Environmental Science and Engineering Subseries: Environmental Science Series Editors: R. Allan U. Förstner W. Salomons

Environmental Science and Engineering Subseries: Environmental Science Series Editors: R. Allan U. Förstner W. Salomons

in cooperation with: Christoph Bättig, Wyn Grant, Corinne Larrue, Anthony Perl, Stéphane Nahrath, Kathrin Peter, Franziska Teuscher, Frédéric Varone, Helmut Weidner, Willi Zimmermann and many others Environmental Policy Analyses Learning from the Past for the Future - 25 Years of Research With 41 Figures

AUTHOR: PROF. PETER KNOEPFEL IDHEAP RTE DE LA MALADIÈRE 21 CH-1022 CHAVANNES SWITZERLAND E-mail: Peter.Knoepfel@idheap.unill.ch ISSN 1863-5520 ISBN 10 3-540-73148-2 Springer Berlin Heidelberg New York ISBN 13 978-3-540-73148-1 Springer Berlin Heidelberg New York Library of Congress Control Number: 2007929275 This work is subject to copyright. All rights are reserved, whether the whole or part of the material is concerned, specifically the rights of translation, reprinting, reuse of illustrations, recitation, broadcasting, reproduction on microfilm or in any other way, and storage in data banks. Duplication of this publication or parts thereof is permitted only under the provisions of the German Copyright Law of September 9, 1965, in its current version, and permission for use must always be obtained from Springer-Verlag. Violations are liable to prosecution under the German Copyright Law. Springer is a part of Springer Science+Business Media springeronline.com Springer-Verlag Berlin Heidelberg 2007 The use of general descriptive names, registered names, trademarks, etc. in this publication does not imply, even in the absence of a specific statement, that such names are exempt from the relevant protective laws and regulations and therefore free for general use. Cover design: E. Kirchner, Heidelberg Production: A. Oelschläger Typesetting: Camera-ready by the Author Printed on acid-free paper 30/2132/AO 543210

Preface Having had the opportunity of receiving considerable public money (mainly from the Swiss National Science Foundation) for numerous environmental policy studies in Switzerland and abroad during the last 25 years, I have decided to put the results published mainly in German and French but also in English in many scientific journals, monographs and book sections in a single book on behalf of my students, younger scholars interested in policy analysis dating from the period of the first environmental policies, and my friends teaching this subject in Switzerland and abroad. The criteria used to select the fifteen contributions were their impact on the scientific debate at the time of their publication, their validity for present conceptualizations of policy analysis in the field of the environment, and their contribution to the development of policy analysis as a whole 1. Moreover, the selected contributions mainly focus on empirical applications in the field of environmental policies or the interface between environmental and non-environmental policies. Some have led to concrete policy recommendations of which most have been partly implemented since, at least within my own country. This research also sometimes addressed regional political administrative arrangements leading to administrative reforms and new strategic directions of implementing agencies. Last but not least, the common denominator of the four sections is continuity and change. Although the book deals with the past, the selected works should contribute to present and future conceptualizations of transformed environmental policies to be analyzed within the larger context of new concepts in sustainable regulation of natural resource use. The concepts for such enlarged analysis, which are presently under way not only in our institute but also in many other academic bodies, will constitute the core of the next book on actual changes in policy analysis having taken 1 Refer to the original manual written in French (Knoepfel, P., Larrue, C., Varone, F. 2001. Analyse et pilotage des politiques publiques. Bâle: Helbing & Lichtenhahn (série Analyse des politiques publiques / Politikanalyse no 2); 2nd edition: Knoepfel, P., Larrue, C., Varone, F. 2006. Analyse et pilotage des politiques publiques. Zurich/Coire: Rüegger Verlag (série Analyse des politiques publiques / Politikanalyse no 2 2ème édition). This book will also appear in a Spanish (co-author: Joan Subirats), a British (co-author Michael Hill), a German (co-authors Adrian Vatter, Christoph Knill), and a Mexican version (coauthors Miriam Hinojosa and Roberto Garza Leonard) in 2007 and 2008.

