COST PhD Training School Environmental Policy Instruments 28 - - PDF document

Dr Sabine Weiland Environmental Policy Research Centre Freie Universität Berlin sabine.weiland@fu-berlin.de

Environmental Policy Research Centre

COST PhD Training School

‘Environmental Policy Instruments’ 28 September 2010

2 Environmental Policy Research Centre, Sabine Weiland, 04/ 10/ 2010

Programme for today

• 9:00 – 10:30h: Lecture and discussion:

Old and new modes of environmental governance Old and new modes of environmental governance

• 11:00 – 12:15h: Lecture and discussion:

Environmental policy instruments Environmental policy instruments

• 13:15 – 15:15h: PhD Presentations and Discussions

PhD Presentations and Discussions

3 Environmental Policy Research Centre, Sabine Weiland, 04/ 10/ 2010

Old and new modes of environmental governance Old and new modes of environmental governance

• From ‘government’ to ‘governance’: changing forms of the state
• Government: activities undertaken by state bodies
• Governance: blurred boundaries between public and private

sectors, and between national and international levels

• Common concern for relationship between state intervention

and societal autonomy

• Classification in the politics, polity, and policy dimension

4 Environmental Policy Research Centre, Sabine Weiland, 04/ 10/ 2010

Modes of governance in the policy dimension Modes of governance in the policy dimension

• Legal bindingness versus soft law
• Rigid versus flexible approach to implementation
• Presence versus absence of sanctions
• Material versus procedural regulation
• Fixed versus malleable norms

5 Environmental Policy Research Centre, Sabine Weiland, 04/ 10/ 2010

Modes of governance in the politics dimension Modes of governance in the politics dimension

• Only public actors involved versus only private actors

involved

6 Environmental Policy Research Centre, Sabine Weiland, 04/ 10/ 2010

Modes of governance in the polity dimension Modes of governance in the polity dimension

• Hierarchy versus market
• Central versus dispersed locus of authority
• Institutionalised versus non-institutionalised interactions

7 Environmental Policy Research Centre, Sabine Weiland, 04/ 10/ 2010

Existing Conceptions of Modes of Governance

State intervention Societal autonomy

Legal bindingness Rigid approach to implementation Presence of sanctions Material regulation Fixed norms Only public actors involved Hierarchy Central locus

• f authority

Institutionalised interactions Soft law Non-institutionalised interactions Dispersed locus

• f authority

Market Only private actors involved Malleable norms Procedural regulation Absence of sanctions Flexible approach to implementation

Polity Politics Policy

(Source: Treib et al. 2005, Modes

• f Governance, EUROGOV Papers
• No. N-05-02)

8 Environmental Policy Research Centre, Sabine Weiland, 04/ 10/ 2010

Modes of governance Modes of governance – Group work roup work

In groups of three:

• Discuss how the classification by Treib et al. fits

with your work  Mapping exercise

9 Environmental Policy Research Centre, Sabine Weiland, 04/ 10/ 2010

Governance in areas of ‘limited statehood’

• Governance debate is based on an ideal type of the modern

nation-state in the OECD world

• Key elements of modern nation-states: territorial sovereignty,

monopoly over the use of force

• Two thirds of states outside the OECD world as well as

international politics form areas of ‘limited statehood’

• How can effective and legitimate governance be sustained?
• Two key features of governance modes important here:
• Role of non-state actors
• ‘Soft steering

10 Environmental Policy Research Centre, Sabine Weiland, 04/ 10/ 2010

Governance in areas of ‘limited statehood’ (2)

State actors State and non-state Non-state actors actors

Classic nation-state Delegation of public tasks Supranational institutions/ to non-state actors or Pre-state associations jurisdictions public contractors International cooperation Public-private modes of Cooperation between International regimes/ cooperation non-state actors

• rganisations

Partnership projects Private regimes International negotiations Indigenous collaboration Networks Colonial regimes

(Source: Risse/Lehmkuhl 2006, Governance in Areas of Limited Statehood – New Modes of Governance? Research Program of the Research Center (SFB) 700)

Hierarchical/ vertical steering Non- hierarchical/ horizontal steering

Actors involved Modes of coordinating action

Dr Sabine Weiland Environmental Policy Research Centre Freie Universität Berlin sabine.weiland@fu-berlin.de

Environmental Policy Research Centre

COST PhD Training School

‘Environmental Policy Instruments’ (part 2) 28 September 2010

12 Environmental Policy Research Centre, Sabine Weiland, 04/ 10/ 2010

Environmental policy instruments

• Policy instruments can be defined as

“myriad techniques at the disposal of governments to implement their policy objectives”

• New policy instruments:
• Economic instruments
• Voluntary agreements
• Informational devices

13 Environmental Policy Research Centre, Sabine Weiland, 04/ 10/ 2010

Economic instruments (EI)

• can be defined as instruments that

“affect estimates of costs of alternative actions open to economic agents”

• Types of EIs:
• taxes
• subsidies
• tradable emission permits
• deposit-refund schemes

14 Environmental Policy Research Centre, Sabine Weiland, 04/ 10/ 2010

Voluntary agreements (VAs)

• Various definitions:

“covering only those commitments undertaken by firms and sector associations, which are the result of negotiations with public authorities and/or explicitly recognised by the authorities” (EEA) “agreements between industry and public authorities on the achievement

• f environmental objectives” (EU Commission)

“voluntary commitments of the industry undertaken in order to pursue actions leading to the improvement of the environment” (OECD)

• Typology of VAs:
• Unilateral commitments
• Public voluntary schemes
• Negotiated agreements

15 Environmental Policy Research Centre, Sabine Weiland, 04/ 10/ 2010

Informational devices

• Eco-labels, certification schemes
• Not very intrusive policy instruments
• Rely on moral suasion
• ‘Green’ consumerism as a precondition

16 Environmental Policy Research Centre, Sabine Weiland, 04/ 10/ 2010

‘Old’ instruments: regulation

• Command-and-control
• Classical way of the state to achieve regulatory goals
• Still existent but may be used in conjunction with ‘new’

policy instruments

17 Environmental Policy Research Centre, Sabine Weiland, 04/ 10/ 2010

Typology of environmental policy instruments (1)

Sticks — Sticks — Carrots — arrots — Sermons ermons

Highly choice Moderately choice Facilitate constraining constraining free choice

(Source: Bemelmans-Videc et al. 1998)

• Regulation
• EIs
• VAs
• Information

instruments

?

Regulation EIs Information VAs instruments

18 Environmental Policy Research Centre, Sabine Weiland, 04/ 10/ 2010

Regulator SPECIFIES Regulator does NOT SPECIFY the goal to be achieved the goal to be achieved Regulator specifies HOW goal is to be achieved Regulator does NOT specify HOW goal is to be achieved HOW? WHAT?

Typology of environmental policy instruments (2)

(Source: Jordan et al. 2003)

Command-and-control Technology-based regulatory (regulation) standards Most negotiated VAs; Most EIs; some VAs; some EIs; some informational devices regulation (eg EQOs)

• Regulation
• EIs
• VAs
• Information

instruments

?

19 Environmental Policy Research Centre, Sabine Weiland, 04/ 10/ 2010

Environmental policy instruments Why are ‘new’ environmental policy instruments adopted?

• Dissatisfaction with regulation
• Perceived strengths of new policy instruments
• Governance ‘turn’
• Instrument changes in the EU
• Economic pressures
• Growing international competition
• Growing domestic support
• Barriers to change