Effective Governance and Policy Implementation in Governing High Seas Fisheries: A Comparative Study of Three Regional Fisheries Management Organizations By Jia Huey Hsu A thesis submitted to the Victoria University of Wellington in fulfilment of the requirements for the degree of Doctor of Philosophy Victoria University of Wellington 2018 Abstract Two-thirds of fish stocks commercially fished on the high seas are either depleted or overexploited. Regional Fisheries Management Organizations (RFMOs) are key international actors having the legal competence to establish fishery conservation and management measures to improve the optimal and sustainable utilization of high seas fisheries resources. The literature suggests that their effectiveness is varied. While some RFMOs are making progress towards more sustainable fisheries, some are facing fish stock depletion. The literature indicates that organizational governance design and quality of implementation are central to the disparities. Thus far, while most of the discussion has focused on the effectiveness, and how to enhance the transparency of RFMOs, very little research has explored the designs of governance arrangements and implementation of RFMOs. Accordingly, this study contributes to the literature on governance arrangements and policy implementation of the high seas by offering in-depth case studies of the selected RFMOs. It employs qualitative methods to analyze data collected from semi-structured interviews with 24 actors (i.e., officials, delegations, and fisheries experts), as well as a collection of published and unpublished documents regarding three selected RFMOs. The three selected RFMOs are the Commission for the Conservation of Southern Bluefin Tuna (CCSBT), the Western and Central Pacific Fisheries Commission (WCPFC), and the South Pacific Regional Fisheries Management Organization (SPRFMO). The findings show that it is possible to apply Ostrom’s (1990) design principles to uncover how RFMOs can be designed for higher performance in governing high seas fisheries. However, adjusted and additional design principles are necessary to have a better understanding of the factors that contribute to sustainable high seas fisheries. For example, the design principles should include policy learning and adaption, particularly in the regional and global contexts, so as to address complexities and uncertainties. Furthermore, the research reveals a number of critical factors of RFMO policy implementation, such as strong political will and commitment, the availability of proper resources and coalitions. This study concludes with recommendations for policymakers of the RFMOs to better achieve their overarching objectives. I II Acknowledgements The course of a PhD is a long journey, and along the way, there are many people and organizations without whom the completion of my thesis would not have been possible. First of all, I would like to express my special appreciation and thanks to my supervisors: Associate Professor Karl Lofgren and Dr. Wonhyuk Cho. Thank you for your excellent supervision, and being what you are - supportive, encouraging and positive. Similarly, my sincere gratitude goes to Dr. Russell Harding, my former second supervisor, who has been a truly dedicated mentor in my study. Without his patience, precious support and enlightenment, it would not have been possible to conduct this research. I particularly wish to thank our previous Director of PhD program, Emeritus Professor Bob Gregory. I am extremely grateful for his constant help and support and good humor. Having a discussion and a coffee with him was the highlight of my study. I would like to thank all of my research participants for their invaluable expertise and kind assistance. Thanks also to the Taiwan’s Fisheries Agency for helping me to attend the Commission meetings of the CCSBT and the WCPFC. Special thanks to Mr. Hong-Yen Huang, Ms. Shiu-Ling Lin and Mr. Tian-Xiang Tsai for providing support and assistance to help me undertake the fieldwork. My deepest gratitude goes to Victoria University of Wellington for its Victoria Doctoral Scholarship, which made this study possible. I also wish to thank the staff and doctoral students of the School of Government for their support and sharing. In particular, I would like to thank my most supportive colleagues, Ali Azwar and Jahan Aftab, for their unconditional and generous sharing and help. A big thanks also goes to Ian Calder for being my study companion and proofreading this thesis. I appreciate the constant support and concerns given by Professor Yi-Nan Lin, previous ambassador Mr. Chien-Kuo Wu, Professor Evan Berman, Dr. Dira Berman and Emma Chi. Thank you all for always being there for me. Last but not least, I would like to thank my family: my parents, my younger brother, Alan, and my niece, Anita, for supporting me spiritually throughout writing this thesis and my life in general. I dedicate this thesis to them. My heartfelt thanks to you all. III IV Table of Contents Abstract Acknowledgements Table of Contents List of Figures List of Tables List of Acronyms Chapter 1: Introduction .................................................................................................... 1 1.1 Overview ................................................................................................................ 1 1.2 Statement of the problem ....................................................................................... 2 1.3 Research purpose and research questions .............................................................. 5 1.4 Research methodology ........................................................................................... 6 1.5 Thesis outline ......................................................................................................... 7 Chapter 2: Background ..................................................................................................... 9 2.1 Introduction ............................................................................................................ 9 2.2 International governance arrangements applying to RFMOs ................................ 9 2.2.1 The United Nations Convention on the Law of the Sea ........................... 11 2.2.2 The Compliance Agreement ..................................................................... 12 2.2.3 United Nations Fish Stocks Agreement .................................................... 12 2.2.4 FAO Code of Conduct .............................................................................. 14 2.2.5 International Plans of Action .................................................................... 15 2.2.6 Port State Measures Agreement ................................................................ 15 2.2.7 The United Nations General Assembly .................................................... 16 2.3 The status of world fish stocks ............................................................................. 17 2.3.1 High seas and shared fish stocks ............................................................... 17 2.3.2 The state of global marine fish stocks ....................................................... 20 2.4 The current effectiveness of RFMOs ................................................................... 22 2.4.1 The factors undermining the effectiveness of RFMOs ............................. 22 2.4.2 Current governance issues of RFMOs ...................................................... 25 2.5 Summary .............................................................................................................. 29 Chapter 3: Literature Review ......................................................................................... 31 3.1 Literature review on governance ......................................................................... 31 3.1.1 The conception and modes of governance ................................................ 31 V 3.1.2 Governance for sustainable development ................................................. 34 3.1.3 Comparison between fisheries management and fisheries governance .... 38 3.1.4 Governing the fisheries commons ............................................................ 38 3.1.5 Principles for fisheries governance arrangements .................................... 42 3.1.6 Studies of high seas fisheries governance in RFMOs ............................... 46 3.2 Literature review on implementation ................................................................... 49 3.2.1 The definitions of implementation ............................................................ 50 3.2.2 The evolution of policy implementation research .................................... 51 3.2.3 The policy implementation process and structure: frameworks and models ............................................................................................................................ 53 3.2.4 Key factors affecting implementation ....................................................... 54 3.2.5 Section summary: implementation ........................................................... 57 3.3 Literature summary .............................................................................................. 57 3.4 Theoretical approach ............................................................................................ 57 3.4.1 The analysis of the designs of governance arrangements ......................... 58 3.4.2 The analysis of critical factors influencing implementation ....................