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Institutional Grammar: Foundations and Applications for Institutional Analysis 1st ed. 2022 Edition Christopher K. Frantz full chapter instant download
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Institutional
Grammar
“Institutional Grammar is a must read for social scientists and legal scholars
who study the complex interplay between institutional arrangements and actors’
behavior, as well as scholars interested in the semantics of institutions. Beginning
with a careful exposition of Elinor Ostrom’s Institutional Analysis and Devel-
opment Framework and its affiliated grammar of institutions (aka IG 1.0), the
authors present IG 2.0, identifying how it corrects the shortcomings of IG 1.0,
as well as substantively expanding it to allow for the coding of regulative and
constitutive institutional statements at different levels of granularity. Importantly,
the authors include guidance on how to implement IG 2.0 and analyze the
coded data, making the grammar accessible and highlighting its practical value.
This book represents the definitive text on the grammar of institutions.”
—Edella Schlager, Professor, University of Arizona
“Frantz and Siddiki summarize the Institutional Grammar 2.0 for the systematic
analysis of institutions. In doing so, their book revolutionizes the study of
institutions and provides a sturdy foundation for building knowledge about
them. This book is without peers, and its impact on the analysis of institutions
will stretch across disciplines and extend far into the future.”
—Christopher M. Weible, Professor, University of Colorado Denver
“Institutions are ubiquitous but can be challenging to study. With their devel-
opment and description of the Institutional Grammar 2.0, Frantz and Siddiki
provide a de-facto open standard for a new field we might call ‘Computational
Institutional Analysis.’ This is a must-read for anyone interested in contributing
to this emerging area of social science.”
—Charlie Schweik, Professor, University of Massachusetts Amherst
Christopher K. Frantz · Saba Siddiki
Institutional Grammar
Foundations and Applications for Institutional
Analysis
Christopher K. Frantz Saba Siddiki
Norwegian University of Science Syracuse University
and Technology (NTNU) Syracuse, NY, USA
Gjøvik, Norway
© The Editor(s) (if applicable) and The Author(s), under exclusive license to Springer
Nature Switzerland AG 2022
This work is subject to copyright. All rights are solely and exclusively licensed by the
Publisher, whether the whole or part of the material is concerned, specifically the rights
of translation, reprinting, reuse of illustrations, recitation, broadcasting, reproduction on
microfilms or in any other physical way, and transmission or information storage and
retrieval, electronic adaptation, computer software, or by similar or dissimilar methodology
now known or hereafter developed.
The use of general descriptive names, registered names, trademarks, service marks, etc.
in this publication does not imply, even in the absence of a specific statement, that such
names are exempt from the relevant protective laws and regulations and therefore free for
general use.
The publisher, the authors and the editors are safe to assume that the advice and informa-
tion in this book are believed to be true and accurate at the date of publication. Neither
the publisher nor the authors or the editors give a warranty, expressed or implied, with
respect to the material contained herein or for any errors or omissions that may have been
made. The publisher remains neutral with regard to jurisdictional claims in published maps
and institutional affiliations.
This Palgrave Macmillan imprint is published by the registered company Springer Nature
Switzerland AG
The registered company address is: Gewerbestrasse 11, 6330 Cham, Switzerland
Preface
v
vi PREFACE
1 Introduction 1
1.1 What Is Institutional Analysis? 6
1.1.1 Institutional Analysis by Discipline 7
1.1.2 Convergence Toward Interdisciplinary
Institutional Analysis 16
1.2 Institutional Analysis with the Institutional Analysis
and Development Framework 18
1.3 Primer on the Institutional Grammar 19
1.4 Overview of Chapter Contents 26
References 26
2 Review of Institutional Grammar Research: Overview,
Opportunities, Challenges 33
2.1 Guiding Research Questions 33
2.2 Analytical Approaches Used in Institutional Grammar
Research 36
2.2.1 Frameworks, Theories, and Concept
Measurement 36
2.2.2 Collecting and Analyzing Institutional
Grammar Data 38
2.3 Research Opportunities and Challenges 44
References 48
ix
x CONTENTS
xiii
xiv LIST OF FIGURES
xv
CHAPTER 1
Introduction
the steps of Schlüter and Theesfeld (2010) and offers critiques of the
Grammar’s syntax on an ontological basis, in general terms, but also in
connection with particular analytical applications (Frantz et al., 2013;
Frantz & Siddiki, 2021).
Given their differing objectives, as well as theoretical and method-
ological orientations, published research connected to the three different
camps of IG scholarship mentioned above has explored distinctive (albeit
not uncomplementary) kinds of research questions. One implication of
this is that the applicability of insights derived from studies in one camp to
studies in others is not always readily apparent. For example, for compu-
tational social scientists who are interested in modeling behavior in silico
within the context of institutionally derived constraints, or using the IG
syntax to characterize a limited set of emergent institutions, compre-
hensive guidance on how to manually code the entirety of statements
comprising a public policy, or how to leverage syntactic components
toward the measurement of policy design concepts, may be of limited use.
