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SCIENCE’S COMPASS ● REVIEW

REVIEW: SUSTAINABILITY

Revisiting the Commons:


Local Lessons, Global Challenges
Elinor Ostrom,1 Joanna Burger,2 Christopher B. Field,3 Richard B. Norgaard,4 David Policansky5

large groups living within a single country,


In a seminal paper, Garrett Hardin argued in 1968 that users of a commons are caught which involve nested institutions at varying
in an inevitable process that leads to the destruction of the resources on which they scales. These resources continue to be impor-
depend. This article discusses new insights about such problems and the conditions tant as sources of sustained biodiversity and
most likely to favor sustainable uses of common-pool resources. Some of the most human well-being. Some of the most difficult
difficult challenges concern the management of large-scale resources that depend on future problems, however, will involve re-
international cooperation, such as fresh water in international basins or large marine sources that are difficult to manage at the
ecosystems. Institutional diversity may be as important as biological diversity for our scale of a village, a large watershed, or even
long-term survival. a single country. Some of these resources—
for example, fresh water in an international
basin or large marine ecosystems— become

T
hirty years have passed since Garrett a reassessment of the generality of the theory effectively depletable only in an international
Hardin’s influential article “The Trag- that has grown out of Hardin’s original paper. context (10). Management of these resources
edy of the Commons” (1). At first, Here, we describe the advances in under- depends on the cooperation of appropriate
many people agreed with Hardin’s metaphor standing and managing commons problems international institutions and national, region-
that the users of a commons are caught in an that have been made since 1968. We also al, and local institutions. Resources that are
inevitable process that leads to the destruc- describe research challenges, especially those intrinsically difficult to measure or that re-
tion of the very resource on which they de- related to expanding our understanding of quire measurement with advanced technolo-
pend. The “rational” user of a commons, global commons problems. gy, such as stocks of ocean fishes or petro-
Hardin argued, makes demands on a resource An important lesson from the empirical leum reserves, are difficult to manage no
until the expected benefits of his or her ac- studies of sustainable resources is that more matter what the scale of the resource. Others,
tions equal the expected costs. Because each solutions exist than Hardin proposed. Both for example global climate, are largely self-
user ignores costs imposed on others, individ- government ownership and privatization are healing in response to a broad range of hu-
ual decisions cumulate to a tragic overuse and themselves subject to failure in some instanc- man actions, until these actions exceed some
the potential destruction of an open-access es. For example, Sneath shows great differ- threshold (11).
commons. Hardin’s proposed solution was ences in grassland degradation under a tradi- Although the number and importance of
“either socialism or the privatism of free tional, self-organized group-property regime commons problems at local or regional scales
enterprise” (2). versus central government management. A will not decrease, the need for effective ap-
The starkness of Hardin’s original state- satellite image of northern China, Mongolia, proaches to commons problems that are glob-
ment has been used by many scholars and and southern Siberia (8) shows marked deg- al in scale will certainly increase. Here, we
policy-makers to rationalize central govern- radation in the Russian part of the image, examine this need in the context of an anal-
ment control of all common-pool resources whereas the Mongolian half of the image ysis of the nature of common-pool resources
(3) and to paint a disempowering, pessimistic shows much less degradation. In this in- and the history of successful and unsuccess-
vision of the human prospect (4). Users are stance, Mongolia has allowed pastoralists to ful institutions for ensuring fair access and
pictured as trapped in a situation they cannot continue their traditional group-property in- sustained availability to them. Some experi-
change. Thus, it is argued that solutions must stitutions, which involve large-scale move- ence from smaller systems transfers directly
be imposed on users by external authorities. ments between seasonal pastures, while both to global systems, but global commons intro-
Although tragedies have undoubtedly oc- Russia and China have imposed state-owned duce a range of new issues, due largely to
curred, it is also obvious that for thousands of agricultural collectives that involve perma- extreme size and complexity (12).
years people have self-organized to manage nent settlements. More recently, the Chinese
common-pool resources, and users often do solution has involved privatization by divid- The Nature of Common-Pool
devise long-term, sustainable institutions for ing the “pasture land into individual alloca- Resources
governing these resources (5–7). It is time for tions for each herding household” (8). About To better understand common-pool resource
three-quarters of the pasture land in the Rus- problems, we must separate concepts related
sian section of this ecological zone has been to resource systems and those concerning
1
Center for the Study of Institutions, Population, and degraded and more than one-third of the Chi- property rights. We use the term common-
Environmental Change and Workshop in Political The-
ory and Policy Analysis, Indiana University, Blooming- nese section has been degraded, while only pool resources (CPRs) to refer to resource
ton, IN 47408, USA. 2Environmental and Occupation- one-tenth of the Mongolian section has suf- systems regardless of the property rights in-
al Health Sciences Institute, Rutgers University, 170 fered equivalent loss (8, 9). Here, socialism volved. CPRs include natural and human-
Frelinghuysen Road, Piscataway, NJ 08854, USA. and privatization are both associated with constructed resources in which (i) exclusion
3
Carnegie Institution of Washington, Stanford, CA
94305, USA. 4Energy and Resources Group, University
more degradation than resulted from a tradi- of beneficiaries through physical and institu-
of California, Berkeley, CA 94720, USA. 5National tional group-property regime. tional means is especially costly, and (ii)
Research Council, Washington, DC 20418, USA. Most of the theory and practice of suc- exploitation by one user reduces resource
*To whom correspondence should be addressed. E- cessful management involves resources that availability for others (13). These two char-
mail: ostrom@indiana.edu are effectively managed by small to relatively acteristics— difficulty of exclusion and sub-

