Tragedy ARTICLE
The of the Commons
Garrett Hardin
At the end of a thoughtful article on the
future of nuclear war, Wiesner and York (1) concluded that: Both sides in the arms race are . . . confronted by the dilemma of steadily increasing military power and steadily decreasing national security. It is our considered professional judgment that this dilemma has no technical solution. If the great powers continue to look for solutions in the area of science and technology only, the result will be to worsen the situation. I would like to focus your attention not on the subject of the article (national security in a nuclear world) but on the kind of conclusion they reached, namely that there is no technical solution to the problem. An implicit and almost universal assumption of discussions published in professional and semipopular scientific journals is that the problem under discussion has a technical solution. A technical solution may be defined as one that requires a change only in the techniques of the natural sciences, demanding little or nothing in the way of change in human values or ideas of morality. In our day (though not in earlier times) technical solutions are always welcome. Because of previous failures in prophecy, it takes courage to assert that a desired technical solution is not possible. Wiesner and York exhibited this courage; publishing in a science journal, they insisted that the solution to the problem was not to be found in the natural sciences. They cautiously qualified their statement with the phrase, It is our considered professional judgment. . . . Whether they were right or not is not the concern of the present article. Rather, the concern here is with the important concept of a class of human problems which can be called no technical solution problems, and, more specifically, with the identification and discussion of one of these. It is easy to show that the class is not a null class. Recall the game of tick-tacktoe. Consider the problem, How can I win the game of tick-tack-toe? It is well known that I cannot, if I assume (in keeping with the conventions of game theory) that my opponent understands the game
The author is professor of biology, University of California, Santa Barbara. This article is based on a presidential address presented before the meeting of the Pacific Division of the American Association for the Advancement of Science at Utah State University, Logan, 25 June 1968.
perfectly. Put another way, there is no technical solution to the problem. I can win only by giving a radical meaning to the word win. I can hit my opponent over the head; or I can drug him; or I can falsify the records. Every way in which I win involves, in some sense, an abandonment of the game, as we intuitively understand it. (I can also, of course, openly abandon the gamerefuse to play it. This is what most adults do.) The class of No technical solution problems has members. My thesis is that the population problem, as conventionally conceived, is a member of this class. How it is conventionally conceived needs some comment. It is fair to say that most people who anguish over the population problem are trying to find a way to avoid the evils of overpopulation without relinquishing any of the privileges they now enjoy. They think that farming the seas or developing new strains of wheat will solve the problemtechnologically. I try to show here that the solution they seek cannot be found. The population problem cannot be solved in a technical way, any more than can the problem of winning the game of tick-tack-toe.
What Shall We Maximize?
Population, as Malthus said, naturally tends to grow geometrically, or, as we would now say, exponentially. In a finite world this means that the per capita share of the worlds goods must steadily decrease. Is ours a finite world? A fair defense can be put forward for the view that the world is infinite; or that we do not know that it is not. But, in terms of the practical problems that we must face in the next few generations with the foreseeable technology, it is clear that we will greatly increase human misery if we do not, during the immediate future, assume that the world available to the terrestrial human population is finite. Space is no escape (2). A finite world can support only a finite population; therefore, population growth must eventually equal zero. (The case of perpetual wide fluctuations above and below zero is a trivial variant that need not be discussed.) When this condition is met, what will be the situation of mankind? Specifically, can Benthams goal of the greatest good
