Artisans of Political Theory and Empirical Inquiry

Thirty-Five Years of Scholarship at the Workshop in Political Theory and Policy Analysis

by Pamela Jagger Updated July 2009 by Jacqui Bauer & James Walker

Workshop in Political Theory and Policy Analysis 513 N. Park Avenue, Bloomington, IN 47408-3895 phone 812-855-0441 fax 812-855-3150 [email protected] www.indiana.edu/~workshop Artisans of Political Theory and Empirical Inquiry

Thirty-Five Years of Scholarship at the Workshop in Political Theory and Policy Analysis

by Pamela Jagger

Updated July 2009 by Jacqui Bauer & James Walker

© Copyright 2009 by authors

 Michael McGinnis & James Walker, Co-Directors Jacqui Bauer, Assistant Director Elinor Ostrom, Senior Research Director Vincent Ostrom, Founding Director 

Workshop in Political Theory and Policy Analysis 513 N. Park Avenue, Bloomington, IN 47408-3895 phone 812-855-0441 fax 812-855-3150 [email protected] www.indiana.edu/~workshop Contents

I. Th e Evolution of the Workshop, 1

II. Major Th eoretical, Philosophical, and Practical Foundations, 2 Pedagogical Innovations for Students, Visitors, and Collaborators, 4

III. Th e Evolution of Th ought, 5 Polycentricity as a Conceptual Foundation of Institutional Analysis, 5 Police Services as an Empirical Test of Polycentricity, 6 Institutional Analysis and Development (IAD) Framework, 7 Common-Pool Resources, 7 Constitutional Order, 8

IV. Major Activities, 8 Workshop-Affi liated Research Programs, 8 CIPEC and the IFRI Program, 9 Th e Working Group on the Political Economy of Democratic Sustainability (PEDS), 9 Bottom-Up Governance, 10 Experimental Methods, 10 Affi liated Centers around the World, 10 Workshop Colloquium Series, 10 Workshop Publications Program, 11 Workshop Visiting Scholars Program, 12

V. Th e Workshop Research Library, Facilities, and Staff , 12 Workshop Research Library, 12 Workshop Facilities, 13 Workshop Staff , 13

VI. Th e Road Ahead, 14

Notes, 14 References, 14

Appendices: A: Dissertations Completed at Indiana University (Supervised by Workshop Faculty), 18 B: Current External Workshop-Affi liated Faculty, 21 C: Current Indiana University Workshop-Affi liated Faculty, 22 D: Current Workshop Visiting Scholars for 2009–2010, 23 E: Awards and Honors Received by Elinor Ostrom and Vincent Ostrom, 24 Artisans of Political Theory and Empirical Inquiry Thirty-Five Years of Scholarship at the Workshop in Political Theory and Policy Analysis

Indiana University, Bloomington, is home to a group of I. The Evolution of the Workshop committed academic “artisans” who have worked since 1973 to understand patterns of organization in multiple Formal communications between Vincent and Elinor environments using the tools of comparative institutional Ostrom and the Department of Political Science regard- analysis and development. Th e Workshop in Political ing the formation of the Workshop were initiated in Th eory and Policy Analysis (hereafter the Workshop)—an 1972. Th e emphasis of these early proposals was the need outgrowth of the research and teaching eff orts of Elinor (Lin) to develop political theory as an analytical tool that could and Vincent Ostrom—is an autonomous research center at be used to guide sound empirical research and policy IU with faculty associates on campus from Anthropology, analysis. Approval for the formation of the Workshop Economics, Geography, Informatics, Political Science, was granted by Leroy N. Rieselbach, chair of the Political 1 Psychology, the School of Public and Environmental Aff airs, Science Department, on January 19, 1973. Th e concept the Kelley School of Business, and the Maurer School of Law. of a Workshop was borrowed from several diff erent aca- demic environments, including the example set by Mor- ton Grodzins, who conducted a Workshop in Federalism eginning with the relationship between political at the University of Chicago. At UCLA, Jacob Marschak Btheory and policy analysis, the focus of the research conducted an interdisciplinary colloquium on Math- program has been to illuminate basic puzzles about the ematics in the Behavioral Sciences that Vincent Ostrom place of knowledge in the conduct of public aff airs in had participated in during his time as an associate pro- contemporary societies. Th e potential for self-governing fessor at UCLA, and which Lin joined in her last year capabilities to solve problems of production and provi- of graduate residence. Th e Workshop in Political Th eory sion of public goods and services has been the basic foun- and Policy Analysis at Indiana University, Bloomington, dation of the Workshop’s research program (Mitchell would be the fi rst workshop focused on the public choice 1988). Understanding the institutional foundations of and political economy traditions, building upon earlier self-governance, including the conditions that contribute works in classical political theory. Th e emphasis would to the establishment and sustainability of self-governing be on empirical research and applied policy analysis capacities, has been undertaken to achieve a greater based upon the explicit use of theory to derive testable understanding of the structured way that communities hypotheses. organize themselves to solve collective problems, achieve Just as a workshop for woodcarvers provides a forum common goals, and resolve confl icts (McGinnis 1999b). for apprentices to hone their skills as craftsmen, the Th is document is a historical sketch of one such self- Workshop was designed to allow faculty members and governing institution. In the following section, a brief students to collaborate in productive research eff orts. background on the origins of the concept of a workshop Students act as apprentices who have the opportunity to is given. In section II, the theoretical, philosophical, and participate in scholarly endeavors. Th e ability to bridge practical foundations of the Workshop are reviewed. In the gap between teaching and research, and to move addition, insights into the pedagogical foundations and beyond what the Ostroms perceived as an overempha- philosophy of the Workshop as applied to graduate stu- sis on preparation for qualifying exams in graduate pro- dents, visiting scholars, and long-term collaborators are grams, allowed students to pursue their own inquiry and reviewed, and the Workshop Colloquium series is dis- methods for coping with problems through a lifetime cussed. Section III presents an overview of the major of productive research. In addition, the Workshop sup- junctures of over thirty years of Workshop research. In ported publications, colloquia, instructional eff orts, and section IV, the role of the Workshop library in further- research projects. Of particular signifi cance was the abil- ing the mission of the Workshop, the facilities where the ity to provide an institutional mechanism that would Workshop are housed, and the staff who have invaluably facilitate grant applications and highlight the continuity facilitated over thirty years of productive research are of research undertaken by students and participating fac- discussed. Finally, some refl ections on the future of the ulty. Perhaps most importantly, a defi ning feature of the Workshop are presented. Workshop is its self-organizing character.

-1- II. Major Theoretical, Philosophical, and involved students in research that would provide background information to the legislature on a variety of and Practical Foundations topics. While in Wyoming, Vincent acted as a program In the initial 1972 proposal, the primary focus of the coordinator for the Wyoming Assessor’s School and Bud- Workshop was identifi ed as the development of political get Offi cer’s School, as executive secretary to the Wyo- theory as an analytical tool to be used in the design and ming League of Municipalities, and as a consultant to the conduct of empirical research and in the study of public Wyoming Legislative Interim Committee. policy problems. Vincent Ostrom, in his writing of the In 1949, Vincent accepted an invitation to join the proposal for the Workshop, noted that political theory faculty in the Department of Political Science, University is the simplifying structure of terms, concepts, and pos- of Oregon. Th ere he served on the state water agency and tulated relationships that can be used to infer or think acted as a speech writer for the governor. His experiences through the eff ect that diff erent patterns or structures of in Oregon increased his concern with the development of decision-making arrangements will have on human con- natural resources. In 1955, Vincent was nominated as a duct. While theory is a necessary tool, he acknowledged fellow at the Center for Advanced Studies in the Behav- that the strengths and weaknesses of a particular theory ioral Sciences in Palo Alto, California. Th ere he met rest upon its power of explanation—thus, the need for Harold Lasswell and Abraham Kaplan. Th e infl uence of empirical research. A close connection between political Harold Lasswell’s policy sciences framework can be seen theory, empirical research, and policy analysis would be in the evolution of the Workshop’s Institutional Analy- the foundation of the research program at the Workshop. sis and Development (IAD) framework as it exists today. To fully understand the foundations of the Work- Also in 1955, Vincent was asked to help in the drafting of shop, and to grasp the continuity that is a characteristic the natural resources article of the Alaska Constitution. of the research program, it is valuable to look to the expe- He was honored for his contribution in August of 2003. riences of the Ostroms before they arrived at IU. Vincent Vincent returned to UCLA as an associate professor Ostrom’s consideration of how people organize themselves in 1958, where he was invited to join a group of scholars to solve complex problems dates back to his employment at UC Berkeley who were studying the California water as a high school teacher in Ontario, California, between industry. Working with a team of economists, a manu- 1943 and 1945. He observed during this time period that script on water law in California was prepared, in addi- citrus-growing smallholders developed a system of land tion to a manuscript on institutions for water resources. and water rights that provided the inputs farmers needed At UCLA, Vincent worked with Charles Tiebout and for production to sustain farm incomes. In addition, they Robert Warren on their seminal article, “Th e Organiza- created an endowment for a future college and for the tion of Government in Metropolitan Areas: A Th eoreti- local high school. Vincent’s observation that a group of cal Inquiry.” Frustration with an emphasis on teaching people with common interests in production technology and graduate supervision, and a desire to study local and community could create their own institutions to institutional arrangements from an interdisciplinary per- achieve complex objectives was compelling. spective, led Vincent to entertain faculty position off ers Vincent completed his Master’s thesis, School Board at institutions including the University of Washington; Politics: An Analysis on Non-Partisanship in the Los Ange- University of California, Davis; and Indiana University, les City Board of Education, in 1945. Th e subject of his Bloomington. After spending time working with John doctoral dissertation, Government and Water: A Study of Krutilla at Resources for the Future in Washington, DC, the Infl uence of Water Upon Governmental Institutions and on the Columbia River treaty problem, Vincent accepted Practices in the Development of Los Angeles, completed in the position of full professor in the Department of Gov- 1950, was motivated by the movement to establish Los ernment at IU at the urging of Charles Hyneman, who Angeles as “the metropolis of the Pacifi c” and the prob- was then-president of the American Political Science lem of how to get water, which was in short supply, into Association. the Los Angeles area. During the time he was working Elinor (Lin) Ostrom took all three of her degrees at on his doctorate, Vincent accepted a faculty position at UCLA, where she completed undergraduate (Honors, the Department of Political Science, University of Wyo- 1954), Masters (1962), and Doctoral (1965) studies in ming, where he taught between 1945 and 1948. Th ere he the Department of Political Science. Prior to pursuing became interested in institutions that developed among graduate studies, Lin worked as an employment inter- cattlemen, including mechanisms for dealing with water viewer and employee relations manager in the private allocation for ranching, branding, and other property sector and as a personnel analyst at UCLA. Lin’s disser- rights. He also worked closely with the state legislature tation, Public Entrepreneurship: A Case Study in Ground

