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.

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     "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.

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   "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.

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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.

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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.

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     "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).

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     "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)

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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)

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     "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).

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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).

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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).

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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.

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   "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)."

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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).

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Blomquist, William, and Elinor Ostrom 1985.  "Institutional Capacity and the Resolution of a Commons Dilemma." Policy Studies Review 5(2):383-393.

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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).

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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.

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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.

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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.

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Buck, Susan J. 1998.  The Global Commons: An Introduction. Covelo, CA: Island Press.

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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).

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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.

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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