Institutional Analysis Bibliography

Institutional Analysis Bibliography

This page provides a list of selected annotated/abstracted references related to institutional analysis that might be of interest to CBNRM researchers. The source of the annotations is in most cases the author or the publisher; however, some have been edited or adapted for the CBNRM researcher audience.

1. Afikorah-Danquah, S. 1997. Local Resource Management in the Forest-Savanna Transition Zone: The Case of Werenchi District, Ghana. IDS Bulletin 28 (4): 36-46.

Abstract: An institutional analysis is at the core of the environmental entitlements approach. In this case study from Ghana, researchers gained a better understanding of the institutions which mediated indigenous inhabitants` and immigrants access to and control over forest and agricultural resources, finding that the combination and interaction of these institutions was at the heart of the conflict over visions of appropriate environmental management. With a more complete understanding of institutions and organizations, some of the issues surrounding conflicts over resource use were more easily uncovered, and a range of resource conflicts between immigrants and indigenous people were found to have an institutional origin (IDS).

2. Agrawal, Arun, Charla Britt and Keshav Kanel. 1998. Decentralization in Nepal: A Comparative Analysis. A Report on the Participatory Development Program. San Francisco: Institute for Contemporary Studies Press.

Abstract: In the past two decades, decentralization has gained increasing attention as a necessary and valuable instrument for enhancing efficiency and promoting democratic participation--yet progress has been slow. A detailed analysis of the Participatory Development Program in Nepal, this book identifies conditions vital to the success of decentralization and shows how they may be fostered. At the same time, it skillfully places the program in a comparative perspective: by examining the political economy of previous decentralization efforts, Agrawal and his colleagues identify the impediments that decentralization has faced in so many countries. This even-handed study has important implications for projects of decentralization not only in Nepal, but also in developed and developing countries around the world (ICS Press).

3. Agrawal, A. 1998. Group Size and Successful Collective Action: A Case Study of Forest Management Institutions in the Indian Himalayas. In Forest Resources and Institutions. Gibson, C., McKean, M.A., Ostrom, E. (Eds.). Forest, Trees and People Programme. Working Paper No. 3. FAO: Indiana University.

Abstract: Agrawal investigates how local-level variation within the Indian van panchayat (forest council) system of community forestry leads to substantially different outcomes for the management of forest resources. He begins by analyzing the legislation which underlies the van panchayat system, and then demonstrates how local factors--such as size, organization, age and resource endowments--affect management success. He concludes that the size of the van panchayat is an important factor, with very small councils being at a disadvantage over moderate-sized ones in their efforts to generate sufficient human and other resources to monitor and enforce local rules (eds.).

4. Agrawal, A. 1997. Forest Management Under Common Property Regimes in the Kumaon Himalaya. In People and Participation in Sustainable Development. G. Shivakoti et al (eds.). Proceedings of an International Conference held at the Institute of Agriculture and Animal Science, Rampur, Chitwan, Nepal, 17-21 March 1996. Bloomington, Indiana and Rampur, Chitwan.

Abstract: This paper explores local level forest use and management in the Kumaon Himalaya. It seeks to situate the ongoing research on forest resource use in the Kumaon Himalaya in the context of a larger conversation on common property use and management in mountain regions. More specifically, it examines why it is necessary to look at communities as relevant units of social organization for understanding resource use; the need to analyze the effects on resource use of stratification and differences within communities; and the importance of subjecting concepts such as "community", "local", and "indigenous" to further reflection and refinement (author).

5. Alston, Lee J., Thráinn Eggertsson, and Douglass C. North, eds. 1996. Empirical Studies in Institutional Change. Cambridge University Press.

Abstract: Book is a collection of nine empirical studies by fourteen scholars. Dealing with issues ranging from the evolution of secure markets in seventeenth-century England to the origins of property rights in airport slots in modern America, the contributors analyse institutions and institutional change in various parts of the world and at various periods of time. The volume is a contribution to the new economics of institutions, which emphasises the role of transaction costs and property rights in shaping incentives and results in the economic arena. To make the papers accessible to a wide audience, including students of economics and other social sciences, the editors have written an introduction to each study and added three theoretical essays to the volume, including Douglass North's Nobel Prize address, which reflect their collective views as to the present status of institutional analysis and where it is headed (Cambridge University Press) .

