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When referring to this thesis and any accompanying data, full bibliographic details must be given, e.g. Thesis: Navarrete-Frías Carolina (2020) "Policy Implementation in a Frontier Region: the case of deforestation in the Amazon", University of Southampton, Faculty of Social Sciences, Sociology, Social Policy and Criminology, PhD Thesis, 320p. Data: Navarrete-Frías, C. Author (2020). Policy Implementation in a Frontier Region: the case of deforestation in the Amazon. DOI:10.5258/SOTON/T0027 UNIVERSITY OF SOUTHAMPTON FACULTY OF SOCIAL SCIENCES Department of Sociology, Social Policy and Criminology Policy Implementation in a Frontier Region: the case of deforestation in the Amazon by Carolina Navarrete-Frías Thesis for the Degree of Doctor of Philosophy July 31st, 2020 UNIVERSITY OF SOUTHAMPTON ABSTRACT FACULTY OF SOCIAL SCIENCES Department of Sociology, Social Policy and Criminology Doctor of Philosophy POLICY IMPLEMENTATION IN A FRONTIER REGION: THE CASE OF DEFORESTATION IN THE AMAZON By Carolina Navarrete-Frías The Amazon Forest is changing at unprecedented rates and is facing significant forest-cover loss. While governments have made important progress in addressing some major threats and pressures, current policies have still failed to halt the decline. While there is a growing body of evidence on the limitations for the implementation of public policies (implementation gaps), this only explains to a certain degree the limits for public policy implementation in the Amazon. The aim of this study is to understand and explain policy implementation in a complex policy context such as the frontier and to advance knowledge on how to improve natural resource governance with a specific focus on reducing deforestation and forest degradation in the Amazon rainforest. The current literature does not sufficiently explain the limits of policy implementation in frontier economies. It was developed for advanced industrial democracies and assumes rule of law and therefore, the theory needs to be modified for frontier economies. This thesis contributes new knowledge to address this research gap by investigating the question: what are the limits to implementing forest policies that aim to reduce deforestation and degradation in the forest- agriculture interface in the Peruvian Amazon? Its aim is twofold: i) to expand the understanding on some of the main obstacles for environmental policy implementation in the specific policy context of a frontier economy, and ii) to analyse and contrast stakeholders’ perspectives on the main factors underpinning policy implementation outcomes. In doing so, this thesis analyses the implementation of Forest Policies and their interaction with other key sector policies in Ucayali, a frontier region in the Peruvian Amazon. It applies thematic analysis and case study research to fifty six stakeholders’ interviews from the local, regional and national levels over a period of three years. The methodology for data collection in this research relied on a qualitative multi-method approach which includes key informant interviews (semi-structured), focus groups, case study research and policy mapping. This thesis makes contributions in three critical knowledge domains: politics of implementation, policy implementation in a frontier economy context and application of MLG outside of the European context. The thesis uses four case studies to explore the link between policies and deforestation which are: State Capacity (Multi-Level Governance), Land Use Planning (Network Governance) and Forest Policy (Policy Implementation and Implementation in the Frontier). The first case study demonstrates that the interdependence dynamics taking place within multi-level governance are leading to an erosion of State Capacity in Ucayali. The key elements identified to shift erosion into transformation are the allocation of authority, resources and competences, distribution of power and coordination. It also finds a growing interdependence between governments and nongovernmental actors at the regional and local levels as an indicator of a burgeoning MLG. The involvement of non-State actors can support the fulfilment of policy’s goals, therefore, complementing State capacity. This will require more coordination to prevent the duplication of actions of various actors working towards similar objectives. The second case study shows that in a frontier context, the ‘rules of the game’ within networks apply for only some cases. While in Ucayali there is evidence of network governance integrating a vast array of elements of land use planning under a set of agreed rules of the game, this thesis also finds that policy networks resist policy change and can foster corruption. The absence of agreed ‘rules of the game’ for forests and land use planning reveals the absence of ‘shared policy objectives.’ The results also show that in the frontier agreement on a set of rules is relevant, yet rigid rules and institutional complexity can deter the transition from illegality to legality. The findings show that the lack of trust is a prevalent characteristic in the frontier, which is fertile ground for illegality, where covert networks collaborate to achieve their goals. Network management is a fundamental tool for breaking through sectoral silos and economic interests in the frontier through the application of metagovernance - network steering, bureaucracy, and markets. The co-existence of various networks in the frontier requires a more hierarchical intervention to deter covert networks in action. Further, metagovernance strategies must address horizontal integration across sectors as a key determinant for forest governance. In the frontier, network governance takes a predominant role in the local level as there is fewer presence of the State. This also shows the way that MLG and network governance are interconnected, and how MLG is important to strengthen network governance in the local levels. The third case study shows that power – dependence, politics and policy ambiguity underly and affect the dynamics taking place in Ucayali in relation to forest governance. While the politics of implementation are closely intertwined with inequality. Further, the role of the State is changing as there is an upward trend of non-State actors having an active participation in forest governance which will require the strengthening of decentred governance. The fourth and last case study showed that implementation in the frontier interacts with six core conditions that interface with implementation and which are not considered in the Western literature of implementation gaps. These are informality, corruption, weak rule of law, unfair market conditions, covert networks and inequality and they feed into each other. While there are barriers to reduce informality such as the high costs of formalisation and weak enforcement; corruption in the frontier is entrenched reaching the highest levels of authority providing a fertile ground for covert networks; and longtime seated social structures support inequality. In this context, is key to consider the politics that underpin decisions being made and the synchronicity between the various components of policies across sectors. Table of Contents Table of Contents Table of Contents .......................................................................................................... i Table of Tables ............................................................................................................. v Table of Figures ........................................................................................................... vii Declaration of Authorship .............................................................................................ix Acknowledgements ......................................................................................................xi List of Abbreviations ................................................................................................... xiii Chapter 1 Introduction ........................................................................................... 1 1.1 The Problem ............................................................................................................. 1 1.2 Research Question ................................................................................................... 4 1.3 The Research Context .............................................................................................. 6 1.3.1 Case study site: economic drivers and deforestation in the Peruvian Amazon ............................................................................................................. 6 1.3.2 Institutional and Policy Context ...................................................................... 14 1.3.3 Forest Laws ....................................................................................................