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for the greatest number be realized? Nofor two reasons, each sufficient by itself. The first is a theoretical one. It is not mathematically possible to maximize for two (or more) variables at the same time. This was clearly stated by von Neumann and Morgenstern (3), but the principle is implicit in the theory of partial differential equations, dating back at least to DAlembert (1717 1783). The second reason springs directly from biological facts. To live, any organism must have a source of energy (for example, food). This energy is utilized for two purposes: mere maintenance and work. For man, maintenance of life requires about 1600 kilocalories a day (maintenance calories). Anything that he does over and above merely staying alive will be defined as work, and is supported by work calories which he takes in. Work calories are used not only for what we call work in common speech; they are also required for all forms of enjoyment, from swimming and automobile racing to playing music and writing poetry. If our goal is to maximize population it is obvious what we must do: We must make the work calories per person approach as close to zero as possible. No gourmet meals, no vacations, no sports, no music, no literature, no art. . . . I think that everyone will grant, without argument or proof, that maximizing population does not maximize goods. Benthams goal is impossible. In reaching this conclusion I have made the usual assumption that it is the acquisition of energy that is the problem. The appearance of atomic energy has led some to question this assumption. However, given an infinite source of energy, population growth still produces an inescapable problem. The problem of the acquisition of energy is replaced by the problem of its dissipation, as J. H. Fremlin has so wittily shown (4). The arithmetic signs in the analysis are, as it were, reversed; but Benthams goal is still unobtainable. The optimum population is, then, less than the maximum. The difficulty of defining the optimum is enormous; so far as I know, no one has seriously tackled this problem. Reaching an acceptable and stable solution will surely require more than one generation of hard analytical workand much persuasion. We want the maximum good per person; but what is good? To one person it is wilderness, to another it is ski lodges for thousands. To one it is estuaries to nourish ducks for hunters to shoot; to another it is factory land. Comparing one good with another is, we usually say, impossible because goods are incommensurable. Incommensurables cannot be compared.
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Theoretically this may be true; but in real life incommensurables are commensurable. Only a criterion of judgment and a system of weighting are needed. In nature the criterion is survival. Is it better for a species to be small and hideable, or large and powerful? Natural selection commensurates the incommensurables. The compromise achieved depends on a natural weighting of the values of the variables. Man must imitate this process. There is no doubt that in fact he already does, but unconsciously. It is when the hidden decisions are made explicit that the arguments begin. The problem for the years ahead is to work out an acceptable theory of weighting. Synergistic effects, nonlinear variation, and difficulties in discounting the future make the intellectual problem difficult, but not (in principle) insoluble. Has any cultural group solved this practical problem at the present time, even on an intuitive level? One simple fact proves that none has: there is no prosperous population in the world today that has, and has had for some time, a growth rate of zero. Any people that has intuitively identified its optimum point will soon reach it, after which its growth rate becomes and remains zero. Of course, a positive growth rate might be taken as evidence that a population is below its optimum. However, by any reasonable standards, the most rapidly growing populations on earth today are (in general) the most miserable. This association (which need not be invariable) casts doubt on the optimistic assumption that the positive growth rate of a population is evidence that it has yet to reach its optimum. We can make little progress in working toward optimum population size until we explicitly exorcize the spirit of Adam Smith in the field of practical demography. In economic affairs, The Wealth of Nations (1776) popularized the invisible hand, the idea that an individual who intends only his own gain, is, as it were, led by an invisible hand to promote . . . the public interest (5). Adam Smith did not assert that this was invariably true, and perhaps neither did any of his followers. But he contributed to a dominant tendency of thought that has ever since interfered with positive action based on rational analysis, namely, the tendency to assume that decisions reached individually will, in fact, be the best decisions for an entire society. If this assumption is correct it justifies the continuance of our present policy of laissezfaire in reproduction. If it is correct we can assume that men will control their individual fecundity so as to produce the optimum population. If the assumption is not correct, we need to reexamine our individual freedoms to see which ones are defensible.
