No cenário da pesca artesanal nacional, a garantia de acesso aos territórios pesqueiros e a construção de cadeias produtivas que valorizem ao mesmo tempo o pescado e o pescador são condições que podem ser atingidas através da organização cooperativa da produção e das comunidades. O presente trabalho se pautou nas abordagens teórico-metodológicas da ação coletiva e da gestão compartilhada dos recursos de uso comum para analisar a trajetória de duas cooperativas em comunidades tradicionais pesqueiras no Brasil: a Cooperativa dos Pescadores Artesanais de Carutapera, no litoral das reentrâncias no Maranhão, e a Cooperativa dos Produtores de Ostra de Cananéia, no litoral sul de São Paulo. Foram realizados os seguintes procedimentos metodológicos: revisão bibliográfica, levantamento de dados secundários, observação direta dos fatos e fenômenos, contato com atores chave para fornecer dados e análise contextual dos estudos de caso. Os territórios onde se encontram cada uma das cooperativas foram descritos de acordo com os aspectos demográficos, sociais, econômicos e ambientais, servindo como ponto de partida para a compreensão do estado atual das áreas de estudo. As trajetórias das ações coletivas que levaram à criação das cooperativas foram sistematizadas em uma perspectiva histórica, separadas por fases e elencados os principais acontecimentos que contribuíram para o desenvolvimento do cooperativismo local. A análise desses dados permitiu inferir quais foram as dinâmicas chave na promoção da ação conjunta e coordenada entre os indivíduos. As cadeias produtivas locais foram descritas e as relações sociais de produção que regem os aspectos de mercado nessas cooperativas foram identificadas, assim como as bases de conhecimento tradicionais e ecológicos em que ocorre a produção nos sistemas pesqueiros. Por fim, descreveram-se as áreas de uso comum utilizadas pela pesca e maricultura artesanal e o funcionamento dos regimes de propriedade empregados na gestão desses territórios. A realização dessa pesquisa possibilitou a contraposição entre os dados de ambos estudos de casos em uma perspectiva de identificação de padrões semelhantes e divergentes entre as cooperativas estudadas. As principais contribuições foram no sentido de que é preciso atentar-se ao contexto que impulsiona o empreendimento das ações coletivas que almejam melhores condições de vida para as comunidades, buscando identificar as lideranças em potencial, os motivos que fazem com que as pessoas cooperem entre si e os mecanismos que mantêm a confiança entre os indivíduos, que por sua vez leva à retroalimentação desse ciclo solidário tecido nos atributos socioecológicos e em valores como a reciprocidade. / In the context of the Brazilian artisanal fishery, the assurance of access to fishing territories and the development of value chains that consider both fish and fisherman are conditions that can be achieved through cooperative organization of production and communities. This work is based on the theoretical-methodological approaches of the collective actions and the shared management of common-use resources, especially marine resources. That background was used to analyze the historical trajectory of two cooperatives in traditional fishing communities in Brazil: the Cooperative of Artisanal Fishermen of Carutapera, in the indentation of the coastline in Maranhão State, and the Cooperative of Oyster Producers of Cananeia, in the South coastline of São Paulo State. The following methodological proceedings were carried: literature review, secondary data collection, direct observation of facts and phenomena, contact with stakeholders for the provision of data and analysis of the study cases context. The territories where each cooperative are located were described according to demographical, social, economical and environmental aspects, as a starter for the understanding of the current state of the study areas. The trajectory of the collective action that had led to the creation of the cooperatives were organized in a historical perspective, separated by phases, and it was listed/organized according by the main events that had contributed to the development of local cooperatives. The analysis of the data allowed the inference of what were the facts and key phenomena in promoting of the joint and coordinated action among individuals. The local value chain was described, and the social relations of production that deal with the market aspects in these cooperatives, were also identified as well as the traditional and ecological knowledge in what had occurred the production in the fishery systems. Finally, it was described the common areas used for fishing and artisanal mariculture, and how the property regimes employed works in the management of these territories. The realization of this research allowed the opposition between the data from both case studies in an identification prospect of similar and divergent patterns between the studied cooperatives. The main contributions were to the effect that it is necessary to pay attention to the context that drives the development of collective actions. When aimed to better living conditions for the communities, it needs to identify potential leaders, the reasons that make people cooperate with each other and the mechanisms that maintain trust between individuals, which in turn leads to feedback that solidarity cycle fabric on values such as reciprocity.

