Institutional Collective Action Research Articles

Integration of Policy Decision Making for Sustainable Land Use within Cities

Local land use policies can shape the sustainability of urban systems, but integrated land use at the local level is challenging since it requires the coordination of multiple semi-independent agencies within cities to effectively address collective actions problems and overcome functional divisions. Although this problem is widely acknowledged, systematic examination of what factors are related to internal coordination of land use functions is lacking. This research investigates what influences the extent to which cities coordinate across functional areas to promote integrative land use decision making. I address this question by first describing a conceptual framework drawing from institutional collective action (ICA) perspectives to understand internal city collaboration across policy functions. I then advance explanations linking institutions and community characteristics to the degree of coordination in municipal land use. Using a 2015 survey of 1124 U.S. cities, I test the hypothesized relationships based on the functional institutional collective action framework. The findings reveal that political institutions, city operation of utilities, elected officials support, and fiscal capacity increase coordination. In conclusion the implications of the findings for theory and land use planning research are discussed.

An Item Response Theory Model of Inter-Regional Collaboration for Transportation Planning in the United States

Regional governments and regional intergovernmental organizations play an increasingly important role in land use and transportation planning in many countries. In the U.S., regional organizations such as metropolitan planning organizations provide regional forums and institutions to coordinate actions of local government necessary to overcome collective action problems that result from the fragmentation of local authority. Their regional scope allows them to directly address collaboration problems or broker collaborative arrangements among local governments within their boundaries. Nevertheless, the scale of regional problems often extends beyond the boundaries of these regional entities. Thus, collaboration across regional governance organizations is necessary to address problems that have multi-regional impacts, such as large transportation projects. Extant research generally measures regional collaboration based on counts of collaboration actions undertaken, but this does not account for the fact that some are symbolic, while others require resources and commitment. Drawing insights from the institutional collective action framework, we advance an explanation for how regional organizations overcome collaboration risks to participate in collaborative solutions to regional and multi-regional problems. The analysis employs a unique national survey of metropolitan planning organizations (MPOs) and adds a novel application of item response theory (IRT) to capture differences in risk or difficulty among collaborative actions. The IRT results offer support for our ICA-based explanation of collaboration commitments. The implications of the findings for theory development and empirical study of RIGOs are discussed in conclusion.

Financial incentives to poor countries promote net emissions reductions in multilateral climate agreements

Financial incentives to poor countries promote net emissions reductions in multilateral climate agreements

Assessing the Multi-level Government Response to the COVID-19 Crisis: Italy and Spain Compared

ABSTRACT This article compares the functioning of the intergovernmental systems in Italy and Spain facing the COVID-19 crisis. Combining the public administration literature on policy learning and multi-level governance with that on the institutional collective action framework, this article analyses if and how Italy and Spain have reacted and learned from the external pressures of the pandemic, leading to institutional adjustments to the respective multi-level governance systems in the de-escalation of the first emergency phase. In doing so, the article tests the general hypothesis that the existing political structures and dynamics are a crucial variable to explain the different performance in the pandemic response management. The framework presented in this article could be extended to other countries that follow a federal logic in healthcare provision by public administration scholars who are interested in crisis management studies.

Is collaborative governance effective for air pollution prevention? A case study on the Yangtze river delta region of China

Collaborative governance plays an important role in air pollution prevention (APP). This paper aims to evaluate the policy effects of collaborative governance for APP in the Yangtze River Delta (YRD) region, analyze the collaborative mechanism from the perspective of institutional collective action (ICA) theory, and discuss its implications for improving the policy effects and regional collaboration. First, the causal relationship between collaborative environmental governance and air pollutant reduction is confirmed using the regression discontinuity design (RDD). However, it is also established that regional APP policies initiated by the Regional Cooperation Office of Yangtze River Delta (RCOYRD) did not have a long-term effect on reducing air pollutants. Second, initiative heterogeneity and administrative hierarchy heterogeneity of policy effects between cities are analyzed. It demonstrates that the mechanism formulated by RCOYRD has very limited impact on the reduction of transaction costs and collaborative risks of collaborative environmental governance. Third, clear division of responsibilities, balanced cost-benefit sharing, and coordinated enforcement between local governments are needed to improve the policy effects of collaborative governance for APP.

