Bibliographies from the Workshop
Library
Institutional Analysis and
Development Framework
(372 Citations)
Compiled by Charlotte Hess
February 2006
Agrawal, Arun. 2000.
"Shepherds and Their Leaders among the Raikas of India: A
Principal-Agent Perspective." In Polycentric Games and Institutions:
Readings from the Workshop in Political Theory and Policy Analysis. Ann Arbor: University of Michigan Press.
(Institutional Analysis).
wsl Reserves.
Agrawal, Arun. 1998.
"Group Size and Successful Collective Action: A Case Study of
Forest Management Institutions in the Indian Himalayas." In Forest
Resources and Institutions. C. Gibson, M. A. McKean, and E. Ostrom, eds.
Bloomington, IN: Indiana University, International Forestry Resources and
Institutions (IFRI) Research Program, Center for the Study of Institutions,
Population, and Environmental Change (CIPEC), Workshop in Political Theory and
Policy Analysis. (Forests, Trees and People Programme, Phase II, Working Paper
no. 3).
wsl Reserves.
Agrawal, Arun. 1991.
"Risks, Resources, and Politics: A Study of Institutions and
Resource Use from India."
wsl Books.
This work explores the role of institutions in
influencing resource use in poor societies.
Forests and pastures, the locus of analysis, form the source of basic
subsistence for millions of households in the world. The specific focus in the study is on rural
communities in two ecologically fragile regions in India: the Himalayas and
Rajasthan.
Akinola, S. R. 2004.
"Coping with Infrastructural Deprivation Through Collective Action
Among Rural People in Ife Region, Nigeria." Presented at the Y673
Miniconference, Workshop in Political Theory and Policy Analysis, Bloomington,
IN, May 1 and 3, 2004.
wsl Reprint Files.
"The
failure of the state to address the problems of rural infrastructure in Ife
region led to the adoption of self-governing techniques by the people through
collective action. Using Institutional
Analysis Development (IAD) framework the paper confirms the invaluable
capabilities of human cooperation and collective action by exploring the
conditions and how rural people can go beyond their own self-interests to
cooperate with others for common good.
"The study shows that rural people
can organize and govern themselves based on appropriate institutional
arrangements, mutual agreements and share understanding. In 24 rural
communities, self-organized arrangements in the provision and maintenance of
rural infrastructural facilities accounts for about $262,000.00 (93.0%) of the
total figure thus constitute the prime mover for rural facilities development,
while Local Governments spent about $13,000.00 (7.0%). The communities, through self-organizing and
self-governing capabilities, have planned and executed several public goods and
services that directly touch the lives of their people. The public goods are: roads, health,
education, market, electricity, water, postal service, hall, and police post.
"The lesson we can learn from these
institutions is how they are able to mobilize and use the resources without any
body embezzling or diverting them for private selfish ends. The concern is that if these institutions are
so accountable to their members we should begin to conceptualize how they can
be used to re-constitute order from the bottom and to serve as alternatives to
the state structure of governance."
Aligica, Paul Dragos. 2005. "Institutional Analysis and Economic
Development Policy: Notes on the Applied Agenda of the Bloomington School:
Extending Peter Boettke and Christopher Coyne's Outline of the Research Program
of the Workshop in Political Theory and Policy Analysis." Journal of
Economic Behavior & Organization 57(2):159-165.
wsl Serials Shelves.
Part of special issue entitled "Polycentric
Political Economy: A Festschrift for Elinor and Vincent Ostrom":
"This paper takes as a starting point
Boettke and Coyne's argument and uses it as a vehicle in order to focus on one
aspect related to the Bloomington research program that was mentioned but not
elaborated by them: the applied theory agenda that this program has been
inspiring. Specific concentration is
placed on one particular facet of that agenda: the issue of economic
development policies."
Aligica, Paul Dragos. 2003. "Institutional Analysis and Economic
Development Policy: Notes on the Applied Agenda of the Bloomington School:
Extending Peter Boettke and Christopher Coyne's Outline of the Research Program
of the Workshop in Political Theory and Policy Analysis." Journal of
Economic Behavior and Organization (forthcoming) Prepared for the Academic
Conference in Honor of the Work of Elinor and Vincent Ostrom, George Mason
University, Arlington, Virginia, Nov. 7, 2003.
wsl Books (Shelved under Boettke, P.).
"This
paper takes as a starting point Boettke and Coyne's argument and uses it as a
vehicle in order to focus on one aspect related to the Bloomington research
program that was mentioned but not elaborated by them: the applied theory
agenda that this program has been inspiring.
Specific concentration is placed on one particular facet of that agenda:
the issue of economic development policies."
Allen, Barbara. 1996.
"Martin Luther King's Message on Civil Rights, Community, and
Collective Action." Presented at "Voices from the Commons," the
Sixth Annual Conference of the International Association for the Study of
Common Property, Berkeley, CA, June 5-8, 1996.
wsl Reprint Files.
"Scholars interested in collective action dilemmas have recently
turned to the American Civil Rights Movement to explore social incentives,
reputational concerns, and 'narrowly rational' expressive benefits as
motivations for commitment to difficult and dangerous forms of political
participation. Civil rights protests from 1954-1968 have been expressed in
formal models as a case study assurance game, yielding not only valuable
insights concerning rationality assumptions and coordination problems, but also
have advanced out efforts to model the decline of public action in accommodating
and unresponsive policy environments. As useful as these models have been, they
have failed to incorporate a central feature of this case, its religious
foundations and concern for the transcendent good as well as material benefit.
This omission not only limits such models' effectiveness in explaining the case
of civil rights protests, it allows us to misinterpret the ontology of much
collective action. Dr. Martin Luther King Jr.'s political thought and other
historical documents reveal that the Civil Rights Movement must be viewed in a
context of covenantal relations, a perception not captured by our usual
presentations of a rational calculus and the coordination of interests. His
message, delivered most often in the form of a jeremiad, demands a change in
consciousness as a condition for common action directed at political
transformation. Political transformation resulted not merely from individual
expressions of rights, but also depended on beliefs according value to the
community in which these rights gained much of their significance. These
political sermons link common action to such beliefs -- a transcendent common
purpose -- evoking the covenantal roots of the American polity. By examining
the covenantal foundations of the Civil Rights Movement through King's voice, I
present an alternative to models of collective action that focus solely on the
rational calculus that prohibits our individual pursuit of common goods. More
than broadening our definition of the 'rational,' I suggest an important role
for community as a variable in our institutional analysis of commons dilemmas,
emphasizing the significance of covenantal theory in addressing problems of
collective action."