As a result of the profound influence of theories of collective action such as The Tragedy of the Commons, The Prisonerâ s Dilemma Game, and The Logic of Collective Action, policy analysts have recommended external management, either by government control or market participation, as the most efficient option to govern common pool resources. However, due to the repeated failure of the external intervention, a new alternative has been considered, the common property rights. Due to their long term interaction with the resources, local users have developed mechanisms, rules, and institutions that can be used to favor the sustainable management of the resources. Recognizing these benefits in places where the government has nationalized the resources, it has started a process of decentralization of property rights of natural resources to local users. The purpose of this paper is twofold, to analyze the potential benefits that a common property right regime has in the management of the environmental resources, and to evaluate which are the key factors for this arrangement to succeed. In this endeavor, the case of the Irrigation systems in Philippines is presented. / Master of Public and International Affairs

In Sweden, there are both public roads and civic roads. The civic roads are managed by the people who utilize them. These roads go most through forests and farmlands but also in urban detached areas and are supposed to have a lower cost than with governmental management. Previous regulation has put out the reinvestment in the civic roads in urban areas and left them in a bad shape. I have studied an attempt to reinstall the civic road management system for such urban areas in Leksand. Based on the theory of public goods and common pool resources, I have made a Regulatory Impact Assessment (RIA) to see if the civic road management system will be effective in the long run compared to municipality management. I found that if it works, the civic road management system is the most effective due to the marginal excess tax burden that harms the municipality management. However, the civic road management system gives great responsibility and administration to a few people and might not work well in the long run. Instead I suggest a user-fee financing of the municipality management which is not affected by the marginal excess tax burden. / I många svenska kommuner har kvalitén på de enskilda vägarna i tätorter försämrats på grund av otydliga ansvarsförhållanden. Jag har studerat ett pågående projekt i Leksand som håller på att bilda samfällighetsföreningar som skall ansvara för de enskilda vägarna i tätort. För att bedöma om samfälld förvaltning är effektivt över tid har jag gjort en samhällsekonomisk konsekvensanalys baserad på teorin om kollektiva nyttigheter och förvaltning av gemensamma resurser. Det visade sig att samfälld förvaltning var effektivast jämfört med kommunal förvaltning, mycket beroende på marginalkostnaden för skatter överskottsbörda. Samfälld förvaltning innebär dock stort ansvar och omfattande administrativa uppgifter för ett fåtal och det är osäkert hur väl det fungerar på lång sikt. Som ett alternativ föreslår jag att finansiering med användaravgifter möjliggörs för kommunal förvaltning av enskilda vägar vilket inte påverkas av marginell överskottsbörda.

Water scarcity is a common phenomenon in sub-Saharan Africa, and Kenya is one of the hardest-hit countries. Estimates show that up to 41% of the population lacks access to clean and safe drinking water, and ten million people collect their daily drinking water from polluted sources. The situation is particularly critical in Machakos County, which has the country's lowest level of developed water resources, such as piped infrastructure. This study aims to understand which characteristics affect water users' participation in collaborative environmental management and whether resource users' involvement in managing water resources affects their perceptions of the performance of water services. The study shows a low level of participation among domestic water users in Machakos County. The low level of participation is mainly due to the lack of social interaction between the resource users and the governing institutions. At the same time, the study cannot link the outcome of water management to the level of participation among resource users.

Common pool resources (CPRs) are noted for their excludability and subtractability issues and early academic commentary stressed that due to the resources' complexity and uncertainty, management efforts were futile and a "tragedy of the commons" was the end result. Recent academic commentary has challenged this end result and has elaborated institutional design principles to sustainably manage CPRs which include the need for nested institutional arrangements (NIAs). However, little is known about how to move between the two extremes, that is, how we change public policy in a move towards and the sorts of institutional innovations that lead us to greater sustainability. This research begins to unravel nested institutional arrangements. It develops a framework for what constitutes a nested institutional arrangement and measures their effect on groundwater policy changes (frequency, type, magnitude) under different conditions of uncertainty as applied to a comparative case study between the Great Lakes Basin (high uncertainty; Ontario, New York) and the Ogallala Aquifer in the U.S. Midwest (low uncertainty; Nebraska). This dimensional mapping reveals the centrality of the nature of the linkages between governance units (especially linkage functionality), linkage complementarity and the effects of diffuse authority structures. In short, it is possible to unravel what an NIA is from the various strands in the literature and to develop linkages between NIAs and outcomes for particular situations (e.g. high vs. low uncertainty areas) in relation to common pool resources (e.g. groundwater). The results provide theoretical guidance for the study of groundwater policy changes by staking out the broad parameters of a strategy for groundwater policy change. / Thesis / Doctor of Philosophy (PhD)

