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A computational model of Ostrom's institutional analysis and development framework

ARTIFICIAL INTELLIGENCE 2022年 311卷

作者： Montes, Nieves Osman, Nardine Sierra, Carles Artificial Intelligence Res Inst IIIA CSIC UAB CampusZona 2 Barcelona 08193 Spain

The institutional analysis and development (IAD) framework developed by Elinor Ostrom and colleagues provides great conceptual clarity on the immensely varied topic of social interactions. In this work, we propose a computational model to examine the impact that any of the variables outlined in the IAD framework has on the resulting social interactions. Of particular interest are the rules adopted by a community of agents, as they are the variables most susceptible to change in the short term. To provide systematic descriptions of social interactions, we define the Action Situation Language (ASL) and provide a game engine capable of automatically generating formal game-theoretical models out of ASL descriptions. Then, by incorporating any agent decision-making models, the connection from a rule configuration description to the outcomes encouraged by it is complete. Overall, our model enables any community of agents to perform what-if analysis, where they can foresee and examine the impact that a set of regulations will have on the social interaction they are engaging in. Hence, they can decide whether their implementation is desirable. (C) 2022 The Author(s). Published by Elsevier B.V.

关键词： institutional analysis and development framework Rules Normative multiagent systems Game theory Logic programming

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Voluntary monitoring of households in waste disposal: An application of the institutional analysis and development framework

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RESOURCES CONSERVATION AND RECYCLING 2019年 143卷 45-59页

作者： Zhang, Zhijian Zhao, Liange Zhejiang Gongshang Univ Sch Econ 18 Xuezheng Rd Hangzhou 310018 Zhejiang Peoples R China

While increasing consensus has grown around the important role of monitoring in environmental resource governance, little is known about under what conditions people would rather pay private costs to implement monitoring and punishment. Using field survey data on communities and households from four suburb areas in China, this paper employs institutional analysis and development framework to empirically examine households' willingness and actual activities on waste disposal monitoring. The empirical results show that population density, community modernization, and being male significantly increase the likelihood of households supervising waste disposal while community size and heterogeneity of wealth and ethnicity seriously impede the involvement of households in waste disposal supervision. More importantly, our estimation results reveal that staffing community with full-time cadres for sanitation management suppress the enthusiasm of households in conducting waste disposal supervision, but stock of social capital and peer monitoring substantially increase the intention to supervise waste disposal and the possibility of households engaging in waste disposal supervision activities. In addition, social norms, household income, and householder age are primary predictors of the intention-behavior gap between hypothetical willingness to monitor and actual monitoring behavior. Therefore, improving community infrastructure and economic condition, reducing external intervention on community affairs, and cultivating social capital stock are important approaches to enhance public participation in environmental governance.

关键词： Waste disposal monitoring Social capital Intention behavior gap institutional analysis and development framework

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Integrating core concepts from the institutional analysis and development framework for the systematic analysis of policy designs: An illustration from the US National Organic Program regulation

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JOURNAL OF THEORETICAL POLITICS 2016年第1期28卷 159-185页

作者： Carter, David P. Weible, Christopher M. Siddiki, Saba N. Basurto, Xavier Univ Colorado Denver Sch Publ Affairs Denver CO 80238 USA Indiana Univ Purdue Univ Sch Publ & Environm Affairs Indianapolis IN 46202 USA Duke Univ Nicholas Sch Environm Durham NC 27706 USA

Public policies are structured by policy designs that communicate the key elements, linkages, and underlying logic through which policy objectives are to be realized. This paper operationalizes and integrates core concepts from the institutional analysis and development framework, including the institutional grammar, the rule typology, action situations, and levels of decision making, to provide a systematic approach for analyzing policy designs. The approach is illustrated through an application to the United States Department of Agriculture's National Organic Program regulation, which outlines an unusual semi-voluntary regulatory program that relies on independent third-party organizations for Program administration. The conclusion identifies opportunities and a research agenda for the institutional analysis of policy designs.