Allen, Barbara, and
Edella Schlager 2000. "Covenant Institutions and the Commons: Colorado
Water Resource Management." Presented at "Constituting the Commons:
Crafting Sustainable Commons in the New Millennium," the Eighth Conference
of the International Association for the Study of Common Property, Bloomington,
Indiana, USA, May 31-June 4, 2000.
http://dlc.dlib.indiana.edu/documents/dir0/00/00/01/99/index.html
wsl & Digital
Library of the Commons Reprint Files.
"Covenants represent a primary means for establishing polities and
crafting voluntary or enforceable obligations within political systems. Covenants differ from other consent-based
institutional arrangements such as contracts in their origin, scope, and
duration. Covenants offer a means for
integrating heterogeneous actors politically by permitting asymmetrical rights
and obligations when such structures make sense. Our paper details the principles of covenant
relations and explores the affinity between a covenantal orientation and federal
democratic institutions by analyzing Colorado's water resource management. Colorado governs this resource through
institutions that permit resource users to develop, modify, contest, and
transfer their water rights. As the
Colorado case demonstrates, covenants offer scholars of commons governance an
institution for creating flexible, stable agreements for sustainable resource
allocation."
Allen, Linda J. 1999.
"Institutional Analysis of the Water Sector in Mexico: Existing
Performance and Shortcomings." Presented at the Y673 Miniconference,
Workshop in Political Theory and Policy Analysis, Bloomington, Indiana,
December 11-13, 1999.
wsl Reprint Files.
Anderies, John M., Marco A. Janssen, and Elinor Ostrom
2004. "A Framework to Analyze the
Robustness of Social-Ecological Systems from an Institutional
Perspective." Presented at "The Commons in an Age of Global
Transition: Challenges, Risks and Opportunities," the Tenth Conference of
the International Association for the Study of Common Property, Oaxaca, Mexico,
August 9-13, 2004.
http://dlc.dlib.indiana.edu/archive/00001325/
Digital Library of the
Commons
"What
makes social-ecological systems robust?
In this paper we look at the institutional configurations that affect
the interactions among resources, resource users, public infrastructure
providers, and public infrastructures.
We propose a framework that helps to identify potential vulnerabilities
of social-ecological systems to disturbances.
All of the linkages among the components of this framework can fail and
thereby reduce the robustness of the system.
We posit that the link between resource users and public infrastructure
providers are a key variable affecting the robustness of social-ecological systems
that has frequently been ignored in the past.
We illustrate the problems caused by a disruption in this link. We then briefly describe the design
principles originally developed for robust common-pool resource institutions
since they appear to be a good starting point for the development of design
principles for more general social-ecological systems and do include the link
between resource users and public infrastructure providers."
Andersson, Krister. 2002. "Explaining the Mixed Success of
Municipal Governance of Forest Resources in Bolivia: Overcoming Local
Information Barriers." Presented at the Institutional Analysis and
Development Mini-Conference, May 3 and 5, 2003, Workshop in Political Theory
and Policy Analysis, Indiana University, Bloomington, Indiana.
wsl Reprint Files.
From the Introduction:
"This paper argues that in order to
be successful, a municipal government needs to be both motivated to provide
public services in the forestry sector as well as capable of addressing a
series of collective-action problems related to the effective provision and
production of these services. The first
question; why municipal governments would be at all interested in doing
something about the many problems in the forestry sector; has been analyzed
empirically for Bolivia by Andersson (2001) and for Guatemala by (Gibson and
Lehoucq, 2000). The second question,
however crucial as it might be for understanding successful municipal
governance, has not been studied in great detail and rigor.
"This paper proposes that the varying
conditions for information-sharing between several key actors in the local
governance system are strong determinants of the performance of municipal
governments. This theoretical
proposition is tested using empirical evidence from 50 randomly selected
municipalities in Bolivia's forestry sector where municipal governments are
responsible for providing a series of forestry-related services. The empirical analysis finds that the use of
three distinct information-sharing mechanisms can dramatically change a municipality's
prospects for achieving success as a public provider of forestry sector
services."
Andersson, Krister P., and Marilyn W. Hoskins
2004. "Information Use and Abuse in
the Local Governance of Common-Pool Forest Resources." Forests, Trees
and Livelihoods 14:295-312.
wsl Reprint Files.
"Information can be used to control and to deceive but also to
stimulate creativity and the ability to respond to new opportunities. The role of information is especially crucial
in the local governance of common pool forest resources because activities in
this field involve a wide variety of actors in different roles, with different
interests, and with varying levels of knowledge and skills. In situations of open communication this
diversity of actors can be a strength in finding solutions to complex
problems. However, the diverse actors
often face difficulties communicating with each other and thus fail to
capitalize on their diversity. Unless
actors are able to develop effective communication, local governance of forest
resources is not likely to be successful.
Different strategies of finding, processing, and incorporating important
information into community forestry decision making are presented and discussed
in this article. Traditional, top-down
project decision making often induces information-for-control rather than
information-for-learning. Institutional
analysis helps to identify sources of motivation (or lack thereof) for
different actors to engage in community forestry learning activities. The right information, flowing to all major
actors and being used for decision making, can make a difference in the success
of community forestry activities."
Apesteguia, Jose J. 1998. "Institutions and Institutional
Evolution." Presented at "Crossing Boundaries," the seventh
annual conference of the International Association for the Study of Common
Property, Vancouver, British Columbia, Canada, June 10-14, 1998.
http://dlc.dlib.indiana.edu/documents/dir0/00/00/00/07/index.html
wsl & Digital
Library of the Commons Reprint Files.