Chapter Contents: Introduction; A note on theory, Thráinn Eggertsson; Empirical work in institutional economics, Lee J. Alston; 1. Towards an understanding of property rights, Gary D. Libecap; 2. Impediments to institutional change in the Soviet system, Jan Winiecki; 3. Transaction costs and economic development, Andrew Stone, Brian Levy and Ricardo Paredes; 4. The evolution of the modern institutions of growth, Douglass C. North and Barry R. Weingast; 5. Regulation in a dynamic setting, Anne O. Krueger; 6. Price controls, property rights and institutional change, Steven N. S. Cheung; 7. Regulating natural resources: the evolution of perverse property rights, Robert Higgs; 8. The politics of institutional change in a representative democracy, William H. Riker and Itai Sened; 9. The economics and politics of institutional change, Lee J. Alston and Joseph P. Ferrie; Epilogue: Economic performance through time, Douglass C. North.

6. Bandaragoda, D.J. 1998. Design and practice of water allocation rules: Lessons from Warabandi in Pakistan's Punjab. Research report no. 17. International Irrigation Management Institute (IIMI ). Colombo.

Abstract: The conventional wisdom of the application of water allocation rules in irrigation systems is rarely questioned. The major reason for this complacence is a lack of interest in considering water distribution as a dynamic socio-technical process. A study on a sample of 22 irrigation subsystems (water-courses) located in 6 canals in 3 different major canal systems of Pakistan`s Punjab Province clearly showed that the actual practice of warabandi water allocation schedules differed substantially from the design. This report focuses on the existing gap between the original design of warabandi as a water allocation method and the way it is practiced in Pakistan today (author).

7. Becker, C. and Ostrom, E.1995. Human Ecology and Resource Sustainability: The Importance of Institutional Diversity. Annual Review of Ecological Systems 26, pp. 131

Abstract: The authors define the concept of a common-pool resource and present similarities and differences among common-pool resources in regard to their ecological and institutional significance. The design principles that characterize long-surviving, delicately balanced resource systems governed by local rules systems are discussed, as is a synthesis of the research on factors affecting institutional change. Initial findings from pilot studies in Uganda related to the effects of institutions on forest conditions are presented as well (author-adapted).

8. Borrini-Feyerabend, G. 1996. Collaborative Management of Protected Areas: Tailoring the Approach to the Context. IUCN, Gland, Switzerland.

Abstract: `Collaborative management` is a partnership where various stakeholders agree on sharing the management functions, rights and responsibilities for a territory or a set of resources under protected areas. This publication addresses conservation professionals--in particular governmental agency staff--offering a broad definition of the approach and provides examples of how it has been specifically tailored to different contexts. General assumptions, consequences, benefits, costs and potential drawbacks of collaborative management are reviewed and a process by which an agency in charge of a protected area can pursue the approach is illustrated (IUCN).

9. Bromley, Daniel et al. (eds). 1992. Making the Commons Work: Theory, Practice, and Policy. San Francisco: Institute for Contemporary Studies Press.

Abstract: The contributors to this book take an approach which emphasizes not the tragedy but the possibilities of the commons, both in theory and in practice. Drawing on case studies from countries around the world, they develop a new set of constructs to explain how small-scale common property systems can be successful and durable. The book shows that people on the local level can handle complex social and economic issues successfully and equitably. Often, economic aid to developing countries has ignored these small-scale but effective local institutions, mistakenly relying on privatization or state ownwership to solve development and natural resource problems (R. Hawkins).

10. Brown, D. and Korte, C. 1997. Institutional Development of Local Organizations in the Context of Farmer-Led Extension: the Agroforestry Programme of the Mag`uugmad Foundation. Network Paper No. 68, Agricultural Research and Extension Network, UK Overseas Development Institute (ODI).