-2- Water Basin Management, which she started as a student tion for the analytical relevance of the theory developed in one of Vincent’s seminars, examined strategies used by by earlier political scientists including Hobbes, Hume, individuals in organizing public enterprises to provide Rousseau, Hamilton, Madison, Tocqueville, and others. public goods and services. Her study illuminated the pro- Th e application of economic reasoning to the analysis cess of devising new public enterprise systems to under- of public sector problems (i.e., public choice) was not take a groundwater basin management program. Public new. Alexander Hamilton and James Madison employed entrepreneurs sought a solution to the common problem it in Th e Federalist Papers, as did Alexis de Tocqueville of saltwater intrusion into the groundwater systems in and many others in eighteenth- and nineteenth-century Los Angeles. Lin Ostrom was the 1965–1966 cowinner political theory.2 of the Western Political Science Association Prize for the Th e Ostroms and their early collaborators drew best dissertation. extensively on the example set by Herbert Simon, spe- Lin arrived at IU without an offi cial position in cifi cally his insistence on the relevance of the bounds the Department of Government. She acted as a visiting within which all individuals must act. By accentuating assistant professor in 1965–1966, and then an assistant the boundedly rational nature of human cognition, the professor and graduate advisor until 1969, when she Workshop approach deviates from the mainstream pub- was promoted to associate professor in the Department lic choice literature, in which standard models of rational of Political Science. During her early years at IU, she choice have been applied to nonmarket decision-making assisted Vincent in the editing of the Public Administra- situations, without making any signifi cant modifi cations tion Review. Shortly after the Workshop was formed, Lin in the choice model. As with bounded rationality, Work- was promoted to full professor. She served as chair of the shop scholarship has drawn upon advances in new institu- Department of Political Science from 1980–1984, and tional economics including pressing the notion of Oliver acting chair from 1989–1990. Williamson’s business-focused transaction-costs literature Th e concept of the application of knowledge in the to consider not only the magnitude of transaction costs social sciences to the issues of public policy is a foun- but understanding the human relationships that pre- dation of the Workshop. Th e spirit of inquiry at the cipitate their presence. Contributions building upon the Workshop has been inspired by concepts put forth by work of Douglass North regarding rules and institutions several notable policy scholars, including the notions that have also been advanced by Workshop scholars. policies could be regarded as hypotheses (Dewey 1938), Organizational theory had emerged since the 1940s and that reforms are the character of social experiments to provide an interdisciplinary approach for scholars to ( Campbell 1969). Madison’s observations, in Federal- pursue a range of theoretical and empirical studies of ist 37 (Hamilton, Jay, and Madison [1788] n.d.), that human behavior in complex organizations found in the the “merits of this Constitution” called for a “critical private and public sectors of society. However, in con- and thorough survey of the work of the convention” in trast to such classic analyses of bureaucratic organization “calculating its probable eff ects” (ibid.: 224) served as in by Simon, Lindblom, and Wildavsky, Workshop schol- invitation to inquiry for Vincent Ostrom. From Harold ars chose to focus on the decision processes undertaken Lasswell’s conception of the policy sciences (Lasswell by groups of citizens themselves. Th is led to more of an and Lerner 1951) was drawn the importance of starting emphasis on understanding ways in which communities one’s analysis with a careful defi nition of terms, as well as came to share a common understanding of the problems conscious attention to the development of an overarch- and opportunities confronting them. ing framework within which specifi c applications can be During the 1981–1982 academic year, Lin and located. Vincent Ostrom were invited to participate in a year- Early scholarship at the Workshop took its departure long research group on “Guidance, Control, and Per- from several important and evolving intellectual tradi- formance Evaluation in the Public Sector” at the Center tions including: public choice, bounded rationality, and for Interdisciplinary Research, Bielefeld University, what would eventually evolve to be known as new insti- Germany. During their time in Bielefeld, they became tutional economics. Th e public choice literature of the acquainted with several intellectual traditions including early 1970s was characterized by social scientists using continental European sociology, Austrian economics, the basic structure of terms and postulates in economic German pioneering work on the theory of order, conti- theory and applying them to nonmarket decision making nental work in game theory in extensive form, and with (e.g., Buchanan and Tullock 1962; Olson 1965; Tullock the use of experimental methods of empirical research 1965). Th e use of economic reasoning to analyze pro- with regard to game theory. Th e publication of Guid- cesses of public choice was leading to a new apprecia- ance, Control, and Evaluation in the Public Sector edited

-3- by Franz-Xaver Kaufmann, Giandomenico Majone, and of theoretical concepts, the Workshop provides numer- Vincent Ostrom (1986) brought together the lessons of ous other opportunities for students, visiting scholars, their joint experience. and faculty to interact in meaningful ways. For example, Exposure to this multidisciplinary community of over the years, groups have self-organized around various scholarship, which had critically focused on the nature of research topics or themes for the presentation of works constitution of order in human societies, led to a refor- in progress or research fi ndings, or for collaboration on mulation of the mission of the Workshop toward a more research papers or proposals. explicit focus on comparative institutional analysis and Scholarly interests at the Workshop were origi- development. Several changes that are refl ected in the nally pursued in a year-long seminar, Political Th eory current structure of the Workshop were implemented and Methodology: Institutional Analysis and Design, con- upon the Ostroms’ return to Bloomington. Key aspects ducted in cooperation with the International Develop- of this shift in thinking included: ment Research Center on the Bloomington campus. Th e • Workshop research organized around the study of course applied the rudiments of economic reasoning to human institutions as they pertain to the nature the basic problems of political organization and focused and constituency of human societies; on a number of theorists including Hobbes, Madison, • A shift in emphasis toward more mature scholars Hamilton, Lenin, and Buchanan and Tullock. A book- (the intellectual core of the Workshop was now length manuscript, Conjectures on Institutional Analysis concentrated at the post-doctoral level, while and Design: An Inquiry into Principles of Human Gover- encouraging graduate students and exceptional nance, was completed in 1975 by Vincent Ostrom and undergraduate students to join that community of Timothy Hennessey with some individual chapters con- dialogue); tributed by students who had participated in the earlier • Increased emphasis on the importance of contest- seminar. Professor Harold Schneider from IU’s Depart- ability in the realm of ideas that apply to the orga- ment of Anthropology cotaught one semester of this nization of human institutions, and a search for seminar with Vincent for several years when it was fi rst underlying commonalities within diff erent con- initiated. cepts, theories, and approaches to move toward As noted above, the Ostroms’ experience at Bielefeld deeper levels of inquiry about the constitution of University in the early 1980s motivated a shift to the more order in human societies; and explicit consideration of comparative institutional analy- • An explicit move to a more interdisciplinary sis and development. An important part of this shift was approach less confi ned to political theory. to include visiting scholars at post-doctoral and equiva- lent professional levels from diff erent parts of the world. A core seminar on Patterns of Order and Development in Pedagogical Innovations for Students, Human Societies, now known as the Institutional Analy- Visitors, and Collaborators sis and Development seminar, was organized in an eff ort to explore elements in a common framework that would Among the original motivations for the formation of the serve as a basis for inquiries with diverse foci and levels of Workshop was the desire to provide affi liated graduate analysis, including both micro and macro considerations. students with the opportunity to function as colleagues William Bianco, Michael McGinnis, Tun Myint, Elinor 3 in the pursuit of scholarly interests. Graduate students Ostrom, Vincent Ostrom, Armando Razo, Amos Sawyer, at the Workshop act as apprentices, learning the craft of and John Williams have taught portions of the year-long scholarly research in addition to the formal courses and seminar over the years. One of the defi ning features of instructional activities of the doctoral program. Practi- the Institutional Analysis and Development seminar is the cal skills in fi eld research, data analysis, and preparation miniconference that takes place at the end of each semes- of fi nished products leading to publication are impor- ter. Papers prepared by students and visiting scholars are tant components of the apprentice’s program. Th e stud- presented by faculty members, visitors, and senior gradu- ies of police services in metropolitan areas conducted in ate students. Critiques are off ered and authors are given the mid-1970s and early 1980s, and the International the opportunity to respond to reviewer comments. Th is Forestry Resources and Institutions (IFRI) seminar and approach has led to the further revision and subsequent training program, are excellent examples of how stu- publication of numerous papers. In the spring of 2009, dents benefi t from the opportunity to test theoretical the Workshop held its 49th miniconference. propositions with real-life empirical cases. In addition to An interesting and fruitful outgrowth of the appren- obtaining fi eld experience to complement the teaching tice training that the Workshop provides to students,

-4- post-doctoral researchers, and visitors is the opportunity Tiebout, and Warren 1961) published in the American to return repeatedly to the Workshop for further learn- Political Science Review. In this article, the prevailing ing, scholarly interaction, and contestation. A review of emphasis on government as a unitary command struc- the lists of short- and long-term visitors over time fi nds ture was challenged. Th e general concept of a polycentric many names repeated. Former students and other indi- order—that multiple arenas, or centers of interaction and viduals become, in eff ect, nonresident fellows who con- participation, need to be considered simultaneously— tinue to collaborate in a number of Workshop eff orts and was put forth (McGinnis 1999b). Ostrom, Tiebout, and contribute to a growing scholarly product.4 Warren introduced the distinction between the produc- Finally, the Workshop has had active participation by tion of a public good or service and its provision by pub- faculty across the College of Arts and Sciences and the lic authorities or some other group of actors. McGinnis Schools of Business, Public and Environmental Aff airs, (1999b) notes that though these terms are often used and Law at IU throughout the years.5 Faculty colleagues interchangeably in common discourse, the distinction participate in research groups that are self-organizing and is quite crucial. Production refers to the physical pro- focus on a wide diversity of research topics, and super- cesses by which the good or service comes into existence, vise or sit on the committees of doctoral students. Th ey whereas provision is the process by which consumers frequently give early versions of their papers at the Work- obtain the good or service. Th ough only a minor fac- shop Colloquium, and participate in ongoing research tor in the consideration of private goods, the distinction projects. between production and provision is very important for the case of public goods. When the production or provi- sion of public goods is unsatisfactory to the electorate, III. The Evolution of Thought voters may move elsewhere (as in Tiebout’s 1956 model), vote offi cials out of offi ce, exert other forms of political Providing a comprehensive overview of the research pressure, or organize to produce or provide public goods program at the Workshop is a daunting task. Michael themselves (McGinnis 1999b). McGinnis, Professor of Political Science and Workshop Another important analytical distinction that is Codirector, undertook just such an eff ort in the late interwoven throughout the Workshop’s research program 1990s. Th e result was three edited volumes of key works is the importance of the nature of the good as private, of Workshop and affi liated scholars: Polycentric Gover- public, toll, or common-pool resource. Th e argument nance and Development (1999a), Polycentricity and Local put forth in V. Ostrom and E. Ostrom (1977a) is that Public Economies (1999b), and Polycentric Games and the same institutional arrangements will not be appropri- Institutions (2000). What follows is a summary of the ate for all kinds of goods and services. Where the market major research initiatives undertaken at the Workshop is an effi cient institutional arrangement for the produc- drawing on the edited volumes prepared by McGinnis, tion and allocation of private goods, market mechanisms and other summaries of important trends in the scholarly may fail when applied to the production and provision of output of the Workshop. common-pool resources (E. Ostrom 1990). Th e concept In recent years, the Workshop has increasingly iden- of a public economy, as analogous but not identical to a tifi ed its research interests along two distinct tracks, market economy, is put forth with a key element of the linked together by the concept of institutional sustain- idea of a public economy being the ability of service pro- ability: natural resource management and democratic viders to select producers operating at the most effi cient governance. Th ese themes have appeared consistently scale of production (McGinnis 1999b). Ostrom and throughout the Workshop’s history, and continue to fi nd Ostrom (1977a) also introduced the concept of public expression in our current research activities, but they are service industries as a way of aggregating the public and very much built from the original concepts and research private fi rms engaged together in producing services such themes outlined below. as police and education. Th e related concept of copro- duction, which suggests that for some types of goods Polycentricity as a Conceptual Foundation and services, consumers who adopt a passive attitude of Institutional Analysis may receive a lower-quality product, was developed more extensively in a year-long working group on coproduc- More than ten years before the Workshop was established, tion (Parks et al. 1981). For example, the involvement the general concept of polycentric order was articulated of consumers is a requisite input for the production of in a classic article “Th e Organization of Government in high-quality education and health-related goods and ser- Metropolitan Areas: A Th eoretical Inquiry” (V. Ostrom, vices. Mitchell (1988) notes that the active involvement

-5- of citizens in their own governance is one of the funda- ing surveys, participant observation, offi cial data, and mental ways in which Workshop scholars have diff erenti- physical measures. ated themselves from the broader community of public Th e fi rst empirical examination of police services choice scholars. was conducted in Indianapolis where the Indianapo- McGinnis (1999b) notes that the concept of poly- lis city and Marion County governments had recently centricity emerges from a deep tradition within the U.S. been consolidated to form a governing authority known political system, in particular, the political theory behind as Unigov. Neighborhoods in Indianapolis that were the design of the U.S. Constitution.6 In Th e Intellectual serviced by the Indianapolis Police Department were Crisis in American Public Administration ([1973] 2008), matched with demographically similar independent Vincent Ostrom critiques the fi elds of public administra- communities that had maintained their own small police tion for being dominated by a conception of centralized forces to measure diff erences in performance based upon administration inconsistent with the foundational princi- the size of the production unit (E. Ostrom et al. 1973). ples of American democracy as conceived by the founders. Th e Indianapolis study refuted the prevalent “one size fi ts While the mainstreams of American political science and all, and it should be larger” theory of the 1960s. Work- public administration have followed Woodrow Wilson’s shop researchers found that citizens in smaller commu- constitutional theory characterized by a monocentric nities had higher levels of satisfaction with police than system of unitary authority and bureaucratic structures, did residents in demographically similar neighborhoods Vincent Ostrom calls for a closer look at a range of new serviced by larger police forces (E. Ostrom and Whitaker policy alternatives that are more congenial to the theo- 1973). ries of polycentric political systems characterized by the To address concerns that the research fi ndings from American separation of powers and overlapping jurisdic- the Indianapolis study might not apply to all types of tions. Th e infl uence of Tocqueville’s observations of an communities, Workshop researchers looked to the Chi- underlying pattern of order beneath the confusing array cago area to examine whether or not African American of governing bodies in the United States is invoked. communities, which traditionally had poor relations with police forces, could achieve the same outcomes by rely- ing upon smaller police forces. By comparing two small, Police Services as an Empirical Test independent villages in Cook County, Illinois, with three of Polycentricity predominantly black neighborhoods in the city of Chi- With the theoretical foundations of polycentricity cago, Workshop researchers were able to confi rm that the articulated, Lin Ostrom took on the task of empirically Indianapolis research fi ndings were robust. Citizens in evaluating polycentricity. Th e problem was to take the the smaller communities received about the same level theoretical conjectures about problems of metropolitan of services as those in Chicago, but the expenditures were reform and conceptualize them as a set of hypotheses fourteen times less in the small, independent commu- about the organization of local public economies and sys- nities than in the large Chicago Police Department (E. tems of governance in metropolitan areas (see E. Ostrom Ostrom and Whitaker 1974). 1972). In a graduate seminar led by Lin on the topic of Additional police services research was conducted in measuring public goods, students were charged with the St. Louis to test confl icting hypotheses about the eff ects task of determining a subject area to test the theory of of police force size and professional training upon the polycentricity—police services were selected. Th is was a quality of police services supplied to residents in diff er- compelling subject for analysis, as police services are an ent neighborhoods (dissertations by McDavid, Parks, and area in which public jurisdictions at all levels of aggrega- Smith, respectively, were produced out of the research). tion interact in complex ways. In this study, analysis of medium-sized police forces had Th e major question of the police research was some advantages over small police forces. Analysis of citi- whether police departments in urban areas should remain zen satisfaction indicated that large police units were not small and autonomous or should merge into mega-units, associated with high levels of satisfaction. Th is research as had been happening to school districts all over the validated the appropriateness of polycentric orders— country. Lin Ostrom worked with Roger Parks, Gordon diff erent scales of production are appropriate for diff erent Whitaker, Dennis Smith, and several other graduate stu- aspects of police service delivery (McDavid 1979; Parks dents to devise a survey that would measure the eff ec- and Ostrom 1981; Parks 1979, 1982, 1985). Th e police tiveness of police departments in several areas. Workshop services research program became less of a focal point of researchers sought information on multiple indicators Workshop research after fi fteen years of intensive activity. of police services employing multiple methods includ- Ostrom, Parks, and others studied over eighty metropoli-

