Institutional Analysis Framework Research Articles

Burdens on the gateway to the state: Administrative burdens in the registration of people experiencing homelessness in Belgium and the Netherlands

AbstractPopulation registries are the gateway to public services, benefits, and rights. However, despite clear formal rules and procedures, people eligible for registration may still face administrative burdens in obtaining access. In this article, we study the case of the municipal registration of people who experience homelessness in Belgium and the Netherlands—a group that typically suffers from administrative vulnerability. Using data from 61 interviews with social workers and civil servants, we find that burdens are constructed at the municipal level to disincentivize homeless people's access to registration. However, using the Institutional Analysis and Development Framework, we also identify mechanisms in the governance of population registrations and the decentralization of social policies that create incentives for strategic behavior by municipal policy makers and street‐level bureaucrats. By analyzing the interaction between multiple institutional levels, we contribute to understanding how structural mechanisms influence policymakers’ agency in the construction of administrative burdens.

Governing Landscape Simplification in Rapid Commercialization Contexts – the Case of the Dike-Pond System in the Pearl River Delta, China

In the last decades, rapid agricultural commercialization has led to landscape simplification, posing threats to the social and ecological values of agroecosystems worldwide. This paper draws upon the landscape commons concept, advocating for an institutional perspective to comprehensively understand the local governance concerning landscape simplification. We contributed to commons research by expanding the scope into holistic and multifunctional landscape systems, and particularly concentrate on pond landscapes. We select the case of a dike-pond system in the Pearl River Delta, China, to scrutinize the local institutional arrangements and their interplay with landscape simplification. This study utilizes the Institutional Analysis and Development (IAD) framework in conjunction with Ostrom’s Design Principles (DPs). Findings from the study reveal that an emphasis on ponds exhibiting comparative profit advantages over dikes and rivers, coupled with a preference for intensive fish production in collective decision-making, has resulted in land cover simplification and erosion of the system’s multifunctionality. To address this issue, we recommend considering multiple biophysical elements and functions in the governance of landscape commons while identifying avenues to reinforce local institutions, in alignment with Ostrom’s DPs.

Mineworkers with pneumoconiosis, work-related injury compensation, and empty institution in China

This study investigates the ineffectiveness of China's work-related injury insurance in protecting mineworkers with pneumoconiosis. Using the FAT (Formal, Actual, and Targeted) institutional analysis framework, the paper examines the discrepancy between the formal rules, the actual practices and the targeted outcomes of the system, based on interviews with 20 pneumoconiosis mineworkers. The paper reveals that the work-related injury insurance system is an empty institution that does not cover most mineworkers, does not compensate them adequately, and does not prevent or treat their disease effectively. The paper also explores the factors that contribute to the system's ineffectiveness, such as the political compromise behind the revision of laws and regulations, the complexity and exclusivity of the eligibility criteria, and the transient and precarious nature of mineworkers’ employment. Furthermore, the paper discusses how the system's failure is mitigated by other social security and assistance mechanisms that provide basic medical and living support for pneumoconiosis patients, but do not address the root causes of their occupational disease or ensure their access to justice and compensation. The paper situates the findings within the political economy of occupational health literature and proposes policy recommendations for a more comprehensive and compassionate approach to occupational disease prevention and control in China.

Understanding engineering ethics in countries: Towards an analytical framework

In recent decades, distinct national approaches to engineering ethics have evolved, each tailored to its unique contextual factors. These contextual disparities make it unfeasible to transfer one country's engineering ethics approach directly into another. This calls for a compelling need to enhance our comprehension of engineering ethics within specific national contexts. This paper introduces a novel conceptual framework for national engineering ethics (NEE), inspired by Elinor Ostrom's Institutional Analysis and Development (IAD) framework. The NEE framework categorises engineering ethics activities into three core pillars: research, education, and professional behaviour. This framework facilitates a comprehensive analysis of these activities across three levels—operational, organisational, and governmental. The proposed framework offers a valuable resource for scholars seeking a deeper understanding of engineering ethics within specific national boundaries, enabling structured reporting and analysis. It serves as a critical step towards achieving mutual understanding, allowing for cross-national comparisons and the exchange of best practices. Additionally, it provides a structured platform for policymakers and developers to devise strategies for implementing engineering ethics at the national level.

