刘亚平 专业英语 刘亚平 专业英语（第十四周）doing institutional analy.ppt

DoingInstitutionalAnalysis ElinorOstrom Theformalstudyofinstitutionsistypicallydividedintothestudyofseparatekindsofsituations Aremarketsandhierarchiesentirelydifferentstructures Dothey inturn sharelittlewithfamilies neighborhoods andcommittees Aretherenounderlyinguniversalbuildingblocksoforganizedlifeanalogoustotheunderlyinguniversalbuildingblocksofindividualorganisms Thereareuniversalcomponentsofallmarketsandotherfrequentlyencounteredsituationsandprovideaframeworkthatcanbeusedinanalyzinganytypeofinstitutionalarrangement Wholedisciplineshavebeenbuiltuparoundthepresumptionthattheyofferauniqueperspectiveonthestudyofparticulartypesofsituations Thedevelopmentofseparatelanguagesisabarriertomoregeneralexplanatoryframeworksandcloselyrelatedtheoriesthathelpanalystsmakecrossinstitutionalcomparisonsandevaluations Afterdecadesofmovingfurtherandfurtherapart averyencouragingtrendoverthelastseveraldecadeshasbeenthegrowthofinterdisciplinaryapproachestothestudyofhumanbehavior Timeisripeforaneffortthatattemptstodrawonthefoundationsofmanydisciplinesincludinganthropology biology economics law philosophy politicalscience psychology andsociology toattempttoanswerthecorequestion Whataretheunderlyingcomponentpartsthatcanbeusedtobuildusefultheoriesofhumanbehaviorinthediverserangeofsituationsinwhichhumaninteract Canweidentifytheworkingpartsofanykindofsituationinwhichhumansfindthemselvesinteractingonarepetitivebasis Canweusethesamecomponentstobuildanexplanationforbehaviorinacommoditymarketaswewouldusetoexplainbehaviorinauniversity orareligiousorder oratransportationsystem oranurbanpubliceconomy Canweidentifythemultiplelevelsofanalysisneededtoexplaintheregularitiesinhumanbehaviorthatweobserve Furtherchallengesinvolvedinstudyinginstitutions Whilethebuildingsinwhichorganizedentitiesarelocatedarequitevisible institutionsthemselvesareusuallyinvisible Theterm institution isusedtorefertomanydifferenttypesofentitiesincludingorganizationsaswellastherules norms andstrategiesusedtostructurepatternsofinteractionwithinandacrossorganizations Giventhemultiplelanguagesusedacrossdisciplines acoherentinstitutionalframeworkisneededtoallowforexpressionandcomparisonofdiversetheoriesandmodelsoftheoriesappliedtoparticularpuzzlesandproblemssettings Decisionsmadeaboutrulesatanyonelevelareusuallymadewithinastructureofrulesexistingatadifferentlevel Thus institutionalstudiesneedtoencompassmultiplelevelofanalysis Atanyonelevelofanalysis combinationofprescriptions attributesoftheworld andcommunitiesofindividualsinvolvedworktogetherinaconfigural ratherthananadditivemanner Furtherchallengesinvolvedinstudyinginstitutions cont Institutionalframeworks theories andmodels Framework identifytheelementsandrelationshipsamongtheseelementsthatoneneedstoconsiderforinstitutionalanalysis Theories enabletheanalysttospecifywhichelementsoftheframeworkareparticularlyrelevantforcertainkindsofquestionsandtomakegeneralworkingassumptionsabouttheseelements Models makepreciseassumptionsaboutalimitedsetofparametersandvariables Oneneedsacommonframeworkandfamilyoftheoriesinordertoaddressquestionsofreformsandtransitions Particularmodelsthenhelptheanalysttodeducespecificpredictionsaboutlikelyoutcomesofhighlysimplifiedstructures TheInstitutionalAnalysisandDevelopmentFramework Aninstitutionalframeworkshouldidentifythemajortypesofstructuralvariablespresenttosomeextentinallinstitutionalarrangements butwhosevaluesdifferfromonetypeofinstitutionalarrangementtoanother Actorsinsituationstogetherwithexogenousfactorsgenerateoutcomesthataffecttheactorsinthesituationandpotentiallyothers Theoutcomesthatareachievedeventuallyfeedbackontotheactorsandthesituationsandmaytransformbothovertime Whentheoutcomesareproductiveforthoseinvolved theymayincreasetheircommitmenttofollowingtherulesandnormsthathaveevolvedovertimesoastocontinuetoreceivepositiveoutcomes