專業(yè)英語(yǔ) 劉亞平 專業(yè)英語(yǔ)（第十四周）doing institutional analy

1、編輯pptDoing Institutional AnalysisElinor Ostrom編輯ppt The formal study of institutions is typically divided into the study of separate kinds of situations. Are markets and hierarchies entirely different structures? Do they, in turn, share little with families, neighborhoods, and committees? Are there

2、no underlying universal building blocks of organized life analogous to the underlying universal building blocks of individual organisms?編輯ppt There are universal components of all markets and other frequently encountered situations and provide a framework that can be used in analyzing any type of in

3、stitutional arrangement.編輯ppt Whole disciplines have been built up around the presumption that they offer a unique perspective on the study of particular types of situations. The development of separate languages is a barrier to more general explanatory frameworks and closely related theories that h

4、elp analysts make cross institutional comparisons and evaluations.編輯ppt After decades of moving further and further apart, a very encouraging trend over the last several decades has been the growth of interdisciplinary approaches to the study of human behavior. Time is ripe for an effort that attemp

5、ts to draw on the foundations of many disciplines including anthropology, biology, economics, law, philosophy, political science, psychology, and sociology, to attempt to answer the core question.編輯ppt What are the underlying component parts that can be used to build useful theories of human behavio

6、r in the diverse range of situations in which human interact? Can we identify the working parts of any kind of situation in which humans find themselves interacting on a repetitive basis? Can we use the same components to build an explanation for behavior in a commodity market as we would use to exp

7、lain behavior in a university, or a religious order, or a transportation system, or an urban public economy? Can we identify the multiple levels of analysis needed to explain the regularities in human behavior that we observe?編輯pptFurther challenges involved in studying institutions While the buildi

8、ngs in which organized entities are located are quite visible, institutions themselves are usually invisible. The term “institution” is used to refer to many different types of entities including organizations as well as the rules, norms, and strategies used to structure patterns of interaction with

9、in and across organizations.編輯ppt Given the multiple languages used across disciplines, a coherent institutional framework is needed to allow for expression and comparison of diverse theories and models of theories applied to particular puzzles and problems settings. Decisions made about rules at an

10、y one level are usually made within a structure of rules existing at a different level. Thus, institutional studies need to encompass multiple level of analysis. At any one level of analysis, combination of prescriptions, attributes of the world, and communities of individuals involved work together

11、 in a configural, rather than an additive manner.Further challenges involved in studying institutions(cont.)編輯pptInstitutional frameworks, theories, and models Framework: identify the elements and relationships among these elements that one needs to consider for institutional analysis. Theories: ena

12、ble the analyst to specify which elements of the framework are particularly relevant for certain kinds of questions and to make general working assumptions about these elements. Models: make precise assumptions about a limited set of parameters and variables.編輯ppt One needs a common framework and fa

13、mily of theories in order to address questions of reforms and transitions. Particular models then help the analyst to deduce specific predictions about likely outcomes of highly simplified structures.編輯pptThe Institutional Analysis and Development Framework An institutional framework should identify

14、 the major types of structural variables present to some extent in all institutional arrangements, but whose values differ from one type of institutional arrangement to another.編輯ppt編輯ppt Actors in situations together with exogenous factors generate outcomes that affect the actors in the situation a

15、nd potentially others. The outcomes that are achieved eventually feed back onto the actors and the situations and may transform both over time. When the outcomes are productive for those involved, they may increase their commitment to following the rules and norms that have evolved over time so as t

16、o continue to receive positive outcomes. When outcomes are perceived by those involved as of lower value than other outcomes that might be obtained, some actors will begin to raise questions about changing the structure of the situations through various changes in the exogenous variables or the stru

17、cture of the situations themselves.編輯ppt編輯ppt The IAD framework is a multitier conceptual map. The first step in using this framework to analyze a problem is to identify a conceptual unit called an action arena that can be utilized to analyze, predict, and explain behavior within institutional arran

18、gements. Action arenas include an action situation and the actors in that situation. An action situation can be characterized using seven clusters of variables: (1) participants, (2) positions, (3) outcomes, (4) action-outcome linkages, (5) the control that participants exercise, (6) information, an

19、d (7) the costs and benefits assigned to outcomes.編輯ppt An actor includes assumptions about four clusters of variables: The resources that an actor brings to a situation; The valuation actors assign to states of the world and to actions; The way actors acquire, process, retain, and use knowledge con

20、tingencies and information, and The processes actors use for selection of a particular course of action.編輯ppt A major proportion of theoretical work stops after predicting outcomes from a particular action arena and takes the variables specifying the situation and the motivational and cognitive stru

21、cture of an actor as givens. An institutional analyst can take two additional steps after an effort is made to understand the initial structure of an action arena.編輯ppt One step digs deeper and inquires into the factors that affect the structure of an action arena. From this vantage point, the actio

22、n arena is viewed as a set of variables dependent upon other factors. These factors affecting the structure of an action arena include clusters of variables: (1) the rules and norms used by participants to order their relationships; (2) the attributes of states of the world that are acted upon in th

23、ese arenas, and (3) the structure of the more general community within any particular arena is placed.編輯ppt The second step examines how nested levels of rules affect behavior. 編輯pptExplanation Viewing Action Situations as Dependent Variables Underlying the way analysts conceptualize action arenas a