"There
is a long and broad tradition in the institutional analysis. Scholars along all
social sciences have devoted their research to the study of institutions. This
interdisciplinarity provides an extremely rich quantitative and qualitative
development in the topic. Nevertheless, the dominant contemporary economic
theory ignores the institutional tradition. Institutions are relegated, if at
all, to footnotes and are considered as a fixed, well-defined box. Within this
box the neoclassical conceptualization develops a stylized model of individual
behavior. However, as every student of institutions knows, this box has
multiple forms that derive in multiple types of influences over the individual
behavior. Moreover, the box changes and generates changes in its contents.
"The present paper is focussed on the
study of this box; it will be analyzed and defined. By so doing, it will be
shown why the institutional analysis provides an ideal framework to deal with a
critical review of the neoclassical model. Once the analyst takes the effort of
looking at the institutional structure and its evolutionary processes, some of
the assumptions made in the neoclassical model and widely accepted appear
incoherent.
"The organization of the paper is as
follows. In section II the meaning of institutions will be explored. It will be
argued about the necessity of delimiting the boundaries of institutions and a
proposal will be developed. It will also be pursued in this section the problem
of the institutional representation. The concept of evolution and its
suitability for the study of institutional change will be analyzed in section
III. Section IV deals with concluding remarks."
Aylward, Bruce, and Alvaro Fernandez Gonzalez
1998. "Institutional Arrangements
for Watershed Management: A Case Study of Arenal, Costa Rica."
International Institute for Environmental Development (IIED), London. (CREED
Working Paper, no. 21).
wsl Books.
From p. 2:
"The study employs three
methodological approaches: (1) an institutional approach; (2) an
environmental-economic approach; and (3) a participatory-stakeholder approach.
In reality all three approaches are integrated with the institutional approach
providing the theoretical umbrella. The institutional approach is based on an
application of the Institutional Analysis and Development (IAD) framework put
forward by Elinor Ostrom and her colleagues at the Workshop in Political Theory
and Political Analysis (sic) of Indiana University, Bloomington. The framework
has its roots in classical political economy, neoclassical microeconomic
theory, institutional economics, public choice theory, transaction-cost
economics and noncooperative game theory (Ostrom, Gardner, and Walker, 1994).
Key concepts from the field of economics are, thus, embedded in the IAD
framework.
"However, the advantage of the IAD
framework, is that it spreads its web much wider. Considerable emphasis is
placed on the issue of transaction costs. These costs are typically disregarded
in standard (quantitative) economic analyses, as examplified by the evaluation
of the market and policy incentives conducted in the other half of the CREED
Costa Rica study. The IAD framework also incorporates non-economic and
non-quantitative factors into the analysis. In particular, the institutional
analysis feeds off qualitative information produced by local-level inquiry such
as the participatory-stakeholder approach employed in this study. the latter
therefore serves a dual function of informing the IAD analysis and of
initiating an action process within the local context."
Baggetta, Maria. 2005.
"Elegy for the Salt River: Successional Tales of A Southwestern
Social-Ecological System." (M. S. Thesis, Arizona State University, 2005).
wsl Reprint Files.
"Desiccation of the Salt River is one local, yet fairly extreme
example of human alteration to an ecological system. Extreme, but unfortunately not unique. On a world wide basis these alterations are
'substantial and growing.' In order to
understand how humans effect such profound changes in their environment, there
has been a growing awareness of the need to study social and ecological
processes as part of one large integrated social-ecological system (SES). This thesis can be viewed as a first
iteration in massive surface, and more recently subsurface, hydrological
alterations in this southwestern urban region.
"The current study, focusing on the
early settlement of the Salt River Valley (1867-1902), integrates the social
and ecological components using Holling's complex adaptive system metaphor in
conjunction with Elinor Ostrom's Institutional Analysis and Development (IAD)
framework, in order to analyze the interactions that occurred between the early
inhabitants and the Salt River as they tried to govern their common pool
resource situation at the turn of the century and to identify the feedbacks
that had occurred between the social and ecological components of the system. The study has found that the settlers were
not able to restructure their institutional setting in order to avoid an open
access situation. Instead, extensive
physical restructuring occurred as the CPR became crowded, demand for water increased,
and users intensified efforts to capture and control increasingly scarce
resource units."
Bahati, Joseph, and Esther Mwangi 2001. "Institutions and the Structure of
Tropical Moist Forests in Central Uganda." In 'Operationalization of
Participatory Natural Forests Management in Kenya': Proceedings of the 2nd
International Forestry Resources & Institution (IFRI) Regional Workshop.
Jane W. Njuguna, Pauline Bwire, and Paul Ongugo, eds. Narobi, Kenya: Kenya
Forestry Research Institute.
wsl Books.
Bahati, Joseph, and Esther Mwangi 1999. "Institutions and the Condition of
Tropical Moist Forests of Central Uganda." (Working Paper)
wsl Reprint Files.
Ballesteros, Marta A. 2003. "Short Memo about my Dissertation in
Progress: 'The Impact of a New Institutional Framework: Las Cofradias de Pescadores
de Galicia (Spain)'." (Working Paper)
wsl Reprint Files.
"Cofradias are ancient
institutions that have managed marine resources in Spain for centuries. This
institution, that integrates fishermen and shipowner in one organization, was
born as a kind of association among fishermen, to help each other..."
Banana, Abwoli Y., and William Gombya-Ssembajjwe
1998. "Successful Forest
Management: The Importance of Security of Tenure and Rule Enforcement in
Ugandan Forests." In Forest Resources and Institutions. C. Gibson,
M. A. McKean, and E. Ostrom, eds. Bloomington, IN: Indiana University,
International Forestry Resources and Institutions (IFRI) Research Program,
Center for the Study of Institutions, Population, and Environmental Change
(CIPEC), Workshop in Political Theory and Policy Analysis. (Forests, Trees and
People Programme, Phase II, Working Paper no. 3).
wsl Reserves.
Becker, C. Dustin, and Clark C. Gibson 1998. "The Lack of Institutional Supply: Why a
Strong Local Community in Western Ecuador Fails to Protect its Forest." In
Forest Resources and Institutions. C. Gibson, M. A. McKean, and E.