place in the first decades of this third millennium in the field of natural resources. Scientific research is a collective work in which many people normally are involved. This book is a good example because not only are half of the contributions co-authored but all of them stem from fruitful exchanges between various research teams formed by the anonymous author many others. These include former assistants working at my chair 2, colleagues of the international comparative research network of the SO 2 -study 3, colleagues of European study groups 4, and again many others. 18th October 2006 2 Such as Corinne Larrue (1983 1986), Rita Imhof (1990 1992), Martin Benninghoff (1993 1998), Ingrid-Kissling-Näf (1990 1995), Frédéric Varone (1997 1999), Jérôme Savary (since 2001-2007), Serge Terribilini (1995 1998), Sonja Wälti (1995 1997), Corine Mauch (2000 2002), Emmanuel Reynard (1999 2002), Kurt Bisang (1999-2002), Stéphane Nahrath (since 1999). 3 Meinof Dierkes, Helmut Weidner, Kenneth Hanf, Volker Prittwitz, Helmut Schreiber, Robert Klammer (Germany), Michael Hill, Particia Garrard (Great Britain), Corinne Larrue, Richard Darbéra, Henrique Magalhas (France), Bruno Dente, Rodolfo Lewanski (Italy), Theo van der Tak, Theo Toonen (Netherlands). 4 Environmental policy instruments (European Science Foundation 1990 92): Bruno Dente, Angela Liberatore (Italy), Helmut Weidner (Germany), Corinne Larrue (France), Joan Subirats (Spain), Hans Bressers, Peter Jan Klok (Netherlands), James Cameron (Great Britain); members of the concerted action Ecological state 4th framework programme of the European Union (1996 1998): Corinne Larrue (France), Joan Subirats (Spain), Hans Bressers (Netherlands), Lennart J. Lundqvist (Sweden) or the European project Euwareness (2000 02), 5th framework programme: Hans Bressers, Stefan Kuks (Netherlands), David Aubin, Frédéric Varone (Belgium), Corinne Larrue, Jean-Marc Dziedzizki (France), Meritxell Costejà, Nuria Font, Joan Subirats (Spain), Bruno Dente, Alessandria Goria, Nicola Lugaresi (Italy), Ingrid Kissling-Näf, Corine Mauch, Emmanuel Reynard, Adèle Thorens (Switzerland)

Section I: Classics still valid?...1 1 Environmental Policy (2002)...7.1 Major environmental problems in the early 21st century...7 1.2 Environmental policy: a general definition...9 1.3 A brief history of environmental policy...9 1.4 Environmental politics...12 1.5 Environmental policies...13 1.6 International comparisons...14 1.7 Current problems facing environmental policy...17 References...20 2 Approaches to an Effective Framework for Environmental Management (1993)...23 Forword...23 2.1 The main participants...24 2.2 Preparing the scientific basis...30 2.3 The management programme...33 2.4 Management structures...36 2.5 Implementation...44 2.6 Conclusion...49 References...50 3 Formulation and Implementation of Air Quality Control Programmes: Patterns of Interest Consideration (1982)...53, Helmut Weidner 3.1 Introduction...53 3.2 Problem structure and programme needs in SO2 pollution control plicies...55 3.3 Structures of actors and interests...58 3.4 programme structure...61 3.5 Full national programme (type 1): handling of interests through the formulation of inner and outer programme shells...63 3.6 Partial programme (type 2 ): policy of flexible control relationships...67

VIII 3.7 Rump programme (type 3): central minimal programme - policy of quasi autonomous programme formation and harmonization at the base...71 3.8 Conclusion...77 References...77 4 Explaining Differences in the Performance of Clean Air Policies: An International and Interregional Comparative Study (1986)...81, Helmut Weidner 4.1 The concept...81 4.2 The different performance levels of the 14 regional implementation systems...89 4.3 Cross-national comparison of the independent variables...93 4.4 Conclusions: comparison of the explanatory patterns of the 14 regional implementation systems...99 4.5 Recommendations...101 References...103 Section II: Institutional Change...107 5 Evaluation of the Federal Office of Environmental Protection : Across Two Levels of Government (1996)... 111 Willi Zimmermann, 5.1 Point of departure: policy orientation replaces the business management approach... 111 5.2 Execution of the evaluation... 114 5.3 Difficulties encountered in the implementation of scientific evaluation in federal contexts... 115 5.4 Some results... 118 5.5 Some lessons learned...124 References...129 6 New Institutional Arrangements for a New Generation of Environmental Policy Instruments: Intra- and Interpolicy Co-operation (1995)...131 6.1 Introduction...131 6.2 The new potential spectrum of instruments and its price...133