Explaining success on community forestry through a lens of environmental justice: Local justice norms and practices in China

It is of global interest to understand under what conditions community forestry can be successful and sustainable in terms of environmental conservation and local livelihood benefits. Existing theories have explained several influential factors, including small groups of people with shared norms, sound institutions, high levels of decentralization, downward accountability, and security of tenure. This paper explores how local conceptions of environmental justice become closely linked to sustainable community forestry. Based on an in-depth case study in a highly populated and culturally heterogeneous village in southwest China, we examine an enduring example of community forestry, using a combination of qualitative and quantitative approaches. The results show that village forest cover has increased significantly over the last 30 years, contributing to improvements in local livelihoods. It is argued that one of the important factors in this success has been villagers’ ability to align forest management with local justice norms and practices. Distributive, procedural, and recognition aspects of justice are considered, and we find that, in combination, these become integral to building effective institutions for collective action. To broaden the focus on successful factors in existing theories, this paper argues that the consideration of justice as an important condition for establishing effective and durable local institutions that will be effective for community forestry. The insights from this study suggest a need to consider justice dimensions in community forestry research to enable improved understanding of its dynamics and outcomes worldwide.

The Impact of Collaboration Network on Water Resource Governance Performance: Evidence from China's Yangtze River Delta Region.

Existing studies rarely examine the relationship between network structure and network performance. To fill this research gap, this article collects inter-local collaboration network data from 41 cities in the Yangtze River Delta region of China from 2009 to 2015. Based on the institutional collective action framework and social capital theory, we propose bridging and bonding hypotheses regarding the impact of network structures on governance performance. We employ social network analysis and panel data regression models to test the hypotheses. The results show that the coefficients for closeness centrality and clustering coefficient are statistically significant in this analysis, Wuxi played a central role in the collaboration network and the region had formed a close partner network, confirming the positive effect of bridging and bonding network social capital structures on network performance.

Developing an Institutional Arrangement for a Whole-of-Government and Whole-of-Community Approach to Regional Adaptation to Sea Level Rise: The Hampton Roads Pilot Project

ABSTRACT Adaptation to sea level rise (SLR) requires coordination among local, state, and federal entities and collaboration across governments, nonprofits, businesses, and residents. This coordination and collaboration are reflected in institutional arrangements associated with a whole-of-government and whole-of-community approach to regional adaptation. This study analyzes the development of an interlocal agreement (ILA), the Hampton Roads Sea Level Rise Preparedness and Resilience Intergovernmental Planning Pilot Project (the Pilot Project), as an example of such an arrangement. This study assesses how factors throughout three phases of ILA development (initiation, implementation, and execution) influence outcomes and effectiveness. Drawing upon participant observation, document analysis, survey of participants, and interviews with key informants this study identifies factors that facilitate effective regional adaptation to SLR (impetus, agreement) and factors that hamper adaptation efforts (funding, ease of delivery), and offers insight into the complexities of institutional collective action to address contentious and challenging issues such as SLR.

Coordination Effectiveness During Public Health Emergencies: An Institutional Collective Action Framework

This article draws on the institutional collective action (ICA) framework and data from a survey of senior public health and emergency management professionals in the Dallas–Fort Worth metroplex following the Ebola outbreak to investigate coordination effectiveness during public health emergencies. Based on the study findings, the article recommends that having an identifiable lead agency, official statements from local authorities, a conducive environment for informal conversations, and communication activities that inform, connect, and involve professionals is essential for an effective coordination. Practical implications of the study extend to how to mitigate collective action dilemmas with regard to coordinating COVID-19 pandemic responses.

Institutional Collective Action on Drugs: Functional and Vertical Dilemmas of Unused Pharmaceuticals

The authors use the Institutional Collective Action Framework to analyze the barriers, opposition, and opportunities for residential pharmaceutical disposal programs in the United States via a case study on a series of take‐back programs pioneered in the state of Washington by local and state governments, as well as the corresponding backlash from federal agencies. While successful in some ways, these innovative solutions directly challenged the competing federal policy regimes controlled by the Drug Enforcement Agency (DEA), and, to a lesser extent, the Environmental Protection Agency (EPA). Findings from case studies suggest that functional dilemmas created by existing institutions with entrenched regulatory regimes are a key challenge to finding efficient solutions to vertical ICA dilemmas. Conclusions, then, connect to the broader ICA research agenda, and implications for multi‐level governance issues.

