Institutional Design Features Research Articles

Titanic lessons for Spaceship Earth to account for human behavior in institutional design

Combating environmental degradation requires global cooperation. We here argue that institutional designs for such efforts need to account for human behavior. The voyage of the Titanic serves as an analogous case to learn from, and we use behavioral insights to identify critical aspects of human behavior that serve as barriers or opportunities for addressing the challenges we face. We identify a set of public goods that may help us mitigate identified negative aspects of human behavior, while leveraging the positive aspects: standards and best practices, mechanisms for large-scale coordination, and curation of information to raise awareness and promote action. We use existing international organizations, providing at least one of these capacities, as cases to learn from before applying our insights to existing institutional solutions for global environmental protection. We identify institutional design features that, if adapted to better account for human behavior, could lead to more effective institutional solutions.

Contestation and Resilience in the Liberal International Order: The Case of Climate Change

Abstract This article examines contestation and change in the global climate change regime, considered as a suborder of the broader Liberal International Order (LIO). The extensive literature on the LIO has overlooked the important case of climate institutions. The article begins by establishing that the climate regime is indeed part of the LIO, considering both its institutional and ideational features. I then outline the most important episodes of contestation against the regime, led at different times by the United States and emerging powers in the developing world, and note that the sources of contestation were partly endogenous to the regime itself. Despite persistent political challenges and the slow progress of global climate cooperation, the climate regime has remained largely intact and resilient. I explain this outcome by pointing to institutional design features and strategies that allowed the suborder to absorb and accommodate contestation before it escalated, including the nonbinding approach to commitments reflected in the Paris Agreement. The article concludes with a discussion of broader lessons for the LIO and for the design and effectiveness of climate institutions.

Institutional Design and the Predictability of Judicial Interruptions at Oral Argument

Abstract Examining oral argument in the Australian High Court and comparing to the U.S. Supreme Court, this article shows that institutional design drives judicial interruptive behavior. Many of the same individual- and case-level factors predict oral argument behavior. Notably, despite orthodoxy of the High Court as “apolitical,” ideology strongly predicts interruptions, just as in the United States. Yet, important divergent institutional design features between the two apex courts translate into meaningful behavioral differences, with the greater power of the Chief Justice resulting in differences in interruptions. Finally, gender effects are lower and only identifiable with new methodological techniques we develop and apply.

Understanding Tradeoffs in the Institutional Design and Leadership of Collaborative Governance

There is broad scholarly agreement that successful collaborative governance relies on supportive institutional design and facilitative leadership. However, there is a need to increase our understanding of how institutional design and leadership are used to pursue and balance conflicting public values. This article discusses an in-depth case study of a Norwegian municipality’s collaborative governance efforts in designing and leading a circular economy project. The results show how taking on a leadership role as a sponsor influences decisions regarding institutional design in terms of the inclusion of actors. The municipality committed to an open approach to inclusion, which challenged the opportunity to act the leadership role as a mediator by increasing the interests that needed to be aligned. In line with a contingency approach to collaborative governance the study suggests that different leadership roles and institutional design features are required for the pursuit of different values.

Federalism as an institutional doctrine

Federalism as an institutional doctrine

Institutional Adaptation in Slow Motion: Zooming In on Desertification Governance

Abstract The ability of multilateral environmental agreements (MEAs) to keep pace with their changing circumstances is crucial for a more effective global environmental governance. Yet, we know little about how new institutional design features are taken up by MEAs, allowing them to evolve over time. Building on Kingdon’s multiple streams theory, I conceive the development of new institutional design features as the association between streams of problems, solutions, and political receptivity at critical moments. I apply this framework to two features introduced within the United Nations Convention to Combat Desertification (UNCCD) framework and find that the main design entrepreneurs were the UNCCD Secretariat and independent scientists. The article provides important insight into characteristics that can make MEAs more adaptive. Namely, treaty bodies able to generate feedback about problems, push for solutions, and provide windows of opportunity for advocates to present and revise their proposals are found critical to the development of new design features.