IX 6.3 The empirical background: analyses and recommendations regarding the restructuring of the Swiss Federal Office of the Environment, Forests and Landscapes (BUWAL/FOEFL)...138 6.4 Scenarios for future rearrangements...147 6.5 Comments on the scenarios regarding their political implications and their contribution to improving the instruments of environmental policy...161 6.6 Concluding remarks...172 References...173 7 Regulatory Change and Institutional Rearrangement: Building New Policy Arenas for Ecologization of Agriculture, A Comparative Analysis of Programmes in France and Switzerland (1987)...177, Corinne Larrue, Willi Zimmermann 7.1 Raising the question...177 7.2 Conceptual elements for explanatory analysis a three-phase model...183 7.3 Ecologization in the field of water protection regulations. The case of Switzerland...197 7.4 Green vegetables and lettuce: a third comparison...213 7.5 Some comparative hypotheses about the conditions for ecologization processes in agriculture...221 7.6 Concluding remarks...226 References...227 Section III: Emergence of New Analytical Concepts...235 8 Distributional Issues in Regulatory Policy Implementation the Case of Air Quality Control Policies (1986)...239 8.1 Distributional issues in regulator policies introductory overview...239 8.2 Distribution through implementation of air quality control policies in Italy and France...242 8.3 Implementation policy as a quasi distributional policy...248 8.4 Conclusions...254 References...256

X 9 A Policy Monitoring Concept for Promoting the Conservation of Biodiversity (2001)...259 Christoph Bättig,, Kathrin Peter, Franziska Teuscher Summary...259 9.1 Introduction...259 9.2. Policy products and environmental states: the basic elements of an integrated policy and environment monitoring system...262 9.3 Integrated policy and environment monitoring versus success monitoring/evaluation...277 9.4. Outlook...291 9.5. Conclusion...299 References...299 10 Environmental Capacity Building in Switzerland (1997)...303 10.1 The main environmental problems and improvements since 1970...303 10.2 The development of environmental policy and the main regulations...308 10.3 The capacity of proponents of environmental policy...315 10.4 The changing constellation of proponents...322 10.5 Capacity-building...325 10.6 Capacity for what?...328 References...329 11 Ecobusiness and the State-Analysis and Scenarios (1996)...331 11.1 Introduction...331 11.2 The basic model...333 11.3 Four scenarios based on the hypothesis concerning changes in the positions of the main environmental policy actors...343 11.4 Three scenarios based on the hypothesis of the weakening of ecobusiness...353 11.5 Futuristic scenarios...359 References...361

XI Section IV: New Readings for the 3rd Millenium...365 12 Rationality Changes in Clean Air Policies (1960-2000) (2000)...369 12.1 Background...371 12.2 Definition of the six basic elements...373 12.3 Different clean air policy rationalities...379 12.4 Summary and conclusions...393 References...395 13 Institution Building for Sustainable Urban Mobility Policies (1999)...399 Wyn Grant,, Anthony Perl 13.1 Defining sustainable urban mobility...400 13.2 A new problem definition...403 13.3 Building new institutional frameworks......413 13.4 capable of using new sets of policy instruments...417 13.5 and to facilitate policy learning...421 References...425 14 Natural Resource Quotas and Contracts A New Institutional Regime for our Common Resources (2000)...429 14.1 Introduction about sustainability...429 14.2 The changing paradigm: adding resource management to environmental protection...431 14.3 Public policies and natural resources...434 14.4 A new institutional regime for governing natural resources: the natural resource quotas...438 14.5 The natural resource contract (NRC)...443 14.6. The governance of natural resource quota systems...445 14.7 Concluding discussion...447 References...450 15 Insitutitional Regimes for Natural Resources: An Innovative Theoretical Framework for Sustainability (2007)...455, Stéphane Nahrath, Frédéric Varone 15.1 The limits of traditional environmental policies...457 15.2. A resource-based approach of sustainability...460 15.3 Institutional regimes for natural resources (IRR): theoretical bases...469 15.4 The IRR concept and its operationalization...474

XII 15.5 Empirical applications...491 15.6 Conclusions...498 References...499