some tension from "wearing the hats" of partner organizations. For CEC the site supervisor was given requirements from several directions. In the SRP model it is difficult for site leadership to have full knowledge of each partner's portfolio. This made the network important so that peers

177 could exchange information and better coordinate activities across sites. This coincides with how networks have been related to both legitimacy and innovation in the studies of institutional processes (Deeds et al., 2004; Maguire et al., 2004). Although forging partnerships will leverage pooled resources of talent, expertise, and revenue to magnify outputs, it is not easily facilitated. Traditionally, leadership in the nonprofit sector comes from many layers in the organization and represents a variety of personalities, thresholds for change, and values (Salamon, 2003). Institutional norms drawn from a variety of partners will influence process (Dacin et al., 2002). Given the breadth of members in these networks, there is a variety of institutional features, more so with CEC because of its direct connection to public domain activity. However, well articulated missions help to "herd the cats in the same direction". Summary The findings of this study suggest that social entrepreneurship is a process of convening opportunity, where opportunities are recognized, strategized, and structured so that communities may exploit and reconvene them. Making the case and forging partnerships were explicit strategies to convene opportunity. This study found structures that were dynamic and evolving. The two community development Initiatives that were the focus of the study are continuing to contribute to changes in the social fields. These changes are represented in the new patterns of interactions that community members and partners of the Initiatives have as a result of the interventions in community. An emergent outcome was public engagement in the community-field. Although, the boundaries between a community field and social field

178 are largely artificial, the engagement at the community-field is more reflective of enduring and collective change. Comparative differences between the two cases demonstrated two sets of concerns. CEC was more concerned about sustainability because of its dependency to outside grants or donations. Whereas, the SRP model had some concerns about getting the scale right so that the partners could balance the consultant model with fees charged to the community and outside funds that could defray costs for under resourced communities and allow for more research and development. This study focused more on process than outcomes, so less attention was given in the interview phase. Findings indicated that the institutional structure of these Initiatives was formed by the enduring patterns of behavior for the intangible functions of the organization. The findings included the communications, leadership, planning, policies, idea generation, and decision-making that support the Initiatives. It was found in this study that the entrepreneurial event was the intentional convening of opportunity when frameworks (in vivo term) were applied in communities. When entrepreneurial mechanisms were applied to pressure the status quo, then changes occurred in the community field. The frameworks approach was carried out to build capacities in people, to engage them into the process of creating better futures collectively, to instill as sense of hope, and also to build capacities in the Initiatives. An outcome from convening opportunity was a "networked" model for community development. This model differed from the typical self-help, technical assistance, and conflict model predominantly found in the literature on community development.

179 Conclusions Although the in-depth analysis of these two community development Initiatives may not be generalized across institutions, the analysis does provide propositions that can be tested empirically. The literature supported the concept of convening opportunity, which was a model of social entrepreneurship in the nonprofit setting. The institutional and social capital perspectives were helpful in keeping the study focused on what was process. Recommendations In addition to finding propositions related to the phenomenon, it was found that the process revealed multiple phenomenon that warrant additional study. Particularly, gaining a better understanding related to structure and interaction in the community-field. Additional studies from interactional field theory would be a natural fit to the study of the outcomes of convening opportunity. Testing other theories would be useful in broadening the concepts of convening opportunity in community development and leadership. For instance, an experimental design would be able to show if there are true effects from role-theory or expectancy theory. It would likely demonstrate whether or not engagement in the community-field and entrepreneurial events are greater if community members are given the role as leader in the Initiatives or other community development activities. There are practical considerations of the study, which is to address relevant findings and establish best practices for social entrepreneurship. The applied learning gained from these learning networks and the formal evaluations of outcomes (when combined with the findings from this study) would benefit the field.

180 Of interest to social entrepreneurship research would be an understanding of what conditions set the stage for more intense and widespread instances of public engagement in sponsoring innovation. Can "one success" story that sparks an interest, which triggers someone to volunteer or become a leader or leave a bequest trigger a systems change? Or can one trigger of innovation set up an action-reaction pattern that potentially alters the local environment of a community? If one experience is a proto-type for change, then what institutional arrangements and distribution of resources are needed to react to create systemic change? This study contributed to this understanding. However, longitudinal research would be able to bring a greater depth of understanding on outcomes of convening opportunity. More study from an institutional approach would give a better understanding of how each of the constructs in convening opportunity if applied, will influence structures in communities that are attempting to become more entrepreneurial. It is possible that the lack of specificity that was given by the Initiatives in how they made the case for change facilitated pushing the social fields to change. Further study on how making the case can be used as a mechanism to promote change has potential in explaining change in a community field. Studies in leadership will gain from using an institutional perspective to better understand how leaders contribute in an entrepreneurial process. This study makes a contribution in that regard by demonstrating that leadership is central to the process of convening opportunity. To move the constructs to a grand theory will require a closer look at the constructs and testing them empirically across wider populations. More exact

181 measurement using the propositions found in this study would help determine if these constructs of convening opportunity found accurately describe a process of social entrepreneurship.

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203 Appendix A Literature Map

204

Figure 1. Literature contributing to study of convening opportunity

205 Appendix B Invitation to the Study

206

207 Appendix C Interview Protocol

208 Interview Protocol #1 Name: ________________________________ Title or position: ________________________ Pseudonym: ____________________________ Introduction I want to thank you for taking the time to be interviewed today. What we discuss will be recorded and later transcribed. I will be asking you to review the transcription with notes I make regarding my understanding of what you say. It is important that I am representing your views. In this study I am interested in the process of entrepreneurship. I want to know your perspective, so please feel free to discuss your views. I may ask you some additional questions that you have not reviewed as we go along in order to clarify what you mean. Are you ready to begin? Questions: I will be doing outside research to find how your organization was created and the mission of the organization. Origins and Development Briefly describe your organization, including the governance structure and current programming. In what ways has your organization changed from its original structure and purpose? As the organization developed what kind of help has it received from the outside? Entrepreneurial Opportunities Describe the process of how ideas are brought forward in the organization including any barriers to new ideas. How are decisions made that affect new programs or services? Formal opportunities? Informal opportunities? Date & Time: __________________ Location: _____________________ Interviewer: ___________________

209 How is information disseminated prior to a decision? Once decisions are made how is the information disseminated? How are you able to have broad, honest debate, including opposing positions? Describe recognition for innovation. (employees or organizational unit) Describe your organizations ability to generate revenue that is independent of donor dollars. Some people would say that making money in a nonprofit is undermining the reputation of the nonprofit sector, what would you say?

Institutional Capacity What draws a person to work in the nonprofit sector? Describe the leadership in your organization. What successes or pitfalls are there to implement change or to create new products or services? What issues of power are parts of your job? What is the relationship of leaders to others outside the organization and within? (Staff. others in the community)

Institutional Linkages Describe the relationship between the leadership in this organization and others in the organization. Describe your internal communications. Are relationships inside or outside the organization important or required to find or create innovative ideas? How so?

Describe the relationship between the

210 leadership in this organization and the community. How would you characterize the relationship of your organization with other organizations in the community? When has there been a need to establish collaborative links? Is this a common strategy among organizations in this area? (Probe as to reasons why or why not.)

What are your sources of information about other community projects or activities?

Clearinghouse If you were to offer advice to another nonprofit organization that chooses to start an entrepreneurial venture, what might that advice be?

211 Appendix D Institutional Review Board Forms

212

213

214 Appendix E Examples from ATLAS ti

215

Figure 3. Second stage of coding by smaller chunks of data

216

Figure 4. Example of modeling relationships in coding