Ostrom, eds. Bloomington, IN: Indiana University, International Forestry
Resources and Institutions (IFRI) Research Program, Center for the Study of
Institutions, Population, and Environmental Change (CIPEC), Workshop in
Political Theory and Policy Analysis. (Forests, Trees and People Programme,
Phase II, Working Paper no. 3).
wsl Reserves.
Becker, C. Dustin, and Rosario Leon 1998. "Indigenous Forest Management in the
Bolivian Amazon: Lessons from the Yuracare People." In Forest Resources
and Institutions. C. Gibson, M. A. McKean, and E. Ostrom, eds. Bloomington,
IN: Indiana University, International Forestry Resources and Institutions
(IFRI) Research Program, Center for the Study of Institutions, Population, and
Environmental Change (CIPEC), Workshop in Political Theory and Policy Analysis.
(Forests, Trees and People Programme, Phase II, Working Paper no. 3).
wsl Reserves.
Bendor, Jonathan. 1995. "Rules, Games and Common-Pool Resources
(Book Review)." American Political Science Review 89(1):188-189.
wsl Reprint Files and Serials Shelves.
Benjamin, Charles. 2001. "Biodiversity and Food Security."
(Working Paper)
wsl Oversized Books (shelved under IFRI Y773
Seminar Readings).
From the introduction:
"This research examines the role of
institutions in shaping biodiversity conservation and food security in Mali
(West Africa). It seeks to understand
the manner in which socio-cultural diversity influences the effectiveness of
natural resource management institutions.
Decentralization of natural resource management has been increasingly
promoted around the world as a solution to the historically poor performance of
centralized policy, based on the argument that the knowledge, abilities and
incentives of local communities are more conducive to conservation. Increasingly, however, decentralization has
come under scrutiny for its potential to exacerbate local inequalities and
environmental decline. Using IFRI
methods, complemented by ethnobotanical surveys of individual resource users,
this project attempts to unpack some of the assumptions about communities and
conservation, focussing on the distribution of knowledge, interests and
behavior within communities and the influence of socio-cultural diversity on
institutional development in the context of decentralization."
Berkes, Fikret, and Carl
Folke 1995. "A Framework for the Study of Indigenous
Knowledge: Linking Social and Ecological Systems." Presented at
"Reinventing the Commons," the fifth annual conference of the
International Association for the Study of Common Property, May 24-28, 1995,
Bodoe, Norway.
wsl Reprint Files.
"A
considerable amount of evidence has accumulated to indicate that ecological
sensible indigenous practices have indeed existed in diverse ecosystems. Based on these findings, there is potential
for improvement of resource management in environments such as northern coastal
ecosystems, arid and semi-arid land ecosystems, mountain ecosystems, tropical
forest ecosystems, subarctic ecosystems and island ecosystems. As compared to the rather narrow set of
prescriptions of Western scientific resource management systems, some of which
may inadvertently act to reduce ecosystem resilience, indigenous management is
often associated with a diversity of property rights regimes and common
property institutions and locally adapted practices, and it may operate under
systems of knowledge substantially different from Western knowledge systems.
The framework we propose distinguishes seven
sets of variables which can be used to describe social and ecological system
characteristics and linkages in any indigenous resource use case study: (1)
ecosystem, (2) resource users and technology, (3) local knowledge, (4) property
rights, (5) institutions, (6) pattern of interactions, and (7) outcomes. Our framework borrows from Oakerson for the
analysis of common property management, and that of Ostrom for institutional
analysis.
The key concept in our framework is
resilience, to emphasize the importance of conditions in which disturbances
(perturbations) can flip a system from one equilibrium state to another. We use Holling's definition of resilience,
the magnitude of disturbance that can be absorbed before a system changes its
structure by changing the variables and processes that control behaviour.
We hypothesize
that:
-maintaining resilience is important for
both resources and social institutions, and therefore the well-being of social
and ecological systems is closely linked;
-successful tradition knowledge systems will
allow perturbations to enter an ecosystem on a scale which does not threaten
its structure and functional performance, and the services it provides; and
-there will be evidence of co-evolution in
such traditional systems, making the local community and their institutions 'in
tune' over time with the natural process of the particular ecosystem."
Blomquist, William A. 1991. "They Prefer Chaos: Institutions for
Governing Groundwater Systems in Southern California (manuscript draft)."
wsl Books.
Blomquist, William, and Elinor Ostrom 1999. "Institutional Capacity and the
Resolution of a Commons Dilemma." In Polycentric Governance and
Development: Readings from the Workshop in Political Theory and Policy Analysis. M. D. McGinnis, ed. Ann Arbor: University of
Michigan Press. (Institutional Analysis).
wsl Reserves.
Blomquist, William, and Elinor Ostrom 1985. "Institutional Capacity and the
Resolution of a Commons Dilemma." Policy Studies Review
5(2):383-393.
wsl Reprint Files.
Blomquist, William, and Roger B. Parks 1999. "Fiscal, Service, and Political Impacts
of Indianapolis-Marion County's Unigov." In Polycentricity and Local
Public Economies: Readings from the Workshop in Political Theory and Policy
Analysis. M. D. McGinnis, ed. Ann
Arbor: University of Michigan Press. (Institutional Analysis).
wsl Reserves.
Boettke, Peter J., and Christopher J. Coyne 2005. "Methodological Individualism,
Spontaneous Order and the Research Program of the Workshop in Political Theory
and Policy Analysis." Journal of Economic Behavior & Organization
57(2):145-158.
wsl Serials Shelves.
Part of special issue entitled "Polycentric
Political Economy: A Festschrift for Elinor and Vincent Ostrom":
"This paper is an exercise in the
archeology of knowledge that seeks to understand the intellectual precursors to
the Workshop in Political Theory and Policy Analysis. This perspective reveals that the research
agenda of the Ostroms draws significantly from the ideas and themes developed
in the first half of the 20th century by Knight, Mises, and Hayek. In so doing, we argue, they usefully deploy
and expand the economic way of thinking beyond its traditional boundaries while
avoiding most of the criticisms of economic imperialism."
