Environmental Policy Analyses: Learning from the Past for the Future - 25 Years of Research

502 Pages·4.725 MB·English

by  Prof. Peter Knoepfel (auth.)

Environmental Science and Engineering
Subseries: Environmental Science
Series Editors: R. Allan • U. Förstner • W. Salomons
Peter Knoepfel
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: [email protected]

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

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Preface
Having had the opportunity of receiving considerable public money
(mainly from the Swiss National Science Foundation) for numerous envi-
ronmental 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 schol-
ars interested in policy analysis dating from the period of the first envi-
ronmental 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 pre-
sent conceptualizations of policy analysis in the field of the environment,
and their contribution to the development of policy analysis as a whole1.
Moreover, the selected contributions mainly focus on empirical applica-
tions in the field of environmental policies or the interface between envi-
ronmental and non-environmental policies. Some have led to concrete pol-
icy 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 con-
tinuity and change. Although the book deals with the past, the selected
works should contribute to present and future conceptualizations of trans-
formed environmental policies to be analyzed within the larger context of
new concepts in sustainable regulation of natural resource use. The con-
cepts 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 & Lich-
tenhahn (série Analyse des politiques publiques / Politikanalyse no 2); 2nd edi-
tion: Knoepfel, P., Larrue, C., Varone, F. 2006. Analyse et pilotage des politi-
ques 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 Ger-
man (co-authors Adrian Vatter, Christoph Knill), and a Mexican version (co-
authors 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 be-
tween various research teams formed by the anonymous author “many
others”. These include former assistants working at my chair2, colleagues
of the international comparative research network of the SO -study3, col-
2
leagues of European study groups4, and again many others.
18th October 2006
Peter Knoepfel

2 Such as Corinne Larrue (1983–1986), Rita Imhof (1990–1992), Martin Benning-
hoff (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 (Nether-
lands).
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 (Neth-
erlands), 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 Eu-
wareness (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 (Switzer-
land)
Table of contents
Section I: Classics – still valid?.................................................................1
1 Environmental Policy (2002)..............................................................7
Peter Knoepfel
.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
Peter Knoepfel
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
Peter Knoepfel, 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 Table of contents
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
Peter Knoepfel, Helmut Weidner
4.1 The concept...........................................................................81
4.2 The different performance levels of the 14 regional imple-
mentation 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, Peter Knoepfel
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
Peter Knoepfel
6.1 Introduction.........................................................................131
6.2 The new potential spectrum of instruments and its price....133
Table of contents 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
Peter Knoepfel, 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
Peter Knoepfel
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 Table of contents
9 A Policy Monitoring Concept for Promoting the Conservation
of Biodiversity (2001)....................................................................259
Christoph Bättig, Peter Knoepfel, 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
Peter Knoepfel
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
Peter Knoepfel
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