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Social-Ecological Systems Meta-Analysis Database: Variables

Variable TypeCategorical
Variable Component TypeGovernance System
Variable KindInteraction
ThemeInstitutions (learn about themes)
ProjectsSESMAD, Fiji fisheries
QuestionDoes this formal governance system apply any of the following policy instruments to this commons?
Select OptionsProportional outcome-based performance standard, Absolute outcome-based performance standard, Technological prohibition, Technological mandate, Temporal standard, Ban, Price ceiling, Price floor, Tax, Subsidy, PES scheme, Joint tax-subsidy, Market-based instrument, Information provision, Insurance provision, Protected area
Unit
Role
ImportancePolicy instruments structure the behavior and incentives that members of an actor group faces. In turns, these incentives and behaviors play a key role in affecting commons outcomes.
Definition

This variable contains a taxonomy of the basic types of policies and institutions that a governance system uses in order to affect actor behavior and achieve commons outcomes. It fairly directly relates to the literature on environmental policy instrument choice (e.g. see , although it uses some of its own terminology, avoiding loaded terms such as "command and control." These policies are also related to each other in a small hierarchy, which is presented in the following indented list:

  • Output-based standards
    • Outcome-based ambient standards / rights
      • Proportional outcome-based performance standards
      • Absolute outcome-based performance standards
      • Market-based instruments
  • Input-based standards
    • Technological standards
      • Technological prohibitions
      • Technological mandates
    • Temporal standards
  • Bans
  • Market-based standards
    • Price ceiling
    • Price floor
  • Incentive-based instruments
    • Tax
    • Subsidy
    • Joint tax-subsidy
  • Payment for ecosystem services (PES) schemes
  • Market-based instruments
  • Information provision
  • Insurance provision
  • Protected area

Standards and rights: Standards are distinguished from other instruments in that they all are constituted by rules that are highly prescriptive. They generally mandate, permit, and forbid various behaviors or outcomes.

Output-based standards are distinguished from input-based standards (terminology borrowed from fishery policy literature) in that the former mandate or forbid certain outcomes, whereas the latter mandate or forbid certain actions and behaviors.Property rights are frequently considered to be a separate category of instrument, and certainly not considered to be related to restrictions, but in effect they are closely related to standards as just defined. The reason is that standards that restrict behavior and rights that grant behavior are really two sides of the same coin. A right that states that an individual may extract X amount of a resource implies a restriction that they cannot extract more than X. And vice versa. The two languages are essentially two ways of describing the same thing. As a result, we do not include a separate property right-based instrument here. Rather, we label standards as joint standards/rights when appropriate. A subset of the following standards also involve the granting of rights.

There are several types of output-based standards:

Outcome-based ambient standards: Is a restriction on an environmental parameter (frequently the concentration or quantity of a pollutant or natural resource) specific to a particular spatial area. A particular example is the National Ambient Air Quality Standards (NAAQS) within the United States Clean Air Act regime, which established maximum concentrations of certain pollutants in certain airsheds.

An outcome-based performance standard is a right/restriction that specifies a particular quantity of a commons that can be used (emitted or extracted). Examples include individual fishing quotas, or the rights given to individual polluters in cap-and-trade systems. There are two subytpes of outcome-based performance standards, based on the rights granted to actors in the system:

Market-based instruments: Market-based instruments are ofter referred to as their own type of instrument, but are really performance standards, the rights to which are transferable (tradable). The two most popular examples of these instruments are "cap-and-trade" and "individual transferable quota" instruments in pollution and fisheries sectors, respectively. The involve an initial cap and then grant rights of one sort or another to commons users in an amount that equates to the cap.

Proportional outcome-based performance rights/standards: These grant actors the right to use a proportional amount of a commons, based on a measurement of the total amount of that commons that is available. These are used in many natural resource management contexts. An example of a proportional standard is the 1944 US-Mexico Treaty that divides the Rio Grande. This treaty grants 2/3 of the available water to Mexico, with the remainder going to the United States.

Absolute outcome-based performance rights/standards: These grant actors the right to use an absolute amount of a commons, regardless of current levels of use or availability. An example of absolute standards is the management of water in the "lower basin" of the Colorado River Compact, which grants states absolute amounts of water. An absolute ban on any commons use is a type of absolutely outcome-based standard. Input-based standards: Input-based standards are not on option here, but all of the following options are examples of input-based standards. These all grant rights and establish restrictions based on a certain way of using (extracting or emitting) a commons.

Technological standards: Grant rights and establish restrictions that require or prohibit the use of certain technologies when a commons is used. Examples include gear restrictions in fisheries, and the requirement to use Sulfur scrubbers as mandated by the U.S. Clean Air Act Amendments.

Temporal rights/standards: These grant actors the right to use a commons for a particular period of time. Examples would include a seasonal closure of a fishery, or the right of farmers to irrigate in a sequence for a particular number of hours each day. In Mexico, actors are limited to driving during certain hours of the day.

Bans: A ban is an absolute limit on the use of a commons.

Market-based standards: These standards are specific to market prices, and mandate that the price of a traded good (in this case a good associated with a commons) shall not fall below a certain limit (price floor) or exceed a certain limit (price ceiling).