From p. 147:
"One of the best examples of the
methodological individualist research program of the early 20th century being
pushed in a new direction and developed further is the work of Vincent and
Elinor Ostrom and the Workshop in Political Theory and Policy Analysis at the
University of Indiana. The "Bloomington School" is recognized as one
of the three main schools associated with the development of public choice
theorythe other two are Rochester (Riker) and Virginia (Buchanan and Tullock).
The workshop was founded in the 1970s and, as the name suggests, is grounded in
the intellectual commitment to collaborative scholarship between faculty and
graduate students and emphasizes the interconnection between problems in theory
and the practical problems in public policy. Building on early work done by the
Ostroms on the polycentric nature of municipalities and of public goods
provision, the workshop has pursued research on federalism, common-pool
resources, and the institutional analysis of development. In each of these
endeavors, we will argue, the Ostroms research builds on and refines the
approach to the social sciences laid out by Mises, Knight, and Hayek in terms
of methodological individualism and spontaneous order.1 In so doing, they
usefully deploy and expand the economic way of thinking beyond its traditional
boundaries while avoiding most of the criticisms of economic imperialism."
Bogason, Peter. 1994.
"Nyinstitutionalisme, Public Choice og Bloomington-Skolen." Teori
og Debat 44:83-100.
wsl Reprint Files.
From the Ostrom/Workshop correspondence archives
Bravo, Giangiacomo. 2002. "Environment, Institutions and Society
in the Management of Common-Pool Resources: Linking IAD Framework with the
Concept of Social Capital." Presented at "The Commons in an Age of
Globalisation," the Ninth Conference of the International Association for
the Study of Common Property, Victoria Falls, Zimbabwe, June 17-21, 2002.
http://dlc.dlib.indiana.edu/documents/dir0/00/00/07/97/index.html
wsl & Digital
Library of the Commons Reprint Files.
"Since
using IAD framework significantly helped researchers in empirical analysis of
common-pool resources ranging from local to global scale, it is not surprising
that it is now widely appreciated as a major analytical tool. A second fundamental concept rising in the
last fifteen years is social capital.
Its application field seems also wide, and range from economic
development analysis to comparative researches on institutional performance, to
studies regarding collective action.
Social capital includes elements like internalized values, relations,
trustworthiness of social environment, and local institutions. My proposal is to range them in a scale of
increasing collective action difficulty, i.e. the higher is the place held in
the scale, the greater is the need of collective action both to create and
maintain the element.
"The paper inquires the possible
links existing between the two schemes, starting from the analysis of factor of
both social and institutional origin affecting actors interacting in the action
arena. My proposal is indeed to
characterize those factors using the concept of social capital. The main aim is to show that - considering
social capital elements and the relations among them as factors affecting the
action arena, and analyzing the feedback effects illustrated by the IAD
framework - it is possible to reach a greater evidence in explaining
performances in CPRs management situations.
Empirical examples are provided, showing the possibility of application
of the new scheme."
Bromley, Daniel W. et al., eds. 1992. Making the
Commons Work: Theory, Practice, and Policy. San Francisco: ICS Press.
wsl Reserves.
Contents:
Bromley, Daniel W.
The Commons, Property, and Common-Property
Regimes
Runge, C. Ford
Common Property and Collective Action in
Economic Development
Oakerson, Ronald J.
Analyzing the Commons: A Framework
McKean, Margaret A.
Management of Traditional Common Lands
(Iriaichi) in Japan
Campbell, Bruce M.
S. and Godoy, Ricardo A.
Commonfield Agriculture: The Andes and Medieval England Compared
Thomson, James T.,
Feeney, David, and Oakerson, Ronald J.
Institutional Dynamics: The Evolution and Dissolution of Common- Property Resource Management
Berkes, Fikret
Success and Failure in Marine Coastal
Fisheries of Turkey
Cordell, John and
McKean, Margaret A.
Sea Tenure in Bahian, Brazil
Wade, Robert
Common-Property Resource Management in South
Indian Villiages
Gilles, Jere L.,
Hammoudi, Abdellah, and Mahdi, Mohammed
Oukaimedene
Morocco:
A High Mountain Agdal
Blaikie, Piers,
Harriss, John, and Pain, Adam
The Management and Use of Common-Property
Resources in Tamil Nadu, India
Feeny, David
Where Do We go From Here? Implications for the Research Agenda
Ostrom, Elinor
The Rudiments of a Theory of the Origins,
Survival, and Performance of Common-Property Institutions
Buck, Susan. 1999.
"Multiple-Use Commons, Collective Action, and Platforms for
Resource Use Negotiation." Agriculture and Human Values 16:237-239.
wsl Reprint Files.
Buck, Susan J. 1998.
The Global Commons: An Introduction. Covelo, CA: Island Press.
wsl Reserves.
Foreword by Elinor Ostrom
Abstract by C. Hess
4-2000:
"Buck analyzes four types of global
commons: Antarctica, the atmosphere, space, and the high seas. These global domains are ones that have,
until recently, remained unclaimed due to a lack of technology for extracting
their value and for establishing and sustaining property rights. The technology
for extracting value form these four domains have developed more rapidly that
have the appropriate legal mechanisms for establishing effective property
regimes.
"Buck's purpose in writing the book
is 'to examine how legal and political contexts have affected the evolution of
management regimes for the global commons.'
Her approach is both narrative and analytic. She describes the
historical development of each commons management regime, with particular attention
given to the role of law. Historical events are then examined using the IAD
Framework."
Susan Hanna wrote of this book: "[It} brings a new perspective to
international environmental issues.
Sustan Buck has created a scholarly and readable book that richly
illuminates the historical evolution, scientific uncertainty, and political
complexity of sustaining shared resources in an increasingly integrated
world."
Bushouse, Brenda. 1999. "The Missing Link: Collective-Choice
Policymaking in Nonprofit, For-Profit, and Public Child Care Centers."
Workshop in Political Theory and Policy Analysis, Indiana University,
Bloomington, IN. Presented at the "Workshop on the Workshop 2,"
Workshop in Political Theory and Policy Analysis, Indiana University, Bloomington,
IN, June 9-June 13, 1999. (J99-29).
wsl Reprint Files.