Further, for policy scholars who are primarily interested in capturing insti-
tutional information from highly structured statements found in policy
texts (i.e., only in the design, not application or interpretation, of formally
conveyed institutions), challenges to the ontological integrity of the IG
syntax that relate to how institutional statements are interpreted by policy
actors clearly may not be perceived to be that salient, or at least not
prohibitive.
Importantly, recent publications signal an impending paradigm shift
in the trajectory of IG scholarship. The hallmark of this recent scholar-
ship is that it integrates research and insights from the three camps of
IG researchers; in particular, through the engagement of computational
methods in the study of policy design, which, for some computational
applications, begs improvements in the ontological consistency of the
IG syntax (i.e., logically unambiguous definition of the meaning of
syntactic components) (see Chapter 3 for elaborated discussion) and
syntactic extensions to accommodate heterogeneous structures of state-
ments. Some use computational methods for automated coding of policy
design (Heikkila & Weible, 2018; Rice et al., 2021). Rice et al. (2021)
and have developed software specifically for the automated IG coding of
policy documents. In doing so, not only have they expanded analytical
opportunities relating to the application of the IG, they have developed
the first natural language processing software variant that is specifically
1 INTRODUCTION 5
at this time, and it is this very argument that motivates this text. In
this book, we present a revised specification of the IG, which we refer
to as the “Institutional Grammar 2.0,” or IG 2.0, signaling a structural
and paradigmatic shift to a New Institutional Grammar. Relatedly, we
provide a comprehensive description of the IG 2.0 and operational guide-
lines to support its usage. We also provide guidance on how to analyze
institutional data that has been coded according to the IG 2.0. Finally,
throughout the text, the IG 2.0 is contextualized with reference to the
existing – or original – IG, and related institutional analysis approaches
and scholarship.
In the remainder of this chapter, we (i) provide a brief introduction to
institutional analysis, describing what it is and how it is approached and
used by scholars with different disciplinary orientations; (ii) provide an
overview of the institutional analysis framework in which the IG embeds,
called the Institutional Analysis and Development (IAD) framework; and
(iii) offer a more detailed description of the IG as presented by Crawford
and Ostrom in 1995 and revised since then. We conclude the chapter
with an outline of this book.
*****
— No?
— Veli, veli!
— Veli, veli — hiton pitäisi olla veljen veli eikä minun, kun veli
panee toimeen tuollaisia hulluinhuoneseikkailuja! Mutta jollen minä
tule veljen apeksi kaikella asianmukaisella kunnialla, niin — on
mennyttä sekä vanha ystävyys, että myöskin se kunnioitus, jonka
olen lahjoittanut veljelle… mene nyt, mene ja salli minun koota
ajatuksiani!
Ovi aukeni hiljaa. Alma astui kynnyksen yli. Silmät, jotka olivat luodut
lattiaan, todistivat hämminkiä, mutta samalla mitä nöyrintä rukousta
lempeyteen.
— Kas niin, kas niin, mitäs äsken sanoin: suo minun päästä näistä
huokauksista äläkä enää huutele "ah" ja "mutta", kyynäränpituisin
keskeytyksin — puhu selvästi!
— Niin kävi, isä, vieläpä ennen kuin juuri sanaakaan oli vaihdettu!
Mutta olen varma, ettei Karl August tahtonut tavata muusta syystä
kuin varottaakseen ja vannottaakseen minua, etten toista kertaa
uudistaisi sitä heikkoutta, jota olen ehtinyt niin kauan katua. Ja nyt,
hyvä isä, usko minua, kun vakuuttamalla vakuutan, että tämän
ainoan kerran olen tavannut, tämän ainoan kirjeen olen saanut, siitä
lähtien kun annoin majurille lupaukseni.
— Oi, isä, isä, laske minut ensiksi sinne! — pyysi tyttö ja puhkesi
itkuun, niin kiivaaseen, niin rajuun, että ylijahtimestaria kauhistutti se
epätoivo, joka oli koko hänen olemuksessaan… — levätkäämme
kernaammin siellä molemmat — mutta anna minulle anteeksi, oi,
anna minulle anteeksi, muutoin en saata elää enkä kuolla!
— Älä itke, Alma lapseni, rakas, pikku Almani, älä itke — eihän
isäsi ole mikään tyranni! — ja sydämellisesti ja kauan syleillen isä
sulki vapisevan tyttären rinnoilleen… — Mutta kuule nyt minun
menettelytapani vaikuttimia; sillä tällä hetkellä tulee Alman ja hänen
isänsä sydämen välillä olla täysi luottamus — kuule rauhassa ja
ymmärryksellä!
Muutamia hetkiä isän vaiettua Alma istui hiljaa. Jo aikoja sitten oli
hänen poskillaan palanut tumma purppura, hänen silmissään oli
loistanut voimakas ja vilkas tuli. Nyt hän kohosi ylös, laski kätensä
isän käteen ja sanoi levollisesti, mutta varmasti: — Suo minulle
anteeksi, isäni, mutta minä… minä tohdin uskoa, että lausuntosi tahi
ainakin osa siitä on johonkin määrin erehdyttävä!