Dissertations / Theses on the topic 'Institutional Analysis and Development (IAD) Framework'

This thesis examines how new types of water governance institutions, water partnerships, emerged and performed in Korea, a centralised state-driven society. Beyond conventional water management by either government or market, new forms of governance have been sought to address problems such as under-provision, pollution and water conflict. This study investigates voluntary water partnerships as a leading example of new water governance in East Asia. Conceptually, it uses a modified institutional approach, the Institutional Analysis and Development (IAD) framework, to examine how global water reform discourses informed social actors in the design and implementation of regional and urban water partnerships in Korea. A comparative case analysis of six water partnerships finds that co-governance institutions emerged and operated in a complex linkage with existing water governance systems. For the three urban water partnerships, local actors actively seized opportunities to rehabilitate long abandoned urban streams. For the three regional water partnerships, public and private sector actors successfully negotiated partnership agreements, focusing on the restoration of polluted water sources. A modified IAD framework captured these complicated interactions among stakeholders within multi-layered water governance structures. An attitudinal survey of partnership members complemented the comparative case studies by assessing how the partnerships performed according to selected evaluation criteria. A multi-criteria assessment of the data reveals three key findings. First, the partnerships achieved mainly positive procedural and socio-economic outcomes in water management. Second, observed lower environmental outcomes result mainly from the interlinked features of water resources management and the partnerships’ relatively brief history. Third, the overall findings indicate that the outcomes of co-governance institutions tended to be contextual. The scale of organisations and of the water resources concerned did not determine the outcomes of the water partnerships. Thus, this finding challenges the claim that ‘smaller is better’ in collaborative governance. This study concludes that the voluntary co-management of shared water resources by the six partnerships have simultaneously brought some solutions as well as costs to water governance in Korea. The design and development of co-management institutions for water governance requires a greater understanding of local and national settings, as well as the facilitative role of national government. Co-operation between new co-governance institutions and existing water institutions is vital to long-term, effective water management.

Water eutrophication is a major problem of pollution of water resources, which is caused by excessive nutrient inputs to the water. This study deals with the organization of institutions around the water source as possible cause of the decreasing status of water quality. The method of institutional analysis IAD framework examines the control, disposition and execution of the actors' rights in the Macha Lake in regard to the possible application of community ownership approach. The applied method shows that the administration of the Macha Lake is fragmented into many stages, where each individual has limited powers that are in the approval process depending on other actors. However, here we encounter a major moral attitude of the local community. Further analysis finds that any made efforts to improve the quality of the water are only focused in the treatment of the water of the lake and not in the correction and 6 more regulation of his sources. The cause of the eutrophication and subsequent steps must be performed at the level of the entire watershed, not just locally.

Institutions are the heuristic building blocks of human interactions, or the rules that humans use to structure interaction in the social world. Institutions are both universal, meaning that all people possess them and use them, and institutions are also ever-changing and evolving to adapt to new situations and social dilemmas. This literature review in this study demonstrates the need to use Institutional Analysis in the field of educational policy research, and then establishes groundwork of Institutional literature. The research questions ask whether institutions can be captured, and if so what the institutions of accountability policy are. Accountability policy, specifically the rating system established under ESEA Flexibility, serves as the policy though which institutions are examined because of its complexity and omnipresence in education today. The findings suggest that institutions can be captured and that educators and policymakers are engaged in an institutional clash.