Willingness to cooperate in shared natural resource management is linked to group identification through perceived efficacy and group norms

Cooperative management of shared natural resources is one of the most urgent challenges the world is facing today. While there have been advances in understanding institutional design features that enable sustainable management, there are few field studies that provide theory-based insights into social psychological predictors of willingness to cooperate around shared resources. Here, we address this issue in the context of shared land management in pastoralist community conservancies in Kenya. In a large survey of individuals from different conservancies, we test a path model that links willingness to cooperate to how strongly respondents identified with their conservancy. This relationship is mediated by how efficient conservancies were perceived to be, and to what extent other people in the community were perceived to share cooperative norms. The results also point towards several parameters that may be conducive to developing stronger conservancy identification: transparency of purpose, motive alignment, sense of ownership, and demonstrating benefit. The findings provide insights into the social psychological processes that impact whether cooperative outcomes can be achieved in real-world shared resource settings, and offer practical implications for strengthening governance within pastoralist conservancies and related shared natural resource management contexts.

Leadership and institutional design in collaborative government digitalisation: Evidence from Belgium, Denmark, Estonia, Germany, and the UK

Large-scale government digitalisation projects require collaborative approaches for their successful development and implementation. To shed light on these collaboration dynamics, the interplay between two integral parts of collaborative projects: the project rules, procedures, and structures (collectively known as institutional design) and the leaders managing these projects is studied. In doing so, the paper provides empirically grounded insights into the management of collaborative government digitalisation projects. Taking an institutional perspective, and the strategic-relational approach (SRA), we examine the extent to which institutional design constraints leadership behaviours, and under what conditions leaders begin to adjust and/or challenge these design features adding to the knowledge of managing digitalisation of government. To this end, we present a five-country case study of national digitalisation projects across Europe. Our results show that while clear institutional design features such as established rules, project structures, and standard operating procedures are essential at the initial stages of the projects, leaders' skills in understanding and tailoring these features are critical to handle project-related problems and moving forwards towards implementation. This underscores the importance of examining projects taking an SRA approach and the need to understand leadership behaviour in the context of the structures in which it is embedded.

Expanding narratives of governance constraints to improve coral reef conservation.

To understand and address the failures of reef governance, it is critical to understand the perceptions of diverse policy makers and practitioners about the challenges they face in achieving their goals. Examining the discourse of policy makers and practitioners can reveal the extent to which these perceptions capture the full spectrum of potential governance challenges, including those related to management, institutional structures and processes, the values and principles underpinning governance, and the social and environmental context. We conducted semistructured interviews with 110 policy makers and practitioners across multiple sectors, scales, and contexts in Barbados, St Kitts and Nevis, Belize, and Honduras. We used thematic qualitative analysis informed by theories of interactive governance and governability to examine the challenges perceived by governance actors. Perceived governance challenges were broadly consistent across countries, but differed by sector (V = 0.819, F6,60 = 1.502, p = 0.01) and by level (community compared with national) (V = 0.194, F1,10 = 2.178, = 0.026). Management inputs and outputs, challenges relating to the socioeconomic context, issues of leadership and power, and stakeholder engagement were commonly cited challenges (>75%). Few respondents discussed challenges relating to the ecological context, governance processes, or the values and principles underpinning governance. We argue that examining perceptions can inform efforts to improve governance and assess the appropriateness of particular management tools under context-specific governance constraints. Furthermore, expanding the narratives of governance challenges to encompass the subtle values and images underpinning governance, and the scale of the challenges faced, can help identify a wider set of opportunities for change.

