WORKSHOP IN POLITICAL THEORY AND POLICY ANALYSIS 513 NORTH PARK INDIANA UNIVERSITY BLOOMINGTON, IN 47408 MANAGING THE COMMONS: A conceptual model for analysis of institutional change and its application to the management of common land in the New Forest CONTENTS CHAPTER ONE: INTRODUCTION 1.0 Background 1.1 Land Management and Policy Analysis 1.1.1 Property Rights and Self-Governing Organisations 1.1.2 Common Property Resources 1.2 The Importance of Common Property Resources 1.3 Common Grazing Land 1.4 A Framework for Analysis: developing a conceptual model 1.5 The Objectives of Study 1.6 The Structure of the Thesis CHAPTER TWO: THE IMPORTANCE OF COMMON LAND IN ENGLAND 2.1 The Nature of the English Commons 2.1.1 Evolution of the Commons 2.1.2 Enclosure 2.1.3 Protection of the Commons: the emergence of other interests 2.1.4 The Commons Registration Act 1965 2.1.5 Current Distribution and Type of Common Lands 2.2 Current Interest in the Commons 2.2.1 The Resource Users 2.2.2 The Agricultural Users: the 'commoners' 2.2.3 The Owners of the Common 2.2.4 Other, Non-Agricultural Users 2.3 Excludability and Subtractability of the Common CHAPTER THREE: NATURAL RESOURCES AND ECONOMICS 3.1 Land Use Policy and Institutions 3.1.1 Institutions and the Need for Control of Resources 3.2 The Origins of Institutional Analysis 3.2.1 Neo-classical Economics 3.2.2 Welfare Economics 3.2.3 The Importance of Transaction Costs 3.2.4 Institutions 3.3 The New Institutional Approach 3.3.1 Institutions and Political Science 3.3.2 Institutions - Towards a Clearer definition 3.4 Institutions and the Commons 3.4.1 The Need for Institutions to Evolve CHAPTER FOUR: ANALYSING THE COMMONS: The Development of a Framework 4.1 The Purpose of an Analytical Framework 4.1.1 The Need for a Framework 4.1.2 The Need to Develop Existing Frameworks 4.1.3 The Plan for the Chapter 4.2 The Conceptual Framework 4.2.1 Four Characteristics of Management of Common Land 4.3 Multiple Levels of Action 4.3.1 Operational Level 4.3.2 Collective-Choice Level 4.3.3 Constitutional Level 4.3.4 Links Between Different Level 4.4 The Action Arena and Patterns of Interaction 4.4.1 Relationships Between the Variables 4.4.2 Relationships Between the Characteristics, Action and Outcomes 4.5 Outcomes and Analytical Use of the Framework 4.5.1 Diagnosis of Problems 4.5.2 Producing New, Desired outcomes CHAPTER FIVE: Analysis of the New Forest: Physical and Technological Characteristics of the Common 5.0 Introduction 5.1 Establishment of "The New Forest' 5.1.1 Historical Use of the Forest 5.1.2 Property Rights and the Royal Forest 5.1.3 Enclosure 5.1.4 Administration of the Commons 5.1.5 Preservation of Common Rights 5.1.6 Protests 5.2 Current Nature of the Forest 5.2.1 The Boundary and Pattern of Land Use 5.2.2 Common Rights 5.2.3 Physical Characteristics and Use of the Forest 5.3 Common Land Use - Exercise of Common Rights 5.3.1 The Use of Land for Grazing 5.3.2 Common of Mast 5.3.3 Common of Marl, Turbary and Estovers 5.3.4 The Commoners' Economy 5.4 Wildlife Value of the Commons 5.5 Amenity Use of the Commons 5.5.1 Open Access to the Commons 5.5.2 Horse-riding 5.5.3 Mountain Biking 5.5.4 Walking 5.5.5 Wildlife watching 5.5.6 Other Recreational Pursuits 5.5 Forestry Enterprises in the New Forest CHAPTER SIX: Analysis of the New Forest: Social Characteristics of the Community 6.0 Introduction 6.1 The Commoners 6.1.1 Introduction 6.1.2 Distribution, Number and Type of Commoners 6.1.2 Social Characteristics of Commoning 6.1.3 Limitations of Commoners' Information 6.2 The Recreational Users 6.2.1 Number of Recreational Users 6.2.2 Expenditure of Visitors 6.2.3 Limitations of Recreational User Information 6.3 The Requirement of Further Information 6.3.1 Survey of Commoners 6.3.2 Recreational User Survey CHAPTER SEVEN: Analysis of the New Forest: The Institutional Arrangements 7.1 The Operational Level - Commoning 7.1.1 Boundary Rules 7.1.2 Allocation Rules 7.1.3 Input Rules 7.1.4 Penalty Rules 7.2 The Operational Level - Forestry 7.2.1 Boundary Rules 7.2.2 Allocation Rules 7.2.3 Input Rules 7.2.4 Penalty Rules 7.3 The Operational Level - Amenity Use 7.3.1 Boundary Rules 7.3.2 Allocation Rules 7.3.3 Input Rules 7.3.4 Penalty Rules 7.4 The Collective Choice Level 7.4.1 The Court of Verderers 7.4.2 Management of the Forest 7.4.3 Wildlife Management in the Forest 7.4.4 Amenity Use of the Forest 7.4.5 The New Forest Committee 7.4.6 The New Forest Consultative Panel 7.5 The Constitutional level 7.6 The External Management Environment CHAPTER EIGHT: Synthesis - Problems in & Threats to the Forest Increasing Amenity Use (& associated damage) Traffic (& animnal accidents) Property (housing & land) Nature conservation/management of land