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SCIENCE’S COMPASS
tractability— create potential CPR dilemmas decades. But the enormous competition to interested perspective in many settings, but
in which people following their own short- catch a large share of the resource before can also use reciprocity to overcome social
term interests produce outcomes that are not others did resulted in economic waste, danger dilemmas (22). Users of a CPR include (i)
in anyone’s long-term interest. When re- to the fishers, and reduced quality of fish to those who always behave in a narrow, self-
source users interact without the benefit of consumers. Limiting access alone can fail if interested way and never cooperate in dilem-
effective rules limiting access and defining the resource users compete for shares, and the ma situations (free-riders); (ii) those who are
rights and duties, substantial free-riding in resource can become depleted unless incen- unwilling to cooperate with others unless as-
two forms is likely: overuse without concern tives or regulations prevent overexploitation sured that they will not be exploited by free-
for the negative effects on others, and a lack (17, 18). riders; (iii) those who are willing to initiate
of contributed resources for maintaining and Four broad types of property rights have reciprocal cooperation in the hopes that oth-
improving the CPR itself. evolved or are designed in relation to CPRs ers will return their trust; and (iv) perhaps a
CPRs have traditionally included terrestri- (Table 1). When valuable CPRs are left to an few genuine altruists who always try to
al and marine ecosystems that are simulta- open-access regime, degradation and poten- achieve higher returns for a group.
neously viewed as depletable and renewable. tial destruction are the result. The proposition Whether norms to cope with CPR dilem-
Characteristic of many resources is that use that resource users cannot themselves change mas evolve without extensive, self-conscious
by one reduces the quantity or quality avail- from no property rights (open access) to design depends on the relative proportion of
able to others, and that use by others adds group or individual property, however, can be these behavioral types in a particular setting.
negative attributes to a resource. CPRs in- strongly rejected on the basis of evidence: Reciprocal cooperation can be established,
clude earth-system components (such as Resource users through the ages have done sustain itself, and even grow if the proportion
groundwater basins or the atmosphere) as just that (5–7, 13, 15, 19). Both group-prop- of those who always act in a narrow, self-
well as products of civilization (such as irri- erty and individual-property regimes are used interested manner is initially not too high
gation systems or the World Wide Web). to manage resources that grant individuals (23). When interactions enable those who use
Characteristics of CPRs affect the prob- varying rights to access and use of a resource. reciprocity to gain a reputation for trustwor-
lems of devising governance regimes. These The primary difference between group prop- thiness, others will be willing to cooperate
attributes include the size and carrying capac- erty and individual property is the ease with with them to overcome CPR dilemmas,
ity of the resource system, the measurability which individual owners can buy or sell a which leads to increased gains for themselves
of the resource, the temporal and spatial share of a resource. Government property and their offspring (24). Thus, groups of peo-
availability of resource flows, the amount of involves ownership by a national, regional, or ple who can identify one another are more
storage in the system, whether resources local public agency that can forbid or allow likely than groups of strangers to draw on
move (like water, wildlife, and most fish) or use by individuals. Empirical studies show trust, reciprocity, and reputation to develop
are stationary (like trees and medicinal that no single type of property regime works norms that limit use. In earlier times, this
plants), how fast resources regenerate, and efficiently, fairly, and sustainably in relation restricted the size of groups who relied pri-
how various harvesting technologies affect to all CPRs. CPR problems continue to exist marily upon evolved and shared norms. Cit-
patterns of regeneration (14). It is relatively in many regulated settings (17). It is possible, izen-band radios, tracking devices, the In-
easy to estimate the number and size of trees however, to identify design principles associ- ternet, geographic information systems, and
in a forest and allocate their use accordingly, ated with robust institutions that have suc- other aspects of modern technology and the
but it is much more difficult to assess migra- cessfully governed CPRs for generations news media now enable large groups to
tory fish stocks and available irrigation water (19). monitor one another’s behavior and coor-
in a system without storage capacity. Tech- dinate activities in order to solve CPR
nology can help to inform decisions by im- The Evolution of Norms and Design of problems.
proving the identification and monitoring of Rules Evolved norms, however, are not always
resources, but it is not a substitute for deci- The prediction that resource users are led sufficient to prevent overexploitation. Partic-
sion-making. On the other hand, major tech- inevitably to destroy CPRs is based on a ipants or external authorities must deliberate-
nological advances in assessing groundwater model that assumes all individuals are selfish, ly devise (and then monitor and enforce)
storage capacity, supply, and associated pol- norm-free, and maximizers of short-run re- rules that limit who can use a CPR, specify
lution have allowed more effective manage- sults. This model explains why market insti- how much and when that use will be allowed,
ment of these resources (15). Specific re- tutions facilitate an efficient allocation of pri- create and finance formal monitoring ar-
source systems in particular locations often vate goods and services, and it is strongly rangements, and establish sanctions for non-
include several types of CPRs and public supported by empirical data from open, com- conformance. Whether the users themselves
goods with different spatial and temporal petitive markets in industrial societies (20). are able to overcome the higher level dilem-
scales, differing degrees of uncertainty, and However, predictions based on this model are mas they face in bearing the cost of design-
complex interactions among them (16). not supported in field research or in labora- ing, testing, and modifying governance sys-
tory experiments in which individuals face a tems depends on the benefits they perceive to
Institutions for Governing and public good or CPR problem and are able to result from a change as well as the expected
Managing Common-Pool Resources communicate, sanction one another, or make costs of negotiating, monitoring, and enforc-
Solving CPR problems involves two distinct new rules (21). Humans adopt a narrow, self- ing these rules (25). Perceived benefits are
elements: restricting access and creating in-
centives (usually by assigning individual Table 1. Types of property-rights systems used to regulate common-pool resources (7).
rights to, or shares of, the resource) for users
to invest in the resource instead of overex- Property rights Characteristics
ploiting it. Both changes are needed. For
example, access to the north Pacific halibut Open access Absence of enforced property rights
fishery was not restricted before the recent Group property Resource rights held by a group of users who can exclude others
Individual property Resource rights held by individuals (or firms) who can exclude others
introduction of individual transferable quotas Government property Resource rights held by a government that can regulate or subsidize use
and catch limits protected the resource for