Abstract: This paper reviews the attempts of the NGO, World Neighbors, and its indigenous successor, the Mag`uugmad Foundation Inc., to develop the local institutional capacity of farmer organizations on the island of Cebu in the Philippines, building on a highly successful programme of farmer-led extension of agroforestry technologies. The paper describes the history of the programme from its inception in 1982, and considers the grounds for its success in the transformation of the farming system over a wide area of the Cebu uplands. It then examines progress to date in the area of local institutional development, and assesses the likelihood of the substantial transfer of management functions to the community (authors).

11. Carney, D. 1996. Formal Farmers' Organizations in the Agricultural Technology System: Current Roles and Future Challenges. Natural Resource Perspectives, Number 14, November. London, U.K. Overseas Development Institute (ODI).

Abstract: Farmers organizations (FOs) need to be relatively sophisticated and well-funded to become involved in agricultural technology development and transfer. This is because of the complexity of understanding members technological needs and of building productive partnerships with other technology suppliers. Only small-scale initiatives are likely to be possible for organizations which have limited capacity. Such initiatives usually rely on leaders existing knowledge of or access to improved technologies. Organizations with relatively homogenous membership and with close links to the market (which helps both to set quality standards and to generate money for the organization itself) are generally better able to get involved in technology than their larger, more political counterparts. The attitude of the public and private technology suppliers is also likely to be a critical factor in determining whether farmers organizations will be successful in their technology-related activities, as is the support of donors and/or NGOs on the capacity-building and financial sides (author).

12. Centre for Economic Development and Administration. 1991. Inventory of Rural Institutions in Rapti Zone Nepal. Kirtipur, Kathmandu, Nepal: Center for Economic Development and Administration, Tribhuvan University.

13. Chettri, R.B. and Pandey, T. 1992. User Group Forestry in the Far-Western Region of Nepal. International Centre for Integrated Mountain Development Monograph, Kathmandu, Nepal.

14. Clague, C. (ed). 1997. Institutions and Economic Development: Growth and Governance in Less-Developed and Post-Socialist Countries. Baltimore: Johns Hopkins University Press. (The Johns Hopkins Studies in Development).

Abstract: The puzzles of economic development and post-communist transitions, according to Christopher Clague and his colleagues, can be illuminated by a serious economic analysis of institutions. Economic performance is strongly dependent on the economic policies selected and on the manner in which these policies are implemented by government agencies. Performance is also affected by property rights and contract enforcement mechanisms in the business community and by patterns of participation in community organizations. These and other institutional arrangements are analyzed in this book under the rubric of the New Institutional Economics. Topics include the effects of democratic political institutions on economic performance, the determinants of success or failure in community organization, the institutional challenges facing formerly communist societies, and the use of the economics of information to improve government administrative performance. Contributors include economists Christopher Clague, Robert Klitgaard, Peter Murrell, Mancur Olson, Vernon Ruttan, and Vito Tanzi, and political scientists Stephan Haggard, Margaret Levi, and Elinor Ostrom (Johns Hopkins University Press).

15. Cortner, H.J. 1998. Institutions Matter: The Need to Address the Institutional Challenges of Ecosystem Management.Landscape and Urban Planning 40 (1-3):159-166.

Abstract: As management philosophy focused on sustainability, ecosystem management calls for a reassessment of how we approach nature, science and politics. Implementation of ecosystem management will require changes in society's institutions. However, the exact requirements for institutional change are unclear. Therefore, in order to move toward implementing ecosystem management, a better understanding of the relationships between institutions and natural resource management will be required. The purpose of this paper is to examine institutional barriers and incentives to ecosystem management and to encourage a dialogue on this subject among resource managers, the public, and researchers. To this end, the paper identifies five problem areas where additional understanding of the institutional requirements for implementing ecosystem management is needed (author).

16. Cramb, R. A., and I. R. Wills. 1990. The Role of Traditional Institutions in Rural Development: Community-Based Land Tenure and Government Land Policy in Sarawak, Malaysia. World Development 18(3):347-360.