关键词： Implementation institutional analysis and development framework organic farming policy analysis policy design

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Governance of Forest Recreation in Urban Areas: Analysing the role of stakeholders and institutions using the institutional analysis and development framework

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ENVIRONMENTAL POLICY AND GOVERNANCE 2015年第2期25卷 139-156页

作者： Wilkes-Allemann, Jerylee Puetz, Marco Hirschi, Christian Swiss Fed Inst Forest Snow & Landscape Res WSL Econ & Social Sci CH-8903 Birmensdorf Switzerland Swiss Fed Inst Technol Inst Environm Decis Zurich Switzerland

Among the different functions forests offer, recreation is increasing in importance to a growing global population. This is at a time when multifunctional forest management can no longer cover its costs solely from the revenue from wood production. The governance of forest recreation is assumed to be different from that of other forest functions but is poorly understood, which limits proper forest management. Meanwhile, conflicting interactions between forest users are increasing. In this paper, we study forest recreation governance with a particular focus on forests in urban areas in developed countries. The paper first identifies key governance challenges for forest recreation and then provides a better understanding of forest recreation governance, focusing on the role of stakeholders and institutions. This is done using the institutional analysis and development framework. We use urban forest areas of Switzerland to illustrate and exemplify the developments in forest recreation and their consequences for forest governance. The study draws on different empirical sources and analysis techniques, including statistical data, focus groups and document analyses. The findings show that six main action situations need to be considered when analysing forest recreation governance. In each action situation, several stakeholders are involved. We argue that understanding the governance of forest recreation is one of the future challenges in forest management and planning, particularly in urban areas. Finally, our study shows that the applied framework is appropriate and useful in analysing the structure and arrangements of forest recreation governance. Copyright (c) 2015 John Wiley & Sons, Ltd and ERP Environment

关键词： action situations forest recreation forest governance institutional analysis and development framework interactions rules-in-use stakeholders

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The adoption of natural capital accounting: Lessons from the Tasmanian forest management system

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FOREST POLICY AND ECONOMICS 2025年 172卷

作者： Grover, Isobella Suitor, Shaun O'Reilly-Wapstra, Julianne Tocock, Mark Volker, Peter Macdonald, Darla Hatton Univ Tasmania Tasmanian Sch Business & Econ Private Mail Bag 84 Hobart Tas 7001 Australia Univ Tasmania Sch Nat Sci Private Mail Bag 55 Sandy Bay Tas 7005 Australia Univ Tasmania Sch Nat Sci Private Mail Bag 55 Sandy Bay Tas 7001 Australia CSIRO Energy 26 Dick Perry Ave Kensington WA 6151 Australia Univ Tasmania Tasmanina Sch Business & Econ Private Mail Bag 84 Hobart Tas 7001 Australia

Natural capital accounting (NCA) provides a systematic framework to integrate broader economic and environmental data in a way that aligns with traditional financial accounting. This fuller set of information allows organisations to better manage their environmental risks and dependencies. However, NCA adoption remains limited and fragmented in the forestry sector. We utilise semi-structured interviews as part of an institutional analysis and development (IAD) framework to examine the incentives and barriers faced by public and private forestry organisations in adopting NCA. This paper contributes to forestry management by querying the reasons for these gaps in adoption, as well as the barriers preventing adoption and utilisation of NCA at the organisational scale. We base our study in Tasmania, Australia, using its forest management system as a case study. We find that a wide range of Tasmanian organisations perceive clear incentives for adoption. Among them, recognised reporting approaches, access to financial markets and investment opportunities, additional data to inform decision-making, as well as new evidence to support social licence to operate. However, significant barriers exist, such as lack of baseline data, limited internal capacity and often ambiguous guidance on account compilation. These barriers could be addressed through greater standardisation of existing NCA frameworks, establishing accounting standards for natural capital, and increased private-public sector collaboration. Addressing these barriers could enable the adoption of NCA at scale, enhancing the management of natural resources.

