Understanding How Actors Influence Policy Implementation a Comparative Study of Wetland Restorations in New Jersey, Oregon, the Netherlands and Finland
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UNDERSTANDING HOW ACTORS INFLUENCE POLICY IMPLEMENTATION A COMPARATIVE STUDY OF WETLAND RESTORATIONS IN NEW JERSEY, OREGON, THE NETHERLANDS AND FINLAND PROEFSCHRIFT ter verkrijging van de graad van doctor aan de Universiteit Twente, op gezag van de rector magnificus, prof.dr. W.H.M. Zijm, volgens besluit van het College voor promoties in het openbaar te verdedigen op vrijdag 29 augustus 2008 0m 13.15 uur door Katharine Amory Owens geboren op 20 mei 1974 te Valdosta, Georgia, USA Dit proefschrift is goedgekeurd door de promotor: Prof.dr. J.Th.A. Bressers In de reeks Schone Technologie en Milieubeleid worden milieuvraagstukken belicht vanuit wetenschappelijke visies op overheidsbeleid, technologie en management. Deel 1 De effectiviteit van gemeentelijke milieubeleidsplanning F.H.J.M. Coenen Deel 2 Bevordering van milieumanagement in organisaties T.J.N.M. de Bruijn en K.R.D. Lulofs Deel 3 The feasibility of Dutch environmental policy instruments Josee J. Ligteringen Deel 4 25 jaar milieubeleid in Nederland; instrumenten, incidenten en effecten R.A. van de Peppel, P-J. Klok en D. Hoek Deel 5 The Endurance of Mexican Amate Paper R. Citlalli López Binnqüist Deel 6 Sustained Diffusion of Renewable Energy Valentina Dinica Deel 7 Water Governance and Institutional Change Stefan M.M. Kuks Deel 8 Innovation and Institutional Change Peter S. Hofman Deel 9 Transparancy in the Food Chain Agni Kalfagianni Deel 10 Land Markets and Public Policy Wilbert Grevers Deel 11 Corporate Social Responsibility and Public Policy-Making Arno Mathis Deel 12 Private Equity; Public Principle David Regeczi Deel 13 Understanding how actors influence policy implementation Katharine A. Owens Colofon Vormgeving omslag: deel 4 ontwerpers, Jo Molenaar Editing manuscript: Ada Krooshoop – Universiteit Twente / CSTM Beeldmateriaal: Katharine Owens Druk en uitgave: Universiteit Twente / CSTM © Katharine Owens, Universiteit Twente / CSTM / 2008 Niets uit deze uitgave mag worden vermenigvuldigd door middel van druk, fotocopie of welke andere wijze ook zonder schriftelijke toestemming van de auteur. ISBN 978 90 365 2698 2 Contents Acknowledgements vii Chapter 1 Introduction 1.1 Introduction 3 1.2 Problem Definition 3 1.3 The wetlands problematic 4 1.4 Wetland Restoration 5 1.5 Implementation 5 1.6 Empirical and theoretical study objectives 6 1.7 Structure of this study 7 1.8 Research questions 8 1.9 Brief introduction of chapters 8 Chapter 2 Wetlands 2.1 Introduction 13 2.2 General importance of wetlands for the ecosystem 15 2.3 Wetlands in the United States 15 2.3.1 Wetlands in the United States: distribution and specific functions 16 2.3.2 Wetlands in the United States: Current threats and goals 17 2.3.3 Wetlands in the Unites States: Policies, laws and agencies 19 2.3.4 Wetlands policy in the state of Oregon 21 2.3.5 Wetlands policy in the state of New Jersey 22 2.4 Wetlands in Europe: distribution and specific functions 24 2.4.1 Wetlands in Europe: Current threats and goals 24 2.4.2 Wetlands in Europe: Policies, laws and agencies 25 2.5 Wetlands in the Netherlands 25 2.5.1 Wetlands in the Netherlands: distribution and specific functions 27 2.5.2 Wetlands in the Netherlands: Current threats and goals 27 2.5.3 Wetlands in the Netherlands: Policies, laws and agencies 29 2.6 Wetlands in Finland 30 2.6.1 Wetlands in Finland: distribution and specific functions 31 2.6.2 Wetlands in Finland: Current threats and goals 32 2.6.3 Wetlands in Finland: Policies, laws, and agencies 33 2.7 Conclusions 34 Chapter 3 Explaining implementation processes 3.1 Introduction 37 3.2 Characterizing the implementation field 37 3.3 The need for a different kind of implementation research 39 3.4 Progress in deductive approaches 40 3.4.1 Institutional Analysis and Development Framework 40 3.4.2 Actor-centered Institutionalism 41 3.5 A deductive, parsimonious, and realistic approach 42 i Contents 3.6 The contextual interaction theory in the past: roots in the 1980s and 1990s 43 3.7 The contextual interaction theory in the present 44 3.7.1 Motivation, information, and power as core actor characteristics 44 3.7.2 The basic model of contextual interaction theory 50 3.7.3 Basic assumptions of contextual interaction theory 51 3.7.4 Elaboration for implementation processes 52 3.7.5 The likelihood to implement at all 53 3.7.6 Adequacy of a given implementation 55 3.8 The contextual interaction theory in the future: discussion of areas for extension 57 3.9 Summary and conclusions 59 Chapter 4 Methodology 4.1 Introduction 