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Tragedy of Freedom in a Commons
The rebuttal to the invisible hand in population control is to be found in a scenario first sketched in a little-known pamphlet (6) in 1833 by a mathematical amateur named William Forster Lloyd (17941852). We may well call it the tragedy of the commons, using the word tragedy as the philosopher Whitehead used it (7): The essence of dramatic tragedy is not unhappiness. It resides in the solemnity of the remorseless working of things. He then goes on to say, This inevitableness of destiny can only be illustrated in terms of human life by incidents which in fact involve unhappiness. For it is only by them that the futility of escape can be made evident in the drama. The tragedy of the commons develops in this way. Picture a pasture open to all. It is to be expected that each herdsman will try to keep as many cattle as possible on the commons. Such an arrangement may work reasonably satisfactorily for centuries because tribal wars, poaching, and disease keep the numbers of both man and beast well below the carrying capacity of the land. Finally, however, comes the day of reckoning, that is, the day when the long-desired goal of social stability becomes a reality. At this point, the inherent logic of the commons remorselessly generates tragedy. As a rational being, each herdsman seeks to maximize his gain. Explicitly or implicitly, more or less consciously, he asks, What is the utility to me of adding one more animal to my herd? This utility has one negative and one positive component. 1) The positive component is a function of the increment of one animal. Since the herdsman receives all the proceeds from the sale of the additional animal, the positive utility is nearly 1. 2) The negative component is a function of the additional overgrazing created by one more animal. Since, however, the effects of overgrazing are shared by all the herdsmen, the negative utility for any particular decision-making herdsman is only a fraction of 1. Adding together the component partial utilities, the rational herdsman concludes that the only sensible course for him to pursue is to add another animal to his herd. And another; and another. . . . But this is the conclusion reached by each and every rational herdsman sharing a commons. Therein is the tragedy. Each man is locked into a system that compels him to increase his herd without limitin a world that is limited. Ruin is the destination toward which all men rush, each pursuing his own best interest in a society that believes in the freedom of the commons. Freedom in a commons
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brings ruin to all. Some would say that this is a platitude. Would that it were! In a sense, it was learned thousands of years ago, but natural selection favors the forces of psychological denial (8). The individual benefits as an individual from his ability to deny the truth even though society as a whole, of which he is a part, suffers. Education can counteract the natural tendency to do the wrong thing, but the inexorable succession of generations requires that the basis for this knowledge be constantly refreshed. A simple incident that occurred a few years ago in Leominster, Massachusetts, shows bow perishable the knowledge is. During the Christmas shopping season the parking meters downtown were covered with plastic bags that bore tags reading: Do not open until after Christmas. Free parking courtesy of the mayor and city council. In other words, facing the prospect of an increased demand for already scarce space. the city fathers reinstituted the system of the commons. (Cynically, we suspect that they gained more votes than they lost by this retrogressive act.) In an approximate way, the logic of the commons has been understood for a long time, perhaps since the discovery of agriculture or the invention of private property in real estate. But it is understood mostly only in special cases which are not sufficiently generalized. Even at this late date, cattlemen leasing national land on the western ranges demonstrate no more than an ambivalent understanding, in constantly pressuring federal authorities to increase the head count to the point where overgrazing produces erosion and weed-dominance. Likewise, the oceans of the world continue to suffer from the survival of the philosophy of the commons. Maritime nations still respond automatically to the shibboleth of the freedom of the seas. Professing to believe in the inexhaustible resources of the oceans, they bring species after species of fish and whales closer to extinction (9). The National Parks present another instance of the working out of the tragedy of the commons. At present, they are open to all, without limit. The parks themselves are limited in extentthere is only one Yosemite Valleywhereas population seems to grow without limit. The values that visitors seek in the parks are steadily eroded. Plainly, we must soon cease to treat the parks as commons or they will be of no value to anyone. What shall we do? We have several options. We might sell them off as private property. We might keep them as public property, but allocate the right to enter them. The allocation might be on the basis
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of wealth, by the use of an auction system. It might be on the basis of merit, as defined by some agreed-upon standards. It might be by lottery. Or it might be on a first-come, first-served basis, administered to long queues. These, I think, are all the reasonable possibilities. They are all objectionable. But we must choose or acquiesce in the destruction of the commons that we call our National Parks.
How To Legislate Temperance?