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SCIENCE’S COMPASS
greater when the resource reliably generates native sources of water, both government a burden on the use of surface water and
valuable products for the users. Users need ownership and the presence of modern head- created conflicts with homeowners, other
some autonomy to make and enforce their works have a negative impact on water de- boaters, fishermen, and naturalists. The rapid
own rules, and they must highly value the livered to the tail end of a system, hence a rise of PWCs has created a burden on the use
future sustainability of the resource. Per- negative impact on overall system productiv- of shorelines, contributed to a disproportion-
ceived costs are higher when the resource is ity (27). ate increase in accidents and injuries, and
large and complex, users lack a common Imposing strong limits on resource use caused disturbances to aquatic natural re-
understanding of resource dynamics, and raises the question of which community of sources (30). Traditional users of the water
users have substantially diverse interests users is initially defined as having use rights surface feel threatened by the invasion of
(26). and who is excluded from access to a CPR. their space by a new, faster, and louder boat
The farmer-managed irrigation systems of The very process of devising methods of that reduces the value of surface waters. In
Nepal are examples of well-managed CPRs exclusion has substantial distributional con- many other settings, when new users arrive
that rely on strong, locally crafted rules as sequences (29). In some instances, those who through migration, they do not share a similar
well as evolved norms (27). Because the rules have long exercised stewardship over a understanding of how a resource works and
and norms that make an irrigation system resource can be excluded. A substantial what rules and norms are shared by others.
operate well are not visible to external ob- distributional issue will occur, for example, Members of the initial community feel threat-
servers, efforts by well-meaning donors to as regulators identify who will receive ened and may fail to enforce their own self-
replace primitive, farmer-constructed sys- rights to emit carbon into the atmosphere. restraint, or they may even join the race to use
tems with newly constructed, government- Typically, such rights are assigned to those up the resource (31).
owned systems have reduced rather than who have exercised a consistent pattern of Given the substantial differences among
improved performance (28). Government- use over time. Thus, those who need to use CPRs, it is difficult to find effective rules that
owned systems are built with concrete and the resource later may be excluded en- both match the complex interactions and dy-
steel headworks, in contrast to the simple tirely or may have to pay a very large entry namics of a resource and are perceived by
mud, stone, and trees used by the farmers cost. users as legitimate, fair, and effective. At
(Fig. 1). However, the cropping intensity The counterpoint to exclusion is too rapid times, disagreements about resource assess-
achieved by farmer-managed systems is sig- inclusion of users. When any user group ment may be strategically used to propose
nificantly higher than on government systems grows rapidly, the resource can be stressed. policies that disproportionately benefit some
(Table 2). In a regression model of system For example, in the last 10 years the annual at a cost to others (4). In highly complex
performance, controlling for the size of the sales of personal watercraft (PWCs) have systems, finding optimal rules is extremely
system, the slope of the terrain, variation in risen in the United States from about 50,000 challenging, if not impossible. But despite
farmer income, and the presence of alter- to more than 150,000 a year. This has placed such problems, many users have devised their

