Policy analysis and recommendations Guangzhou Project Meeting, 9-13 April 2007

Policy analysis and recommendations Guangzhou Project Meeting, 9-13 April 2007 Marleen Brans Project Leader Marleen.Brans@soc.kuleuven.be Laurent Van Depoele Laurent.VanDepoele@arts.kuleuven.be Research Officer Gianluca.Ferraro@soc.kuleuven.be

- Faculty of Social Sciences, (KUL), http://soc.kuleuven.be/io/eng - Research projects for the Belgian and Flemish governments; EU Projects (FP6, Social Fund) - Staff of approximately 30 people; 2 persons involved in ECOST (WP10 and WP11) Marleen Brans Project Leader Marleen.Brans@soc.kuleuven.be Research Officer Gianluca.Ferraro@soc.kuleuven.be Laurent Van Depoele (Institute for International and European Policy) Laurent.VanDepoele@arts.kuleuven.be

Contents 1. WP10 and WP11 2. Research questions and added value 3. Conceptual framework Implementation 4. Methodology 5. Time chart 6. Questions

Work Package 10 KUL RPEs WP10.1.1.1.B / Inventory of the institutional and legal framework for fisheries management at international al level WP10.1.1 / Assessment of the existing policy context for fishery at international, regional and national scale, and of the interactions between the three levels WP10.1.2 / Assessment of existing public policies vs. WSSD Plan of Implementation WP10.1.1.1.A / Inventory of the institutional and legal framework for fisheries management at regional level WP10.1.1.2 / Inventory of national fisheries policies and of actors involved in the policy field for Senegal, China and Dominican Republic WP10.1 / Analysis of present-day public policies for fisheries management, of their sustainability and of their national-international interactions WP10.2 / Analysis of the coherence between national fishery policies and the post- 1992 policies for environment and natural resources protection (Senegal, China and Dominican Republic) WP10.2.A / Inventory of post-1992 policies related to fisheries (e.g., environment, natural resources protection, etc.) in Senegal, China and Dominican Republic WP10.3 / Assessment of the impact of CCRF and similar tools on national policymaking WP10.3.1 / Assessment of the transposition and impact of CCRF on national policy making WP10.3.2 / Assessment of the transposition and impact of other international rules/tools on national policy making

Research questions 1. Implementation of CCRF and WSSD in developing countries National transposition of international regime s objectives? National execution s achievements? Reasons for implementation deficit? 2. Lessons learned? Paths to improved implementation? Gaps in these instruments? Hønneland, G. and Jørgensen, A.-K. (2002) Implementing international fisheries agreement in Russia Lessons from the northern basin, in Marine Policy, Vol. 26, pp. 359-367.

Added value 1. Time: Long time span (20 years) 2. Method: Cross-national comparative analysis 3. Context: Developing countries 4. Unit: International regimes (vs. National policies) 5. Stage: Implementation (vs. Regime formation) O Toole, L. J. Jr. (2000) Research on Policy Implementation: Assessment and Prospects, in Journal of Public Administration Research and Theory, Vol. 10, No. 2, pp. 263-288. Young, O. R. and Levy, M. A. (1999) The Effectiveness of International Environmental Regimes, in Young, O. R. (ed.) The Effectiveness of International Environmental Regimes Causal Connections and Behavioural Mechanisms, The MIT Press, Cambridge and London.

Conceptual framework Policy Implementation Implementation theory International regimes Regime theory EU compliance Implementation Participatory governance Policy coherence National implementation of the international fisheries regime Regimes Institutional interaction Regional Cooperation Fishery management Ecosystem Approach to Fisheries Marine Protected Areas Fishery Control Legislation

Implementation theory Top-down approach Clarity of objectives: Van Meter and Van Horn (1975), Sabatier and Mazmanian (1979), Sabatier (1980), Hogwood and Gunn (1985) Causal theory: Pressman and Wildavsky (1973), Sabatier (1980), Hogwood and Gunn (1985) Clear implementation structure: Sabatier and Mazmanian (1979) Amount of resources: Van Meter and Van Horn (1975), Sabatier and Mazmanian (1979), Sabatier (1980), Hogwood and Gunn (1985) Institutional disposition: Van Meter and Van Horn (1975), Sabatier and Mazmanian (1979), Sabatier (1980), Hogwood and Gunn (1985) Leadership: Hogwood and Gunn (1985) Bottom-up approach Inter-organizational coordination: Lipsky (1980), Sabatier (1986), Barrett and Fudge (1981), Hjern and Hull (1982) Support by target groups: Barrett and Fudge (1981), Hjern and Hull (1982) Synthesizers Vertical integration: Ripley and Franklin (1982), Goggin and Bowmann (1990) Policy coordination: Ripley and Franklin (1982) Other variables Policy environment (socio-economic conditions, political will, etc.): Van Meter and Van Horn (1975), Sabatier and Mazmanian (1979), Sabatier (1980), Ripley and Franklin (1982) Characteristics of the policy field: Van Meter and Van Horn (1975) Tractability of the problem addressed: Sabatier (1980) Changes to the system: Van Meter and Van Horn (1975) Symmetry of arenas: Kellow (1997)