Drawing upon a series of interviews with politicians, sports administrators, coaches, journalists and academics and with analysis based on the Advocacy Coalition Framework (ACF), this thesis examines elite sports development policy in Taiwan within a political context. It investigates the issues of whether or not sports development and policy-making reflect institutional features, and how sports policy has changed over time in Taiwan. It further explores the development systems of baseball, taekwondo and tennis, with a particular focus on similarities and differences between them at the elite level. Empirical data gathered from semi-structured interviews and documentary materials is analysed using an institutional approach together the ACF. The main findings suggest that, in essence, sports development and policy-making in Taiwan comply with institutional features and, during different periods from 1949 to the present day, have consistently been influenced by the political needs of the time. The analysis of the development systems of the three selected sports identified some major similarities. The government promotes them using a top-down approach and each sport relies heavily on the public funding. There sports have no national level facilities. Talent identification and development mainly occur in schools and are conducted through the competition systems. There is government financial support for elite athletes to participate in international events or for the governing bodies to host international events. The development systems for coaches share the same mechanisms. Finally, national athletes in each sport can enjoy sports science support from the government during squad training and international events. However, the case studies also reveal considerable differences. The governing bodies of taekwondo and tennis play a more dominant in elite development than that of baseball. Parents play a more significant role in the identification and development of tennis players than for the other sports. Only taekwondo national competitors train relatively frequently at the national training centre. The facilities for elite baseball players are more adequate than for the other sports. Elite baseball players enjoy the most international competition opportunities and taekwondo competitors the least. The existence of a professional baseball league and a highly professionalised international competition system for tennis serve to highlight the difference between the three sports in terms of the emergence of full-time athletes. In sum, this demonstrates quite clearly that there exists in Taiwan a single spine of sports development in general, but with variations.

Payments for ecosystem services (PES), or conservation incentives, are an increasingly popular approach to encouraging natural resources conservation on private lands. The goal of PES approaches is to motivate conservation by private landowners that would not otherwise take place by providing an economic incentive. To achieve this goal, incentive programs must be available to landowners who can provide the desired services; supportive policy structures must be in place; landowners must be willing to participate as sellers of ecosystem services; and the program itself must have an institutional structure that effectively regulates the production, sale, and maintenance of targeted ecosystem services. This dissertation uses a combination of case study and comparative research methods to develop new knowledge and tools for assessing each of these necessary conditions for success. The potential development of an incentive program to conserve habitat for endangered jaguars in southern Arizona and southwestern New Mexico is used as a case study to understand the attitudes of ranchers toward participation in PES programs and related policies and regulations. Results show that ranchers have strong intrinsic conservation motivations unrelated to economic incentives, coupled with significant concerns about the impacts of government regulations that could accompany participation in a PES program. Comparative research of the institutional structures of existing PES programs is carried out using the Institutional Analysis and Development framework. Focusing on water quality trading, one of the most common types of PES program, a classification system for PES program institutional arrangements is developed and the utility of the classification system for analyzing institutional diversity is demonstrated. Together, the case study and comparative research provide a means of linking empirical assessment of PES governance models with the preferences of targeted participants, increasing the likelihood of successful conservation outcomes.

Urban areas play important role in relation to potential risks and impacts of climate change. Adaptation experience is accumulating in the public and private sector across the world. This diploma thesis evaluates current creation of adaptation strategies in cities of the Czech Republic with the use of institutional analysis by the IAD framework. The aim of the thesis is to identify the most common constraints on the adaptation strategies making process and to suggest possible solutions. Data collection method is based on in-depth interviews with stakeholders in the cities of Pilsen, Prague and Brno. Identified constraints include lack of policy support, different level of experiences with creation of conceptual documents and problem with funds for adaptation action. As a solution deepen partnership between self-government and non-profit institutions and deepen cooperation between politics and civil servants with focus on information exchange is needed. In addition conceptual characterization of problems in cities together with their identification, which can helps to obtain funding for implementation of adaptation actions (e.g. through the LIFE programme) is recommended.

The UN and NATO have implemented separate approaches to civilian-military cooperation. Central in both approaches is a need for information sharing between civilian and military actors. Without shared information, cooperative planning becomes impossible. For military actors secret information makes sharing difficult and for civilian actors, principles hinder close cooperation. Scholars in the field of intelligence study have identified that states and organizations share information if the benefits of such, outweigh costs and risks. This thesis examines institutional differences between the UN mission MINUSMA in Mali and NATO mission ISAF in Afghanistan, in order to better understand how institutional factors, affect sharing of information. With an outset in Rational Choice Institutionalism and by use of Elinor Ostrom’s Institutional Development and Analysis Framework, an analytical instrument is designed. Through inductive review of interviews, first-hand accounts and reports; factors that drive, enable and hinder civilian-military sharing are indicated. The thesis indicates that the institutional framework of MINUSMA forms interdependency between civilian and military actors, while sharing in ISAF was enabled only when common goals were agreed upon. Military and civilian actors, in both MINUSMA and ISAF point to unclear mandates and vague goals as primary barriers to civilian-military sharing.