Fig. 1. The govern-


ment-owned Chiregad
irrigation system (right
panel) was construct-
ed in Nepal to replace
five farmer-owned irri-
gation systems whose
physical infrastructures
were similar to the Ka-
thar farmer-managed
irrigation system (left
panel). In planning the
Chiregad system, de-
signers focused entirely
on constructing modern
engineering works and
not on learning about
the rules and norms
that had been used in
the five earlier sys-
tems. Even though the
physical capital is mark-
edly better than that
possessed by the earli-
er systems, the Chir-
egad system has never
been able to provide
water consistently to
more than two of the
former villages. Agri-
cultural productivity is
lower now than it was
under farmer manage-
ment (37). Not only do
the farmers invest
heavily in the mainte-
nance of the farmer-owned system on the left, they have devised effective rules related to access and the allocation of benefits and costs. They achieve higher
productivity than most government-owned systems with modern infrastructure. [Photographs by G. Shivakoti (left) and E. Ostrom (right)]

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own rules and have sustained resources over solutions for a particular environment. In all ability (34). National policy also affects
long periods of time. Allowing parallel self- cases, individuals must overcome their ten- factors such as human migration rates, the
organized governance regimes to engage in dency to evaluate their own benefits and costs flow of capital, technology policy, and
extensive trial-and-error learning does not re- more intensely than the total benefits and hence the range of conditions local institu-
duce the probability of error for any one costs for a group. Collective-choice rules af- tions must address to work effectively. Fi-
resource, but greatly reduces the probability fect who is involved in deciding about future nally, local institutions are only rarely able
of disastrous errors for all resources in a rules and how preferences will be aggregated. to cope with the ramifications of civil or
region. Thus, these rules affect the breadth of inter- international war.
ests represented and involved in making in-
Lessons from Local and Regional stitutional changes, and they affect decisions Challenges of Global Commons
Common-Pool Resources about which policy instruments are adopted The lessons from local and regional CPRs are
The empirical and theoretical research stim- (33). encouraging, yet humanity now faces new
ulated over the past 30 years by Garrett Har- challenges to establish global institutions to
din’s article has shown that tragedies of the The Broader Social Setting manage biodiversity, climate change, and
commons are real, but not inevitable. Solving Whether people are able to self-organize and other ecosystem services (35). These new
the dilemmas of sustainable use is neither manage CPRs also depends on the broader challenges will be especially difficult for at
easy nor error-free even for local resources. social setting within which they work. Na- least the following reasons.
But a scholarly consensus is emerging re- tional governments can help or hinder local Scaling-up problem. Having larger num-
garding the conditions most likely to stimu- self-organization. “Higher” levels of govern- bers of participants in a CPR increases the
late successful self-organized processes for ment can facilitate the assembly of users of a difficulty of organizing, agreeing on rules,
local and regional CPRs (6, 26, 32). At- CPR in organizational meetings, provide in- and enforcing rules. Global environmental
tributes of resource systems and their users formation that helps identify the problem and resources now involve 6 billion inhabitants of
affect the benefits and costs that users per- possible solutions, and legitimize and help the globe. Organization at national and local
ceive. For users to see major benefits, re- enforce agreements reached by local users. levels can help, but it can also get in the way
source conditions must not have deteriorated National governments can at times, however, of finding solutions.
to such an extent that the resource is useless, hinder local self-organization by defending Cultural diversity challenge. Along with
nor can the resource be so little used that few rights that lead to overuse or maintaining that economic globalization, we are in a period of