-6- tan areas and discerned patterns of organization that could focus of the Workshop turned to the study of how com- be applied to many other organizations and institutions.7 mon-pool resource user groups throughout the world manage a diversity of common-pool resources. Fisheries, irrigation systems, and groundwater basins were the sub- Institutional Analysis and Development jects of the fi rst generation of Workshop common-pool (IAD) Framework resource studies. Before moving to a discussion of the Workshop’s exten- In the late 1980s, inspired by the challenge of prov- sive research on common-pool resources, a very brief ing that there were alternatives beyond nationalization overview of the Institutional Analysis and Development or privatization for dealing with commons situations as (IAD) framework is warranted. Th e IAD framework was asserted by Hardin in his classic 1968 “Tragedy of the developed by Workshop scholars as an analytical tool for Commons” article, Workshop scholars set out to develop approaching the study of complex institutions and gov- a broader theory of institutional arrangements for the ernance structures (Kiser and Ostrom 1982; Oakerson eff ective governance and management of common-pool 1992; E. Ostrom, Gardner, and Walker 1994). resources. A series of studies focused on common-pool Workshop scholars—building on the foundations of resources were organized using a framework prepared by Tocqueville, Lasswell, and others—have emphasized the Ronald Oakerson (1986), and were presented at a meet- importance of considering the physical nature of the good, ing held in 1995 in Annapolis, Maryland, organized the attributes of the community, and the institutional by the National Research Council panel on common rules in use within their community as they try to solve property resource management. Th e papers were later problems related to their environment. Th e IAD frame- published as an edited volume (see National Research work diff erentiates between three levels of interaction— Council 1986; Bromley et al. 1992). Th e rich data avail- operational, collective choice, and constitutional—that able in existing case studies precipitated the need for a function concurrently. At the operational level, concrete synthesis of literature that had emerged out of multiple actions are undertaken by those individuals most directly disciplines. Workshop scholars set out to develop a cod- aff ected, or by public offi cials. Th e actions of actors at ing system that would allow for the transformation of the operational level impact the world in some observable detailed qualitative data into a structured database for outcome. Rules that defi ne and constrain the actions of empirical analysis. Th e IAD framework was used as the individuals and citizens in operational areas have been organizational foundation for the coding exercise (E. established at the collective-choice level. At the constitu- Ostrom 1990). tional level lies the system that determines how the rules Bielefeld University would prove infl uential a sec- can be modifi ed (McGinnis 1999a). Th e demarcation ond time, as Lin Ostrom returned there in the mid- of the three levels illustrates that there are fundamental 1980s at the invitation of Reinhard Selten to write an similarities among political processes at diff erent levels of initial draft of Governing the Commons (1990), which analysis. At each of the three levels, actors confront an would become one of the best-known and most-cited action situation and must consider strategic options and outputs of the Workshop. Th e empirical analysis of case role expectations at higher levels (McGinnis 1999a). studies indicated that successful and enduring cases of common-pool resource management exhibited a number of common design principles, including mechanisms for Common-Pool Resources monitoring and sanctioning the behavior of participants in the community, well-defi ned boundaries and others. Given that both Vincent and Lin Ostrom began their An important implication of this fi nding for the poten- professional careers conducting research on water or nat- tial for self-governing institutions is that cooperation ural resource related public policy issues, it seemed only requires some mechanism whereby individuals will not natural that the theoretical and analytical tools being take advantage of opportunities for personal gain that developed at the Workshop would eventually return to will be harmful to others (McGinnis 1999a). these common-pool resource problems. A query from Th e use of game theory and laboratory experiments Paul Sabatier, a colleague who had been at Bielefeld to understand how individuals behave in the context of with the Ostroms, about whether or not the set of rules diverse political economic institutions has been an impor- that groundwater producers had developed in southern tant part of the Workshop’s research program since the California was still performing well, prompted Work- early 1980s. Workshop-affi liated colleagues have devel- shop scholars to revisit these water-producer institutions oped formal models of common-pool resource dilemmas (Blomquist 1987). Th us, in the mid-1980s, the research (Gardner and Ostrom 1991; E. Ostrom and Gardner

-7- 1993; Walker, Gardner, and Ostrom 1990; E. Ostrom, order can either support or undermine the foundations Gardner, and Walker 1994) that could be tested in sev- for self-governance. Of primary concern to Workshop eral empirical settings. An important way of testing the scholars has been the question of sovereignty, and the del- theoretical propositions has been in an experimental lab- eterious eff ects that unitary sovereignty or paternalistic oratory, where it is possible to change one element of an governance can have on self- governing capabilities. institutional structure at a time and examine the diff erence Many of the topics of constitutional order explored this makes in behavior and outcomes (Walker, Gardner, by Workshop-affi liated scholars can be thematically orga- and Ostrom 1991; Sell and Wilson 1991; Herzberg and nized as great experiments or monumental disasters. Tai- Wilson 1991; E. Ostrom and Walker 1991; E. Ostrom, Shuenn Yang’s (1987) dissertation on “Property Rights Walker, and Gardner 1992; Walker and Gardner 1992; and Constitutional Order in Imperial China” suggests Weissing and Ostrom 1991, 1993). To further the scope that the periodic collapse of the imperial order accom- of experimental methods at IU, a state-of-the-art inter- panied a cycle of dynasties. Vincent Ostrom’s (1991) disciplinary experimental laboratory funded by NSF and Th e Meaning of American Federalism: Constituting a Self- IU was opened in April 2004 in collaboration with the Governing Society and Mark Sproule-Jones’s (1993) Gov- Departments of Economics, Geography, and Psychology. ernments at Work: Canadian Parliamentary Federalism and Th e Interdisciplinary Experimental Laboratory is housed Its Public Policy Eff ects also suggest that those great experi- in Woodburn Hall in the old Workshop Annex. ments are subject to substantial risks that might be trans- Equally important to the development of common- formed into monumental disasters. Th e analyses off ered pool resource theory and empirical analysis have been by Antoni Kaminski (1992) in An Institutional Th eory of fi eld-level studies that indicate that individuals have an Communist Regimes: Design, Function, and Breakdown; extensive repertoire of options from which they select dif- Amos Sawyer (1992) on Th e Emergence of Autocracy in ferent strategies given their understanding of the nature of Liberia: Tragedy and Challenge; James Wunsch and Dele the situation at hand (McGinnis 1999b). Common-pool Olowu’s (1995) Th e Failure of the Centralized State: resource research at the Workshop (Gibson, Williams, Institutions and Self-Governance in Africa; and Brian and Ostrom 2005; E. Ostrom et al. 1999) includes fi eld Loveman’s (1993) Th e Constitution of Tyranny: Regimes of studies that have examined aspects of the theory in dif- Exception in Spanish America would suggest that experi- ferent sectors, such as groundwater (Blomquist 1992; ments in constituting aggregate systems of order can yield Blomquist and Ostrom 1985; Gardner, Moore, and monumental disasters. Walker 1997), inshore fi sheries (Sandberg 1991; Schlager Analysis of macro-level constitutional order suggests 1990, 1994), irrigation (Tang 1991, 1992; E. Ostrom that national governments can either support and foster 1992; Lam, Lee, and Ostrom 1997; Benjamin et al. self-governing capabilities, or they can act in predatory 1994), forests (Agrawal 1992, 1994; Poteete and Ostrom ways, undermining the objectives of local communi- 2004), information as a common-pool resource (Hess ties. Th is fi nding is highlighted by work on centralized and Ostrom 2003, 2007), and resilience and complexity and decentralized systems of governance in Africa by (Janssen, Anderies, and Ostrom 2007). Wunsch and Olowu (1995), Olowu and Wunsch (2004), and Olowu (1989). Th ough decentralization may seem congruent with self-governance, reforms often result in Constitutional Order a change in decision-making power to more localized Th e study of macro-level political and economic orders actors who are just as able to undermine self-governing has also been a central component of the Workshop’s capabilities (McGinnis 1999a). research program. Of particular relevance to the overall theme of self-governing capabilities is the pursuit of con- ditions conducive to the establishment and maintenance IV. Major Activities of local capacities for self-governance and sustainable development (McGinnis 1999a). Th e focus of constitu- Workshop-Affi liated Research Programs tional analysis is the implication of how society organizes Several substantive research programs and initiatives are itself at its most fundamental level. Th e constitutional affi liated with the Workshop, including the International level forms the most macro of the levels of analysis in Forestry Resources and Institutions (IFRI) research pro- the IAD framework and is a central component of any gram; the Center for the Study of Institutions, Popula- complete institutional analysis. Vincent Ostrom (1982) tion, and Environmental Change (CIPEC); and the argues that it is important to understand the context Working Group on the Political Economy of Democratic within which policy debates take place; constitutional Sustainability (PEDS).