63 4.2 Characteristics of wetland restoration projects and how to deal with them 64 4.3 Specification of independent variables 65 4.3.1 Motivation 65 4.3.2 Information 66 4.3.3 Power 67 4.4 Specification of dependent variables 68 4.5 General case study methodology 70 4.6 Case study protocol: data gathering and data analysis methods 71 4.7 Measuring independent variables 72 4.8 Interview scoring 73 4.9 Measuring dependent variables 77 4.10 Summary and conclusions 78 Chapter 5 Het Wierdense Veld 5.1 Introduction 83 5.2 Methodology specific to this case 86 5.3 Policies 87 5.4 Western Case Study Narrative: Actors 87 5.5 Western Case Study Narrative: History 90 5.6 Western Case Study Narrative: Scores and Summary 91 5.7 Western Case Study Narrative: Synopsis 93 5.8 Eastern Case Study Narrative: Actors 94 5.9 Eastern Case Study Narrative: History 96 5.10 Eastern Case Study Narrative: Scores and Summary, the Vitens interaction 97 5.11 Eastern Case Study Narrative: Scores and Summary, the local farmer interaction 100 5.12 Eastern Case Study Narrative: Synopsis 101 5.13 Discussion 102 5.13.1 External sources of power 102 5.13.2 Beneficial changes implemented for other reasons 103 5.13.3 Influence of trusted information 104 ii 5.14 Barriers to implementation 104 5.15 Lessons Learned 105 5.16 Conclusions 106 Chapter 6 De Alde Feanen 6.1 Introduction 111 6.2 Methodology specific to this case 113 6.3 Policies 113 6.4 Case Study Narrative: Actors 115 6.5 Case Study Narrative: History 118 6.6 Case Study Narrative: Score and Summary 119 6.7 Discussion 120 6.7.1 Trust 121 6.7.2 Lobbying 121 6.7.3 Primary and Secondary Goals 122 6.8 Barriers to implementation 122 6.9 Lessons Learned 124 6.10 Conclusions 125 Chapter 7 North Friesland Buitendijks 7.1 Introduction 129 7.2 Methodology specific to this case 131 7.3 Policies 133 7.4 Case Study Narrative: Actors 133 7.5 Case Study Narrative: History 136 7.6 Case Study Narrative: Score and Summary 141 7.6.1 Phase One 141 7.6.2 Phase Two 142 7.7 Discussion 143 7.7.1 Power from higher agencies 143 7.7.2 Lobbying 144 7.7.3 The Press 144 7.8 Lessons Learned 145 7.8 Conclusions 146 Chapter 8 Setting the stage for the large-N study 8.1 Introduction 151 8.2 The value of a large-N study 151 8.3 The value of an international comparison 152 8.4 Theoretical application as different from in depth cases 154 8.5 Case selection criteria 155 8.6 Interview selection 157 8.7 Data gathering and analysis 158 8.8 Reliability and validity 162 8.8.1 Reliability 162 8.8.2 Internal validity 162 iii Contents 8.8.3 External validity 163 8.9 Research notes 163 8.10 Summary 164 Chapter 9 Qualitative analysis of wetland restoration cases 9.1 Introduction 167 9.2 Qualitative results for the whole sample, phases one and two 168 9.3 Results based on implementation status 172 9.4 Results by state 173 9.4.1 The Netherlands 173 9.4.2 Finland 178 9.4.3 New Jersey 183 9.4.4 Oregon 188 9.5 Testing theory predictability potential – the qualitative elaboration of CIT hypotheses 193 9.6 Conclusions 195 Chapter 10 Quantitative analysis of wetland restoration cases 10.1 Introduction 201 10.2 The formula-based elaboration of CIT hypotheses 202 10.3 From questionnaire to values in the formula 204 10.4 Types of error 205 10.5 Correlations for testing the formula’s predictability potential 206 10.6 Testing the impact of control variables on the predictability potential of the formulaic expression of contextual interaction theory 208 10.6.1 Historically dominant political ideology 208 10.6.2 Population density 210 10.6.3 By state 211 10.7 Overview of the results of the formula based correlation testing 214 10.8 Discussion and conclusions 215 Chapter 11 Discussion, conclusions, and outlook 11.1 Introduction 219 11.2 Answering the research questions 219 11.3 Proposed revisions based on this study 221 11.3.1 Methodological revisions 221 11.3.2 Conceptual lessons learned from theory application 225 11.4 Lessons learned regarding wetland restoration and implementation 229 11.5 Avenues of future research 229 References 231 Summary in Dutch 249 About the author 259 iv Appendices A “Likelihood to implement at all” flowchart 263 B “Adequacy of implementation” flowchart 264 C Interview instrument 265 D Interview questions and their scoring 267 E Case summaries the Netherlands 280 F Case summaries Finland 318 G Case summaries New Jersey 349 H Case summaries Oregon 386 I Sample scores using the contextual interaction theory formula 420 v vi Acknowledgements Funding for this research was provided by grants from the Institute for Governance Studies, University of Twente, and the Cartesius Institute for Sustainable Innovations of the Netherlands’ Technical Universities.