Cette thèse étudie la coordination des équipes et la polycentricité en proposant une approche ératique d’une analyse institutionnelle de la coordination. En effet, la définition de la coordination n’est pas aisée même si le terme est utilisé quotidiennement dans différents domaines et tout particulièrement celui de la santé. La coordination s’appliquerait aujourd’hui aussi bien aux actions, qu’aux acteurs ou aux éléments d’une activité. Malone et Crowston (1994) relèvent que la coordination est tellement présente dans notre quotidien que nous ne la percevons principalement que lorsqu’elle est défaillante. Pour affiner la compréhension de la coordination étudiée à l’aide des théories des organisations et des théories des comportements organisationnels, de récentes contributions ont privilégié une analyse du caractère micro social, continu et situé de la coordination. Elles examinent les pratiques de coordination développées par les acteurs sur le terrain (par exemple, Faraj, Xiao 2006 ; Bechky, 2006; Kellogg et al., 2006; Jarzabkowski, et al., 2012; Harrison et Rouse, 2014; Schakel et al., 2016; Ben-Menahem et al., 2016; Wolbers et al., 2017 ; Bouty et Drucker-Godard, 2018). L’analyse de la coordination s’inscrirait ainsi dans l’examen des effets récursifs entre pratiques concrètes de coordination et influences institutionnelles. Pour autant, force est de constater que la littérature peine à démontrer ces influences réciproques. L’environnement institutionnel est complexe : de nombreux centres de décisions peuvent être identifiés et sont interdépendants (Ostrom V. et al, 1961). Pour investiguer ces environnements, OstromE (2005) proposent une conception polycentrique de la diversité institutionnelle qui permet de comprendre comment l’on peut mettre en lien l’organisation des moyens pour réaliser une action collective, coordonnée au niveau institutionnel aussi divers soit-il, et les pratiques des acteurs au sein d’arènes d’action. Cette thèse montre que l’approche pratique de l’analyse et développement institutionnel (ADI) proposée par Ostrom E. permet de combiner les différentes analyses de la coordination menées jusqu’à présent dans la littérature gestionnaire au sein d’un même modèle. A l’aide d’une recherche qualitative compréhensive de la coordination des équipes du secours d’urgence pré-hospitalier, nous proposons un cadre d’analyse de la coordination intégrant les différentes approches de la coordination développées en sciences de gestion. Nous détaillons ainsi un élément central du cadre ADI d’Ostrom E. : l’arène d’action qui est le lieu de pratiques de coordination. La prise en compte de la diversité institutionnelle en action amène à repenser l’équipe en méta-collectif. Il est une formation spécifique faite d’interrelations entre de multiples participants d’arènes d’action intriquées. La déclinaison du concept de polycentricité en gestion nous permet également de concevoir des systèmes où un rapport à une ressource est la base d’un système fait d’interrelations vigilantes et responsables. Cette thèse montre également l’importance de composer avec la diversité institutionnelle pour faire face à l’ensemble des situations possibles dans des contextes complexes comme ceux du secours d’urgence pré-hospitalier. Nous proposons de sortir de la logique d’unification comme seule possibilité d’efficience tant les systèmes multi-institutionnels sont flexibles, résilients et sûrs notamment grâce aux retours d’expériences formalisés ou informels qu’il faut encourager. Cependant, dans ces contextes polycentriques un système de règles robuste et adaptable doit être préservé. Le système peut s’adapter de lui-même par modification régulière des dispositions pour agir. L’attention doit alors se porter sur le passage de « règles en usages » au stade « règles institutionnalisées » pour assurer la fiabilité du système
This thesis studies team coordination and polycentricity by proposing a practical approach to an institutional analysis of coordination. Indeed, the definition of coordination is not easy even if the term is used daily in different areas and especially that of health. Coordination would apply today to actions, actors or elements of an activity. Malone and Crowston (1994) note that coordination is so much present in our daily lives that we only perceive it mainly when it is failing. To refine the understanding of the coordination, studied using organization theory or organizational behavior theory, recent contributions have recognized an analysis of the microsocial, continuous and situated nature of coordination. They examine the coordination practices developed by the actors in the field (e.g. Faraj, Xiao 2006 ; Bechky, 2006; Kellogg and al., 2006; Jarzabkowski, and al., 2012; Harrison and Rouse, 2014; Schakel and al., 2016; BenMenahem and al., 2016; Wolbers and al., 2017 ; Bouty and Drucker-Godard, 2018). The analysis of coordination would thus be part of the examination of the recursive effects between concrete practices of coordination and institutional influences. However, it is clear that the literature struggles to demonstrate these reciprocal influences. The institutional environment is complex, many decision centers can be identified and are interdependent (Ostrom et al, 1961). In order to investigate these environments, Ostrom (2005) propose a polycentric conception of institutional diversity which enables us to understand how we can link the organization of the means to achieve a collective action, coordinated at institutional level as diverse as it can be, and the practices of the actors within action arenas. This thesis shows that the practical approach of the analysis and institutional development framework (ADI) proposed by Ostrom makes possible the combination of the different coordination analyzes carried out so far in the management literature within the same model. Using a comprehensive qualitative research on the coordination of pre-hospital emergency teams, we propose a coordination analysis framework integrating the different approaches to coordination developed in management sciences. We detail a central element of Ostrom's IAD framework: the action arena which is the place of coordination practices. Taking into account institutional diversity in action, leads us to rethink the team in meta-collective. It is a specific training made of interrelationships between multiple participants of intricate action arenas. The concept of polycentricity in management also allows us to design systems where a relationship to a resource is the basis of a system of vigilant and responsible interrelationships. This thesis also demonstrates the importance of dealing with institutional diversity, to deal with all possible situations in complex contexts, such as pre-hospital emergency relief. We propose to leave the logic of unification as the only possibility of efficiency as the multi-institutional systems are flexible, resilient and safe, especially thanks to the formalized or informal feedback that must be encouraged. However, in these polycentric contexts a robust and adaptable rule system must be preserved. The system can adapt itself by regularly changing the provisions for action. Attention must then be turned to the transition from "rules in use" to the stage of "institutionalized rules" to ensure the reliability of the system