关键词： Natural capital accounting institutional analysis and development framework Forestry Economic incentives Barriers

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Institutions influencing plot access and intergenerational land transfer: Policy insights from a smallholder irrigation scheme in Zimbabwe

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JOURNAL OF RURAL STUDIES 2025年 114卷

作者： Parry, Karen Cooper, Bethany Bjornlund, Henning Crase, Lin Moyo, Martin Dube, Thabani Univ South Australia Sch Commerce GPO Box 2471 Adelaide SA 5001 Australia Australian Natl Univ Fenner Sch Canberra ACT Australia Int Crops Res Inst Semi Arid Trop Matopos Res Stn POB 776 Bulawayo Zimbabwe

Land access is a challenge for young farmers in Africa and likely to become increasingly so, with institutions and intergenerational dynamics a critical influence. Access for existing and would-be young farmers is vital to ensure an age-diverse farming population and support generational renewal on smallholder irrigation schemes. This research adds to the literature on formal and informal institutions impacting plot access and households' perspectives on farm transfer, using a smallholder irrigation scheme in Zimbabwe as a case study site. Qualitative data from interviews with young people, parents and practitioners were analysed by applying the institutional analysis and development framework. The findings firstly illustrate the hybridised and multi-level nature of plot access arrangements, including the flexible leasing arrangements engaged in by young farmers. The data supports the generation of testable hypotheses and theorisation that plot transfer is a staged process, highlighting parents' dilemma of balancing their own and their children's needs and reflecting both inability and reluctance to transfer control. Suggestions for policy and development and further research are highlighted in the conclusion, including the need for schemes to have a strong focus on stimulating rural development, cross- generational approaches to support ongoing land access for young farmers and further research.

关键词： Young farmers Land transfer Farm succession Leasing arrangements institutional analysis and development framework

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The narrative policy framework and institutions

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REVIEW OF POLICY RESEARCH 2024年第0期

作者： McGovern, Rachel Jones, Michael D. Univ Tennessee Dept Polit Sci Knoxville TN USA Univ Tennessee Baker Sch Publ Policy & Publ Affairs Knoxville TN USA

This paper re-evaluates conventional institutional analysis and development (IAD) scholarship which has traditionally prioritized the study of specific rules configurations and their role in forming effective institutional arrangements. We suggest that effective institutional governance may actually be more reliant on the narrative foundations and personal cognitive interpretations of these rules than on the explicit rules themselves. By drawing insights from the Narrative Policy framework (NPF), which delves into the internal cognitive processes of individuals, we seek to enrich the understanding of institutional-actor-rule dynamics. We contend that policy actors often rely on narrative heuristics to navigate complex institutional landscapes, underscoring the role of narratives in both understanding institutional structures and instigating collective action. Although institutional scholarship recognizes the centrality of communication, its impact on shaping institutional arrangements and rule formation remains insufficiently explored. This paper advocates for the integration of the NPF and the institutional Grammar Tools' (IGT) ADICO, identifying potential parallels between the two frameworks. Our preliminary theorization suggests a cyclical relationship between narratives and institutions, with narratives shaping and being shaped by institutional rules and norms. Building upon Narrative Attention Theory, we aim to understand the broader implications of institutional narratives in driving or reinforcing policy stasis. Our paper represents a foundational step toward a comprehensive theoretical framework on the role of narratives in institutions, spotlighting institutional rules and pointing to future research directions. Through the proposed integration of NPF and IGT's ADICO, we hope to provide a more nuanced understanding of narrative dynamics in institutional arrangements and pave the way for empirical exploration of this relationship.