Bushouse, Brenda K. 1999. "The Mixed Economy of Child Care: An
Institutional Analysis of Nonprofit, For-Profit, and Public Enterprises."
(Ph.D. Dissertation, Indiana University, 1999).
wsl Colloquium Room.
Bushouse, Brenda K. 1998. "The Missing Link: Collective-Choice
Policymaking in Nonprofit, For-Profit, and Public Child Care Centers."
Presented at the Annual Conference of the Association for Research on Nonprofit
Organizations and Voluntary Action, November 5-7, 1998, Seattle, WA.
wsl Reprint Files.
Carlsson, Lars. 2000.
"Policy Networks as Collective Action." Policy Studies
Journal 28(3):502-520.
wsl Reprint Files.
"An
important contribution to the policy sciences, and to interorganizational
research in particular, has been the introduction of the so-called policy
network approach. Despite the fact that
this approach has produced a multitude of concepts, it still lacks a
theoretical scaffold. In this article it is argued that simply to refer to
something called 'network theory' is an unsatisfactory solution. It is
suggested that one way of advancing the policy network approach is to apply
collective action theory and explicitly regard different empirical appearances
of network concepts as expressions of collective action. Six tentative building blocks of such a
theory are suggested. It is further
argued that the policy network approach would benefit from incorporation into a
broader analytical framework such as the Institutional Analysis and Development
framework. Finally, it is concluded that
such an incorporation would advance our ability to understand the processes of
policymaking and thus to fulfill one of the old commitments of policy analysis,
namely to contribute to the refinement of policy making processes in
society."
Carlsson, Lars, and Fikret Berkes 2003. "Co-Management Across Levels of
Organization: Concepts and Methodological Implications." Presented at Politics
of the Commons: Articulating Development and Strengthening Local Practices,
Chiang Mai, Thailand, July 11-14, 2003.
http://dlc.dlib.indiana.edu/archive/00001133/
Digital Library of the
Commons
From Page 2:
"There is a growing literature on
social-ecological linkages and sustainable use of natural resources. This research can be divided into two broad
categories. The first category consists
basically of case studies that reveal the existence of an extremely rich variety
of systems of management of common-pool resources. The second type of research sets out to find
empirical and theoretical support for the prospects of suggesting, and
deliberately building management systems that fulfill well-known criteria for
sustainable use (Burger et al., 2001; Berkes and Folke, 2002). In both types of research, the concept and
principles of co-management have been an integral part. This paper is based on the presumption that
the two lines of research could be merged and synthesized. The paper deals with three broad questions.
1. What is
co-management and how should the phenomenon be understood?
2. What is
co-management good for?
3. How can real-life
instances of co-management be investigated and analyzed?"
Carlsson, Lars, Nils-Gustav Lundgren, and Mats-Olov
Olsson 1996. "Prerequisites for the
Evolution of Markets: An Institutional Analysis of Russian Forestry: A Project
Proposal and its Funding Needs." Division of Political Science, Department
of Business Administration and Social Sciences, Lulea University of Technology,
Lulea, Sweden.
wsl Reprint Files.
Carr, Jered B. 2004.
"Perspectives on City-County Consolidation and Its
Alternatives." In City-County Consolidation and Its Alternatives:
Reshaping the Local Government Landscape. J. B. Carr and R. C. Feiock, eds.
New York: M.E. Sharpe.
wsl Urban Collection.
Carr, Jered B., and Richard C. Feiock, eds. 2004. City-County
Consolidation and Its Alternatives: Reshaping the Local Government Landscape.
New York: M.E. Sharpe.
wsl Urban Collection.
Centonze, Roberta, and Roberta Spadoni 2004. "Dialectical Institutions for Animal
Genetic Resources Management." Presented at "The Commons in an Age of
Global Transition: Challenges, Risks and Opportunities," the Tenth
Conference of the International Association for the Study of Common Property,
Oaxaca, Mexico, August 9-13, 2004.
http://dlc.dlib.indiana.edu/archive/00001356/
Digital Library of the
Commons
"The
paper discusses the role of local institutions in defining how animal genetic
resources are governed at the village level emphasising the interaction between
private and common property regimes in rural areas of Rajasthan, India. The legal pluralism approach has been applied
and an institutional analysis has been carried out considering the rules in use
at the local and global levels."
Centre de Cooperation Internationle en Recherche
Agronomique pour le Developpement (CIRAD). 1994. "Workshop 'Renewable
Resources and Appropriation Regimes,' Paris, February 22-26, 1994." CIRAD,
Paris.
wsl Reprint Files.
Chakravarty-Kaul, Minoti. 1996. Common Lands and Customary Law:
Institutional Change in North India over the Past Two Centuries. New Delhi:
Oxford University Press.
wsl Reserves and Reprint Files.
"This is
an historical inquiry into common lands and institutions of communal control in
north India from the early nineteenth centur to almost the end of the present
one. The region more or less coincides with British Punjab -- a province
encompassing Delhi until 1912. Common lands in this area, evolved and
transformed, not as an isolated phenomenon, but as part of two major changes in
the system of agriculture in the nineteenth and
early twentieth centuries. The first was a transition from a system
utilizing cultivable 'waste,' banjar kadim or long fallow, for grazing,
to one of intensive and irrigated land-use for arable, and short fallows for
pastoral purposes. The second change was a decline in the joint control
exercised by the village propriety body or malikan-deh over resource
management in the course of the nineteenth century..."
"...This study is a response to the
rapidly growing literature on common property resources, and in particular, to
the comparative institutional analysis which was emerged out of the writings of
the so-called Property Rights School and the New Institutional and Public
Choice Schools centered around the Ostroms' Workshop in Political Theory and
Policy Analysis in Bloomington..."
Choe, Jaesong. 1993.
"The Organization of Urban Common-Property Institutions: The Case
of Apartment Communities in Seoul." (Ph.D. Dissertation, Indiana
University, 1993).
wsl Colloquium Room.
Christensen, Robert K. 2004. "Non-Sovereigns Formalizing the Potency
of the Informal Sector? Institutional Analysis of Nongovernmental Organizations
Prescribing, Invoking, Monitoring, Applying, and Enforcing Policy."