Analysis of the pollution problem as a function of population density uncovers a not generally recognized principle of morality, namely: the morality of an act is a function of the state of the system at the time it is performed (10). Using the commons as a cesspool does not harm the general public under frontier conditions, because there is no public, the same behavior in a metropolis is unbearable. A hundred and fifty years ago a plainsman could kill an American bison, cut out only the tongue for his dinner, and discard the rest of the animal. He was not in any important sense being wasteful. Today, with only a few thousand bison left, we would be appalled at such behavior. In passing, it is worth noting that the morality of an act cannot be determined from a photograph. One does not know whether a man killing an elephant or setting fire to the grassland is harming others until one knows the total system in which his act appears. One picture is worth a thousand words, said an ancient Chinese; but it may take 10,000 words to validate it. It is as tempting to ecologists as it is to reformers in general to try to persuade others by way of the photographic shortcut. But the essense of an argument cannot be photographed: it must be presented rationallyin words. That morality is system-sensitive escaped the attention of most codifiers of ethics in the past. Thou shalt not . . . is the form of traditional ethical directives which make no allowance for particular circumstances. The laws of our society follow the pattern of ancient ethics, and therefore are poorly suited to governing a complex, crowded, changeable world. Our epicyclic solution is to augment statutory law with administrative law. Since it is practically impossible to spell out all the conditions under which it is safe to burn trash in the back yard or to run an automobile without smog-control, by law we delegate the details to bureaus. The result is administrative law, which is rightly feared for an ancient reasonQuis custodiet ipsos custodes?Who shall watch the watchers themselves? John Adams said that we must have a government of laws and not men. Bureau administrators, trying to evaluate the morality of acts in the total system, are singularly liable to corruption, producing a government by men, not laws. Prohibition is easy to legislate (though not necessarily to enforce); but how do we legislate temperance? Experience indicates that it can be accomplished best through the mediation of administrative law. We limit possibilities unnecessarily if we suppose that the sentiment of Quis custodiet denies us the
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use of administrative law. We should rather retain the phrase as a perpetual reminder of fearful dangers we cannot avoid. The great challenge facing us now is to invent the corrective feedbacks that are needed to keep custodians honest. We must find ways to legitimate the needed authority of both the custodians and the corrective feedbacks.
Freedom To Breed Is Intolerable
The tragedy of the commons is involved in population problems in another way. In a world governed solely by the principle of dog eat dogif indeed there ever was such a world how many children a family had would not be a matter of public concern. Parents who bred too exuberantly would leave fewer descendants, not more, because they would be unable to care adequately for their children. David Lack and others have found that such a negative feedback demonstrably controls the fecundity of birds (11). But men are not birds, and have not acted like them for millenniums, at least. If each human family were dependent only on its own resources; if the children of improvident parents starved to death; if, thus, overbreeding brought its own punishment to the germ linethen there would be no public interest in controlling breeding the of families. But our society is deeply committed to the welfare state (12), and hence is confronted with another aspect of the tragedy of the commons. In a welfare state, how shall we deal with the family, the religion, the race, or the class (or indeed any distinguishable and cohesive group) that adopts overbreeding as a policy to secure its own aggrandizement (13)? To couple the concept of freedom to breed with the belief that everyone born has an equal right to the commons is to lock the world into a tragic course of action. Unfortunately this is just the course of action that is being pursued by the United Nations. In late 1967, some 30 nations agreed to the following (14):
The Universal Declaration of Human Rights describes the family as the natural and fundamental unit of society. It follows that any choice and decision with regard to the size of the family must irrevocably rest with the family itself, and cannot be made by anyone else.
