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Generalising design principles


Frameworks for institutional analysis and analysis of the governance of socio-ecological systems assume that insights can be generalised beyond single case studies on a higher level of abstraction. While complexity limits the generalisable conclusions from any particular study about which institutions lead to which outcomes, the accumulation of evidence has led to conclusions about general characteristics of social-ecological systems that can be related to desirable outcomes. More information including examples and possible design principles are given here.
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Approaches from new institutional economics (NIE) have made significant and extensive contributions to the natural resource and water management literature (e.g., Hagedorn et al. 2002; Bougherara et al.2009), and frameworks for institutional analysis (Ostrom 2005) and analysis of the governance of socio-ecological systems (Folke et al. 2005; Ostrom 2007, 2009) assume that insights can be generalised beyond single case studies ona higher level of abstraction. While the above-mentioned assumption of complexity limits the generalisable conclusions from any particular study about which institutions lead to which outcomes, the accumulation of evidence has led to conclusions about general characteristics of social-ecological systems that can be related to desirable outcomes. Examples of such generalised insights are the "8 design principles for sustainable resource management" (Ostrom et al. 1999), "principles of adaptive governance" (Dietz et al. 2003), or "institutional prescriptions for adaptive water governance" (Huitema et al. 2009). These principles are, however, intentionally left very abstract and thus difficult to make operational and verify empirically across differing contexts. Thus, in relation to adaptation, these prescriptions provide input regarding institutional attributes that enhance the adaptive capacity of actors faced with climate risks. These general prescriptions need to be supplemented by contextual knowledge when implementing adaptation interventions. The fact that the prescriptions remain general and require contextualisation differentiates the approach from that of policy design which assumes that outcomes can be predicted ex ante.

Question addressed

Explaining the emergence of governance systems which enables adaptation.

Conditions of applicability

Climate change impacts, adaptation and vulnerability are a result of many actors interacting and making many interrelated decisions.

Theoretical assumptions

It is difficult to attribute outcomes to a particular institution.

Steps taken

1. Select potential explanatory variables based on literature 2. Collect data 3. Apply of cause-effect reasoning 4. Look for patterns in data across cases

Results achieved

Design principles to be contextualised in a given case.

Issues involved

The ratio between the number of relevant variables and the number of cases is often too high to derive statistically significant results.


Example cases from literature

Ostrom (1999) addresses the question of which variables lead to the self-organisation of communities for the management of natural resources. A framework taking an action situation as the unit of analysis describes the governance system in order to synthesise lessons from a large number of cases. 10 design principles are found to promote selforganisation.



This section is based on the UNEP PROVIA guidance document


Criteria checklist

1. You want to identify adaptation measures.
2. Your focus is on public actors and on collective actions.
3. The interdepencence is two-way.
4. There is no coordination solution.
5. It is not sufficient to describe actors and institutions.
6. Outcomes of institutional arrangements can not be predicted.
7. Governance emergence explanation has been addressed.
8. It is assumed that one can generalise beyond single cases.