Abstract: Traditional local-level institutions are frequently considered obstacles to rural development and so attempts are made by the state to impose "dissonant" institutional forms from above. In contrast, this paper argues that traditional institutions should be viewed as the building blocks of a modern, development-oriented institutional structure. The argument is applied to the case of the Iban system of community-based land tenure and its relationship with government land policy in the Malaysian state of Sarawak (author).

17. Edwards, V.M., Steins, N.A. 1998. Developing an Analytical Framework for Multiple-Use Commons. Journal of Theoretical Politics 10 (3): 347-383.

Abstract: This paper extends the analytical framework put forward by Oakerson for application to multiple-use pools, where multiple types of use are made of the resource system. Four components are introduced: (1) multiple-use analysis of physical and technical attributes; (2) multilevel analysis of decision-making arrangements; (3) social characteristics of the broad user community; and (4) analysis of contextual factors. The multiple-use framework facilitates understanding of multiple-use commons in a chosen time period and institutional change over time (author).

18. FAO; SEAGA. 1998. Field Handbook: Socioeconomic and Gender Analysis Programme. Rome: FAO. Available on-line at

Notes: This SEAGA Field Handbook is written for development agents who work directly with local communities in developing countries. It is intended for outsiders such as extensionists, government and non-government field workers, and private- and public-sector development consultants, and for insiders such as community organisers and leaders of local groups and institutions. The purpose of this Handbook is to support participatory development planning at the community level. It is based on actual experiences in agriculture, forestry and fisheries, but can be used by those working in all sectors of rural development. The Handbook offers three toolkits: Toolkit A The Development Context is for learning about the economic, environmental, social and institutional patterns that pose supports or constraints for development; Toolkit B Livelihood Analysis is for learning about the flow of activities and resources through which different people make their living; and Toolkit C. Stakeholders' Prioritiesfor Development is for planning development activities based on women's and men's priorities. The first two focus on learning about the current situation ("what is"), while the third focuses on planning for the future ("what should be"). Each toolkit is designed to answer important questions. (In Chapter Nine several additional tools are provided to facilitate adaptation of these toolkits, as needed) (FAO).

19. Feeny, D. 1994. Frameworks for Understanding Resource Management on the Commons. Pp. 20-33 in Community Management and Common Property of Coastal Fisheries in Asia and the Pacific: Concepts, Methods and Experiences. R. S. Pomeroy, ed. Manila, Philippines: International Center for Living Aquatic Resources Management.

Abstract: Author reviews a number of frameworks, both conventional and more recent, for understanding resource management in the context of common property. He emphasizes that recent literature in economics has recognized a fourth category or pillar of variables for describing economic systems--institutions. Together with resource endowments, preferences and technology, institutions, the "rules of the game", shape the possibilities for economic activity. Institutional arrangements, in general, and property rights, in particular, form the nature of resource use and management of the commons (ed.).

20. Fisher, R. J. 1989. Indigenous Institutions and Organizations in the Management of Common Property Forest Resources in Nepal. Environment and Policy Institute, East-West Center, Honolulu, HI. (EAPI Working Paper, no.18).

21. Fisher, R. J. 1991. Studying Indigenous Forest Management Systems in Nepal: Towards a More Systematic Approach. EAPI Working paper no. 30. Honolulu, Hawaii: East-West Center.

22. Gibson, C., McKean, M.A., Ostrom, E. (Eds.). 1998. Forest Resources and Institutions. Forest, Trees and People Programme. Working Paper No. 3. FAO: Indiana University.

Notes: In this Working Paper the authors seek to understand the complex interactions between local communities and their forests. To do so, they depart significantly from conventional national-level analyzes and offer groundbreaking efforts to identify the relationship between forest conditions, individuals, and institutions at a local level. The presumption that guides the authors is that institutions at the local level--together with the incentives and behaviors they generate--lie at the heart of explanations of forest use and condition. Case material covers Asia, South America and Africa (eds.).