conflicts Economics of Commoning CHAPTER NINE: Development of the Analytical Framework for the Design of Institutional Arrangements The model The need for flexibility The importance of the physical and social characteristics of the common The evolution and development of institutions The ability of institutions to adapt Address hypothesis CHAPTER TEN: CONCLUSIONS - The Management of Common Land in England The Potential and Limitations of Self-governing Organisations Effective Partnerships Where does this go for NF? Commons? Modelling? I CHAPTER ONE: INTRODUCTION 1.0 BACKGROUND 1.1 LAND MANAGEMENT AND POLICY ANALYSIS Recent national and international evidence suggests that the environment has taken on new importance in the political agenda of many people. The success of the United Nations, in 1992, of enabling global debate on the environment at its Conference on Environment and Development (popularly known as the "Rio Earth Summit'') is testament to that new importance. The Conference, which brought more heads of state and government together than any previous meeting (178 government were represented), resulted in the signing of five separate agreements1 (Grubb et al.: 1993). Earlier, in 1989, Pearce et al. (1989:xiii) reported on the increasing importance of the environment in the perception of the European electorate (see Table 1.1). In Britain, the Government's White Paper, "This Common Inheritance" provoked widespread public interest on its publication in 1990. Greater understanding of the source of environmental problems and increased realisation of the long-term implications of environmental degradation have resulted in a higher profile for environmental issues. There is recognition that we require better information concerning the limitations of natural resources and the allocation of resources to specific uses. In our attempts to improve such understanding, it is crucial that we appreciate the way in which different uses of resources are controlled and managed. Agenda 21 of the Earth Summit reflects recognition of the need to explore alternative strategies for the management of natural resources. Koch and Grubb (1993:97) comment that, compared with other international conventions, "Agenda 21 contains far more about the nature of problems, aims, possible approaches and desirable policies." Of paramount importance in the debate over management of natural resources is the role of land ownership and management. Zuckerman et al. (1958:9) recognised that "since land is an essential feature of a nation's resources, the ownership and management of it are of utmost importance in the development and employment of resources" and continue that "policy-makers 1 Two legally binding conventions, the "Framework Convention on Climate Change" and the "Convention on Biological Diversity", and three, non-legaily binding agreements, "Agenda 21'"- an 'action plan' for sustainable development, the "Rio Declaration" - comprising 27 principles for guiding action on environment and development and "Forest Principles" (Grubb et al. :1993). 8 commissioned to build up, use and preserve resource are apt to overlook or disregard the fundamental fact that land is owned by private persons, institutions of various kinds and Government departments, each enjoying an individual and distinct proprietorship in land." 1.1.1 Property Rights and Self-Governing Organisations 'Property' as a concept is a social instrument used to define a flow of benefits. Property rights to land are social institutions which have evolved as a means of enforcing claims to that benefit stream: "a property right is a claim to a benefit stream that some higher body - usually the state - will agree to protect through the assignment of duty to others who may covet, or somehow interfere with, the benefit stream" (Bromley, 1992:4). By attaching rights to property, we show the intention to enforce duties of a potential user to observe restricted (or prohibited) access to and use of the resource. In some cases, state involvement in the use and management of resources is no more complex than the enforcement of a collection of private property rights. Proper definition of property rights allows them to be transferred between users through the mechanism of a market, or series of markets. State involvement through the enforcement of private property rights leaves control of the resource, in terms of decision making for its use and management, with the rights holder. However, the state can assume control over the resource by intervening in the definition and allocation of rights. Traditionally, we have tended to accept the need for government control of natural resources in Britain, at the national or local level.