Understanding institutional diversity

375 Pages·2005·1.302 MB·English

by  Elinor Ostrom

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UNDERSTANDING INSTITUTIONAL DIVERSITY
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UNDERSTANDING INSTITUTIONAL
DIVERSITY
Elinor Ostrom
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PRINCETON UNIVERSITY PRESS PRINCETON AND OXFORD
Copyright©2005byPrincetonUniversityPress
PublishedbyPrincetonUniversityPress,41WilliamStreet,
Princeton,NewJersey08540
IntheUnitedKingdom:PrincetonUniversityPress,
3MarketPlace,Woodstock,OxfordshireOX201SY
AllRightsReserved
LibraryofCongressCataloging-in-PublicationData
Ostrom,Elinor.
Understandinginstitutionaldiversity/ElinorOstrom.
p. cm. k
Includesbibliographicalreferencesandindex. c
ISBN-13:978-0-691-12207-6(cloth:alk.paper) e
ISBN-10:0-691-12207-5(cloth:alk.paper) u
ISBN-13:978-0-691-12238-0(pbk.:alk.paper) r
ISBN-10:0-691-12238-5(pbk.:alk.paper) b
1.Diversityintheworkplace.2.Multiculturalism.a3.Interpersonal
relations.4.Organizationalbehavior.5.Socialnonrms.I.Title.
HF5549.5.M5O88 2005
s
302.3′5—dc22 2004065772
O
BritishLibraryCataloging-in-PublicationDataisavailable

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ThisbookhasbeencomposedinSabon
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Printedonacid-freepaper.∞ s
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pup.princeton.edu e
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PrintedintheUnitedStatesofAmerica
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10 9 8 7 6 5 4 3 2 1
U
To the fabulous colleagues, students, visiting scholars,
and staff who have made scholarship at the Workshop
over the past thirty years highly productive, challenging,
and rewarding
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Contents
ListofIllustrations xi
Acknowledgments xiii
PARTI:ANOVERVIEWOFTHEINSTITUTIONALANALYSIS
ANDDEVELOPMENT(IAD)FRAMEWORK 1
One k
UnderstandingtheDiversityofStructuredHumancInteractions 3
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Diversity:ACoreProbleminUnderstandingInstitutions 4
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IsThereanUnderlyingSetofUniversalBuildingBlocks? 5
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Holons:NestedPart-WholeUnitsofAnalbysis 11
ActionArenasasFocalUnitsofAnalysisa 13
ZoomingOuttoanOverviewoftheIAnDFramework 15
ViewingActionArenasasDependentsVariables 16
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InstitutionalFrameworks,Theories,andModels 27
TheLimitedFrameofThisBook 29
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Two t
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ZoomingInandLinkingActionsSituations 32
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AnActionSituationasaFocealUnitofAnalysis 32
ExampleofaSimpleActiovnSituation 35
TheBasicWorkingPartsniofActionSituations 37
LinkingActionArenasU 55
PredictingOutcomes 64

EvaluatingOutcomes 66
Three
StudyingActionSituationsintheLab 69
TheTrustGameintheExperimentalLaboratory 70
ACommonsDilemmaintheExperimentalLaboratory 78
StructuralChangesintheLaboratory 85
ReplicationsandExtensionsofCommonsDilemma
Experiments 93
Conclusions 97
Four
AnimatingInstitutionalAnalysis 99
AnimatingOpen,CompetitiveProcesses 100
viii CONTENTS
TheChallengeofImperfectInformation 101
AssumptionsUsedinAnimatingParticipants 103
VarietyandComplexity:AnAssetoraLiability? 116
AFocusonCollectiveActiontoOvercomeSocialDilemmas 119
NormsFosteringCollectiveAction 121
EmergenceandSurvivalofNormsinEvolutionaryProcesses 125
Conclusion 131
PARTII:FOCUSINGONRULES 135
Five
AGrammarofInstitutions,SueCrawfordandElinorOstrom 137
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ParsingInstitutionalStatements 137
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TheSyntaxofaGrammarofInstitutions 139
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TheSyntaxComponents 140
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ApplyingtheGrammar 152
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UsingtheGrammarinEmpiricalFieldRbesearch 171
SomeNextSteps a 173
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Six
s
WhyClassifyGenericRules? O 175
SolvingBabblingEquilibriumProblems 176

ThePolicyAnalyst’sNeedtoUynderstandHowto
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ReformSituations i 180
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MovingbeyondSloganWordstoDescribeInstitutions 181
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CopingwiththeImmenseeDiversitybyIdentifying
GenericRules v 181
TheRoleofRulesasInniformationTransformation
Mechanisms U 184
AnUnderlyingUniversality? 185

Seven
ClassifyingRules,ElinorOstromandSueCrawford 186
TheHorizontalApproach:ClassifyingbytheAIMofaRule 187
PositionRules 193
BoundaryRules 194
ChoiceRules 200
AggregationRules 202
InformationRules 206
PayoffRules 207
ScopeRules 208
DefaultConditions:WhatHappensifNoRulesExist
RelatedtoComponentsofanActionSituation? 210
CONTENTS ix
TheVerticalApproach:Operational,Collective-Choice,
andConstitutional-ChoiceLevelsofAnalysis 214
UsingRulesasToolstoChangeOutcomes 215
PARTIII:WORKINGWITHRULES 217
Eight
UsingRulesasToolstoCopewiththeCommons 219
FieldResearchonCommon-PoolResources 221
WhatRulesAreFoundinSelf-OrganizedCommon-Pool
ResourceRegimes? 222
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ContemporaryApproachestoResourcePolicy 236
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CopingwithComplexity:AGeneralProblem 242
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ChangingRulesasanAdaptiveProcess 243
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TheoreticalPuzzles 251
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SummingUp b 253
a
Nine
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RobustResourceGovernanceinPolycentricInstitutions 255
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DesignPrinciplesandRobustSocialO-EcologicalSystems 258
ThreatstoRobustGovernanceofCommon-PoolResources 271

ModestCopingMethodsforDeaylingwithThreatsto
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Sustainability i 279
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TheAdvantageandLimitsofPolycentricSystemsinCoping
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withDesignandLong-TeermSustainabilityofSystems 281
TheCapabilitiesofPolycevntricSystemsinCopingwith
TragediesoftheCommnions 283
Conclusion U 287

Notes 289
References 307
Index 351