advantages result from organizing. Benefits the state has ultimate control over resources reculturalization. Increasing cultural diversi-
are easier to assess when users have accurate without actually monitoring and enforcing fication offers increased hope that the diver-
knowledge of external boundaries and inter- existing regulations. sity of ways in which people have organized
nal microenvironments and have reliable and Participants are more likely to adopt ef- locally around CPRs will not be quickly lost,
valid indicators of resource conditions. When fective rules in macro-regimes that facilitate and that diverse new ways will continue to
the flow of resources is relatively predictable, their efforts than in regimes that ignore re- evolve at the local level. However, cultural
it is also easier to assess how diverse man- source problems entirely or that presume that diversity can decrease the likelihood of find-
agement regimes will affect long-term bene- central authorities must make all decisions. If ing shared interests and understandings. The
fits and costs. local authority is not formally recognized by problem of cultural diversity is exacerbated
Users who depend on a resource for a larger regimes, it is difficult for users to by “north-south” conflicts stemming from
major portion of their livelihood, and who establish enforceable rules. On the other economic differences between industrialized
have some autonomy to make their own ac- hand, if rules are imposed by outsiders with- and less-industrialized countries.
cess and harvesting rules, are more likely out consulting local participants, local users Complications of interlinked CPRs. Al-
than others to perceive benefits from their may engage in a game of “cops and robbers” though the links between grassland and forest
own restrictions, but they need to share an with outside authorities. In many countries, management are complex, they are not so
image of how the resource system operates two centuries of colonization followed by complex as those between maintaining biodi-
and how their actions affect each other and state-run development policy that affected versity and ameliorating climate change. As
the resource. Further, users must be interested some CPRs has produced great resistance to we address global issues, we face greater
in the sustainability of the particular resource externally imposed institutions. interactions between global systems. Similar-
so that expected joint benefits will outweigh The broader economic setting also affects ly, with increased specialization, people have
current costs. If users have some initial trust the level and distribution of gains and costs of become more interdependent. Thus, we all
in others to keep promises, low-cost methods organizing the management of CPRs. Expec- share one another’s common interests, but in
of monitoring and sanctioning can be de- tations of rising resource prices encourage more complex ways than the users of a forest
vised. Previous organizational experience better management, whereas falling, unsta- or grassland. While we have become more
and local leadership reduces the users’ costs ble, or uncertain resource prices reduce the complexly interrelated, we have also become
of coming to agreement and finding effective incentive to organize and assure future avail- more “distant” from each other and our en-
vironmental problems. From our increasingly
specialized understandings and particular
Table 2. Relationship of governance structures and cropping intensities [(27), p. 106]. A crop intensity of points on the globe, it is difficult to compre-
100% means that all land in an irrigation system is put to full use for one season or partial use over
multiple seasons, amounting to the same coverage. Similarly, a crop intensity of 200% is full use of all hend the significance of global CPRs and
land for two seasons; 300% is full use for three seasons. how we need to work together to govern
these resources successfully. And given these
Farmer-owned Government- complexities, finding fair solutions is even
Parameter systems owned systems F P more challenging.
(N 5 97) (N 5 21) Accelerating rates of change. Previous
generations complained that change occurred
Head-end crop intensities 246% 208% 10.51 0.002
Tail-end crop intensities 237% 182% 20.33 0.004 faster and faster, and the acceleration contin-
ues. Population growth, economic develop-

