Governing the Commons: The Evolution of Institutions for Collective Action

298 Pages·2015·15.709 MB·English

by  Ostrom, Elinor

Elinor
Ostrom
Governing
the Commons
The Evolution of Institutions
for Collective Action

GOVERNING THE COMMONS
The governance of natural resources used by many individuals in common
is an issue of increasing concern to policy analysts. Both state control and
privatization of resources have been advocated, but neither the state nor
the market has been uniformly successful in solving common-pool resource
problems. After critiquing the foundations of policy analysis as applied to
natural resources, Elinor Ostrom here provides a unique body of empirical
datatoexploretheconditionsunderwhichcommon-poolresourceproblems
havebeensatisfactorilyorunsatisfactorilysolved.
Dr.Ostromfirstdescribesthreemodelsmostfrequentlyusedasthefounda-
tionforrecommendingstateormarketsolutions.Shethenoutlinestheoretical
andempiricalalternativestothesemodelsinordertoillustratethediversityof
possiblesolutions.Inthefollowingchapterssheusesinstitutionalanalysisto
exploredifferentways–bothsuccessfulandunsuccessful–ofgoverningthe
commons.Incontrasttothepropositionsofthe“tragedyofthecommons”
argument,common-poolproblemssometimesaresolvedbyvoluntaryorga-
nizations rather than by a coercive state. Among the cases considered are
communal tenure in meadows and forest, irrigation communities and other
waterrights,andfisheries.
Governing the Commons makes a major contribution to the analytical
literatureoninstitutionsandtoourunderstandingofhumancooperation.
ElinorOstromisco-directoroftheWorkshopinPoliticalTheoryandPolicy
AnalysisandprofessorofpoliticalscienceatIndianaUniversity.
AdditionalPraiseforGoverningtheCommons:
“This is an important book that deserves to be read widely in the policy
communityaswellasthescholarlycommunity....Thisanalysisleavesuswith
provocative questions whose examination promises to broaden and deepen
ourunderstandingofhuman/environmentrelationshipsatmanylevels.”
–OranR.Young,InternationalEnvironmentalAffairs
“Cambridge University Press has published an impressive series called ‘The
PoliticalEconomyofInstitutionsandDecisions.’ElinorOstrom,Professorof
Political Science at Indiana University, has made an important contribution
to the series with Governing the Commons....In large part, the book is
a fascinating and detailed examination of common ownership of various
naturalresources.”
–DeanLueck,ConstitutionalPoliticalEconomy
“Ostrom’sbookmakesanimportantcontributiontotheemergingliterature
on analytical institutional economics. Her work reminds us that analysis
of institutions and institutional change is an important aspect of a broader
politicaleconomythatunderliesmeaningfuleconomicpolicyadvice.”
–DanielW.Bromley,JournalofEconomicLiterature
“This is the most influential book in the last decade on thinking about
the commons. For those involved with small communities...located in one
nation, whose lives depend on a common pool of renewable resources...
GoverningtheCommonshasbeentheintellectualfieldguide.”
–WholeEarth
GOVERNING THE
COMMONS
The evolution of institutions
for collective action
ELINOR OSTROM
Indiana University
"'~'" CAMBRIDGE
::: UNIVERSITY PRESS
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© Cambridge University Press 1990, 2015
This publication is in copyright. Subject to statutory exception
and to the provisions of relevant collective licensing agreements,
no reproduction of any part may take place without the written
permission of Cambridge University Press.
First published 1990
29th printing 2011
Canto Classics edition 2015
Printed in the United Kingdom by Clays, St Ives plc
A catalog record for this publication is available from the British Library.
isbn 978-1-107-56978-2 Paperback
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guarantee that any content on such Web sites is, or will remain, accurate or appropriate.
To Vincent
For his love and contestation

Contents
page xi
Preface xxiiii
CHAPTER 1
REFLECTIONS ON THE COMMONS 1
Three influential models 2
The tragedy of the commons 2
The prisoner's dilemma game 3
The logic of collective action 5
The metaphorical use of models 7
Current policy prescriptions 8
Leviathan as the "only" way 8
Privatization as the "only" way 12
The "only" way? 13
An alternative solution 15
An empirical alternative 18
Policy prescriptions as metaphors 21
Policies based on metaphors can be harmful 23
A challenge 23
CHAPTER 2
AN INSTITUTIONAL APPROACH TO THE STUDY OF
SELF-ORGANIZATION AND SELF-GOVERNANCE IN CPR
SITUATIONS 29
The CPR situation 30
CPRs and resource units 30
Rational appropriators in complex and uncertain situations 33
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Contents
Interdependence, independent action, and collective action 38
The theory of the firm 40
The theory of the state 41
Three puzzles: supply, commitment, and monitoring 42
The problem of supply 42
The problem of credible commitment 43
The problem of mutual monitoring 45
Framing inquiry 45
Appropriation and provision problems 46
Multiple levels of analysis 50
Studying institutions in field settings 55
CHAPTER 3
ANALYZING LONG-ENDURING, SELF-ORGANIZED, AND
SELF-GOVERNED CPRs 58
Communal tenure in high mountain meadows and forests 61
Torbel, Switzerland 61
Hirano, Nagaike, and Yamanoka villages in Japan 65
Huerta irrigation institutions 69
Valencia 71
Murcia and Orihuela 76
A1icante 78
Zanjera irrigation communities in the Philippines 82
Similarities among enduring, self-governing CPR institutions 88
Clearly defined boundaries 91
Congruence between appropriation and provision rules and
local conditions 92
Collective-choice arrangements 93
Monitoring 94
Graduated sanctions 94
Conflict-resolution mechanisms 100
Minimal recognition of rights to organize 101
Nested enterprises 101
CHAPTER 4
ANALYZING INSTITUTIONAL CHANGE 103
The competitive pumping race 104
The setting 104
The logic of the water-rights game 106
The litigation game 111
Vlll