Whenoutcomesareperceivedbythoseinvolvedasoflowervaluethanotheroutcomesthatmightbeobtained someactorswillbegintoraisequestionsaboutchangingthestructureofthesituationsthroughvariouschangesintheexogenousvariablesorthestructureofthesituationsthemselves TheIADframeworkisamultitierconceptualmap Thefirststepinusingthisframeworktoanalyzeaproblemistoidentifyaconceptualunit calledanactionarena thatcanbeutilizedtoanalyze predict andexplainbehaviorwithininstitutionalarrangements Actionarenasincludeanactionsituationandtheactorsinthatsituation Anactionsituationcanbecharacterizedusingsevenclustersofvariables 1 participants 2 positions 3 outcomes 4 action outcomelinkages 5 thecontrolthatparticipantsexercise 6 information and 7 thecostsandbenefitsassignedtooutcomes Anactorincludesassumptionsaboutfourclustersofvariables Theresourcesthatanactorbringstoasituation Thevaluationactorsassigntostatesoftheworldandtoactions Thewayactorsacquire process retain anduseknowledgecontingenciesandinformation andTheprocessesactorsuseforselectionofaparticularcourseofaction Amajorproportionoftheoreticalworkstopsafterpredictingoutcomesfromaparticularactionarenaandtakesthevariablesspecifyingthesituationandthemotivationalandcognitivestructureofanactorasgivens Aninstitutionalanalystcantaketwoadditionalstepsafteraneffortismadetounderstandtheinitialstructureofanactionarena Onestepdigsdeeperandinquiresintothefactorsthataffectthestructureofanactionarena Fromthisvantagepoint theactionarenaisviewedasasetofvariablesdependentuponotherfactors Thesefactorsaffectingthestructureofanactionarenaincludeclustersofvariables 1 therulesandnormsusedbyparticipantstoordertheirrelationships 2 theattributesofstatesoftheworldthatareacteduponinthesearenas and 3 thestructureofthemoregeneralcommunitywithinanyparticulararenaisplaced Thesecondstepexamineshownestedlevelsofrulesaffectbehavior ExplanationViewingActionSituationsasDependentVariables Underlyingthewayanalystsconceptualizeactionarenasareimplicitassumptionsabouttherulesindividualsusetoordertheirrelationships aboutattributesofstatesoftheworldandtheirtransformations andaboutthenatureofthecommunitywithinwhichthearenaoccurs TheconceptofRules AccordingtoBlack theword rule isusedtodenoteregulations instructions precepts andprinciples SocialScientistsemployallfourusesofthetermthatBlackidentifies Untilrecently ruleshavenotbeenacentralfocusofmostofthesocialsciences Rulesaresharedunderstandingsaboutpotentiallylinguisticentitiesthatrefertoenforcedprescriptionsaboutwhatactionsarerequired prohibited orpermitted Allrulesaretheresultofimplicitorexpliciteffortstoachieveorderandpredictabilityamonghumansbycreatingclassesofpersonswhoarethenrequired permitted orforbiddentotakeclassesofactionsinrelationtorequired permitted orforbiddenstatesoftheworld Wheredotherulesthatindividualsuseinactionsituationsoriginate Inanopenanddemocraticgovernancesystem manysourcesofrulesexist Itisnotconsideredillegalorimproperforindividualstoself organizethemselvesandcrafttheirownrulesiftheactivitiestheyengageinarelegal Whenindividualsgenuinelyparticipateinthecraftingofmultiplelayersofrules someofthatcraftingwilloccurusingpenandpaper Muchofitwilloccurasproblem solvingindividualsinteractandtrytofigureouthowtodoabetterjobinthefuturethantheyhavedoneinthepast Participantscraftrulesinordertochangethestructureofrepetitivesituationsthattheyfacesoastotrytoimproveoutcomesforthemselves Rules in usearethesetofrulestowhichparticipantsmakereferenceifaskedtoexplainandjustifytheiractionstofellowparticipants Theyarethe do sanddon ts thatonelearnsonthegroundthatmaynotexistinanywrittendocument Inasystemgovernedbyaruleoflaw thegenerallegalframeworkinusewillhaveitssourceinactionstakeninconstitutional legislative andadministrativesettingsaugmentedbydecisionstakenbyindividualsinmanydifferentparticularsettings Inotherwords therules in formareconsistentwiththerules in use Inasystemthatisnotgovernedbyaruleoflaw