-8- CIPEC and the IFRI Program in cases where forests have been decentralized, there is evidence that a multitiered system—where actors at IFRI was initially inspired by the Workshop’s database varying levels have a say in how the resource will be on irrigation institutions, which illuminated how vari- managed—is more eff ective than single layers of gover- ous kinds of governance arrangements aff ected the per- nance. Th ird, the most important single variable associ- formance of irrigation systems (Tang 1992; Lam 1998). ated with better forest conditions around the world is Marilyn Hoskins, the former head of the Forests, Trees regular monitoring and enforcement of forest users by and People Program at the United Nations Food and others in the community and/or offi cials (see Gibson, Agriculture Organization (FAO), inquired whether the McKean, and Ostrom 2000). Workshop might be willing to take the lead in establish- Th e IFRI research program was initiated and coordi- ing a research program to study forest resources and insti- nated by the Workshop until 1996 when IU won a NSF tutions throughout the world. special centers competition to establish CIPEC, which After several years devoted to designing and pretesting would use the IFRI research instrument as one of the core the IFRI survey instrument, a network of collaborating sets of measurement in all of its major sites. Th roughout research centers (CRCs) evolved. Each of the CRCs uses the late 1990s and early 2000s, IFRI has been cospon- the same methods and database to collect environmental sored by the Workshop and CIPEC. As of 2009, the cen- and social data. Currently, there are collaborating research tral administration of the IFRI program has moved to the centers in Africa (Kenya, Tanzania, and Uganda), Asia new network headquarters at the University of Michigan, (Nepal, India, and Th ailand), Latin America (Bolivia, School of Natural Resources and Environment, where Colombia, Guatemala, and Mexico), and North America Arun Agrawal is an associate professor. Indiana Univer- at Indiana University and the University of Michigan. sity continues to off er training every other year, and will IFRI methods use the IAD framework crafted by schol- continue as one of the CRCs in the IFRI network. ars at the Workshop. IFRI is an innovative and unique research program in that the survey instrument has been applied by each of the CRCs in several time periods. Th is The Working Group on the Political Economy of allows for the characterization of changes in forests, insti- Democratic Sustainability (PEDS) tutions, and governance over time. Th e Working Group on the Political Economy of Sus- In keeping with the Workshop’s tradition of merg- tainable Democracy (PEDS) sponsors and coordinates ing the teaching of theoretical concepts with empirical research and training on the micro-foundations of sus- application and research skills, an annual training pro- tainable democracy. Th e goal is to move toward inter- gram—the IFRI seminar—has been held at IU from disciplinary studies of democratic decision making in 1994–2004, and is now held in alternating years at IU diff erent contexts, from new or consolidating systems to and the University of Michigan. During the two-month established democracies and self-governing systems, by training period, visiting scholars and local PhD students characterizing factors that shape processes and outcomes conduct joint studies of local forest institutions. Th e goal in a wide range of working democracies. is to learn to apply the concepts of the IFRI database in Th ese goals extend both the substantive focus and a fi eld setting in southern Indiana or in southern Michi- the methodological pluralism that is the hallmark of the gan. Also in keeping with Workshop tradition is the Workshop. Th e choice to invoke the concept of sustain- level of involvement between researchers and the com- ability is deliberate and intended to resonate with the munities that volunteer information about their physical, Workshop’s leadership in the study of when individuals economic, and institutional characteristics. Th e research are likely to coordinate behavior to secure common-pool fi ndings of the IFRI project are subsequently made avail- resources. We ask when, and under what conditions, citi- able to local communities. zens of democratic regimes—new and old—are likely to Several key fi ndings have emerged out of the IFRI coordinate to build majorities to pursue shared goals. research project. First, based upon the analysis of several Th e Workshop’s focus on complexity also reminds IFRI research sites over time, there is no conclusively us that generating democratic sustainability is not just superior institutional arrangement associated with suc- a function of good constitutional choice. As Vincent cessful forest management. Rather than government, Ostrom has argued, a deep and nuanced understanding communal, or private control emerging as the best way of individual preferences, groups, and competing social, to manage forest resources, what appears to be most economic, and political structures is important for shap- important are the specifi c rules in use and incentives ing outcomes from majority-rule decision making. Th e of the actors involved in managing the forests. Second, goal of this research group is to build on the interdisci-

-9- plinary and area studies expertise present on campus to throughout the world. Th e Center for the Study of build a better understanding of the basic building blocks Institutional Diversity was established at Arizona State of democratic states. University in 2008 with the purpose of using agent- Th e group held its fi rst conference in early 2009, based modeling, laboratory research, fi eldwork, and drawing together a number of prominent scholars in the other tools to examine linked social-ecological systems. fi eld to discuss research directions and the future of this Colleagues at Renmin University in China have orga- revitalized theme in Workshop research. nized the Workshop in Institutional Analysis and Public Policy (WIAPP) as a forum for Workshop concepts as Bottom-Up Governance they apply to China. Workshop alumni Dr. Paul Aligica established a similar center, the Center for Institutional In addition to its more theoretical research, the Work- Analysis and Development (CIAD), in Bucharest, shop has a number of affi liates involved with the study Romania. Th e center involves professors, scholars, and and implementation of bottom-up governance pro- students from Bucharest University and the National cesses. Long-time affi liate Amos Sawyer has been closely School of Political Studies and Public Administration involved with the eff orts of the Liberian state to recover (NSPSPA) in “a research, education and outreach orga- from fourteen years of civil war. Since 2006, he has nization building a bridge between theoretical develop- worked with the government of Ellen Johnson Sirleaf ments in economics, political science, legal studies and as chair of the Governance Commission (formerly the organizational sciences, and their public policy and Governance Reform Commission) to reform numerous management applications.” Workshop visiting scholar aspects of governance in Liberia. Th is eff ort has brought Dr. Cheibane Coulibaly, President of Mande Bukari him into contact with decentralization, land, security, University in Mali, has initiated an eff ort to create a corruption, and natural resource issues, among other seminar on institutional analysis with a permanent room things. Alumni Wal and Julia Duany are participating in and adjacent facilities devoted to Workshop materials. similar eff orts in the Sudan, with Wal serving the South- With time and investment, we hope to work with Dr. ern Sudan legislature and Julia appointed by the President Coulibaly to develop this initial idea into a center similar of Southern Sudan as the Undersecretary of the Ministry to the ones in China and Romania. of Parliamentary Aff airs—the fi rst woman to serve in this position. IU affi liates like Lauren Morris Maclean also maintain close ties to the challenges associated with the Workshop Colloquium Series implementation of bottom-up governance. Th rough this One of the enduring foundations of the Workshop has work, the Workshop’s theoretical foundations—such as been the weekly colloquium series, which commenced in the IAD framework and the concept of polycentricity— 1973 and has taken place during every fall and spring are constantly being rethought and revitalized as they are semester since then. In April 2009, the Workshop closed applied to constantly changing contexts. out the academic year with its 901st colloquium. Vincent Ostrom, in his original memo regarding the establish- Experimental Methods ment of the Workshop, noted that “productive inquiry is facilitated by opportunities to expound ideas which can Complementing and contributing to the work in insti- be subject to the critical scrutiny of colleagues sharing tutional analysis is the Workshop’s use of experimental similar intellectual interests.” Th ose who have attended research. Laboratory experiments in the social sciences colloquium sessions know the format—questions for are central to exploring linkages between theory, insti- clarifi cation are encouraged during the course of the pre- tutions, and behavior. Workshop colleagues are centrally sentation so that important terminology and method- involved in utilizing and directing the Interdisciplinary ological points can be well understood. Further questions Experimental Laboratory on the IU campus and have and contestations are welcome after the presenters have a new NSF-funded project with James Cox of Georgia completed their talks. State University that will extend prior work on common- Th e Workshop colloquium series has provided a pool resource and public goods experiments. forum for a breadth of presenters and topics over the years. One of the most striking characteristics of the series Affi liated Centers around the World is the dynamic group of presenters during the course of any semester. A sampling of notable scholars who have In addition to its own research programs, the Workshop given colloquium presentations include: has served as a model for a number of research centers

-10- • Garrett Hardin, “From the Tragedy of the Com- emphasis on common-pool resources—particularly irri- mons to the Management of the Commons,” gation systems and forest management—is refl ected in 1976 the colloquia that took place throughout the 1990s and • William Riker, “A Confrontation between the into the current decade. In addition, the broadening Th eory of Social Choice and the Th eory of interests of Workshop scholars in problems in developing Democracy,” 1978; “Campaign for the Constitu- and transition economies around the world, including tion,” 1984 applications of Tocquevillian analytics to understanding • Kenneth Shepsle, “Th e Political Economy of Ben- self-governance in various countries and cultural con- efi ts and Costs: A Neo-Classical Approach to the texts, emerged in the colloquium series. Th ough shifts in Politics of Distribution,” 1980; “Th e Institutional the emphasis of the Workshop research program can be Foundations of Committee Power,” 1985 discerned from a review of the colloquia series, threads of • William Mitchell, “Blacksburg, Bloomington, continuity are also observed throughout the series’ his- and Rochester: Impact of Pubic Choice on Politi- tory. Understanding public service production and provi- cal Science,” 1983 sion, common-pool resource dilemmas, self- governance, • Norman Uphoff , “Developing Water Manage- and the methods for reaching greater understanding of ment Institutions in Sri Lanka,” 1985 the dilemmas of human institutions are present through- • Vernon Ruttan, “Toward a Th eory of Induced out the colloquia presentations. Institutional Change,” 1986 • Robert Wade, “Industrial Policy in East Asia: Does it Lead or Follow the Market,” 1987 Workshop Publications Program • Oliver Williamson, “Th e Logic of Economic Th e vibrancy of the Workshop is well refl ected by its Organization,” 1987 vigorous publications program. In recent years, affi liates • James Coleman, “Constitutions and the Con- within Indiana University have published an average of struction of Corporate Actors,” 1988 four to six books per year, in addition to countless arti- • Douglass North, “Shared Mental Models: Ideolo- cles and book chapters, with increasing interest by major gies and Institutions,” 1993 publishing houses. Examples of recent books that dem- • Samuel Bowles, “Group Confl icts and Cultural onstrate the breadth of Workshop research include: Evolution,” 2000 • • Amartya Sen, “Th e Need for a New Th eory of Jus- Elinor Ostrom, Understanding Institutional Diver- tice,” 2006 sity (Princeton University Press, 2005) • • Robert Keohane, “Anti-Americanisms in World Clark Gibson, Krister Andersson, Elinor Ostrom, Politics,” 2006 and Sujai Shivakumar, Th e Samaritan’s Dilemma • Th omas Schelling, “What is Game Th eory: A (Oxford University Press, 2005) • Social Science Reply,” 2008 Charlotte Hess and Elinor Ostrom, Understand- ing Knowledge as a Commons: From Th eory to Prac- In any one semester, these and other renowned scholars tice (MIT Press, 2007) present back-to-back with senior doctoral students and • Catherine Tucker, Changing Forests: Collective visiting scholars, among others. Action, Common Property, and Coff ee in Honduras In essence, the scholars invited to participate in the (Springer, 2008) colloquium series over the years have echoed the themes • Aurelian Craiutu and Sheldon Gellar, Conver- of the Workshop’s research program. In the late 1970s sations with Tocqueville: Th e Global Democratic and early 1980s, there were several presentations that Revolution of the Twenty-First Century (Lexington refl ected the interest of Workshop and affi liated scholars Books, 2009) on the topics of public choice, federalism, and under- • Paul Aligica and Peter Boettke, Challenging Insti- standing the production and provision of public services. tutional Analysis and Development: Th e Blooming- Th roughout the 1980s, presentations on experimental ton School (Routledge, 2009) game-theoretic methods, constitutional choice, and a diversity of collective-action dilemmas from around the Wider exposure of the culmination of the Workshop’s globe were among the topics that repeatedly emerged diverse scholarship, and dedicated commitment by in the colloquium series. During this time, Workshop numerous staff and collaborators, are an indication that scholars struggled with defi ning and understanding the innovations of the Workshop are being fully realized. polycentric systems, and the decentralization and recen- tralization of public service provision. Th e Workshop’s

-11- Workshop Visiting Scholars Program resources, including an emphasis on irrigation systems and forestry resources. Rather than duplicate the holdings Also adding to the sense of innovation at the Workshop is in other IU libraries, the focus of the Workshop Research 8 its active visiting scholars program. Visitors from all over Library has been to collect a wide diversity of materials the world add a constant sense of newness to the Work- related to core Workshop research interests. shop’s atmosphere, and their contribution is an essential When the Department of Political Science promoted part of the Workshop’s ongoing tradition of dialogue. At Fenton to a full-time position, the Workshop was fortu- any given time during the academic year, the Workshop nate to be able to employ Charlotte Hess as a full-time hosts an average of six to ten long-term visitors from librarian and director, who stayed at the Workshop for affi liated organizations, as well as numerous short-term sixteen years before departing to take a position at Syra- visitors throughout the year. Ongoing relationships with cuse University in 2008. Th e Workshop Research Library partners like Humboldt University in Germany, Renmin grew signifi cantly and branched off in new and innovative University in China, and Makerere University in Uganda directions under Charlotte’s leadership; since Charlotte’s have brought us multiple visitors over the years. Other departure, Emily Castle has served as Library Director visitors have hailed from Australia, Colombia, Costa and has continued to innovate and improve the library. Rica, France, India, Nepal, Nigeria, Norway, South Th e library serves as a resource center for IU and Work- Korea, Sweden, and numerous other countries around shop faculty, students, staff , and visitors. Th e library’s the world. main reading room and core collections are housed on the third fl oor of 513 N. Park Avenue. Collections and electronic equipment are also housed in seven other V. The Workshop Research Library, rooms in two of the Workshop’s four buildings. Th e facil- Facilities, and Staff ity includes study carrels, discussion tables and meeting areas, online public computers, printers, and scanners. Th e level of research and administrative support required Th e library collections are unique in their scope, con- to keep the Workshop running smoothly over the years taining books, journals, articles, papers, and reports sup- has been achieved by building a state-of-the-art research porting or resulting from the many Workshop research library, and amassing facilities suffi cient to house scholars projects and theoretical interests. Th e library contains and provide an institutional base for Workshop courses, 9,000 books and reports; almost 50,000 articles, pre- conferences, and regular working groups. Th e collegial prints, and working papers; and 380 runs of newsletters, atmosphere of the Workshop is unique and has provided journals, and newspapers. Th e library’s unique database, both a home and a workplace for Workshop-affi liated however, contains over 82,000 records. Th e records researchers over the years. Perhaps most importantly, the include details such as chapters-in-books and over success of the Workshop has been backed by a supportive 25,000 abstracts. In addition, it serves as a virtual library, and dedicated staff who have worked tirelessly over the including full-records on relevant materials in other IU years to see that the objectives of the Workshop are met. libraries. Th e library has evolved into one of the premier Workshop Research Library resources for studies on the commons, institutions, and collective action. A unique aspect of its interdisciplin- Workshop colleagues have always shared a deep belief ary collection is that it brings together a large body of in the importance of collecting, archiving, and dissemi- the world’s grey literature on the commons, as well as nating high-quality research literature. Th e Workshop published books and serials. Th e library has also pub- Library, initially maintained by cofounders Elinor and lished several volumes of authoritative bibliographies, Vincent Ostrom, has been an intricate part of Workshop beginning with Martin’s 1989 volume, “Common Pool 9 activities since its founding. Fenton Martin was the fi rst Resources and Collective Action,” with 3,500 citations, Workshop librarian, on a half-time basis shared with the to the most recent online edition of Th e Comprehensive Department of Political Science. She initiated the search Bibliography of the Commons (July 2008), a searchable for materials related to common-pool resources soon after multilingual, interdisciplinary database with over 57,500 the 1985 scholarly meeting on this topic in Annapolis. records and over 16,700 abstracts. Th e Workshop Research Library collection was centered Since 1993, the central focus of the library collec- on the study of institutions, with focus areas in political tions is the rapidly growing fi eld of the “commons”: economy, constitutional analysis, federalism, game theory, interdisciplinary perspectives on the question of how governance systems, urban studies, and common-pool people jointly manage shared resources. Known throughout