Collective Action and Invasive Species Governance in Southern Arizona

Invasive plants can have significant negative effects on human and ecological communities, including reduced productivity and biodiversity and increased fire risk. Effective mitigation of invasive species likely requires action by heterogeneous actors who span jurisdictions, sectors, and levels of governance. While there has been significant research to develop targeted mitigation techniques that slow or halt the spread of specific invasive plants, there has been relatively little complementary work to develop knowledge about the implementation of these management techniques through effective governance systems. To address this gap, we interviewed and conducted archival research on land managers involved in the mitigation of buffelgrass (Pennisetum ciliare, syn: Cenchrus ciliarus) invasion in southern Arizona to investigate how existing and emerging governance arrangements encourage or undermine individual and collective action to manage invasive plants. Our results show that a key challenge of managing invasive species is identifying the mechanisms that will allow heterogeneous actors to overcome internal barriers to coordination with others and enable collective action. These internal barriers are multifaceted, involving laws and policies, cultural traditions and mandates, the availability of monetary and human resources, and information on causes and consequences of species invasion and effective approaches to mitigation. Approaches to solving these problems must include improved knowledge of internal institutional structures and the opportunities and barriers they present to collective action, the preferences of heterogeneous actors when presented with information about future ecosystem conditions absent coordination, the factors that prevent individuals within different organizations from following through on commitments to participate in collective action institutions, and how each of these conditions affects the availability and persistence of resources for mitigation. Together, improved knowledge of the relationships between these factors may provide new approaches to proactive management of emerging resource management challenges, from invasive species to emerging diseases.

Can Scharpf be proved wrong? Modelling the EU into a competitive social market economy for the next generation

AbstractCriticism of the EU’s social deficit has become more vivid than ever following the socially regressive handling of the 2008–10 financial and debt crisis. In 2010, Fritz Scharpf famously argued that the EU ‘cannot be a social market economy’ owing to its institutional architecture, legal features, and collective action issues. The COVID‐19 pandemic has nevertheless led to a new agenda combining investment, social concerns, the green transition and more fiscal solidarity. However, a lot remains to be done, it is argued, to bridge the social gap. A three‐pronged model is outlined to conceive of the EU’s role in enhancing national, inter‐national and transnational social cohesion. The paper furthermore points to where the EU’s action must be intensified to make significant progress on the way to a competitive and social market economy. In many respects, the hard political battles remain to be fought.

Commoning the seeds: alternative models of collective action and open innovation within French peasant seed groups for recreating local knowledge commons

In this article, we expand the analytical and theoretical foundations of the study of knowledge commons in the context of more classical agrarian commons, such as seed commons. We show that it is possible to overcome a number of criticisms of earlier work by Ostrom (Governing the commons. The evolution of institutions for collective action, Cambridge University Press, Cambridge, 1990) on natural commons and its excludability/rivalry matrix in addressing the inclusive social practices of “commoning”, defined as a way of living and acting for the preservation of the commons. Our empirical analysis emphasizes, using the most recent advances in the IAD/SES framework, the distributed and collaborative knowledge governance in a French peasant seed network as a key driver for reintroducing cultivated agrobiodiversity and on-farm seed conservation of ancient and landrace varieties. These inclusive peasant seed groups developed alternative peer-to-peer models of collaborative peasant-led community-based breeding and grassroots innovations in the search for more resilient population varieties. Our results highlight the various models of collective action within the network and discuss the organizational tradeoffs of opting out of peasant seed activities and recreating a shared collective knowledge base on the benefits of restoring cultivated agrobiodiversity. It helps us better understand how modern peasant seed groups function as epistemic communities which contributes to envisioning alternative agricultural systems.

City Scale Vs. Regional Scale Co-Benefits of Climate and Sustainability Policy: An Institutional Collective Action Analysis

Multiple levels of government must play complementary roles in mitigating climate changes [1,2], but city level engagement and action are particularly critical for two reasons. First, urban areas are the primary source of GHG emissions worldwide. For example, in the US, urban areas hold over three-fourths of the population and account for about 80% of global primary energy use and greenhouse gas (GHG) emissions [3].

From Neighbors to Partners: The Adoption of Interlocal Government Collaboration in the United States, 1977–2007

Local governments in the United States frequently collaborate with neighboring localities for service provision despite the high costs of this strategy. Using the Institutional Collective Action (ICA) framework, this article argues that a key explanation of interlocal collaboration lies in the way local leaders learn from the behavior of neighboring jurisdictions that collaborate, which alters the transaction costs of their own potential collaborations. Using a data set of financial transfers for 35,000 jurisdictions over a 30-year span, the article shows that localities are more likely to collaborate when a larger share of their neighbors collaborated in the past.

Does Father’s Social Capital Matter to Child Undernutrition in Myanmar?