Flawed Institutional Structures: Project Managers Underutilized in Nigeria’s Construction Industry

Many studies have been conducted on the poor performance of the construction industry. Nigeria’s construction industry has been linked to project delays and cost overruns, leading to many abandoned construction projects throughout the country. These issues are largely attributed to inadequate project management practices and the underutilization of project managers. To address these challenges, an institutional analysis was conducted to examine the factors, within the institutional framework of the Nigerian construction industry, that hinder the effective utilization of project managers and the implementation of project management practices. Data were collected from the previous literature and were supported by data collected through semi-structured interviews in Nigeria. The collected data were coded into a four-level framework for institutional analysis. This method was employed to analyze the interrelationships between the identified embedded factors, institutional laws and regulations, and construction organizations, and to understand how their influence results in the underutilization of project managers. Deviation analysis was conducted as an additional method to categorize the impacts of the embedded factors at each institutional level and to determine how these impacts contribute to the underutilization of project managers in the Nigerian construction industry (NCI). It was found that the system of the underutilization of project managers consists of two subsystems: underutilization and lowering commitment. For the former subsystem, corruption, political influence, religious and tribal discrimination, and organizational culture were found to adversely influence the institutional structure of the construction industry in Nigeria. These factors weaken the governance mechanisms within the industry, leading project managers to prioritize corrupt practices over project needs. The ineffectiveness of existing laws and regulations exacerbates the situation, supporting unfair working conditions and contributing to the underperformance of project managers. This result leads to development at the top of the latter subsystem, with minimal incentives and limited opportunities for career growth within construction organizations. The findings hold significant potential for addressing systemic issues in the Nigerian construction industry, particularly the underutilization of project managers and organizational support measures to improve project management practices and mitigate the adverse effects of corruption.

Analyzing China’s “One Village One Product” Policy Implementation through the Institutional Analysis and Development Framework and Policy Cycle Theory

Analyzing China’s “One Village One Product” Policy Implementation through the Institutional Analysis and Development Framework and Policy Cycle Theory

The cascading disaster risk of water, energy and food systems

ABSTRACT This study presents a modified Institutional Analysis and Development framework for the purposes of analysing and developing policies to address cascading disasters in interconnected water, energy, and food (WEF) sectors. The aim of the framework is to inform how policymakers can synchronize and coordinate cross-sectoral and trans-governmental policies to manage cascading WEF disasters. To justify its applicability, we have tested the framework in a WEF related cascading disaster case that occurred in Iqaluit – the capital of Nunavut in Canada. Iqaluit is a city with limited access and heavy dependency on imported food and energy. On 2 October 2021, Iqaluit residents first began reporting contamination in their piped water sources. It was revealed that the pollution occurred from a fuel leak in a storage site located near a water supply facility. To cope with the disaster, the Nunavut and Federal governments undertook a series of responses that resulted in some unpredicted consequences. The study concludes that compartmentalized and sector-specific disaster planning, and preparedness slow down government agencies’ responses to a hazard event. It also reveals that uncertainties associated with cascading disasters can be best understood and thus responded to through discursive learning.

From Common Pool Resources to the Pooled Commons: A New Typology and An Adapted Framework for Institutional Analysis of the Pooled Commons

From Common Pool Resources to the Pooled Commons: A New Typology and An Adapted Framework for Institutional Analysis of the Pooled Commons

Examining the Burden Reduction Policy for Primary and Secondary School Teachers in China: A Framework Analysis Centered on the Rational Selection of Institutional Doctrine

The “burden reduction” policy aims to reduce the workload of primary and secondary school teachers to alleviate their burdens. While it has improved the quality of teachers, implementation challenges still exist. This study utilizes rational choice institutionalism and Ostrom’s institutional analysis and development framework to examine the policy. By considering the preferences of the Ministry of Education, local governments, schools, and teachers, it explores interactions and outcomes, identifies challenges, and provides policy suggestions.