Droughts are occurring globally and should be recognized as a global issue and drought planning should use a proactive approach on the part of the world community. However, much drought planning, even in developed and highly developed countries, is reactive and programs are often poorly coordinated sometimes with unforeseen negative consequences for marginalized and disenfranchised populations. Literature pertaining to planning strategy for existing, drought crises is nominal and often contributes to patterns of reactiveness and resulting inequity. To gain a better understanding of crisis-driven planning and the participatory process, this gap was viewed through the lenses of institutional analysis and development and procedural justice and fairness. Specifically, this study was designed to determine how procedural justice and fairness, and the institutional analysis and development framework delineates participatory roles during reactive, crisis-driven planning versus proactive, preparedness planning. A multi-case/within-case analysis was conducted. Six publicly-available documents were selected using provisional and sequence coding lists; emerging themes were also identified at this time. The within-case analysis showed discernable differences between reactive and proactive participatory processes. These findings were used to conduct a cross-case analysis; this analysis indicated that commitment to the participatory process and to change were the keys elements in producing fair and just policies. Drought events can be widely divergent and dynamic, no two being alike; however, the spirit of procedural justice must be part of governance that brings public participation within the reactive planning process into better alignment with proactive planning.

The United States’ electric macro-grid provides electricity for all people to sustain our lifestyle. The current governing institutions that generate our electricity limit community representation, causing procedural injustice particularly to communities of color. This thesis is a contribution to the Energy Democracy literature, describing a community-based electricity model that includes two components: property and people. I argue to include an in-depth study of John Locke’s theories on property, in addition to Elinor Ostrom’s Institutional Analysis and Development Framework to promote local knowledge in understanding how physical space and governing bodies strengthen the Energy Democracy movement. In addition, I utilize the works from Karl Marx and Grace Lee Boggs to describe the process of local self-reliance to community empowerment. This Energy Democracy approach centering property and people aims to revolutionize a system that promotes equity and democracy.