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16. R. Norgaard, Adv. Hum. Ecol. 4, 141 (1995); C. Gib- Costanza, Eds. (Island, Washington, DC, 1994), pp.
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And broad dissemination of widely be- of Wildlife Policy in Africa (Cambridge Univ. Press, 35. See O. Young, Ed., Science Plan for Institutional Di-
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the trust that is so central to effective CPR itics, Markets, and Community Among a Migrant Pas- tional Human Dimensions Programme on Global En-
toral People (Duke Univ. Press, Durham, NC, 1999). vironmental Change, Bonn, Germany, 1999); Global
management. 17. Organisation for Economic Co-operation and Devel- Governance: Drawing Insights from the Environmental
In the end, building from the lessons of opment (OECD), Towards Sustainable Fisheries: Eco- Experience (MIT Press, Cambridge, MA, 1997); P.
past successes will require forms of commu- nomic Aspects of the Management of Living Marine Haas, R. Keohane, M. Levy, Institutions for the Earth:
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nication, information, and trust that are broad Press, Cambridge, MA, 1993).
Council, Sustaining Marine Fisheries (National Acad-
and deep beyond precedent, but not beyond emy Press, Washington, DC, 1999). 36. J. B. Wiener, Georgetown Law J., in press.
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19. E. Ostrom, Governing the Commons: The Evolution of sium on “The Commons Revisited: An Americas Per-
CPRs may be as important for our long-run Institutions for Collective Action (Cambridge Univ. spective” held in conjunction with the X General
survival as the protection of biological diver- Press, New York, 1990). Assembly of the Scientific Committee on Problems of
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S. J. Rassenti, V. L. Smith, ibid. 254, 534 (1991). U.S. Environmental Protection Agency, NSF, and
efforts as well as from failures. 21. See S. Bowles, R. Boyd, E. Fehr, H. Gintis, Homo NASA for supporting the U.S. National Committee
reciprocans: A Research Initiative on the Origins, Di- for SCOPE, where this effort began. We thank F.
References and Notes mensions, and Policy Implications of Reciprocal Fair- Berkes, A. Blomqvist, P. Dalecki, D. Dodds, K. Dough-

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(FAO Forestry Paper 136, Rome, 1998); D. Feeny, S. bridge Univ. Press, New York, 1997), pp. 35–72; J. M. useful comments. Supported by NSF grant
Hanna, A. F. McEvoy, Land Econ. 72, 187 (1996); F. Orbell, A. van de Kragt, R. M. Dawes, J. Personality SBR-9521918, the U.N. Food and Agriculture Orga-
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nisms for Building Resilience (Cambridge Univ. Press, structure of a dilemma is converted into a set of of Energy grant AI DE-FC01-95EW55084 to the Con-
New York, 1998); A. C. Finlayson and B. J. McCay, decisions made by subjects who are financially sortium for Risk Evaluation with Stakeholder Partici-
ibid., pp. 311–337; R. Repetto, Skimming the Water: rewarded as a result of their own and others’ pation and National Institute of Environmental
Rent-seeking and the Performance of Public Irrigation decisions. See also J. H. Kagel and A. E. Roth, Eds., Health Sciences grant ESO 5022 ( J.B.).

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