Pollution
In a reverse way, the tragedy of the commons reappears in problems of pollution. Here it is not a question of taking something out of the commons, but of putting something in sewage, or chemical, radioactive, and heat wastes into water; noxious and dangerous fumes into the air, and distracting and unpleasant advertising signs into the line of sight. The calculations of utility are much the same as before. The rational man finds that his share of the cost of the wastes he discharges into the commons is less than the cost of purifying his wastes before releasing them. Since this is true for everyone, we are locked into a system of fouling our own nest, so long as we behave only as independent, rational, free-enterprisers. The tragedy of the commons as a food basket is averted by private property, or something formally like it. But the air and waters surrounding us cannot readily be fenced, and so the tragedy of the commons as a cesspool must be prevented by different means, by coercive laws or taxing devices that make it cheaper for the polluter to treat his pollutants than to discharge them untreated. We have not progressed as far with the solution of this problem as we have with the first. Indeed, our particular concept of private property, which deters us from exhausting the positive resources of the earth, favors pollution. The owner of a factory on the bank of a streamwhose property extends to the middle of the stream, often has difficulty seeing why it is not his natural right to muddy the waters flowing past his door. The law, always behind the times, requires elaborate stitching and fitting to adapt it to this newly perceived aspect of the commons. The pollution problem is a consequence of population. It did not much matter how a lonely American frontiersman disposed of his waste. Flowing water purifies itself every 10 miles, my grandfather used to say, and the myth was near enough to the truth when he was a boy, for there were not too many people. But as population became denser, the natural chemical and biological recycling processes became overloaded, calling for a redefinition of property rights.
It is painful to have to deny categorically the validity of this right; denying it, one feels as uncomfortable as a resident of Salem, Massachusetts, who denied the reality of witches in the 17th century. At the present time, in liberal quarters, something like a taboo acts to inhibit criticism of the United Nations. There is a feeling that the United Nations is our last and best hope, that we shouldnt find fault with it; we shouldnt play
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into the hands of the archconservatives. However, let us not forget what Robert Louis Stevenson said: The truth that is suppressed by friends is the readiest weapon of the enemy. If we love the truth we must openly deny the validity of the Universal Declaration of Human Rights, even though it is promoted by the United Nations. We should also join with Kingsley Davis (15) in attempting to get Planned Parenthood-World Population to see the error of its ways in embracing the same tragic ideal.
Conscience Is Self-Eliminating
It is a mistake to think that we can control the breeding of mankind in the long run by an appeal to conscience. Charles Galton Darwin made this point when he spoke on the centennial of the publication of his grandfathers great book. The argument is straightforward and Darwinian. People vary. Confronted with appeals to limit breeding, some people will undoubtedly respond to the plea more than others. Those who have more children will produce a larger fraction of the next generation than those with more susceptible consciences. The difference will be accentuated, generation by generation. In C. G. Darwins words: It may well be that it would take hundreds of generations for the progenitive instinct to develop in this way, but if it should do so, nature would have taken her revenge, and the variety Homo contracipiens would become extinct and would be replaced by the variety Homo progenitivus (16). The argument assumes that conscience or the desire for children (no matter which) is hereditary but hereditary only in the most general formal sense. The result will be the same whether the attitude is transmitted through germ cells, or exosomatically, to use A. J. Lotkas term. (If one denies the latter possibility as well as the former, then whats the point of education?) The argument has here been stated in the context of the population problem, but it applies equally well to any instance in which society appeals to an individual exploiting a commons to restrain himself for the general good by means of his conscience. To make such an appeal is to set up a selective system that works toward the elimination of conscience from the race.