This article examined the association between social capital of fathers and child undernutrition using a community-based survey in Myanmar in 2018. The anthropometric measurements of 1546 children aged 6 to 59 months and face-to-face interviews of 1546 respective biological fathers were performed. The three social capital indicators (institutional trust, social supports, and collective action) were included in 2-level logistic regression models for child wasting and child stunting. Social supports from fathers' social networks were protective measures for child wasting and child stunting at individual and community levels, respectively. The collective action of fathers was positively associated with child stunting at individual level. No association was found between institutional trust and both indicators of child undernutrition at all levels. The individual-level collective action on child stunting was conditional on the community-level social supports. Our findings suggest that existing nutritional strategies in Myanmar may be strengthened by targeting fathers to increase their support in child nutrition and by targeting the community to engage in the nutritional programs with their full support.

A Longitudinal Network Analysis of Intergovernmental Collaboration for Local Economic Development

Fragmented jurisdictions in a metropolitan area have found collaborating with others to be not only normatively appealing but also practically beneficial for reducing negative externalities from intense development competition. However, collaboration among communities could involve collective action dilemmas. As an alternative governance mechanism, jurisdictions strategically establish informal networks with others, depending on the conditions where jurisdictions are involved. This study focuses on the strategic behavior of individual jurisdictions for their economic growth: how autonomous jurisdictions have selected collaborative partners and how the collaboration has evolved over time. We apply an institutional collective action framework and a longitudinal network analysis using Simulation Investigation for Empirical Network Analysis (SIENA). The results indicate that, although there is strong evidence that jurisdictions create mutual and clustered relations with others in collaborative networks, there is relatively less for making ties to a popular actor. In addition, jurisdictions are more likely to collaborate with others who share similar political and socio-economic characteristics.

Commons Organizing: Embedding Common Good and Institutions for Collective Action. Insights from Ethics and Economics

In recent years, business ethics and economic scholars have been paying greater attention to the development of commons organizing. The latter refers to the processes by which communities of people work in common in the pursuit of the common good. In turn, this promotes commons organizational designs based on collective forms of common goods production, distribution, management and ownership. In this paper, we build on two main literature streams: (1) the ethical approach based on the theory of the common good of the firm in virtue ethics and (2) the economic approach based on the theory of institutions for collective action developed by Ostrom’s research on common-pool resources to avert the tragedy of the commons. The latter expands to include the novel concepts of new commons, “commoning” and polycentric governance. Drawing on the analysis of what is new in these forms of organizing, we propose a comprehensive model, highlighting the integration of two sets of organizing principles—common good and collective action – and five problem-solving processes to explain the main dimensions of commons organizing. We contribute to business ethics literature by exploring the convergence between the ethical and economic approaches in the development of a commons organizing view.

Eco-evolutionary perspectives on emergence, dispersion and dissolution of historical Dutch commons.

Historical commons represent self-governed governance regimes that regulate the use and management of natural and man-made shared resources. Despite growing scientific interests, analyses of commons evolution and temporal dynamics are rare and drivers of change (birth, adaptation, dissolution) remain obscure. We apply an interdisciplinary approach and address these issues from an eco-evolutionary perspective. Analyses of > 400 Dutch commons over more than a millennium (between the 9th and the 20th century) uncovered that most commons originated between 1200 and 1700, and that there was a particularly high rate of evolution during 1300–1550, a pattern intermediate to gradualism and punctuated equilibrium in biological evolution. Dissolutions of commons were rare prior to 1800 and peaked around 1850, comparable to a mass extinction in biology. Temporal trends in number, spatial distribution, density, and dispersion of historical commons were distinctive and resembled developments seen at the levels of species and individuals in the growth of biological communities and populations, in that they showed signs of saturation determined by the abundance and distribution of resources. The spatiotemporal dynamics of commons also pointed to important roles of social, economic and political factors, such as new reclamations of resources and pressure on resources due to population growth. Despite internal and external pressures, the self-governing commons studied here were very successful, in the sense that they persisted for on average >350 years. There was a weak positive relationship between the use of multiple resources and the lifespan of commons, resembling associations between diversity and persistence seen in biological systems. It is argued that eco-evolutionary perspectives can further the understanding of the long-term dynamics of commons as institutions for collective action, vitalize future research, improve management of shared goods, and advise about sustainable utilization of finite resources.

Institutional Collective Action During COVID-19: Lessons in Local Economic Development.

At this point, little is known about local government responses to the economic crisis caused by COVID‐19. This crisis is happening on Main Streets around the nation. This article examines how some local governments are taking collective action in partnership with other governments as well as with organizations at the local and regional levels. What is unique is that collective action is rare as it relates to traditional economic development practices, yet it is occurring and leading to offerings of multi‐institutional grants and low‐interest loans. However, some newer supply‐ and demand‐side actions are the result of a lack of resources and need for expediency. Practitioners can learn about the collaborative economic development actions that governments are taking and how these partnerships can stabilize their local economies.