Nobel laureate and economist Elinor Ostrom earned a Nobel prize in economic sciences in 2009 for her research on a community's ability to self-govern a common pool resource with the use of eight design principles. While Ostrom's accumulated efforts to analyze these principles and apply them to community resources have earned widespread recognition, these principles have yet to take off on a grand scale as a blueprint for self-governance systems globally. There is also a lack of empirical evidence that supports these principles as empirical investigations have yet to manipulate the principles individually or as an intervention package as independent variables. The purpose of the present study is to empirically test Ostrom's eight design principles in a tabletop game model of a community utilizing a common pool resource (CPR) by implementing as well as removing the principles within an adapted version of the board game Catan. In three groups, the CPR almost always fully crashed in baseline but not when Ostrom's principles were in place as game rules. Results indicated that Ostrom's design principles may organize participant responses and maintain resource levels over time more effectively than without Ostrom's rules applied.

This PhD dissertation represents an effort to understand individual behavior leading to decisions regarding natural resource use and compliance with conservation policy at the government and at the community levels through the analysis of specific cases in the Brazilian Amazon. I first analyze the case of smallholder land clearing along the Transamazon and BR-163 highways in the face of Brazilian Forest Code enforcement by the federal government. My hypothesis is that smallholder land clearing paths over time are affected by assessments of the probability of being caught violating the Forest Code. I develop a dynamic decision model that considers the potential benefits and costs accrued from land clearing through time by a representative smallholder and include her perception of the probability of Forest Code enforcement, unobserved to the researcher. I apply an endogenous switching regressions econometric model to data collected with a sample of 542 households in 2003 and 2013/14. I find that longer land tenure frontiers where there are opportunities for smallholders to transition to cattle grazing from agriculture deserve the attention of enforcement of land clearing laws and restrictions and that the use of the forest by a smallholder is a protective signal that must be considered and encouraged. My results suggest that alleged government efforts to enforce the Forest Code among smallholders in the sample region have been ineffective. The second case I analyze is that of fisher households that enforce community fishing agreements, known as accords, in the floodplains of the Amazon River surrounding the city of Santarém. My hypothesis is that individual households benefit from their own fishing accords enforcement effort through fishing time savings. A factor demand analysis applied to data collected with over 600 households reveals that statistically important drivers of labor demand and fuel include the level of dedication of a household and its history in implementing fishing accords, the landscape, the flood cycle, the distance to the main regional market and biomass. The average household fishing time savings from enforcing accords range between 59 and 36 eight-hour days for a six-month-period, an important argument for continuing the enterprise. / PHD / This PhD dissertation represents an effort to understand how individuals make decisions regarding natural resource use and compliance with conservation policy at the government and at the community levels through the analysis of specific cases in the Brazilian Amazon. I first analyze the case of smallholder land clearing along the Transamazon and BR-163 highways in the face of Brazilian Forest Code enforcement by the federal government. My hypothesis is that the decisions on the amount of land smallholders clear over time are affected by assessments of the probability of being caught violating the Forest Code. I develop a dynamic decision model that considers the potential benefits and costs accrued from land clearing through time by a representative smallholder and include her perception of the probability of Forest Code enforcement, unobserved to the researcher. I apply an endogenous switching regressions econometric model to data collected with a sample of 542 households in 2003 and 2013/14. I find that longer land tenure frontiers where there are opportunities for smallholders to transition to cattle grazing from agriculture deserve the attention of enforcement of land clearing laws and restrictions and that the use of the forest by a smallholder is a protective signal that must be considered and encouraged. My results suggest that alleged government efforts to enforce the Forest Code among smallholders in the sample region have been ineffective. The second case I analyze is that of fisher households that enforce community fishing agreements, known as accords, in the floodplains of the Amazon River surrounding the city of Santarém. My hypothesis is that individual households benefit from their own fishing accords enforcement effort through fishing time savings. A factor demand analysis applied to data collected with over 600 households reveals that statistically important drivers of labor demand and fuel include the level of dedication of a household and its history in implementing fishing accords, the landscape, the flood cycle, the distance to the main regional market and biomass. The average household fishing time savings from enforcing accords range between 59 and 36 eight-hour days for a six-month-period, an important argument for the continuation of the enterprise.