-12- the world as an epicenter for the study of the commons, Workshop Staff the library’s mission is to supply materials and services to local, visiting, and remote scholars. Th e library now Th roughout its history, the Workshop has been incred- contains the world’s largest collection on the commons. ibly fortunate to have a very able staff . Th e high level of Th e commons collection contains books, articles, and productivity of the Workshop simply could not be main- papers on the study of shared resources. Th e unifying tained without the energy, thoughtfulness, and active thread throughout this collection is the focus on the rela- participation of these wonderful colleagues. tionship between resources and human behaviors, how rules Patty Lezotte has been a core foundation for the aff ect outcomes. Workshop for over 30 years. Th e many thank-you’s and Th e Digital Library of the Commons (DLC) (http:// acknowledgements of her excellent editing skills found in dlc.dlib.indiana.edu/) is an innovative, multifaceted digi- the forewords and footnotes of the Workshop’s extensive tal library intended to serve as a gateway to the inter- publications—and her eagle eye for errors and wonder- national literature on the commons and common-pool ful suggestions for better phrasing—are famous among resources (CPRs). Th e purpose of the digital library is to all Workshop scholars. Th e cheerfulness and energy she make both recent and historical CPR research and mate- brings are always remarkable. rials globally available to developing-country researchers Gayle Higgins is another long-time staff member as well as to those in the developed world. For scholars who has been with the Workshop for 20 years. She has without adequate information-technology capabilities, provided executive secretary services for Vincent Ostrom, DLC staff will digitize and submit their works upon Michael McGinnis, Amos Sawyer, and James Walker as request. Th e vision of the DLC grew out of the interna- well as somehow coping with the ever-present changes tional, interdisciplinary nature of scholarly research on in four buildings. Th e WOW (Workshop on the Work- the commons. Th is growing area of scholarly concern is shop) conference series that has been held every fi ve often built on international collaborations of scientists— years, and many other Workshop events, could not have teams working together from both the developed and happened as effi ciently without her foresight and organi- the developing world. Building library resources for the zational skills. Gayle also handles the frequent comings study of the commons and international environmen- and goings of the Workshop’s many short-term visitors. tal research has made particular dilemmas apparent: the At the current time, we are also blessed with the inequitable access to scholarly resources between scholars thoughtful and creative energies of Nicole Todd and in the developed and the developing world; the diffi culty David Price. Nicole somehow fi nds a way of keeping of building new systems of information archiving among order in Lin’s life and does so cheerfully. Nicole manages primary researchers; and the problems of information Lin’s calendar, her complicated travel schedule, and her provision of local information in developing countries long to-do list. David, a more recent addition and the are just some of these dilemmas. Workshop’s receptionist, is the smiling public face of the Workshop. No research institute could run without eff ective Workshop Facilities information technology staff . Ray Eliason has been with the Workshop since 1999 and has kept the Workshop cur- Th e Workshop was fi rst located on the second fl oor of rent in terms of computer hardware and programming. Woodburn Hall. In 1974, the Workshop moved from His loyalty and hard work have been integral to ensuring Woodburn Hall to Morgan Hall on the north side of a constant fl ow of scholarly output over the years. campus, where it occupied seventeen rooms. Due to Carol Buszkiewicz joined the Workshop as fi scal growth in the number of scholars and staff throughout offi cer in 2004 after serving in a similar position at our the 1970s, a move to a larger facility was requested. In partner center, the Center for the Study of Institutions, 1978, the Workshop would be housed independently for Population, and Environmental Change (CIPEC). Carol the fi rst time, occupying a house at 814 E. Th ird Street. ably handles all budget issues, administers and monitors Eventually, an annex was added on Atwater Avenue. all Workshop accounts, and manages the long-term vis- In 1983, the Workshop moved to its present loca- iting scholars program; she is known aff ectionately by tion in an old fraternity house at 513 N. Park Avenue; it some as “Super Carol.” has maintained its home in this cozy building ever since. Jacqui Bauer assumed the newly created role of assis- Th e main building on Park is now surrounded by three tant director in early 2005, and continues to defi ne this other buildings located at 521 N. Park, 515 N. Park, and role as she goes along. Th e assistant director acts as liai- 505 N. Park, which house visiting scholars, graduate stu- son between the directors, visiting scholars, staff , and dents, and Workshop staff .

-13- graduate students, as well as assisting with grantwrit- the U.S. Agency for International Development, the U.S. Insti- ing, fundraising, and publicity. Jacqui also contributes tute of Peace, the U.S. Department of Justice, the U.S. Forest to Workshop research, both as project manager and as a Service, the U.S. Geological Survey, and others. In 1984, the participant in data collection and analysis. Tocqueville Fund for the Study of Human Institutions was established at the IU Foundation, with many Workshop col- leagues making contributions. Th e endowment is a core part of Workshop funding, supporting visiting scholars and graduate VI. The Road Ahead students. In addition, three other IU Foundation endowments Th e Workshop in Political Th eory and Policy Analysis have been established: the Elinor Ostrom–Johan Skytte Prize has been the center of 35 years of theoretical advances, Fellowship, the Workshop Research Chair for Visiting Scholars in Institutional Analysis and Development, and the Matching research experiences, and insights. Growing awareness of the Promise Workshop Graduate Fellowship. the importance of governance and institutional analysis 2. Th e content of the Institutional Analysis and Development to solving many of the major dilemmas facing human (IAD) framework was drawn from analogy to the classic work societies in the twenty-fi rst century suggests that there of Alexis de Tocqueville. Th ree major categories that jointly will be increased demand for Workshop outputs and defi ne the action situation in the IAD framework, the nature expertise in the future. Mitchell (1988), in his discussion of the good, the rules in use, and the attributes of community, of the schools of public choice, indicated that the inno- were directly inspired by the general categories of explanatory vations of the Workshop were not yet fully realized, but factors used by Tocqueville in his eff ort to understand the basis most certainly would be in the future. for democracy in America. Th e Workshop is now in the midst of a transition 3. See appendix A for a list of dissertations completed by stu- from its long-time leaders, Vincent and Lin Ostrom, to dents supervised by Workshop-Affi liated Faculty. the next generation.10 In the summer of 2009, Lin tran- 4. See appendix B for a list of External Workshop- Affi liated Faculty currently engaged in the intellectual enterprise of the sitioned from her role as Codirector to the newly cre- Workshop. ated role of Senior Research Director, and leadership 5. See appendix C for a list of current Indiana University transferred to long-time affi liates and colleagues Michael Workshop-Affi liated Faculty. McGinnis and James Walker. Meanwhile, an even 6. Th e Political Th eory of a Compound Republic (V. Ostrom younger generation of Workshop scholars continues to [1971] 2008) was an eff ort to reconstruct the theory used to grow and become more involved, promising continued conceptualize the design of the U.S. Constitution from the innovations in scholarship and interdisciplinary research. arguments advanced by Alexander Hamilton and James Madi- son in Th e Federalist ([1788] n.d.). 7. Parallel eff orts were initiated by NSF to undertake large-scale Notes studies of solid-waste disposal and fi re protection as well as police services in some 80 metropolitan areas (MacGillivray 1976; E. Th is document was originally prepared for the Workshop on the Ostrom, Parks, and Whitaker 1978; Savas 1977, 1987). Stud- Workshop (WOW3) conference, June 2–6, 2004. Th e updated ies of neighborhood and community in urban aff airs (O’Brien version was prepared in the summer of 2009 after WOW4, held 1975) and of the public economy of water resource develop- June 3–7, 2009. Th is document has benefi ted from valuable ment (V. Ostrom 1971; V. Ostrom and E. Ostrom 1977b) are contributions, clarifi cations, and editorial support from Charlotte complementary to the Police Services Studies. Hess, Sarah Kantner, Patty Lezotte, Michael McGinnis, Elinor 8. See appendix D for a list of long-term Visiting Scholars. Ostrom, Vincent Ostrom, and Linda Smith. Comments welcome: 9. Th e library started as a fi ling cabinet fi lled with clippings send to [email protected]. from newspapers and magazines related to ongoing research and teaching interests. Many of these original clippings are 1. In the early years, funds to support the Workshop came now in the Indiana University Archives. entirely from outside sources including the National Science 10. See appendix E for a summary of the numerous awards Foundation, the National Institute of Mental Health, and that Elinor Ostrom and Vincent Ostrom have received over the the National Water Commission. Eventually, the Workshop years for their scholarly contributions. became an offi cial research center and received a university budget from the Offi ce of Research and Advanced Studies at Indiana University, which has evolved into the Offi ce of Vice References President for Research. During the last 35 years, NSF has been a major source of funding for projects undertaken at the Work- Agrawal, Arun. 1992. “Risks, Resources, and Politics: Studies shop. In addition, various grants have been awarded by: the in Institutions and Resource Use from India.” PhD diss., Ford Foundation, the MacArthur Foundation, the Food and Duke University. Agriculture Organization of the United Nations, the Earhart ——. 1994. “Rules, Rule Making, and Rule Breaking: Exam- Foundation, the Bradley Foundation, the Mellon Foundation, ining the Fit between Rule Systems and Resource Use.”