In order to understand how policies are made, analysts need to be able to explain and describe the policy making process. This is a complex task due to the variety and complexity of policy making environments. The difficulty lies in accounting for the multiple actors who come and go, differing preferences, and impending problems and solutions sets which vary by policy environment. Therefore, there is a need to approach the understanding of policy processes from several different theoretical perspectives to aid in evaluating the multifaceted variations which ultimately affect policy making. An improved description of processes can lead to more accurate predictions of possible future policies, improved advocacy efforts, and enhanced problem solving. Two policy process frameworks, the Multiple Stream Framework (MSF) and the Institutional Analysis and Development (IAD) framework, were applied to a recent significant change in science policy. An understanding is developed to explain how federal science funding survived within the highly controversial and costly American Recovery and Reinvestment Act of 2009 (ARRA). The volatile and unpredictable nature of science policy lends itself well to the MSF, while the more static IAD is less useful to explain how and why the funds stayed in the bill. This is telling about the scope and adaptability of the two frameworks, where each may be better suited for different policy environments. The MSF being more appropriate for unstable and capricious policy issues and the IAD better matched for policy issues which have a somewhat more stable environment.

abstract: In recent years, the world has debated the idea of biofuels as a solution to energy security, energy independence, and global climate change. However, as the biofuels movement has unfolded, crucial issues emerged regarding biofuels efficacy and efficiency. The deployment of biofuels of marginal benefit has raised questions about how countries like the USA may have found themselves so invested in a potentially failing technology. In order to better understand and evaluate these issues, this study utilizes the Ostrom Institutional Analysis and Development (IAD) framework to better evaluate these issues and analyze interacting institutions that shape US biofuel policy. The IAD framework is a model that enables one to study, conceptualize, compare, and make connections across decision arenas that would otherwise be distinct from each other. By analyzing the interactions of relevant institutions, one can see how different dynamic interests interacted to shape biofuel policy in the USA today. Conclusions from this analysis include: the IAD framework is ideal for analyzing the political and economic case for biofuels. The five action arenas identified in this thesis are sufficient to understand corn bioethanol policy. A compelling case for supporting bioethanol is not made. An international agreement to reduce GHG emissions could change the landscape for biofuels. Finally, there is little prospect for biofuels playing a significant role in the near term without greater alignment among the action arenas.
Dissertation/Thesis
M.S. Sustainability 2010

碩士
國立臺灣師範大學
地理學系
104
In this study, analyzing the effectiveness of aboriginal people participating in ecotourism in Chilanshan region based on the Institutional Analysis and Development(IAD) Framework. There are three ecotourism models, (1) Government departments and private industry in cooperation with local residents, (2) Leading private industry and government assistance, (3) Ecotourism planning of local residents. We use qualitative and quantitative methods to interview local residents, the government and private industry. To understand the structure and evolution of habitat on Chilanshan region, we need to understand the process of operation of the organization. To clarify the factors of this impacted action, participants need to be involved in the ecotourism process. Government departments, private industry and local residents need to engage in the interview process. Tradition and their standards are important. Moreover, analysis local residents for cognition of ecotourism and attitude of the development ecotourism by quantitative methods, affecting the development of ecotourism in Chilanshan Area, and assess the sustainability of ecotourism. Local residents to play a part in the different modes of the ecotourism impact resistance. Therefore, to make the sustainable development of ecotourism, we can start from three aspects. First, government needs to weigh the responsibilities of travel agents and aboriginal people, and to achieve an equitable distribution. Second, private industry expand cooperation within organizations of neighboring areas by integrating with each other resources to exert greater influence and benefits. Third, establish salary jobs through associated revenue, the development of appropriate lessons accountability system and income distribution, and community residents to become more cohesive.