Can the Rational Design of International Institutions Solve Cooperation Problems? Insights from a Systematic Literature Review

Global governance challenges highlight the role of international institutions as problem-solving structures. Institutional design is, more than ever, relevant in this context. The academic literature on this issue is characterized by the existence of consolidated debates such as that of rationalism vs. constructivism, with a focus on making specific contributions to the rational design of international institutions. Koremenos, Lipson, and Snidal (2001) elaborated upon a series of cause-effect conjectures linking cooperation problems, considered independent variables, with institutional design features, considered dependent variables. This research aims to highlight the empirical evidence of the existing debate on this work by conducting a systematic review. Twenty-one quantitative research studies were collected through a screening and selection procedure and were subject to systematization. The findings showed asymmetric approaches to the rational design project, and agreements were the type of international institution that received the most attention from academia. Rationalism was supported by most of the body of literature. However, a broad subgroup of articles complemented this rational approach with other variables or schools of thought, such as those of constructivism and historical institutionalism. The results have relevance for the international institution design literature, as future avenues of potential research are underlined.

Selection and Appointment in International Adjudication: Insights from Political Science

Abstract This article summarizes insights from political science and empirical legal scholarship concerning selection and appointment of adjudicators to permanent international courts (ICs). This scholarship suggests that designers of ICs face challenging trade-offs in balancing judicial independence and accountability, as well as in promoting descriptive representation and necessary qualifications on the bench. The article considers different institutional design features related to appointment procedures: representation, reappointment, screening procedures and procedures for removing judges. Representation is discussed in a series of sections considering full or selective representation, voting rules and geographic and gender quotas and aspirational targets. Throughout, we draw on data on 24 ICs to illustrate the different appointment procedures and institutional features.

Temática del proyecto de ley y cohesión en la votación de las coaliciones en el Congreso de Chile, 2010-2017

Studies on the cohesion by legislators in roll call votes have reported an effect of being a member of the ruling coalition, the origin and relevance of the bill, the electoral cycle and other institutional design features. But the theory also links voting cohesion to the subject of the bill, an issue not sufficiently addressed on studies on party-level cohesion in Latin American presidential democracies. This article tests four hypotheses including the subject of the bill on the 6468 roll call votes in the Chamber of Deputies of Chile between 2010 and 2017 legislative years. Rightwing legislators are more cohesive in roll call votes on issues related to defense and citizen security. Contrary to expectations, leftwing legislators are not more cohesive on social issues or human rights. Ruling coalition legislators are less cohesive on budget votes. The subject of the bill seems more important for rightwing legislators than leftwing ones; although it is speculated that this might be due in Chile to the fact that the rightwing coalition is comprised by a smaller number of parties which shares more ideological homogeneity.

Decision-making in international organizations: institutional design and performance

International organizations (IOs) experience significant variation in their decision-making performance, or the extent to which they produce policy output. While some IOs are efficient decision-making machineries, others are plagued by deadlock. How can such variation be explained? Examining this question, the article makes three central contributions. First, we approach performance by looking at IO decision-making in terms of policy output and introduce an original measure of decision-making performance that captures annual growth rates in IO output. Second, we offer a novel theoretical explanation for decision-making performance. This account highlights the role of institutional design, pointing to how majoritarian decision rules, delegation of authority to supranational institutions, and access for transnational actors (TNAs) interact to affect decision-making. Third, we offer the first comparative assessment of the decision-making performance of IOs. While previous literature addresses single IOs, we explore decision-making across a broad spectrum of 30 IOs from 1980 to 2011. Our analysis indicates that IO decision-making performance varies across and within IOs. We find broad support for our theoretical account, showing the combined effect of institutional design features in shaping decision-making performance. Notably, TNA access has a positive effect on decision-making performance when pooling is greater, and delegation has a positive effect when TNA access is higher. We also find that pooling has an independent, positive effect on decision-making performance. All-in-all, these findings suggest that the institutional design of IOs matters for their decision-making performance, primarily in more complex ways than expected in earlier research.