Differential Influences of High-Speed Railway Stations on the Surrounding Construction Land Expansion and Institutional Analysis: The Case of Taiwan and Hainan

The purpose of this paper is to compare the differential impact of Taiwan High-speed Railway (T-HSR) and Hainan East Ring High-speed Railway (HER-HSR) stations on the surrounding construction land expansion, reveal the underlying institutional reasons, and then provide policy recommendations for coordinating the rational development of land resources and ecological environment protection around high-speed railway (HSR) stations. The research methods include the Institutional Analysis and Development (IAD) framework, buffer analysis, and GIS spatial analysis. The results show that (1) The spillover impact of HSR stations on the surrounding construction land expansion is the result of the game between different actors around the development and protection of land around HSR stations under the action scenarios of various external factors. The surrounding construction land of 12 stations of T-HSR increased by 269.98 km2 within the study scope and period, while the surrounding area of 10 stations in HER-HSR increased by 187.61 km2. (2) There are nine stations in T-HSR that affect the expansion of surrounding construction land within 1.0–3.0 km and lead to the expansion of construction land of 22.44 km2, while there are six stations in HER-HSR that affect the expansion of construction land within 1.5–3.5 km and lead to the expansion of construction land of 24.20 km2. Other stations cannot effectively identify their areas of influence due to other reasons. (3) Each station of HER-HSR has a stronger influence intensity and degree on the expansion of surrounding construction land than that of T-HSR, which is closely related to institutional factors such as land planning, land property rights, and public participation. In conclusion, the differences in land planning, land property rights, public participation, and other basic systems will lead to differences in the expansion of surrounding construction land for HSR stations. This research aims to provide institutional adjustment suggestions to achieve coordinated economic development and ecological protection around HSR stations in two Chinese islands with different institutional environments.

The fragile springs, unnoticed: lessons from water policy in dry islands of Flores Indonesia

The Indonesian government has maintained the SDGs’ priorities by establishing targets and projects. This paper examines the way how programs and targets are designed and implemented by considering the reality of community-based water management (CBWM) on the ground. Using Critical Institutional Analysis Framework (CIAD), this study analyzes the actual CBWM particularly by taking in depth interviews with the representation of community members in 6 villages of dry-land area in the northern part of Manggarai District, East Nusa Tenggara Province. The study also undertakes the spatial analysis of the springs area. The analysis on site will be complemented by a portrait of bigger context in the political economy analysis of district and country. The finding indicates that although most land use and water policies have some formulation to protect water sources, including springs, the CBWM are detached from policy agenda. Without direct support to CBWM, the water policy is weak to challenge land use changes including the mining policies from the past and the current trend for commodity expansion. The study suggests that the water policies have to deal with mining policies if the jurisdiction is willing to indicate the water priority of the area. Moreover, the protection for the springs should not be relying on community-based institutions alone. The policies have to be there to enable the water institutions to anticipate the pressures on the springs.

ANALYSIS OF INSTITUTIONAL ENGINEERING IN ONE OF THE WET CLIMATE DRY LAND AGROECOSYSTEM VEGETABLE PLANTING

This study is the first to apply a relationship approach between farmer groups and other supporting institutions to develop a farming system and rice crop institutions in a region. The study aims to solve the problems faced by rice farmers in Rawa Medang village, West Tanjung Jabung Regency, by facilitating the adoption of sustainable rice farming system technology through institutional cooperation. The methodology used in this study applies the Participatory Research Appraisal (PRA) method, to explore the problems faced by rice farmers. Alternative interventions include the formation of several farmer groups or Gapoktan, named Joint Enterprises, a short discussion about the rice farming system, looking at the urgent needs of farmer groups, and connecting them with supporting institutions. Based on the PRA results, the problems prioritized are (1) Rice stem disease by Blas, (2) The presence of snail pests, (3) Seedlings, (4) Capital, (5) Subsidized fertilizer, (6) Meetings between groups, and (7) Technical guidance for rice plants. The novelty of this study is that it introduces a new framework of institutional engineering analysis supporting rice farming technology, based on the FSA (Farming System Analysis) concept. The study also provides empirical evidence of the effectiveness of the relationship approach in improving the productivity and profitability of rice farming in the region. The study contributes to the literature on agricultural development and innovation by highlighting the role of institutional cooperation in enhancing the adoption of sustainable rice farming system technology.