Presented at the EGDI-WIDER Conference, "Unlocking Human Potential:
Linking the Informal and Formal Sectors," Helsinki, Finland, 17-18
September 2004.
wsl Reprint Files.
"The
Westphalian paradigm suggests that sovereign nation-states formally constitute
the only legitimate institutions of international policy creation, enactment,
and enforcement. This piece seeks to
highlight the policy potency of nongovernmental organizations by turning to a
debate that questions the relevancy of the Westphalian paradigm. One of the most contentious points in this
debate is the role and legitimacy of the various actors involved in
globalization. This piece discusses the
mechanism of 'soft law,' which allows non-state actors to participate, in an
increasingly formalized way, in policy processes traditionally and even
exclusively populated by sovereign nation states. The analysis utilizes Ostrom et al.'s
Institutional Analysis and Development (IAD) framework to clarify the
institutional implications of non-sovereigns in policy formation. Ultimately, the soft-law mechanism
illustrates that the informal sector is gaining access, as and through NGOs, to
powerful policy networks where formal sovereignty is decreasingly
relevant."
Consejero, Fabiola Mota. 1998. "How Citizens' Preferences Construct
Institutions and How Institutions Model Citizens' Preferences: The Spanish Case
of System of Autonomous Communities." Presented at the Workshop in Political
Theory and Policy Analysis Mini-Conference, Bloomington, IN, December 12-14,
1998.
wsl Reprint Files.
Costejá Florensa, Meritxell. 2004. "Institutional Stability and Change: A
Logic Sequence for Studying Instituitonal Dynamics." Presented at "The
Commons in an Age of Global Transition: Challenges, Risks and
Opportunities," the Tenth Conference of the International Association for
the Study of Common Property, Oaxaca, Mexico, August 9-13, 2004.
http://dlc.dlib.indiana.edu/archive/00001365/
Digital Library of the
Commons
From Pages 2-3:
"This paper focuses on the dynamics
of institutions in an attempt to identify some of the main variables that
affect institutional stability and change.
I will begin by introducing some of the main processes contributing to
institutional stability, opposed to the factors that can introduce change at a
particular level of the institutional structure. A description of the main patterns of change
will follow. I will then propose a
framework to study institutional change which identifies a dynamic sequence of
stages driven by multi-actor interaction processes. The last section will conclude with some
questions for future research."
Cousins, Ben. 1992.
"A Political Economy Model of Common Property Regimes and the Case
of Grazing Management in Zimbabwe." Presented at "Inequality and the
Commons," the third annual conference of the International Association for
the Study of Common Property, Conference, Washington DC, September 17-20, 1992.
wsl Reprint Files.
"Conceptual framework for the analysis of common property regimes
are important
because they allow for the comparison of individual cases and generalization
across diversity. The framework proposed by Oakerson (1986) is critically
examined and although many of its features are useful and worth retaining, it
is found to be inadequate in its treatment of the key issues of power and
authority, on the one hand, and of social and economic structure, on the
other. Struggles over access
to and control over
common property resources often arise from structural inequalities which have
to be made central to analysis. It also
tends to neglect the importance of ecological dynamics and does not make
sufficient provision for disjunctions between technical and ecological
aspects. Modifications to the Oakerson
model are suggested which allow for the analysis of these dimensions. This
'political economy' model of the commons is put to the test by applying it to
the analysis of grazing management schemes in the communal lands of
Zimbabwe. Detailed ethnographic data on
the complexities of intra-community power struggles in one such scheme are
briefly summarized, and the model is used to diagnose the underlying reasons
for problems which have emerged within this scheme."
Crawford, Sue E. S., and Elinor Ostrom 2000. "A Grammar of Institutions." In Polycentric
Games and Institutions: Readings from the Workshop in Political Theory and
Policy Analysis. M. D. McGinnis, ed.
Ann Arbor: University of Michigan Press. (Institutional Analysis).
wsl Reserves.
Davis, Gina, and Elinor Ostrom 1991. "Choice and Co-Production: A Public
Economy Approach to the Study and Reform of Institutions for the Provision and
Production of Education." Workshop in Political Theory and Policy
Analysis, Indiana University, Bloomington, IN.
wsl Reprint Files.
Day, Shane. 2002.
"Linking Management of Private Resources to Protection of a
Common-Pool Resource: An Institutional Analysis of the Washington State Forests
and Fish Plan." Presented at the Institutional Analysis and Development
Mini-Conference and TransCoop Meeting, Humboldt University/Indiana University,
Workshop in Political Theory and Policy Analysis, Bloomington, IN, December
13-16, 2002.
wsl Reprint Files.
From page 3:
"Institutional analysis is
potentially useful in answering several questions pertaining to this unique
case. Using the Institutional Analysis
and Development Framework (IAD) developed by scholars at the Workshop in
Political Theory and Policy Analysis under the leadership of Elinor and Vincent
Ostrom, (particularly focusing on its examination of multiple levels of
analysis and exogenous factors affecting the institutional environment) I hope
to answer the question of why the Forests and Fish Plan, a 'voluntary' form of
self-regulation, was established and what principles were most influential in
forming its structure. I will also
provide a preliminary evaluation of the implications of the institution and the
potential for actor compliance, which will include a discussion on the
importance of third party monitors and how they are meant to ensure compliance
with the rules-in-use. Furthermore, I
will examine existing literature pertaining to voluntary self regulation in
environmental policy, and I will show that the institutional change towards
voluntary agreements in environmental policy identified by John Maxwell and
Thomas Lyon is similarly applicable to issues of natural resource management."
Deadman, Peter J., Edella Schlager, and Randy Gimblett
2000. "Simulating Common Pool
Resource Management Experiments with Adaptive Agents Employing Alternate
Communication Routines." Journal of Artificial Societies and Social
Simulation 3(2)
wsl Reprint Files.