关键词： ADICO institutional analysis and development framework institutional rules institutions macro narratives narrative policy framework policy process

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How rule directions influence actors to achieve collective action: an analysis of Dutch collective infrastructure decision-making

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EUROPEAN PLANNING STUDIES 2023年第8期31卷 1612-1633页

作者： Neef, Robin Busscher, Tim Verweij, Stefan Arts, Jos Univ Groningen Dept Spatial Planning & Environm Groningen Netherlands Univ Groningen Infrastruct Planning Groningen Netherlands Univ Groningen Infrastruct Planning Governance & Methodol Groningen Netherlands Univ Groningen Environm & Infrastruct Planning Groningen Netherlands

While institutional analyses often assess whether collective action occurs, scant literature exists on key characteristics of institutional rules and how they affect collective action. Building on the institutional analysis and development framework, this paper aims to identify rule directions and demonstrate how rule directions influence collective action. A rule direction is the particular direction that is provided to the decision-making process by the aggregated rules-in-use of a rule type. We compare two Dutch infrastructure projects, where collective decision-making either was or was not achieved. Our study demonstrates that rule directions provide a systematic and context-sensitive explanation for how institutions influence collective action. Collective action requires active agency regarding rule directions - i.e. (re)directing the diversity of positions, soft-closing the exit of boundaries, sharing and assimilating information, establishing process symmetry in aggregation, and managing reciprocity regarding scope - which can transform the institutional predisposition of sectoral action towards collective action.

关键词： institutional analysis and development framework rule direction collective action infrastructure planning the Netherlands

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Mapping institutional change: Analysing strategies for institutional design in collective infrastructure renewal

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EUROPEAN POLICY analysis 2022年第4期8卷 416-438页

作者： Neef, Robin Busscher, Tim Verweij, Stefan Arts, Jos Univ Groningen Dept Spatial Planning & Environm Groningen Netherlands Univ Groningen Spatial Planning & Environm Groningen Netherlands Univ Groningen Environm & Infrastruct Planning Spatial Planning & Environm Groningen Netherlands

Actors' toolset to affect institutional change by doing institutional design is limited because criteria for effective institutional design are often too general and abstract. This paper aims to identify institutional design strategies and explore how they influence institutional change. The theoretical framework builds on Ostrom's institutional analysis and development framework to map institutional change, and it identifies six institutional design strategies: framing, puzzling, powering, network composition, network outcomes, and network interaction. A comparative case study on Dutch infrastructure renewal opportunities - one case's institutional design interventions attained collective renewal, the other did not - maps institutional change in decision-making rounds through institutional directions. Key findings include that institutional change of position, boundary, choice, and information rules first is conducive to collective action. Moreover, mimicry of especially choice rules is pivotal. Furthermore, institutional design strategies have a configurational nature: microlevel strategies have mesolevel consequences, and some configurations instigate change, whereas others cause dynamic inertia.

关键词： decision-making rounds Dutch infrastructure policy institutional analysis and development framework institutional design strategies institutional direction

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Implementing bottom-up governance through granting legal rights to rivers: a case study of the Whanganui River, Aotearoa New Zealand

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AUSTRALASIAN JOURNAL OF ENVIRONMENTAL MANAGEMENT 2022年第1期29卷 64-80页

作者： Talbot-Jones, Julia Bennett, Jeff Te Herenga Waka Victoria Univ Wellington Sch Govt Wellington New Zealand Australian Natl Univ Crawford Sch Publ Policy Canberra ACT Australia

In the context of water management, designing and implementing bottom-up governance regimes that are more sensitive to local knowledge and provide for the direct participation of local actors is of growing interest. Mechanisms that facilitate the successful devolution of authority to local actors remain a challenge, however. This article seeks to understand whether the 'Rights of Nature' approach could be a used as a mechanism for transferring decision-making responsibility to local actors. A case study of the Whanganui River, Aotearoa New Zealand, suggests that granting legal rights to nature does help foster more bottom-up governance by using the social norms, customs, traditions, beliefs, and values of individuals within the community to shape the decision-making framework. The analysis highlights the role that local beliefs and customs play in enabling the transfer of decision-making responsibility to lower levels of an institutional arrangement when implementing the 'Rights of Nature' approach.

关键词： institutional analysis and development framework personhood Rights of Nature water

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