-14- In Rules, Games, and Common-Pool Resources, ed. Eli- and Temporal Variability.” Society and Natural Resources nor Ostrom, Roy Gardner, and James Walker (with Arun 20(4):307–22. Agrawal, William Blomquist, Edella Schlager, and Shui Yan Kaminski, Antoni. 1992. An Institutional Th eory of Communist Tang), 267–82. Ann Arbor: University of Michigan Press. Regimes: Design, Function, and Breakdown. San Francisco, Benjamin, Paul, Wai Fung Lam, Elinor Ostrom, and Ganesh CA: ICS Press. Shivakoti. 1994. Institutions, Incentives, and Irrigation in Kaufmann, Franz-Xaver, Giandomenico Majone, and Vincent Nepal. Decentralization: Finance & Management Project Ostrom, eds. 1986. Guidance, Control, and Evaluation in the Report. Burlington, VT: Associates in Rural Development. Public Sector. Berlin and New York: de Gruyter. Blomquist, William. 1987. “Getting Out of the Trap: Chang- Kiser, Larry, and Elinor Ostrom. 1982. “Th e Th ree Worlds ing an Endangered Commons to a Managed Commons.” of Action: A Metatheoretical Synthesis of Institutional PhD diss., Indiana University. Approaches.” In Elinor Ostrom, ed. Strategies of Political ——. 1992. Dividing the Waters: Governing Groundwater in Inquiry, 179–222. Beverly Hills, CA: Sage. Southern California. San Francisco, CA: ICS Press. Lam, Wai Fung. 1998. Governing Irrigation Systems in Nepal: Blomquist, William, and Elinor Ostrom. 1985. “Institutional Institutions, Infrastructure, and Collective Action. Oakland, Capacity and the Resolution of a Commons Dilemma.” CA: ICS Press. Policy Studies Review 5(2):383–93. Lam, Wai Fung, Myungsuk Lee, and Elinor Ostrom. 1997. Bromley, Daniel, David Feeny, Margaret McKean, Pauline “Th e Institutional Analysis and Development Framework: Peters, Jere Gilles, Ronald Oakerson, C. Ford Runge, and Application to Irrigation Policy in Nepal.” In Policy Studies James Th omson, eds. 1992. Making the Commons Work: and Developing Nations: An Institutional and Implementation Th eory, Practice, and Policy. San Francisco, CA: ICS Press. Focus, vol. 5, ed. Derick Brinkerhoff , 53–85. Greenwich, Buchanan, James, and Gordon Tullock. 1962. Th e Calculus of CT: JAI Press. Consent: Logical Foundations of Constitutional Democracy. Lasswell, Harold D., and Daniel Lerner, eds. 1951. Th e Policy Ann Arbor: University of Michigan Press. Sciences. Stanford, CA: Stanford University Press. Campbell, Donald T. 1969. “Reforms as Experiments.” Ameri- Loveman, Brian. 1993. Th e Constitution of Tyranny: Regimes of can Psychologist 24(4):409–29. Exception in Spanish America. Pittsburgh, PA: University of Dewey, John. 1938. Logic: Th e Th eory of Inquiry. New York: Pittsburgh Press. Holt. MacGillivray, Lois. 1976. Evaluating the Organization of Ser- Gardner, Roy, Michael Moore, and James Walker. 1997. “Gov- vice Delivery: Fire. Technical Report of Phase I and IIa. Dur- erning a Groundwater Commons: A Strategic and Labo- ham, NC: Research Triangle Institute. ratory Analysis of Western Water Law.” Economic Inquiry McDavid, James C. 1979. Police Cooperation and Performance: 35:218–34. Th e Greater St. Louis Interlocal Experience. University Park: Gardner, Roy, and Elinor Ostrom. 1991. “Rules and Games.” Pennsylvania State University Press. Public Choice 70(2):121–49. McGinnis, Michael D., ed. 1999a. Polycentric Governance and Gibson, Clark, Margaret A. McKean, and Elinor Ostrom, eds. Development: Readings from the Workshop in Political Th eory 2000. People and Forests: Communities, Institutions and Gov- and Policy Analysis. Ann Arbor: University of Michigan Press. ernance. Cambridge, MA: MIT Press. ——, ed. 1999b. Polycentricity and Local Public Economies: Gibson, Clark, John Williams, and Elinor Ostrom. 2005. Readings from the Workshop in Political Th eory and Policy “Local Enforcement and Better Forests.” World Development Analysis. Ann Arbor: University of Michigan Press. 33(2):273–84. ——, ed. 2000. Polycentric Games and Institutions: Readings Hamilton, Alexander, John Jay, and James Madison. [1788] from the Workshop in Political Th eory and Policy Analysis. Ann n.d. Th e Federalist. Ed. Edward M. Earle. New York: Mod- Arbor: University of Michigan Press. ern Library. Mitchell, William C. 1988. “Virginia, Rochester, and Bloom- Hardin, Garrett. 1968. “Th e Tragedy of the Commons.” Sci- ington: Twenty-Five Years of Public Choice and Political ence 162:1243–48. Science.” Public Choice 56(2):101–19. Herzberg, Roberta, and Rick Wilson. 1991. “Costly Agendas National Research Council. 1986. Proceedings of the Conference and Spatial Voting Games: Th eory and Experiments on on Common Property Resource Management. Washington, Agenda Access Costs.” In Laboratory Research in Political DC: National Academies Press. Economy, ed. Th omas R. Palfrey, 169–99. Ann Arbor: Uni- Oakerson, Ronald. 1986. “A Model for the Analysis of Com- versity of Michigan Press. mon Property Problems.” In National Research Council, Hess, Charlotte, and Elinor Ostrom. 2003. “Ideas, Artifacts, Proceedings of the Conference on Common Property Resource and Facilities: Information as a Common-Pool Resource.” Management. Washington, DC: National Academies Press, Law and Contemporary Problems 66(1&2):111–45. 13–30. Hess, Charlotte, and Elinor Ostrom, eds. 2007. Understand- ——. 1992. “Analyzing the Commons: A Framework.” In ing Knowledge as a Commons: From Th eory to Practice. MIT Making the Commons Work: Th eory, Practice, and Policy, ed. Press. Daniel Bromley et al., 41–59. San Francisco, CA: ICS Press. Janssen, Marco, John M. Anderies, and Elinor Ostrom. O’Brien, David. 1975. Neighborhood Organization and Interest- 2007. “Robustness of Social-Ecological Systems to Spatial Group Processes. Princeton, NJ: Princeton University Press.

-15- Olowu, Dele. 1989. “Local Institutes and Development: Th e Inquiry: Logic and Levels of Analysis, ed. Judith A. Gillespie African Experience.” Canadian Journal of African Studies and Dina A. Zinnes, 237–52. Beverly Hills, CA: Sage. 23(2):201–31. ——. [1973] 2008. Th e Intellectual Crisis in American Public Olowu, Dele, and James S. Wunsch. 2004. Local Governance in Administration. 2d ed. Tuscaloosa: University of Alabama Press. Africa: Th e Challenges of Democratic Decentralization. Boul- ——. [1971] 2008. Th e Political Th eory of a Compound Repub- der, CO: Lynne Rienner. lic: Designing the American Experiment. Rev. ed. Lincoln: Olson, Mancur. 1965. Th e Logic of Collective Action: Public University of Nebraska Press. Goods and the Th eory of Groups. Cambridge, MA: Harvard ——. 1991. Th e Meaning of American Federalism: Constituting a University Press. Self-Governing Society. San Francisco, CA: ICS Press. Ostrom, Elinor. 1972. “Metropolitan Reform: Propositions Ostrom, Vincent, and Timothy Hennessey. 1975. Conjectures Derived from Two Traditions.” Social Science Quarterly on Institutional Analysis and Design: An Inquiry into Princi- 53:474–93. ples of Human Governance. Preliminary draft ms. Blooming- ——. 1990. Governing the Commons: Th e Evolution of Institu- ton: Indiana University, Workshop in Political Th eory and tions for Collective Action. New York: Cambridge University Policy Analysis. Press. Ostrom, Vincent, and Elinor Ostrom. 1977a. “Public Goods ——. 1992. Crafting Institutions for Self-Governing Irrigation and Public Choices.” In Alternatives for Delivering Public Ser- Systems. San Francisco, CA: ICS Press. vices: Toward Improved Performance, ed. E. S. Savas, 7–49. Ostrom, Elinor, William Baugh, Richard Guarasci, Roger B. Boulder, CO: Westview Press. Parks, and Gordon P. Whitaker. 1973. Community Organi- Ostrom, Vincent, and Elinor Ostrom. 1977b. “A Th eory for zation and the Provision of Police Services. Beverly Hills, CA: Institutional Analysis of Common Pool Problems.” In Man- Sage. aging the Commons, ed. Garrett Hardin and John Baden, Ostrom, Elinor, Joanna Burger, Christopher Field, Richard 157–72. San Francisco, CA: W. H. Freeman. Norgaard, and David Policansky. 1999. “Revisiting the Ostrom, Vincent, Charles M. Tiebout, and Robert Warren. Commons: Local Lessons, Global Challenges.” Science 1961. “Th e Organization of Government in Metropolitan 284(5412):278–82. Areas: A Th eoretical Inquiry.” American Political Science Ostrom, Elinor, and Roy Gardner. 1993. “Coping with Asym- Review 55:831–42. metries in the Commons: Self-Governing Irrigation Systems Parks, Roger B. 1979. “Assessing the Infl uence of Organization Can Work.” Journal of Economic Perspectives 7(4):93–112. on Performance: A Study of Police Services in Residential Ostrom, Elinor, Roy Gardner, and James Walker, with Arun Neighborhoods.” PhD diss., Indiana University. Agrawal, William Blomquist, Edella Schlager, and Shui Yan ——. 1982. “Citizen Surveys for Police Performance Assess- Tang. 1994. Rules, Games, and Common-Pool Resources. Ann ments: Some Issues in Th eir Use.” Th e Urban Interest Arbor: University of Michigan Press. 4(1):17–26. Ostrom, Elinor, Roger B. Parks, and Gordon P. Whitaker. ——. 1985. “Metropolitan Structure and Systemic Perfor- 1978. Patterns of Metropolitan Policing. Cambridge, MA: mance: Th e Case of Police Service Delivery.” In Policy Imple- Ballinger. mentation in Federal and Unitary Systems, ed. Kenneth Hanf Ostrom, Elinor, and James Walker. 1991. “Communication in and Th eo A.J. Toonen, 161–91. Dordrecht, the Netherlands: a Commons: Cooperation without External Enforcement.” Martinus Nijhoff . In Laboratory Research in Political Economy, ed. Th omas R. Parks, Roger B., Paula Baker, Larry Kiser, Ronald J. Oakerson, Palfrey, 287–322. Ann Arbor: University of Michigan Press. Elinor Ostrom, Vincent Ostrom, Stephen L. Percy, Martha Ostrom, Elinor, James Walker, and Roy Gardner. 1992. “Cov- Vandivort, Gordon P. Whitaker, and Rick Wilson. 1981. enants With and Without a Sword: Self-Governance is Pos- “Consumers as Coproducers of Public Services: Some Eco- sible.” American Political Science Review 86(2):404–17. nomic and Institutional Considerations.” Policy Studies Jour- Ostrom, Elinor, and Gordon P. Whitaker. 1973. “Does Local nal 9:1001–11. Community Control of Police Make a Diff erence? Some Parks, Roger B., and Elinor Ostrom. 1981. “Complex Models Preliminary Findings.” American Journal of Political Science of Urban Service Systems.” In Urban Policy Analysis: Direc- 17(1):48–76. tions for Future Research, ed. Terry N. Clark, 171–99. Beverly Ostrom, Elinor, and Gordon P. Whitaker. 1974. “Community Hills, CA: Sage. Control and Governmental Responsiveness: Th e Case of Poteete, Amy, and Elinor Ostrom. 2004. “Heterogeneity, Police in Black Neighborhoods.” In Improving the Quality Group Size and Collective Action: Th e Role of Institutions in of Urban Management, ed. Willis Hawley and David Rogers, Forest Management.” Development and Change 35(3) (June 303–34. Beverly Hills, CA: Sage. 2004): 435-61. Ostrom, Vincent. 1971. Institutional Arrangements for Water Sandberg, Audun. 1991. “Fish for All: CPR-Problems in Resource Development — With Special Reference to the Cali- North-Atlantic Environments.” Working Paper. Blooming- fornia Water Industry. Springfi eld, VA: National Technical ton: Indiana University, Workshop in Political Th eory and Information Service. Policy Analysis. Ostrom, Vincent. 1982. “A Forgotten Tradition: Th e Consti- Savas, E. S. 1977. Th e Organization and Effi ciency of Solid Waste tutional Level of Analysis.” In Missing Elements in Political Collection. Lexington, MA: Lexington Books.

-16- ——. 1987. Privatization: Th e Key to Better Government. Cha- tham, NJ: Chatham House. Sawyer, Amos. 1992. Th e Emergence of Autocracy in Liberia: Tragedy and Challenge. San Francisco, CA: ICS Press. Schlager, Edella. 1990. “Model Specifi cation and Policy Analy- sis: Th e Governance of Coastal Fisheries.” PhD diss., Indiana University. ——. 1994. “Fishers’ Institutional Responses to Common- Pool Resource Dilemmas.” In Rules, Games, and Common- Pool Resources, ed. Elinor Ostrom, Roy Gardner, and James Walker, with Arun Agrawal, William Blomquist, Edella Schlager, and Shui Yan Tang. Ann Arbor: University of Michigan Press. Sell, Jane, and Rick K. Wilson. 1991. “Levels of Information and Contributions to Public Goods.” Social Forces 70(1):107–24. Sproule-Jones, Mark. 1993. Governments at Work: Canadian Parliamentary Federalism and Its Public Policy Eff ects. Toronto: University of Toronto Press. Tang, Shui Yan. 1991. “Institutional Arrangements and the Management of Common-Pool Resources.” Public Adminis- tration Review 51(1):42–51. ——. 1992. Institutions and Collective Action: Self-Governance in Irrigation Systems. San Francisco, CA: ICS Press. Tiebout, Charles. 1956. “A Pure Th eory of Local Expenditures.” Journal of Political Economy 64:416–24. Tullock, Gordon. 1965. Th e Politics of Bureaucracy. Washing- ton, DC: Public Aff airs Press. Walker, James, and Roy Gardner. 1992. “Probabilistic Destruc- tion of Common-Pool Resources: Experimental Evidence.” Economic Journal 102(414):1149–61. Walker, James, Roy Gardner, and Elinor Ostrom. 1990. “Rent Dissipation in a Limited-Access Common-Pool Resource: Experimental Evidence.” Journal of Environmental Economics and Management 19:203–11. Walker, James, Roy Gardner, and Elinor Ostrom. 1991. “Rent Dissipation and Balanced Deviation Disequilibrium in Common Pool Resources: Experimental Evidence.” In Game Equilibrium Models II: Methods, Morals, and Markets, ed. Reinhard Selten, 337–67. Berlin: Springer-Verlag. Weissing, Franz, and Elinor Ostrom. 1991. “Irrigation Insti- tutions and the Games Irrigators Play: Rule Enforcement without Guards.” In Game Equilibrium Models II: Methods, Morals, and Markets, ed. Reinhard Selten, 188–262. Berlin: Springer-Verlag. Weissing, Franz, and Elinor Ostrom. 1993. “Irrigation Institu- tions and the Games Irrigators Play: Rule Enforcement on Government- and Farmer-Managed Systems.” In Games in Hierarchies and Networks: Analytical and Empirical Approaches to the Study of Governance Institutions, ed. Fritz W. Scharpf, 387–428. Frankfurt: Campus Verlag; Boulder, CO: West- view Press. Wunsch, James S. and Dele Olowu, eds. 1995. Th e Failure of the Centralized State: Institutions and Self-Governance in Africa. San Francisco, CA: ICS Press. Yang, Tai-Shuenn. 1987. “Property Rights and Constitutional Order in Imperial China.” PhD diss., Indiana University.