theremaybecentrallawsandconsiderableeffortmadetoenforcethem butindividualsattempttoevaderatherthanobeythelaw Thestabilityofrule orderedactionsisdependentuponthesharedmeaningassignedtowordsusedtoformulateasetofrules Thestabilityofrule orderedrelationshipsisalsodependentuponenforcement Whatrulesareimportantforinstitutionalanalysis RulesConfigurations Sevengroupsofworkingrulescanbesaidtoaffectthestructureofanyrepetitiveactionsituation boundaryrules positionrules scoperules authorityrules aggregationrules informationrules andpayoffrules Boundaryrulesdirectlyaffectthenumberofparticipants theirattributesandresources whethertheycanenterfreely andtheconditionstheyfaceforleaving Positionrulesestablishpositionsinthesituation Authorityrulesassignsetsofactionsthatparticipantsinpositionsatparticularnodesmust may ormaynottake Scorerulesdelimitthepotentialoutcomesthatcanbeaffectedandworkingbackwards theactionslinkedtospecificoutcomes Authorityrules combinedwiththespecificlawsabouttherelevantstatesoftheworldbeingactedupon determinetheshapeofthedecisiontree theaction outcomelinkages Aggregationrulesaffectthelevelofcontrolthataparticipantinapositionexercisesintheselectionofanactionatanode Informationrulesaffecttheknowledge contingentinformationsetsofparticipants Payoffrulesaffectthebenefitsandcoststhatwillbeassignedtoparticularcombinationsofactionsandoutcomesandestablishtheincentivesanddeterrentsforaction Thesetofworkingrulesisaconfigurationinthesensethattheimpactonactionschosenandoutcomesofachangeinonerulemaydependuponthespecificcontentofotherrules in use Thenextfrontierindoinginstitutionalanalysisisamuchmoreself consciousstudyofhowrulescombinewithoneanother aswellaswiththephysicalandmaterialconditionsandthenatureofacommunitytocreatethesituationsinwhichparticipantsinteract PhysicalandMaterialConditions Whilearuleconfigurationaffectsalloftheelementsofanactionsituation someofthevariablesofanactionsituationarealsoaffectedbyattributesofthephysicalandmaterialworld Marketfailuremeansthattheincentivesfacingindividualsinasituationwheretherulesarethoseofacompetitivemarket butthegoodsarenot privategoods donotmotivateindividualstoproduce allocateandconsumethosegoodsclosetoanoptimallevel ExcludabilityandtheFree riderProblemSubtractabilityoftheFlowWhetherresourcesaremobileorstationary andwhetherstorageisavailablesomewhereinasystem AttributesoftheCommunity Athirdsetofvariablesthataffectsthestructureofanactionarenarelatestothecommunity Theattributesofacommunitythatareimportantinaffectingthestructureofanactionarenaincludethenormsofbehaviorgenerallyacceptedinthecommunity thelevelofcommonunderstandingpotentialparticipantsshareaboutthestructureofparticulartypesofactionarenas theextentofhomogeneityinthepreferencesofthoselivinginacommunity andthedistributionofresourcesamongthoseaffected LinkingActionArenas Inadditiontoanalysisthatdigsdeeperintofactorsaffectingindividualsactionarenas animportantdevelopmentininstitutionalanalysisistheexaminationoflinkedarenas Whereastheconceptsofasinglearenamayincludelargenumbersofparticipantsandcomplexchainsofaction mostofsocialrealityiscomposedofmultiplearenaslinkedsequentiallyorsimultaneously Allrulesarenestedinanothersetofrulesthatdefinehowthefirstsetofrulescanbechanged Whatcanbedoneatahigherlevelwilldependonthecapabilitiesandlimitsoftherulesatthatlevelandatadeeperlevel Itsusefultodistinguishthreelevelsofrulesthatcumulativeaffecttheactionstakenandoutcomesobtainedinanyoperationalsetting Operationalrulesdirectlyaffecttheday to daydecisionsmadebytheparticipantsinanysetting Collective choicerulesaffectoperationalactivitiesandresultsthroughtheireffectsindeterminingwhoiseligibleandthespecificrulestobeusedinchangingoperationalrules Constitutional choicerulesaffectoperationalactivitiesandtheireffectsindeterminingwhoiseligibleandtherulestobeusedincraftingthesetofcollective choicerulesthatinturnaffectthesetofoperationalrules conclusion Whenathe