An Analysis of the Global Applicability of Ostrom’s Design Principles to Diagnose the Functionality of Common-Pool Resource Institutions

Sirak Gari,Maria Mar Delgado-Serrano,Alice Newton,John Icely

doi:10.3390/su9071287

Abstract

There are a number of gaps in reviews relating Ostrom’s design principles (DPs) to common-pool resource (CPR) institutions. These include the geographical distribution of CPRs, the performance of young CPRs relative to the DPs, and the relationship between robustness and success in adherence to the DPs. to This research aims to: (i) explicitly analyze the geographical distribution of the case studies that have used the DPs, (ii) explore the relationship between the DPs and young CPR institutions, (iii) examine the relationship between robustness and success of CPR institutions based on the DPs, and (iv) identify additional factors contributing to the performance of CPR institutions. In relation to Ostrom’s DPs, the CPRs under review involve management only by the community, co-management between the community and the state, and co-management between the community and non-governmental organizations. The results show that: DPs have been applied in all the inhabited continents; the expression of the DPs is affected by the geographical settings; the DPs do not conclusively diagnose the functionality of young and viable CPR institutions, whereas they may do so for either the short-lived (failed) or the long-lasting institutions; the relationship between robustness and success appears weak; and there are additional factors that contribute to the outcomes of CPR management.

Highlights

The study of long-lasting common-pool resources (CPRs) that are user-governed led Elinor Ostrom to propose her well-known design principles (DPs) [1], which have been broadly used to diagnose the functionality of CPR institutions dependent upon different types of natural resources across the world
The analysis of the case studies showed that identifying a young CPR institution as successful/failed and robust/fragile based on the number of DPs, was inconclusive
It seems that the DPs were unable to fully explain the performance of young CPR institutions, unless backed by some objective measurement of time

Summary

Introduction

The study of long-lasting common-pool resources (CPRs) that are user-governed led Elinor Ostrom to propose her well-known design principles (DPs) [1], which have been broadly used to diagnose the functionality of CPR institutions dependent upon different types of natural resources across the world. From the analysis of a variety of community-based management of CPRs, ranging from pastures and forests of Swiss villages to the Spanish, Japanese and the Philippine irrigation systems, she identified some important common features of these CPRs that characterized their governance system and contributed to their enduring existence (robustness) over a range of 100 years to more than 1000 years, surviving droughts, floods, wars, pestilence and changes of economy and politics [1] While these robust CPR institutions were different with regard to specific operational rules, they shared some characteristics that Ostrom organized into the eight DPs. According to Ostrom [1], a DP is defined as an important element or condition that helps to account for the success of institutions in sustaining the CPR. Congruence between appropriation/provision rules and local conditions: Appropriation rules restricting the time, place, technology, and/or quantity of resource units are related to local conditions

Objectives

Methods

Results

Conclusion