-17- APPENDIX A: Dissertations Completed at Indiana University (Supervised by Workshop Faculty)

Ahn, Songmin. 1995. “Th e Infl uence of Governance Structure Coleman, Eric. 2009. “Essays on the Eff ects of Institutions and Size of Public Libraries on the Provision and Production and Trust on Collective Action.” of Library Service.” Cooper, James L., Jr. 1993. “Th e Solicitor General and Federal Ahn, T. K. 2001. “Foundations for Cooperation in Social Di- Litigation: Principal-Agent Relationships and the Separa- lemmas.” tion of Powers.” Allen, Barbara. 1981. “Democracy in America Revisited: An Crawford, Sue E.S. 1995. “Clergy at Work in the Secular Application of Tocqueville’s Political Th eory to Feminist City.” Th eory and Action.” Croissant, Cynthia. 2005. “Uses and Landscape Patterns: A Allen, David N. 1980. “Street-Level Police Supervision: the Study of Relationships between Human Activities and Spa- Eff ect of Supervision on Police Offi cer Activities, Agency tial Patterns of Land Use and Land Cover on Private Parcels Outputs, and Neighborhood Outcomes.” in Monroe County, Indiana.” Allen, Linda. 2005. “Th e Politics of Structural Choice of the Dean, Debra L. 1982. “Comparative Models of the Social Ser- Commission for Environmental Cooperation: Th e Th eoreti- vices Production Process: Th e Case of Police Service Pro- cal Foundations of the Design of International Environmen- duction in Police-Citizen Encounters.” tal Institutions.” De Castro, Fabio. 2000. “Fishing Accords: Th e Political Ecol- Andersson, Krister P. 2002. “Can Decentralization Save Bo- ogy of Fishing Intensifi cation in the Amazon.” livia’s Forests? An Institutional Analysis of Municipal Forest Dolšak, Nives. 2000. “Marketable Permits: Managing Local, Governance.” Regional, and Global Commons.” Araral, Eduardo K. 2006. “Decentralization Puzzles: A Political Duany, Julia Aker. 1996. “Sudanese Women and Education: Economy Analysis of Irrigation Reform in the Philippines.” Th e Struggle for Equal Access and Participation.” Baden, John A. 1969. “Th e Management of Social Stability: A Duany, Wal. 1992. “Neither Palaces Nor Prisons: Th e Consti- Political Ethnography of the Hutterites of North America.” tution of Order among the Nuer.” Bartlett, Robert V. 1984. “Rationality and Science in Public Dudley, Dean. 1993. “Essays on Individual Behavior in Social Policy: Th e National Environmental Policy Act.” Dilemma Environments: An Experimental Analysis.” Beck, Peter A. 2000. “Conservation, Development and Col- Ehrhardt, George. 2002. “Engagement and Alliances in laboration: Analyzing Institutional Incentives for Participa- Northeast Asia: Th e Role of Security Consultation.” tory Conservation in Uganda.” Elliott-Teague, Ginger. 2007. “NGOs in Policymaking in Berheide, Michael. 1984. “Methodology and Metaphysics: Tanzania: Th e Relationships of Group Characteristics, Po- Karl Popper and the Practice of Political Science.” litical Participation and Policy Outcomes.” Bish, Robert L. 1968. “Th e Distribution of Housing Taxes and Fielder, Virginia D. 1976. “Priorities for the Coverage of Law Subsidies and Eff ects on Housing Consumption of Low- Enforcement News: Perceptions of Citizens, Police, and Income Families.” Media Gatekeepers.” Blomquist, William. 1987. “Getting Out of the Trap: Chang- Fotos, Michael, III. 1999. “Organized Interests and the Im- ing an Endangered Commons to a Managed Commons.” plementation of Environmental Policy.” Brandt, Patrick. 2001. “Lawmaking and Separated Powers: Futemma, Celia. 2000. “Collective Action and Assurance of Agenda Setting in Executive-Congressional Relations and Property Rights to Natural Resources: A Case Study from Budgeting.” the Lower Amazon Region, Santarem, Brazil.” Bushouse, Brenda K. 1999. “Th e Mixed Economy of Child Goetze, David. 1980. “Th e Impact of Inputs, Employee Char- Care: An Institutional Analysis of Nonprofi t, For Profi t, and acteristics, Organizational Arrangements, and Activities Public Enterprises.” on the Environmental Eff ectiveness of State Air Pollution Choe, Jaesong. 1992. “Th e Organization of Urban Common- Control Agencies.” Property Institutions: Th e Case of Apartment Communities Greene, Barbara P. 1971. “Th e Politics of Regulation: Respon- in Seoul.” siveness and Control.” Collins, Brian K. 2000. “Contestable Markets for State Eco- Greene, Vernon L. 1978. “Th e Metaphysical Foundations of nomic Governance: Reducing the Costs of Democracy in Constitutional Order.” U.S. States.”

-18- Gregg, Phillip M. 1972. “A Reformulation of Th eory in Policy Myers, Marissa E. 1999. “Calling the Shots in U.N. Peacekeep- Studies.” ing: Principal-Agent Relationships among the Great Powers, the U.N. Secretary-General and Troop-Contributing Coun- Griffi th, Nathan. 2004. “We, the High Contracting Parties: A tries.” Constitutional Economics Th eory of Regional Integration.” Myers, Martha A. 1997. “Th e Eff ects of Victim Characteristics Haney, Patrick J. 1992. “Organizing for Foreign Policy: Presi- on the Prosecution, Conviction and Sentencing of Criminal dents, Advisers, and Crisis Decision-Making.” Defendants.” Hayes, Tanya. 2007. “Forest Governance in a Frontier: An Myint, Tun. 2005. “Strength of ‘Weak’ Forces in Multilayer Analysis of the Dynamic Interplay between Property Rights, Environmental Governance: Cases from the Mekong and Land-Use Norms, and Agricultural Expansion in the Mos- Rhine River Basins.” quitia Forest Corridor of Honduras and Nicaragua.” Namubiru, Evelyn Lwanga. 2008. “Coping with Top-Down Herr, Andrew R. 1996. “Appropriation Externalities in the Institutional Changes in Forestry.” Commons: Th eory and Experimental Evidence.” Never, Brent. 2005. “Institution Making in Times of Crisis Hung, Chi-Kan Richard. 1999. “Credit Risk Management (Benin).” and Rules: Th e Experience of Group-Based Microcredit Pro- grams in the United States.” Potoski, Matthew. 1998. “Managing Uncertainty in Environ- mental Policy: Air Pollution Regulation in the American Hwang, Su-Ik. 1985. “Constitutional Choice and the Indi- States.” vidual Calculus of Voting.” Prakash, Aseem. 1997. “A Logic of Corporate Environmental- Jagger, Pamela. 2009. “Can Forest Sector Devolution Improve ism: ‘Beyond Compliance’ Environmental Policymaking in Rural Livelihoods? An Analysis of Forest Income and Insti- Baxter International Inc. and Eli Lilly and Company.” tutions in Western Uganda.” Raines, Susan. 2002. “Unheard Voices in International En- Johnson, Avra. 2001. “Structures and Processes: Th e Political vironmental Agreements: Implications of Stakeholder Ab- Economy of Community Development Corporations in In- sence on the Legitimacy and Effi cacy of ISO 14001.” dianapolis.” Ray, Dixie Wiles. 1992. “Neighborhood Health Centers: An Kauneckis, Derek. 2005. “Th e Co-Production of Property Analysis of Collective Action.” Rights: Th eory and Evidence from a Mixed-Right System in Southern Mexico.” Regmi, Ashok. 2007. “Th e Role of Group Heterogeneity in Collective Action: A Look at the Intertie between Irrigation Kessler, David A. 1989. “Improving Policing: Th e Impact of and Forests. Case Studies from Chitwan, Nepal.” Neighborhood-Oriented Policing on Offi cers’ Attitudes To- ward the Public.” Reiners, Derek. 2006. “Institutional Eff ects on Decision-Mak- ing and Performance in Public Land Agencies: Th e Case of Koontz, Tomas M. 1997. “Federalism and Natural Resource Wildfi re in the Interior West of the United States.” Policy: Comparing State and National Management of Pub- lic Forests.” Roberts, Michael E. 2008. “Human Collective Behavior.” Lam, Wai Fung. 1994. “Institutions, Engineering Infrastruc- Sabet, Daniel M. 2005. “Th ickening Civil Society: Nonprofi t ture, and Performance in the Governance and Management Organizations and Problems of Water and Sanitation Along of Irrigation Systems: Th e Case of Nepal.” Mexico’s Northern Border.” Lee, Myungsuk. 1994. “Institutional Analysis, Public Policy, Sabetti, Filippo. 1977. “Th e Political Basis of Human Misery: and the Possibility of Collective Action in Common Pool A Study of a Sicilian Village.” Resources: A Dynamic Game Th eoretic Approach.” Schaaf, Jeanne. 1989. “Governing a Monopoly Market under Loveman, Brian. 1973. “Property, Politics and Rural Labor: Siege: Using Institutional Analysis to Understand Competi- Agrarian Reform in Chile, 1919-1972.” tive Entry into Telecommunications Markets, 1944–1982.” Matejczyk, Anthony P. 1997. “A Th eory of Institutionally-In- Schlager, Edella. 1990. “Model Specifi cation and Policy Analy- duced Consensus: An Empirical Test of Zoning Exceptions.” sis: Th e Governance of Coastal Fisheries.” McDavid, James C. 1975. “Interjurisdictional Cooperation Schoon, Michael. 2008. “Building Robustness to Disturbance: and Police Performance: Th e St. Louis Experience.” Governance in Southern African Peace Parks.” McIver, John P. 1986. “Th e Control of Bureaucrats in Repre- Schweik, Charles M. 1998. “Th e Spatial and Temporal Analy- sentative Democracies: A Study of Urban Policing.” sis of Forest Resources and Institutions.” Mwangi, Esther. 2003. “Institutional Change and Politics: Th e Shoup, Brian. 2007. “Institutional Incentives, Ethnic Myths, Transformation of Property Rights in Kenya’s Maasailand.” and Interethnic Confl ict in Counterbalanced States.”