Identifying key factors and actions: Initial steps in the Open Science Policy Design and Implementation Process

The coronavirus pandemic has illustrated the lack of a holistic approach in implementing Open Science (OS), leading to an inability to fully utilise its potential to inform prompt, evidence-based policy responses. In this view, this study aims to identify and categorise the factors influencing the adoption of OS and proposes possible actions for decision-makers to develop relevant policies. To achieve this, semi-structured interviews were conducted with 36 experts from Australia, France, the Netherlands, South Korea, the United Kingdom, and the United States as well as eminent international entities. During the interviews, they were asked to answer a range of questions that emerged from a systematic literature review. The responses were coded and analysed using a grounded theory approach. This led to the identification of four thematic clusters, containing a total of 24 factors that can either enable or inhibit OS practices, namely, (a) external; (b) institutional and regulatory; (c) resource-related; and (d) individual and motivational. Drawing upon Ostrom’s Institutional Analysis and Development framework, we also propose a conceptual model that integrates these factors, accompanied with corresponding actions, into a tangible process of OS policy design and implementation.

La influencia de las instituciones en los consejos locales de salud

ObjectiveTo analyze the influences of the institutions in the operation of the Local Health councils. Designqualitative, descriptive and exploratory study. Study setting02 Primary Health Care services of a municipality in the inland of the state of São Paulo, Brazil. Participantstwenty-four members of the Local Health Councils and 4 key informants. MethodsSupported by the theoretical methodological framework of Institutional Analysis. Data were produced through 28 semi-structured interviews, observation and participation in the activities of the councils and recording in the research diary. Data were organized and analyzed by the process of transcription, transposition and reconstitution. ResultsThe institutions act in the territories represented by social actors who occupy positions and functions within the Primary Health Care services, evidencing the perpetuation of hierarchization with valorization of the speeches of professionals and managers to the detriment of patients and predominance of bureaucratized meetings. The social actors reproduce the ideals of the collective to which they belong in these spaces. ConclusionsThe health management teams do not recognize the different forces that act in the health territory, however, these forces interfere in the activities performed and in health care. The groups act both in formal spaces through official representatives who meet and discuss issues in collegiate meetings and in informal spaces, and constitute forces in dispute in the health territory.

Exploring the management of multi-sectoral cybersecurity information-sharing networks

This research explores why and how members of the Information Sharing and Analysis Center (ISAC) share cybersecurity information to prevent cyber threats in Taiwan, and factors that encourage or discourage this behavior. The literature on information sharing has traditionally emphasized the motives for doing so and/or the structure of the sharing platform/network, leaving a gap in our understanding on how its formal and informal network rules shape, influence, and collide. By applying Ostrom's (2007) institutional analysis and development framework to Taiwanese Regional- and Sectoral-ISACs to qualitative data from 40 in-depth interviews across central/local governments, private companies, state-owned enterprises, and non-governmental organizations, this paper analyzes the institutional rules-in-use at the operational, collective, and constitutional levels. Our qualitative empirical study aims to induct the various institutional rules-in-use embedded in the ISAC networks, and its findings regarding inter-organizational crisis-management information sharing may have implications for cross-boundary participation in other nations.

Water Conflicts in Chile: Have We Learned Anything from Colonial Times?

The number of disputes related to water that reach courts in Chile has increased in the last decades, the topics of these disputes have become more complex, and the current conflict resolution system has not been able to adjust to this situation. This study analyzes colonial texts from water-related conflicts that were addressed at the Royal Hearings in Santiago (1691–1800) and from the Cabildo gatherings (1541–1802), using an adaptation of the Institutional Analysis and Development framework. The research shows a strong institutional system surrounding conflict resolution during colonial times, with nested schemes and empowered figures appointed in leading roles. However, a lack of equity and inclusion of all actors is also visible, reducing its legitimacy. At present, the increasing value of water and a sense of distrust in the institutional system have led to longer and more complex conflict resolution processes. Here, learning from past times about the empowerment of the institutional system for solving water disputes could be useful. An increased support towards initial conflict resolution mechanisms, giving space for local knowledge and generating stronger participation in these initial steps, is a lesson for the future.