24、re implicit assumptions about the rules individuals use to order their relationships, about attributes of states of the world and their transformations, and about the nature of the community within which the arena occurs.編輯pptThe concept of Rules According to Black, the word “rule” is used to denote

25、 regulations, instructions, precepts, and principles. Social Scientists employ all four uses of the term that Black identifies. Until recently, rules have not been a central focus of most of the social sciences. Rules are shared understandings about potentially linguistic entities that refer to enfo

26、rced prescriptions about what actions are required, prohibited, or permitted.編輯ppt All rules are the result of implicit or explicit efforts to achieve order and predictability among humans by creating classes of persons who are then required, permitted, or forbidden to take classes of actions in rel

27、ation to required, permitted, or forbidden states of the world.編輯ppt Where do the rules that individuals use in action situations originate? In an open and democratic governance system, many sources of rules exist. It is not considered illegal or improper for individuals to self-organize themselves

28、and craft their own rules if the activities they engage in are legal. When individuals genuinely participate in the crafting of multiple layers of rules, some of that crafting will occur using pen and paper. Much of it will occur as problem-solving individuals interact and try to figure out how to d

29、o a better job in the future than they have done in the past.編輯ppt Participants craft rules in order to change the structure of repetitive situations that they face so as to try to improve outcomes for themselves. Rules-in-use are the set of rules to which participants make reference if asked to exp

30、lain and justify their actions to fellow participants. They are the “dos and donts ” that one learns on the ground that may not exist in any written document.編輯ppt In a system governed by a rule of law, the general legal framework in use will have its source in actions taken in constitutional, legis

31、lative, and administrative settings augmented by decisions taken by individuals in many different particular settings. In other words, the rules-in-form are consistent with the rules-in-use. In a system that is not governed by a rule of law, there may be central laws and considerable effort made to

32、enforce them, but individuals attempt to evade rather than obey the law.編輯ppt The stability of rule-ordered actions is dependent upon the shared meaning assigned to words used to formulate a set of rules. The stability of rule-ordered relationships is also dependent upon enforcement. What rules are

33、important for institutional analysis? 編輯pptRules Configurations Seven groups of working rules can be said to affect the structure of any repetitive action situation: boundary rules, position rules, scope rules, authority rules, aggregation rules, information rules, and payoff rules. Boundary rules d

34、irectly affect the number of participants, their attributes and resources, whether they can enter freely, and the conditions they face for leaving.編輯ppt Position rules establish positions in the situation. Authority rules assign sets of actions that participants in positions at particular nodes must

35、, may, or may not take. Score rules delimit the potential outcomes that can be affected and working backwards, the actions linked to specific outcomes. Authority rules, combined with the specific laws about the relevant states of the world being acted upon, determine the shape of the decision tree-

36、the action-outcome linkages.編輯ppt Aggregation rules affect the level of control that a participant in a position exercises in the selection of an action at a node. Information rules affect the knowledge-contingent information sets of participants. Payoff rules affect the benefits and costs that will

37、 be assigned to particular combinations of actions and outcomes and establish the incentives and deterrents for action. The set of working rules is a configuration in the sense that the impact on actions chosen and outcomes of a change in one rule may depend upon the specific content of other rules-

38、in-use.編輯ppt The next frontier in doing institutional analysis is a much more self-conscious study of how rules combine with one another, as well as with the physical and material conditions and the nature of a community to create the situations in which participants interact.編輯pptPhysical and Mater

39、ial Conditions While a rule configuration affects all of the elements of an action situation, some of the variables of an action situation are also affected by attributes of the physical and material world. Market failure means that the incentives facing individuals in a situation where the rules ar

40、e those of a competitive market, but the goods are not “private goods”, do not motivate individuals to produce, allocate and consume those goods close to an optimal level.編輯ppt Excludability and the Free-rider Problem Subtractability of the Flow Whether resources are mobile or stationary, and whethe

41、r storage is available somewhere in a system編輯pptAttributes of the Community A third set of variables that affects the structure of an action arena relates to the community. The attributes of a community that are important in affecting the structure of an action arena include the norms of behavior g

42、enerally accepted in the community, the level of common understanding potential participants share about the structure of particular types of action arenas, the extent of homogeneity in the preferences of those living in a community, and the distribution of resources among those affected.編輯pptLinkin

43、g Action Arenas In addition to analysis that digs deeper into factors affecting individuals action arenas, an important development in institutional analysis is the examination of linked arenas. Whereas the concepts of a single arena may include large numbers of participants and complex chains of ac

44、tion, most of social reality is composed of multiple arenas linked sequentially or simultaneously.編輯ppt All rules are nested in another set of rules that define how the first set of rules can be changed. What can be done at a higher level will depend on the capabilities and limits of the rules at th

45、at level and at a deeper level.編輯ppt Its useful to distinguish three levels of rules that cumulative affect the actions taken and outcomes obtained in any operational setting. Operational rules directly affect the day-to-day decisions made by the participants in any setting. Collective-choice rules

46、affect operational activities and results through their effects in determining who is eligible and the specific rules to be used in changing operational rules. Constitutional-choice rules affect operational activities and their effects in determining who is eligible and the rules to be used in crafting the set of collective-choice rules that in turn affect the set of operational rules.編輯pptconclusion When a the