-19- Silva-Forsberg, Maria Clara. 1999. “Protecting an Urban For- Walker, S. Tjip. 1998. “Both Pretense and Promise: Th e Politi- est Reserve in the Amazon: A Multi-Scale Analysis of Edge cal Economy of Privatization in Africa.” Eff ects, Population Pressure and Institutions.” Wang, Jianxun. 2006. “Political Economy of Village Gover- Sislin, John. 1993. “Arms as Infl uence: Th e Elusive Link be- nance in Contemporary China.” tween Military Assistance and Political Compliance.” Welch, David. 2007. “Multidisciplinary Approaches to the Smith, Dennis C. 1976. “Police Professionalization and Perfor- Study of Forest Dynamics in South Central Indiana and mance: An Analysis of Public Policy from the Perspective of Southern Illinois.” Police as Producers and Citizens as Consumers of a Public Whitaker, Gordon P. 1971. “Urban Police Forces: Th e Eff ect of Service.” Scale on Neighborhood Services.” Smith, Ronald S. 2006. “Discerning Diff erences in Social Cap- Wilson, Richard K. 1982. “Institutional Eff ects on Committee ital: Th e Signifi cance of Interpersonal Network and Neigh- Behavior: A Game Th eory Experiment.” borhood Association Structure on Citizen Participation.” Wise, Lois R. 1982. “Public Employee Membership Incen- Southworth, Jane. 2000. “Global Environmental Change: tives: Th e Eff ect of Organizational Change and Individual What are the Impacts of Climate Change and Land Cover Characteristics.” Change on Diff erent Ecosystems?” Wunsch, James S. 1974. “Voluntary Associations: Determi- Sproule-Jones, Mark. 1970. “Toward a Th eory of Public Em- nants of Structure and Activity in Two Ghanaian Secondary ployment.” Cities.” Squires, Michael Leslie. 1982. “Modeling the U.S.-U.S.S.R. Wynne, Susan G. 1989. “Th e Land Boards of Botswana: A Strategic Arms Race.” Problem in Institutional Design.” Sun, Wenjie. 2006. “A GIS-Based Integrated Approach to Ex- Yandle, Tracy. 2001. “Market-Based Natural Resource Man- plore Land-Use/Cover Change Dynamics in South-Central agement: An Institutional Analysis of Individual Tradable Indiana.” Quotas in New Zealand’s Commercial Fisheries.” Swindell, David W. 1997. “Community Organizations and the Yang, Tai-Shuenn. 1987. “Property Rights and Constitutional Governing Capability of Indianapolis Neighborhoods.” Order in Imperial China.” Tang, Shui Yan. 1989. “Institutions and Collective Action in York, Abigail. 2005. “Land Use Institutions in an Urbanizing Irrigation Systems.” Landscape.” Th omson, James T. 1976. “Law, Legal Process and Develop- Zauderer, Donald G. 1971. “Th e Rig of the Game: An Analysis ment at the Local Level in Haus-Speaking Niger: A Trouble of the Political Consequences Resulting from an Alteration Case Analysis of Rural Institutional Inertia.” in the Ohio Ballot Form.” Toniolo, Maria Angélica. 2004. “Th e Role of Land Tenure in the Occurrence of Accidental Fires in the Amazon Region: Case Studies from the National Forest of Tapajós, Pará, Brazil.” Turner, Jennifer. 1997. “Authority Flowing Downwards? Local Government Entrepreneurship in the Chinese Water Sec- tor.” Turner, Paul W. 1998. “Constitutional Orders and Deforesta- tion: A Cross-National Analysis of the Humid Tropics.” van Laerhoven, Frank. 2008. “Local Governance and the Chal- lenge of Solving Collective Action Dilemmas.” Van Houweling, Douglas E. 1976. “A Microeconomic Th eory of Political Participation.” Varughese, George. 1999. “Villagers, Bureaucrats, and Forests in Nepal: Designing Governance for a Complex Resource.” Vogt, Nathan. 2005. “Mechanisms of Land-Cover Change in Uganda: Longer-Term Analyses of the Role of Institutional Arrangements.”

-20- APPENDIX B: Current External Workshop-Affi liated Faculty

Arun Agrawal, School of Natural Resources, University of Kwanbo Kim, Graduate School of Public & International Michigan, Ann Arbor Aff airs, Th e Catholic University of Korea, Puchon City, SOUTH KOREA T. K. Ahn, Department of Public Administration, Korea University, Seoul, KOREA Myungsuk Lee, Department of Public Administration, Sungkyunkwan University, Seoul, SOUTH KOREA Paul Aligica Mercatus Center, George Mason University, Arlington, VA Maria Claudia Lopez, School of Environmental and Rural Studies, Pontifi cia Universidad Javeriana Bogotá, Barbara Allen, Department of Political Science, Carleton COLOMBIA College, Northfi eld, MN Th omas Lyon, School of Natural Resources and Environment, J. Marty Anderies, School of Human Evolution and Social University of Michigan, Ann Arbor Change; School of Sustainability, Arizona State University, Tempe, AZ Jennifer McKay, Business Law, University of South Australia, Adelaide, AUSTRALIA Krister Andersson, Department of Political Science, University of Colorado, Boulder Amy Poteete, Department of Political Science, Concordia University, Montreal, Quebec, CANADA Xavier Basurto, Duke University Marine Laboratory, Nicholas School of the Environment, Beaufort, NC Filippo Sabetti, Department of Political Science, McGill University, Montreal, Quebec, CANADA Kenneth Bickers, Department of Political Science; University of Colorado, Boulder Larry Schroeder, Department of Public Administration, Syracuse University, Syracuse, NY Juan-Camilo Cardenas, Facultad de Economia, Universidad de Los Andes, Bogota, COLOMBIA Charles Schweik, Department of Natural Resources Conservation & Center for Public Policy and Administration, Salvador Espinosa, School of Public Aff airs, San Diego State University of Massachusetts, Amherst University, San Diego, CA Mark Sproule-Jones, Department of Political Science, Clark Gibson, Department of Political Science, University of McMaster University, Hamilton, Ontario, CANADA California, San Diego Emil Uddhammar, School of Social Science, Växjö University, Charlotte Hess, Collections and Scholarly Communication, SWEDEN Syracuse University, Syracuse, NY Jon Unruh, Department of Geography, McGill University, Marco Janssen, School of Human Evolution & Social Change, Montreal, Quebec, CANADA Arizona State University, Tempe, AZ Tommaso Vitale, Dipartimento di Sociologia e della Ricerca In Kim, Graduate School of Public Administration, Pusan Sociale, Università di Milano Bicocca, Milano, ITALY National University, Pusan Metropolitan City, SOUTH KOREA

-21- APPENDIX C: Current Indiana University Workshop-Affi liated Faculty

Matthew Auer, Hutton Honors College; School of Public & Michael McGinnis, Department of Political Science; Co- Environmental Aff airs Director, Workshop Stephen Benard, Department of Sociology Lloyd Orr, Department of Economics William Bianco, Department of Political Science Elinor Ostrom, Senior Research Director, Workshop; Founding Lisa Blomgren Bingham, School of Public & Environmental Director, Center for the Study of Institutional Diversity, Aff airs Arizona State University William Blomquist, School of Liberal Arts; Department of Vincent Ostrom, Founding Director, Workshop Political Science, IUPUI Roger Parks, School of Public & Environmental Aff airs Eileen Braman, Department of Political Science Eric Rasmusen, Kelley School of Business Jerome Busemeyer, Department of Psychology Armando Razo, Department of Political Science Daniel Cole, School of Law–Indianapolis Kenneth Richards, School of Public & Environmental Aff airs Aurelian Craiutu, Department of Political Science Amos Sawyer, Workshop in Political Th eory and Policy Analysis Tom Evans, Department of Geography; Co-Director, CIPEC Beate Sissenich, Department of Political Science Burnell Fischer, School of Public & Environmental Aff airs Regina Smyth, Department of Political Science Roy Gardner, Department of Economics Jeff rey Stake, School of Law Kerry Krutilla, School of Public & Environmental Aff airs Verlon Stone, Department of Folklore & Ethnomusicology Lauren Morris MacLean, Department of Political Science Catherine Tucker, Department of Anthropology John Maxwell, Kelley School of Business James Walker, Department of Economics; Co-Director, Workshop

-22- APPENDIX D: Current Workshop Visiting Scholars for 2009–2010

Christopher Bartlett (Aug 2009–May 2010), PhD, ARC Cen- Lei Liu (Aug 2009–Aug 2010), PhD candidate, College of En- ter of Excellence for Coral Reef Studies, James Cook Uni- vironmental Sciences and Engineering, Peking University, versity, Australia Beijing, China Bryan Bruns (Aug 2009–May 2010), independent researcher Jiang Nie (Jan 2009–Dec 2009), Associate Professor, School of and consulting sociologist Resources and Environmental Management, Guizhou Col- lege of Finance and Economics, China Jingjing Cai’s (Aug 2009–Aug 2010), PhD candidate, School of Public Administration, Renmin University of China Lauri Sääksvuori (Fall 2009), PhD candidate, Department of Economics, Max Planck Institute of Economics, Germany Carina Cavalcanti (Sept 1–May 2010), PhD student, Profes- sorship of Environmental Policy and Economics, Swiss Fed- Pontus Strimling’s (Aug 2009–Jun 2010), Center for the Study eral Institute of Technology, Zurich of Cultural Evolution, Stockholm University, Sweden Luz Aliette Hernandez (Fall 2009), PhD student, Department Jiangtao Tan (Aug 2009–Aug 2010), Ph.D candidate, School of Political Science, National Autonomous University of of Business, Hohai University, Nanjing, China Mexico (UNAM) Yahua Wang (Aug 2009–Aug 2010), Associate Professor, Derek Kauneckis (Fall 2009), Assistant Professor, Department School of Public Policy and Management; deputy director, of Political Science, University of Nevada, Reno Center for China Studies, Tsinghua University, China Andreas Leibbrandt (academic year), Postdoc, Department of Economics, University of Chicago; PhD, University of Zurich

-23- APPENDIX E: Awards and Honors Received by Elinor Ostrom and Vincent Ostrom

Elinor Ostrom Elazar Distinguished Federalism Scholar Award, APSA, Feder- Policy Studies Organization Miriam Mills Award for being an alism and Intergovernmental Relations Section, 2009 outstanding woman in the fi eld of policy studies, 1996 Reimar Lüst Award for International Scholarly and Cultural International Studies Association Harold and Margaret Sprout Exchange, Fritz Th yssen Foundation and the Alexander von Award for excellence in the fi eld of international environ- Humboldt Foundation, Germany, 2009 mental aff airs for Governing the Commons, 1992 Jonathan M. Tisch Prize for Civic Engagement Research, Tufts Fellow, American Academy of Arts and Sciences, Spring 1991– University, Medford, MA, March 5, 2009 present. Honorary Doctorate, Norwegian University of Science and Policy Studies Organization Donald Campbell Award for an Technology, Trondheim, Norway, 2008 outstanding methodological innovator in public policy stud- Galbraith Award, American Agricultural Economics Associa- ies, 1986 tion, 2008 Honorary Doctorate, McGill University, Montreal, 2008 William H. Riker Prize in Political Science, University of Vincent Ostrom Rochester, 2008 John Gaus Distinguished Lecturer Award honoring a lifetime Fellow, American Academy of Political and Social Science, of exemplary scholarship in the joint tradition of political Philadelphia, 2008 science and public administration, APSA, 2005 Beijer Fellow, Th e Beijer Institute of Ecological Economics, Co-Recipient with Elinor Ostrom of the Atlas Economic Re- Stockholm, Sweden, 2007 search Foundation’s Fund for the Study of Spontaneous Or- Honorary Doctorate, Humboldt University, Berlin, Germany, der’s Lifetime Achievement Award in honor of their individ- 2007 ual contributions and their joint work with the Workshop, Honorary Doctorate in Commemoration of Carl Linnaeus, 2003 Uppsala University, Sweden, 2007 Robert O. Anderson Sustainable Arctic Award from the Insti- Cozzarelli Prize, Proceedings of the National Academy of Sci- tute of the North for vital role in the drafting of the Natural ences, 2006 Resource Article in the Alaskan Constitution (the fi rst and APSA, Political Economy Section, William Riker Award for only state constitution to contain such an article) at the In- Best Book on Political Economy, APSA, Political Economy ternational Association for the Study of Common Property Section, 2006 (IASCP) Northern Polar Conference, 2003 Doctor of Humane Letters, University of Michigan, Ann Ar- Best Book on Federalism and Intergovernmental Relations bor, 2006 Award for Th e Political Th eory of a Compound Republic, Member, American Philosophical Society, Elected 2006 American Political Science Association, APSA Section on James Madison Award, American Political Science Association, Federalism and Intergovernmental Relations, 1999 2005 Special Achievement Award for signifi cant contributions to the Sustainability Science Award, Ecological Society of America, study of federalism, American Political Science Association, 2005 1991 Honorary Doctorate, Luleå University of Technology, Sweden, Hooker Distinguished Visiting Scholar, McMaster University, 2005 Hamilton, Ontario, 1984–85 John J. Carty Award for the Advancement of Science, National Fellow, Center for Interdisciplinary Research, Bielefeld Univer- Academy of Sciences, 2004 sity, Germany, 1981–1982 Lifetime Achievement Award, Atlas Economic Research Foun- Fellow, Center for Advanced Study in the Behavioral Sciences, dation, 2003 1955–1956 Fellow, American Association for the Advancement of Science, Faculty Research Fellow, Social Science Research Council, Elected September 2001 1954–1955, 1956–1958 Member, National Academy of Sciences, Elected May 2001 APSA, Public Policy Section, Aaron Wildavsky Enduring Con- tribution Award for Governing the Commons, 2000 Johan Skytte Prize in Political Science, Uppsala University, 1999 Th omas R. Dye Service Award for outstanding service to the Policy Studies Organization, December 1997 Frank E. Seidman Distinguished Award in Political Economy, 1997

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