Public and private sector zero-deforestation commitments and their impacts: A case study from South Sumatra Province, Indonesia

In Asia, Africa, and Latin America, complex drivers of deforestation have sparked mandatory and voluntary initiatives, including moratorium policies, zero-deforestation pledges and certification systems. The impacts of these different commitments, which aim to reduce deforestation, have yet to be documented or analytically scrutinized. Using South Sumatra as a case study, we used the Institutional Analysis and Development (IAD) framework to identify the context and impacts of public and private sector commitments. Public sector commitment was assessed by examining political will reflected in government policies and regulations, while private sector commitment was assessed by looking at compliance with mandatory and voluntary certification schemes. South Sumatra lost 63% of its natural forest between 1990 and 2019. Deforestation is driven by expansion of large-scale commercial plantations, as well as illegal logging and clearing. Our study indicates that public and private sector commitments do matter. Statistically, we found sufficient evidence that private sector commitments were able to significantly reduce deforestation from year of commitments to 2019, at a 90% confidence level. Efforts to support zero-deforestation commitments must involve radical shifts in current policy and practice, with stricter law enforcement to combat illegal activities, greater transparency to inform progress, and the development of strategic and actionable plans.

Among knowledge, affections, and regulations: an institutional analysis of brazilian education management during the COVID-19 pandemic

This article presents an experiential account whose general objective was to identify the instituting movements in a public school located in the countryside of Rio Grande do Sul, south of Brazil, amidst the Covid-19 pandemic. Instituting movements are understood as responsible for the ongoing (re)creation of processes that challenge and reconfigure the institution within the context in which it operates. The specific objective is to identify the main challenges faced by school managers, as well as the strategies adopted to address them. The Institutional Analysis framework developed by Baremblitt was used to guide the field insertion analysis, which took place from September to December 2021. Four in-person meetings were conducted, lasting 60 to 90 minutes, in addition to social media contacts and interactions in different spaces within the school. The data were organized in a field diary, recorded, and transcribed with consent. Eight main challenges were identified, from which two analyzers were defined: i) bringing the school into the cell phone, which indicates that the boundaries between the public and the private gradually blurred, creating a new reality in which work and personal life became intertwined; and ii) multifaceted school management, which suggests that participatory actions arising from teamwork produce a kind of creative light to manage antagonistic experiences. It is concluded that the school faced work precarization, but the managers were able to overcome adversity through horizontal collaboration, clear roles, common interests, efficient communication, and lasting bonds among the professionals.

Securing urban water supply through reservoir reoperation–An analysis of power resources and equity in cases from India, Spain and the USA

This paper examines intersectoral water allocation, in particular how cities secure water vis-à-vis rural users, and assesses the equity of this (re)allocation. We use the distribution theory of institutional change, and argue that urban water providers mobilize power resources (positional, financial and informational) to secure water. We adapt the Institutional Analysis and Development (IAD) framework to study this empirically, with case studies from India, Spain and the United States that centre around a large reservoir and its reoperation. Results show the importance of financing power in all cases, and also suggest that cities may lack the positional power needed to implement drinking water priorities. The ‘hybrid equity approach’ reveals the diversity of equity considerations on rural-to-urban water reallocation, both in terms of local perspectives and also regarding universal equity principles. Finally, it is fruitful to study power and equity together, as the former generally has profound distributional and procedural implications which are at the heart of equity.

Farmland titling, farmland adjustment and rural collective action: Application of institutional analysis and development framework using evidence from China's irrigation commons

The existence of land adjustment undermines the positive effect of farmland titling. This situation not only affects agricultural operation, but also the social governance of rural areas. Using the institutional analysis and development framework, this paper takes the governance of irrigation commons in rural China as an example. Based on 721 household survey data sets, the ordinal regression model and instrumental variable method are employed to examine the relationship between farmland titling, land adjustment, and irrigation collective action. The empirical results show that, on the one hand, farmland titling both clarifies and stabilizes farmers' ownership of the residual claim on land output and encourages farmers to participate in irrigation collective action to ensure their benefits. On the other hand, land adjustment lower farmers' perception of the security of their property rights and discourage long-term investment in agricultural production. This situation not only reduces the incentive for farmers to participate in collective action, but also weakens the promoting effect of farmland right confirmation on collective action. Therefore, future land system reforms should enhance farmers' perception of property rights security and promote the land governance mode. The research conclusions of this paper provide implications for developing countries towards promoting both land system reform and socioeconomic development.