Intensified agriculture has led to a dramatic decline of farmland biodiversity in Europe during the 20th century, making farmland policies of utmost importance within the European Union [EU]. The Greening, which is a part of the Common Agricultural Policy [CAP] was created to combat the negative effects of intensified agriculture. However, the policy did not achieve the goal of safeguarding farmland biodiversity and will be replaced in the upcoming CAP-reform. This study researches if a landscape perspective and nature-inclusive farming can increase the efficiency of the Greening in Scanian farmlands. Through semi-structured interviews with professionals on a regional level, we investigated: What are the obstacles that hinder regional solutions to farmland biodiversity issues in Scania, Sweden? Through the lens of governance, the results emphasized a need for new arrangements between all stakeholders in order to solve the issue of declining farmland biodiversity in Scania. The main obstacles for incorporating a landscape perspective and nature-inclusive farming are the lack of regional influence in the Greening, short program periods, and low profitability for farmers. We argue that these obstacles stem from the complex, multilevel governing system of the EU, and the projectification of the CAP. We suggest adopting a Common Pool Resource [CPR] framework for farmland biodiversity in Scania as an efficient way of surpassing the obstacles. However, further research is needed to create a cohesive view of the use value of farmland biodiversity. We concluded that although the results might be applicable to other regions within the EU, it is important to further research other regions in terms of local landscape conditions and local governance for effective results. / Intensifierat jordbruk har inneburit en dramatisk minskning av den biologiska mångfalden i jordbrukslandskap i Europa under 1900-talet, vilket gör jordbrukspolitiken central inom Europeiska unionen [EU]. Förgröningsstödet, som är en del av EU:s gemensamma jordbrukspolitik, skapades för att motverka de negativa effekterna av intensifierat jordbruk. Förgröningsstödet uppnådde emellertid inte målet att skydda den biologiska mångfalden i jordbrukslandskap, och kommer att ersättas i nästkommande reform. Den här studien undersökte om ett landskapsperspektiv, samt naturinkluderande jordbruk kunde öka ändamålsenligheten av Förgröningsstödet i det skånska jordbrukslandskapet. Genom semi-strukturerade intervjuer med tjänstemän på en regional nivå, undersöktes: Vilka är hindren som motarbetar regionala lösningar på problem som berör biologisk mångfald inom det skånska jordbruket? Utifrån ett governance-perspektiv, betonade resultaten ett behov av nya arrangemang mellan samtliga aktörer för att lösa problemet med minskad biologisk mångfald inom skånskt jordbruk. De främsta hindren för att inkludera ett landskapsperspektiv samt naturinkluderande jordbruk var bristen på regionalt inflytande, de korta programperioderna, samt låg lönsamhet för jordbrukare. Vi hävdar att hindren härrör från den komplexa flernivåstyrningen inom den gemensamma jordbrukspolitiken, samt projektifiering av den. Vi föreslår att anta ett Common Pool Resource [CPR] ramverk för biologisk mångfald inom skånskt jordbruk som ett effektivt sätt att övervinna hindren. Ytterligare forskning behövs dock för att skapa en enhetlig bild av användningsvärdet av biologisk mångfald i jordbrukslandskap. Avslutningsvis menar vi att även om resultaten kan gå att applicera på andra regioner inom EU, ligger det stor vikt vid att undersöka lokala förhållanden inom landskap och styrning för att nå effektiva resultat