"This
paper describes the development of a series of intelligent agent simulations
based on data from previously documented common pool resource (CPR)
experiments. These simulations are employed to examine the effects of different
institutional configurations and individual behavioral characteristics on group
level performance in a commons dilemma. Intelligent agents were created to
represent the actions of individuals in a CPR experiment. The agents possess a
collection of heuristics and utilize a form of adaptation by credit assignment
in which they select the heuristic that appears to yield the highest return
under the current circumstances. These simulations allow the analyst to specify
the precise initial configuration of an institution and an individual's
behavioral characteristics, so as to observe the interaction of the two and the
group level outcomes that emerge as a result. Simulations explore settings in which
there is no communication between agents, as well as the relative effects on
overall group behavior of two different communication routines. The behavior of
these simulations is compared with documented CPR experiments. Future
directions in the development of the technology are outlined for natural
resource management modeling applications. "
Di Gregorio, Monica et al. 2004. "Property Rights, Collective Action and
Poverty: The Role of Institutions for Poverty Reduction." Presented at
"The Commons in an Age of Global Transition: Challenges, Risks and
Opportunities," the Tenth Conference of the International Association for
the Study of Common Property, Oaxaca, Mexico, August 9-13, 2004.
http://dlc.dlib.indiana.edu/archive/00001549/
Digital Library of the
Commons
Co-Authors:
Hagedorn, Konrad
Kirk, Michael
Korf, Benedikt
McCarthy, Nancy
Meinzen-Dick, Ruth
Swallow, Brent
From the
Introduction:
"...This paper presents a conceptual
framework for examining how property rights and collective action can contribute
to poverty reduction, including both external interventions and action by poor
people themselves. We begin with
definitions of the key concepts--poverty, property rights, and collective
action. We then turn to an examination
of how property rights and collective action are related to poverty outcomes,
building upon the Institutional Analysis and Development (IAD) framework (
Ostrom 1991; Oakerson 1992). This
interdisciplinary framework allows analysis of a wide range of interactions,
and is useful for eliciting relevant questions for examination in any
particular case. At the heart of this
framework is the action arena, which is shaped by initial conditions and, in
turn, determines a range of outcomes.
Applying this framework to poverty reduction, we present an analysis of
the initial conditions of poverty, including the asset base, risks and
vulnerability, legal structure and power relations. We next look at the dynamics of actors both
poor and non-poor and how they use the tangible and intangible resources they
have to shape their livelihoods and the institutions in which they live. We conclude with a discussion of how this
framework can improve our understanding of the outcomes in terms of changes in
poverty status.
"Discussing such complex and dynamic
processes in one paper requires generalization, yet we know that both the
material and institutional conditions of the poor vary from place to place, and
change over time. Recognizing the
importance of local circumstances, we have phrased many of the key points as
propositions, to be considered for different situations, but not necessarily
applying to all. We hope that this will
provide a basis for further thinking and discussion; and in particular, for
further empirical analysis, which can advance our understanding of the role
collective action and property rights can play in poverty reduction."
Dietz, Thomas. 2003.
"The Darwinian Trope in the Drama of the Commons: Variations on
Some Themes by the Ostroms." Journal of Economic Behavior and
Organization (forthcoming) Prepared for the Academic Conference in Honor of
the Work of Elinor and Vincent Ostrom, George Mason University, Arlington,
Virginia, 7 Nov. 2003.
wsl Books (Shelved under Boettke, P.).
"This
paper focuses on several of the major themes and strategies from the work of
the Ostroms on the topic of the commons.
In particular I want to decant some concepts and approaches that
foreshadow how we might best build upon the foundations they have
established. I hope to prompt a
discussion that will suggest both the challenges for the next decade and how we
might address them."
Dolsak, Nives. 2000.
"Marketable Permits:
Managing Local, Regional, and Global Commons." (Ph.D. Dissertation,
Indiana University, 2000).
wsl Colloquium Room.
Donnelly, Shanon. 2002. "'Disposing of Lands': The Importance of
the Land Ordinance of 1785 to Current Forest Fragmentation." Presented at
the Institutional Analysis and Development Mini-Conference and TransCoop
Meeting, Humboldt University/Indiana University, Workshop in Political Theory
and Policy Analysis, Bloomington, IN, December 13-16, 2002.
wsl Reprint Files.
From the introduction:
"This paper aims to lay the
foundation for future work towards an understanding of the complex set of
influences on land ownership and parcelization through an analysis of the Land
Ordinance of 1785. To accomplish this
goal, the paper will begin with a description of the importance of forest
fragmentation and its relationship to land ownership patterns. Where a concrete example is helpful, the case
of Indiana will be used. This will be
followed by a discussion of the nature of forest as a complex good and the ways
in which this can and has been misunderstood.
An institutional analysis of the action arena delineated by the Land
Ordinance of 1785 will then be undertaken using the Institutional Analysis and
Development (IAD) framework. The paper
will conclude with a discussion of how those rules laid out (and those not laid
out) by the Ordinance have given rise to current forest fragmentation
issues."
Dorji, Lam, Edward L. Webb, and Ganesh P. Shivakoti
2002. "Incentives, Disincentives
and the Concept of Forest Management in Bhutan." In Institutions for
Sustainable Development: Proceedings of the 2nd Biennial Meeting of the
International Forestry & Institutions (IFRI) Research Network. P. O.
Ongugo, J. W. Njuguna, and S. W. Mwanyiky, eds. Nairobi, Kenya: Kenya Forestry
Research Institute (KEFRI).
wsl Books (Shelved under Ongugo, Paul).
"Since the enactment of the Forestry Act of 1969, Bhutan has had a nationalized forest management policy with the objective of maintaining forests. National forest policies in many countries emphasize state ownership and control of forests upon which rural livelihoods are based. Blamed for taking ownership away from people and limiting their use rights, nationalized forest management policies are often seen as contributors to deforestation through the removal of long-term local incentives. However, under the nationalized forest management, Bhutan currently maintains 72% forest cover. While acknowledging that low population density and general forest inaccessibility are contributing factors to this achievement, we propose that there are two additional vectors contributing to forest conservation in Bhutan. First, the government has set up line agencies at the national, district and local levels to implement programs and activities that facilitate adherence to forest rules and regulations. There is provision of local forest product requirements, conservation pro