Pathogenic Effects of Conscience
The long-term disadvantage of an appeal to conscience should be enough to condemn it; but has serious short-term disadvantages as well. If we ask a man who is exploiting a commons to desist in the name of con12431248 SCIENCE
science, what are we saying to him? What does he hear? not only at the moment but also in the wee small hours of the night when, half asleep, he remembers not merely the words we used but also the nonverbal communication cues we gave him unawares? Sooner or later, consciously or subconsciously, he senses that he has received two communications, and that they are contradictory: (i) (intended communication) If you dont do as we ask, we will openly condemn you for not acting like a responsible citizen; (ii) (the unintended communication) If you do behave as we ask, we will secretly condemn you for a simpleton who can be shamed into standing aside while the rest of us exploit the commons. Everyman then is caught in what Bateson has called a double bind. Bateson and his co-workers have made a plausible case for viewing the double bind as an important causative factor in the genesis of schizophrenia (17). The double bind may not always be so damaging, but it always endangers the mental health of anyone to whom it is applied. A bad conscience, said Nietzsche, is a kind of illness. To conjure up a conscience in others is tempting to anyone who wishes to extend his control beyond the legal limits. Leaders at the highest level succumb to this temptation. Has any President during the past generation failed to call on labor unions to moderate voluntarily their demands for higher wages, or to steel companies to honor voluntary guidelines on prices? I can recall none. The rhetoric used on such occasions is designed to produce feelings of guilt in noncooperators. For centuries it was assumed without proof that guilt was a valuable, perhaps even an indispensable, ingredient of the civilized life. Now, in this post-Freudian world, we doubt it. Paul Goodman speaks from the modern point of view when he says: No good has ever come from feeling guilty, neither intelligence, policy, nor compassion. The guilty do not pay attention to the object but only to themselves, and not even to their own interests, which might make sense, but to their anxieties (18). One does not have to be a professional psychiatrist to see the consequences of anxiety. We in the Western world are just emerging from a dreadful two-centurieslong Dark Ages of Eros that was sustained partly by prohibition laws, but perhaps more effectively by the anxiety-generating mechanism of education. Alex Comfort has told the story well in The Anxiety Makers (19); it is not a pretty one. Since proof is difficult, we may even concede that the results of anxiety may sometimes, from certain points of view, be
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desirable. The larger question we should ask is whether, as a matter of policy, we should ever encourage the use of a technique the tendency (if not the intention) of which is psychologically pathogenic. We hear much talk these days of responsible parenthood; the coupled words are incorporated into the titles of some organizations devoted to birth control. Some people have proposed massive propaganda campaigns to instill responsibility into the nations (or the worlds) breeders. But what is the meaning of the word responsibility in this context? Is it not merely a synonym for the word conscience? When we use the word responsibility in the absence of substantial sanctions are we not trying to browbeat a free man in a commons into acting against his own interest? Responsibility is a verbal counterfeit for a substantial quid pro quo. It is an attempt to get something for nothing. If the word responsibility is to be used at all, I suggest that it be in the sense Charles Frankel uses it (20). Responsibility, says this philosopher, is the product of definite social arrangements. Notice that Frankel calls for social arrangementsnot propaganda.
Mutual Coercion Mutually Agreed upon
The social arrangements that produce responsibility are arrangements that create coercion, of some sort. Consider bank-robbing. The man who takes money from a bank acts as if the bank were a commons. How do we prevent such action? Certainly not by trying to control his behavior solely by a verbal appeal to his sense of responsibility. Rather than rely on propaganda we follow Frankels lead and insist that a bank is not a commons; we seek the definite social arrangements that will keep it from becoming a commons. That we thereby infringe on the freedom of would-be robbers we neither deny nor regret. The morality of bank-robbing is particularly easy to understand because we accept complete prohibition of this activity. We are willing to say Thou shalt not rob banks, without providing for exceptions. But temperance also can be created by coercion. Taxing is a good coercive device. To keep downtown shoppers temperate in their use of parking space we introduce parking meters for short periods, and traffic fines for longer ones. We need not actually forbid a citizen to park as long as he wants to; we need merely make it increasingly expensive for him to do so. Not prohibition, but carefully biased options are what we offer him. A Madison Avenue man might call this persuasion; I prefer the greater candor of the word coercion.
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Coercion is a dirty word to most liberals now, but it need not forever be so. As with the four-letter words, its dirtiness can be cleansed away by exposure to the light, by saying it over and over without apology or embarrassment. To many, the word coercion implies arbitrary decisions of distant and irresponsible bureaucrats; but this is not a necessary part of its meaning. The only kind of coercion I recommend is mutual coercion, mutually agreed upon by the maj...