One of the biggest questions surrounding common-pool natural resources (CPRs) lies in understanding the circumstances which increase the likelihood of sustainable use and those that lead to resource degradation. Small-scale fisheries are an example of a CPR that has proven difficult to manage sustainably. I use social network analysis methods to examine the social connectivity of small-scale fishing communities and the association of network structures with collaborative behavior of small-scale fisheries in the Northern Gulf of California, Mexico.I found considerable connectivity of communities via kinship ties of small-scale fishers, both within the region and to other areas in Mexico. Fisher kinship relationships are important mechanisms for information transfer. Identifying communities in the network that are most likely to share information with other communities allows managers to develop more effective and efficient education, outreach, and enforcement efforts.Communities are also connected by their use of the same fishing zones and Marine Protected Areas (MPAs). My results provide suggestions for dividing communities based on common use of fishing areas and MPAs. This may help fishers and managers to develop, implement, and enforce boundary rules that will facilitate regional management of small-scale fisheries. My results provided mixed evidence for the role of social structure in impacting positive outcomes for fisher' ability to collaborate and organize. A wide range of factors affect the emergence of institutions for CPR management. Similarly, finding a common network structure that can accurately predict sustainable use of CPRs is unlikely. Knowing how people are connected and the ways in which information about CPR resources moves through (or is hindered from moving through) a network can improve manager's ability to develop more effective strategies and actions. Adding social networks into the CPR management toolbox provides a mechanism by which those working in management and conservation can incorporate social structure into management activities.An understanding of the social networks that connect communities and the potential pathways for information transfer, combined with a system of enforceable rules and policies and effective outreach methods and materials, may help managers and resource users more effectively and sustainably manage CPRs in the long term.

<p>The purpose of this dissertation is to contribute to a better understanding of how global seafood trade interacts with the governance of small-scale fisheries (SSFs). As global seafood trade expands, SSFs have the potential to experience significant economic, social, and political benefits from participation in export markets. At the same time, market connections that place increasing pressures on resources pose risks to both the ecological and social integrity of SSFs. This dissertation seeks to explore the factors that mediate between the potential benefits and risks of global seafood markets for SSFs, with the goal of developing hypotheses regarding these relationships. </p><p>The empirical investigation consists of a series of case studies from the Yucatan Peninsula, Mexico. This is a particularly rich context in which to study global market connections with SSFs because the SSFs in this region engage in a variety of market-oriented harvests, most notably for octopus, groupers and snappers, lobster, and sea cucumber. Variation in market forms and the institutional diversity of local-level governance arrangements allows the dissertation to explore a number of examples. </p><p>The analysis is guided primarily by common-pool resource (CPR) theory because of the insights it provides regarding the conditions that facilitate collective action and the factors that promote long-lasting resource governance arrangements. Theory from institutional economics and political ecology contribute to the elaboration of a multi-faceted conceptualization of markets for CPR theory, with the aim of facilitating the identification of mechanisms through which markets and CPR governance actually interact. This dissertation conceptualizes markets as sets of institutions that structure the exchange of property rights over fisheries resources, affect the material incentives to harvest resources, and transmit ideas and values about fisheries resources and governance.</p><p> The case studies explore four different mechanisms through which markets potentially influence resource governance: 1) Markets can contribute to costly resource governance activities by offsetting costs through profits, 2) markets can undermine resource governance by generating incentives for noncompliance and lead to overharvesting resources, 3) markets can increase the costs of resource governance, for example by augmenting monitoring and enforcement burdens, and 4) markets can alter values and norms underpinning resource governance by transmitting ideas between local resource users and a variety of market actors. </p><p>Data collected using participant observation, survey, informal and structured interviews contributed to the elaboration of the following hypotheses relevant to interactions between global seafood trade and SSFs governance. 1) Roll-back neoliberalization of fisheries policies has undermined cooperatives’ ability to achieve financial success through engagement with markets and thus their potential role as key actors in resource governance (chapter two). 2) Different relations of production influence whether local governance institutions will erode or strengthen when faced with market pressures. In particular, relations of production in which fishers own their own means of production and share the collective costs of governance are more likely to strengthen resource governance while relations of production in which a single entrepreneur controls capital and access to the fishery are more likely to contribute to the erosion of resource governance institutions in the face of market pressures (chapter three). 3) By serving as a new discursive framework within which to conceive of and talk about fisheries resources, markets can influence norms and values that shape and constitute governance arrangements.</p><p>In sum, the dissertation demonstrates that global seafood trade manifests in a diversity of local forms and effects. Whether SSFs moderate risks and take advantage of benefits depends on a variety of factors, and resource users themselves have the potential to influence the outcomes of seafood market connections through local forms of collective action.</p> / Dissertation