Proposed systematization Policy content -Policy characteristics (Policy type, Policy issue) -Policy objectives (Clarity, Change, Institutional disposition) -Policy design (Causal assumption, Implementation framework) -Policy arenas Integrative capacity -Inter-organizational collaboration -Vertical integration -Participatory governance -Policy coherence Policy resources -Financial, Human, Organizational aspects (and Leadership) -Information and awareness -Time Policy environment -Socio-economic conditions and culture -Political system and Political will -Other events and breaks (war, natural disaster, etc.)

Implementation deficit model Policy conflicts Integrative capacity Policy environment Policy resources Policy content Policy rationalization

Methodology Policy achievement analysis Policy execution analysis Policy recommendations Lane, J-E. (1995) The Public Sector Concepts, Models and Approaches, SAGE Publications Ltd, London.

Policy achievement analysis International level National context CCRF + WSSD International output Regional output Policy objectives - Goal Function - Outcome (actors behaviour) Output (national acts) National enactment National execution Empirical data from regions and countries taken as case studies State-of-the-art of current fishery policy at regional and national level (policy outputs and outcomes achieved, and relationship) - Causal function - Implementation deficit (level of achievement) - Accomplishment function - Implementation failure Implementation success

International Fisheries Regime (IFR) UN Convention on the Law of the Sea (1982-1994) United Nations Conference on Environment and Development (1992) Convention on Biological Diversity (1992, 1993) Agenda 21 (1992) Jakarta Mandate (1995) UN Fish Stocks Agreement (1995-2001) Code of Conduct for Responsible Fishery (1995) and International Plans of Action (1999, 2001) Compliance Agreement (1993, 1995) Reykjavik Declaration on Responsible Fisheries in the Marine Ecosystem (2001) WSSD Plan of Implementation (Johannesburg, 2002)

Policy objectives in the IFR EAF MPAs FC PG PC RC Before 1995 UN Convention on the Law of the Sea (1982, 1994) X - X UN Fish Stocks Agreement (1995, 2001) X X Agenda 21 (1992) X X X X Convention on Biological Diversity (1992) X X X Jakarta Mandate (1995) X X Code of Conduct for Responsible Fishery (1995) and IPOAs (1999, 2001) X X X X Compliance Agreement about Fishing Vessels on the High Seas (1993, 1995) X X Reykjavik Declaration on Responsible Fisheries in the Marine Ecosystem (2001) X WSSD Plan of Implementation (2002) X X X

Policy execution analysis

Policy objectives and Implementation

Conclusions The research will include the following steps: Analysis of the international regime for fishery (institutions and legal framework) Analysis of the 3 regional regimes for fishery (institutions and legal framework) Analysis of the national fishery policies for China, Dominican Republic and Senegal Analysis of the interaction between the three levels and degree of implementation of CCRF and JPoI Analysis of the implementation deficit (at the national level) Recommendations

Conclusions Three levels International, regional and national Time-scheme approach Three levels evolving along the time Two main steps: CCRF and JPoI Six dimensions of analysis Analysis of three levels over time, by focusing on the following 6 dimensions: Ecosystem Approach to Fisheries (EAF) Marine Protected Areas (MPAs) Fishery Control Legislation (FCL) Participatory Governance (PG) / National level: inventory of actors Policy Coordination (PC) / National level: inventory of fishery-related policies Regional Cooperation (RC)

Conclusions International Regional National EAF - Pre-1995 : - 1995-2002 : - Post-2002 : MPAs FCL PG PC RC

Conclusions Policy content -Policy characteristics (Policy type, Policy issue) -Policy objectives (Clarity, Change, Institutional disposition) -Policy design (Causal assumption, Implementation framework) -Policy arenas Integrative capacity -Inter-organizational collaboration -Vertical integration -Participatory governance -Policy coherence Policy resources -Financial, Human, Organizational aspects (and Leadership) -Information and awareness -Time Policy environment -Socio-economic conditions and culture -Political system and Political will -Other events and breaks (war, natural disaster, etc.)

Time chart

Questions? Gianluca.Ferraro@soc.kuleuven.be