Adoption of community monitoring improves common pool resource management across contexts

Pervasive overuse and degradation of common pool resources (CPRs) is a global concern. To sustainably manage CPRs, effective governance institutions are essential. A large literature has developed to describe the institutional design features employed by communities that successfully manage their CPRs. Yet, these designs remain far from universally adopted. We focus on one prominent institutional design feature, community monitoring, and ask whether nongovernmental organizations or governments can facilitate its adoption and whether adoption of monitoring affects CPR use. To answer these questions, we implemented randomized controlled trials in six countries. The harmonized trials randomly assigned the introduction of community monitoring to 400 communities, with data collection in an additional 347 control communities. Most of the 400 communities adopted regular monitoring practices over the course of a year. In a meta-analysis of the experimental results from the six sites, we find that the community monitoring reduced CPR use and increased user satisfaction and knowledge by modest amounts. Our findings demonstrate that community monitoring can improve CPR management in disparate contexts, even when monitoring is externally initiated rather than homegrown. These findings provide guidance for the design of future programs and policies intended to develop monitoring capabilities in communities. Furthermore, our harmonized, multisite trial provides sustainability science with a new way to study the complexity of socioecological systems and builds generalizable insights about how to improve CPR management.

Just Advisory and Maximally Representative: A Conjoint Experiment on Non-Participants' Legitimacy Perceptions of Deliberative Forums

Citizen involvement in deliberative forums is frequently discussed with an eye to boosting the legitimacy of decision-making. However, this idea has been radically challenged by Cristina Lafont (2015, 2017, 2019), who argues that deliberative forums may decrease rather than increase legitimacy. Yet Lafont’s legitimacy challenge has been primarily discussed at a theoretical level without taking the perceptions of citizens into account. Referring to an explorative student conjoint experiment this article examines how non-participants assess deliberative forums. It focuses on different authorization mechanisms and a set of institutional design features and combines them with non-participants’ substantive considerations and their awareness of such forums. Empirical findings of the student sample confirm Lafont’s critique, as they suggest that respondents want the authority of deliberative forums to be clearly circumscribed and minimal but also maximally representative and inclusive. Moreover, legitimacy perceptions are closely tied to substantive considerations and awareness of such novel and unfamiliar institutions.

Determinants of success of community forestry: Empirical evidence from Ethiopia

Because of inadequacies and often dismal outcomes associated with state-centric forest management, devolution of forest tenure rights to communities is suggested for achieving sustainable forest management. Based on data collected from 110 community forests covering four major regions of Ethiopia we empirically analyze the determinants of success of community forestry (CF) and characterize institutional attributes of community forests. A key question addressed in this paper is: what are the important characteristics and factors of successful community forestry? Improvements in subsistence value and commercial value of CF are the main attributes of success considered. Specifically we consider: (i) user group’s and forester’s ranking of forest condition, i.e., subsistence/commercial value of forest, and (ii) value of forest products harvested from the commons as indicators of success. We use Elinor Ostrom’s design principles to assess institutional strength of CF systems in addition to considering ecological, social and economic factors that may also influence success. Results show that the majority of both forest users and foresters view the CF toward subsistence rather than commercial value. Our results also show that a variety of factors are correlated with attributes of success. Access to infrastructure (specifically distance to nearest market and access to electricity), community attributes such as number of beneficiary households and forest dependency, and institutions (index of institutional design features) affect attributes of success positively. Ecological factors such as soil types particularly sand positively affect success while loam soil negatively affects success. Moreover, steeper slopes negatively affect success of CF. The findings contribute to the literature on the success of CF and highlight important implications for policy and development practice to promote CF.

Institutional Design and Performance of Markets for Watershed Ecosystem Services: A Systematic Literature Review

Markets for watershed ecosystem services have been developed as a tool in integrated water resources management. The development of vast markets for watershed ecosystem services has raised attention for the performance of these markets, their institutional design, and how their institutional design influences market performance. The main research questions guiding this systematic literature review are: Which types of markets can be distinguished; how is market performance operationalized; which institutional design characteristics are distinguished in the literature; and which of these characteristics are crucial to understanding performance? A systematic review of 224 journal articles from Web of Science leads to several main findings regarding these questions. Market performance is usually equated with effectiveness in the reviewed articles. Discussions in these articles include whether the market contributes to the preservation of ecosystem services, what the distributional impacts are, and what the participation rate is. The reviewed articles have illustrated specific institutional design features as well. The key features include the security of property rights, role of governments, bundling of ecosystem services (ES), and role of trust. In those articles addressing the relationship between institutional design and performance, the relevance of monitoring and enforcement, clearly defined property rights, and geographical market scope have been pointed out.