Irrigated agriculture accounts for 90 percent of consumptive use of freshwater in the western US and is considered the largest contributor to nonpoint source water pollution. The diffuse nature of most water quality and quantity challenges necessitates institutions that can more effectively engage agricultural producers in strategic, integrated, watershed-scale approaches to water management such as those associated with Integrated Water Resource Management (IWRM). With approximately 9,400 professionals working in nearly every one of the nation's 3,071 counties and an emphasis on voluntary, incentives-based approaches to conservation, the Natural Resources Conservation Service (NRCS) is well poised to influence land and water management on private working lands. NRCS conservation programs, however, have been criticized as "random acts of conservation" that lack a strategic vision for addressing natural resource challenges at-scale. Using NRCS's new Agricultural Water Enhancement Program (AWEP) as a case study, this paper seeks to examine the factors that enable or inhibit NRCS from promoting an integrated approach to water management consistent with IWRM principles. Following the Institutional Analysis and Development (IAD) framework this paper traces the development of AWEP and examines how the rules established at the national level impact implementation at the national, state and local levels. The paper then evaluates AWEP based on a set of six IWRM design principles to determine (a) the extent to which AWEP represents an IWRM approach, and (b) the institutional factors that facilitate or inhibit NRCS from taking a more integrated approach to water management. I found that institutional factors vary greatly between levels of analysis depending on the specific context, but did identify several consistent enablers and barriers. The three most significant factors that facilitate an IWRM approach are: (1) AWEP's focus on priority resource concerns within a defined hydrographic area; (2) AWEP's emphasis on pursuing a partnership-based approach; and (3) increased local involvement in defining projects. The three most significant factors that inhibit an IWRM approach are: (1) a lack of clarity concerning partner roles and responsibilities and constraints on partner involvement; (2) limited flexibility of existing program rules; and (3) limited local capacity to engage with landowners and implement projects. The paper offers institutional recommendations for facilitating an IWRM approach within NRCS, and concludes with a consideration of the utility of IWRM design principles and the IAD framework for analyzing water management institutions.
Graduation date: 2012

Oregon is a state with great social and ecological diversity. Unfortunately however, Oregon's water-rich reputation is more rumor than reality. As with many Western states, Oregon struggles with water scarcity, especially during dry summer months. Recent efforts by the state to develop an integrated water resource strategy (IWRS) to manage present and future water demand in Oregon signifies the very real concern that water is no longer as abundant and available as it once was. With the predicted impacts of climate change and population growth, the already-strained water supply will unlikely sustain current water needs. Using a statewide mail survey of 1,537 Oregon residents (2010), a second survey of 390 water stakeholders (2011), and 12 semi-structured interviews conducted in 2010 and 2011 of stakeholders and elected officials this dissertation examined the role of sociodemographic attributes and environmental values pertaining to concern about Oregon’s water supply, climate change, water conservation behaviors, and prioritization of water use. Data analysis (regression analysis) revealed that to varying degrees gender, age, education, income, concern about water scarcity and belief in the New Ecological Paradigm (NEP) proved reliable predicators of concern about that water quantity is a problem, that Oregonians will be personally affected by water scarcity, and personal water conservation behaviors. The dissertation further applies the Institutional and Analysis Development (IAD) framework to the current efforts by the state to create and IWRS. Recommendations for successful application of the IWRS are discussed, specifically use of adaptive governance in basin and sub-basin planning efforts.
Graduation date: 2012

This study addresses the question: "What are the incentives and disincentives for conflict prevention and mitigation in the Bureau of Reclamation (Reclamation), and how do they factor into Reclamation's management of water in the western United States?" Incentives and disincentives for conflict prevention (i.e., actions taken to avoid conflict) and mitigation (i.e., actions taken to resolve, manage, or temper a conflictive situation after conflict has occurred) are identified through a survey and focus groups of Reclamation employees. The two dominant disincentives identified are a lack of resources and Reclamation's organizational culture--specifically its reliance on crisis management, water delivery tunnel vision, and being slow to change. Other disincentives include a lack of forward planning, the existence of an acceptable bandwidth or level of conflict, a perception that conflict is unavoidable or entrenched, politics, and limits on acceptable actions associated with the legal authorization of Reclamation projects. Fewer incentives for conflict prevention and mitigation were identified, but include, pressure from higher management, the promotion of collaboration within the Bureau, and a desire to avoid litigation. The institutional analysis and development (IAD) framework offers some insight into how these incentives and disincentives factored into the implementation of the Water2025 Initiative, and Reclamation’s experience with the Middle Rio Grande silvery minnow and the Endangered Species Act. As attributes of the community and rules-in-use, incentives and disincentives such as organizational culture, politics, funding availability, the desire to avoid litigation, the promotion of collaboration within the agency, and a lack of planning effort offer possible explanations of why Reclamation chose to act as it did.
Graduation date: 2012