Taming the snake in paradise: combining institutional design and leadership to enhance collaborative innovation

ABSTRACT The growing expectations to public services and the pervasiveness of wicked problems in times characterized by growing fiscal constraints call for the enhancement of public innovation, and new research suggests that multi-actor collaboration in networks and partnerships is superior to hierarchical and market-based strategies when it comes to spurring such innovation. Collaborative innovation seems ideal as it builds on diversity to generate innovative public value outcomes, but there is a catch since diversity may clash with the need for constructing a common ground that allows participating actors to agree on a joint and innovative solution. The challenge for collaborative innovation – taming the snake in paradise – is to nurture the diversity of views, ideas and forms of knowledge while still establishing a common ground for joint learning. While we know a great deal about the dynamics of the mutually supportive processes of collaboration, learning and innovation, we have yet to understand the role of institutional design and leadership in spurring collaborative innovation and dealing with this tension. Building on extant research, the article draws suitable cases from the Collaborative Governance Data Bank and uses Qualitative Comparative Analysis to explore how multiple constellations of institutional design and leadership spur collaborative innovation. The main finding is that, even though certain institutional design features reduce the need for certain leadership roles, the exercise of hands-on leadership is more important for securing collaborative innovation outcomes than hands-off institutional design.

Patterns of (Dis)similarity in the Design of Regional Organizations: The Regional Organizations Similarity Index (ROSI)

Abstract How similar are the institutional designs of regional organizations (ROs)? Is there a trend toward particular designs such as the European Union's, or is there greater institutional variety as more regions have created an increasing number of ROs? Which designs have spread through the system, and which remain idiosyncratic? To answer these questions, the Comparative Regional Organizations Project has assembled the most detailed dataset on ROs to date, with more than 80 organizations and their 276 founding and amending treaties being coded on more than 300 institutional design features. From these data, the project has generated the Regional Organizations Similarity Index (ROSI), a dyadic measure of the similarity between any two ROs at various points during their existence. We outline the rationale for ROSI and detail its construction, and show that it captures previously unstudied patterns of variation in the RO universe across time and space. In addition to generalizations about the case universe, ROSI allows us to estimate which institutional designs constitute deviations and which tend to follow established models. We demonstrate the validity of ROSI with the help of brief case studies exploring which institutional design features led to the identified scores.

Common institutional design, divergent results: A comparative case study of collaborative governance platforms for regional water planning

Environmental governance challenges often span geographic and sectoral boundaries, requiring collaboration between diverse stakeholders and multilateral decision making. To facilitate such efforts, policymakers and public managers create and support platforms that provide a structured framework for promoting collaborative governance. As the collaborative platform model is often centrally initiated – e.g., when state or national actors create a system of local collaborative resource management platforms – cross-case comparison is particularly important for understanding how a common design leads to variance in procedures and outputs in local contexts. Many collaborative platforms leave a “paper trail” of documents such as meeting records and plans. This analysis compares 10 identically designed and simultaneously initiated regional water planning platforms in the State of Georgia. Drawing on 106 meeting reports, we apply topic modeling to these meeting documents to generate replicable and scalable measures of how participant actions and interest representation unfold over time. Specifically, we measure topical focus on water planning issues over time, and compare these process-phase measures between councils and against the content of the resulting plan developed by each planning council. While existing literature has focused on how institutional design features such as representation and decision-rules shape procedural outcomes and outputs, we observe considerable variation in procedural behavior and plan outputs despite the fact that all 10 platforms share a common design. The consulting firm selected to direct each local platform is shown to be associated with both the topical focus of each regions’ planning discussion and the BMPs selected in regional plans. This comports with recent evidence pointing to the important – and largely overlooked – role that technical consultants play in environmental governance and regulatory processes.