Incentive-based instruments: These are not as prescriptive as standards. Instead, they attempt to change and affect behavior by affecting the costs and benefits associated with certain actions without formally mandating or prohibiting behaviors or outcomes. There are two basic types: taxes, which add costs to certain activities, and subsidies, which add benefits to certain activities. These can be combined in a single instrument, in the case of deposit-refund schemes in the U.S.

Payment for ecosystem services: These regimes involve the construction of a contract that offers payments to resource users in order to encourage them to manage their resources in a way that produces important public goods. It is similar to a subsidy if the payments are made by a governmental body, but is frequently called by this particular name.

Information provision: These regimes are designed to increase information about the state of a commons, use dynamics (extraction or emission rates) or about goods associated with the use of a commons. A U.S. example includes the "Toxic Release Inventory" program.

Insurance provision: insurance instruments insure commons users against damaging outcomes in the case of risky environments. A common environmental example is crop insurance for farmers.

Protected area: A protected area is "A protected area is a clearly defined geographical space, recognized, dedicated and managed, through legal or other effective means, to achieve the long-term conservation of nature associated with ecosystem services and cultural values"
(http://worldparkscongress.org/about/what_are_protected_areas.html

Sectors

Theory Usages

TheoryValue Used
Cap-and-trade policiesMarket-based instrument
Subsidies and perverse incentivesSubsidy
Centralized conservationProtected area
Critique of fortress conservationProtected area
Bans and perverse incentivesBan
EcolabelsInformation provision
Ecological effectiveness of MPAsProtected area
Local livelihood and protected areasProtected area
Payment for ecosystem services (PES)PES scheme
CAR principles for conservation area designProtected area
Common property quotas market based instrument
Pigouvian taxesTax
Individual transferable quotas (ITQs)Market-based instrument
Numeric managementOutcome-based performance standards
Parametric managementInput-based standards (includes technological and temporal standards)

Case Usages

CaseInteraction TypeComponentValue UsedExplanation
Seaflower MPAGovernanceSeaflower MPA Act 2005["Protected area"]There are spatial areas which are protected from fishing (depending on the gear size of boats, etc.)
Forests in IndonesiaGovernance"New Order" Indonesian Forest Governance System, 1965-1998BansThis system used bans on harvesting for certain groups, as well as subsidies, and granting of property rights (absolute outcome based standards?)
Forests in IndonesiaGovernance"Reformasi" Indonesian Forest Governance System, 1998-2012BansNeed to be able to select multiple.
Atlantic Bluefin Tuna (ICCAT)GovernanceICCAT Governance System["Proportional outcome-based performance standard"]Countries are assigned a proportion of the total quota for each stock.
Community D (Fiji Fisheries)GovernanceCommunity D Governance System["Technological prohibition", "Ban", "Protected area"]
Atlantic Bluefin Tuna (ICCAT)GovernanceICCAT Governance System["Proportional outcome-based performance standard"]
Montreal ProtocolGovernanceMontreal Protocol["Absolute outcome-based performance standards ", "Bans "]Phase-out begins with an absolute outcome-based performance standard involving reductions in production of certain ODS and then transitions into an outright ban
Great Barrier Reef Marine ParkGovernanceGBR Marine Park Act 1975-1999 Zoning is the main management tool
International Commission for the Protection of the Rhine (ICPR)GovernanceRhine Chemicals Convention[]List of chemicals to be abated and concentration thresholds to be achieved
Great Barrier Reef Marine ParkGovernanceGBR Marine Park Act 2004-current["Ban"]Zoning is the main management tool, and also the main change, together with fisheries management changes, from the previous snapshot
Atlantic Bluefin Tuna (ICCAT)GovernanceICCAT Governance System["Proportional outcome-based performance standard"]Quota is assigned to member states based upon the total quota and past withdrawals. More recent quota assignments have also begun assigning more quota to developing countries.
Central California National Marine Sanctuaries GovernanceJoint Sanctuary Management Governance System ["Ban"]Extractions of specific species are banned.
Great Barrier Reef Marine ParkGovernanceGBR Marine Park Act 2004-current["Ban"]
Great Barrier Reef Marine ParkGovernanceGBR Marine Park Act 1975-1999 
Wakatobi National Park GovernanceWakatobi National Park 2008-current["Technological prohibition", "Ban", "Information provision", "Protected area"]Ban on use of blast fishing and poison. We have included both ban and technological prohibition. Also use education and awareness to inform user groups about destructive fishing practices and their impacts on coral.
Macquarie Island Marine ParkGovernanceMacquarie Island Nature Reserve Management Plan ["Ban", "Information provision", "Protected area"]Rules focus on banning harvesting of light-mantled; providing information and guidelines for interactions between humans and wildlife.
Northwestern Hawaiian Islands (NWHI) Marine National MonumentGovernanceNWHI Monument Act 2006["Ban"]No take area
Wakatobi National Park GovernanceWakatobi National Park 2008-current["Ban", "Information provision", "Protected area"]No fishing of spawning aggregations. No-takes are permanent though their protection of spawning individuals only occurs when these fish aggregate. Provision of education and awareness on 'fish banks' with resource users.
Wakatobi National Park GovernanceWakatobi National Park 2008-current["Ban", "Information provision", "Protected area"]Global / national ban on catching turtle. Nesting beaches are protected. Education and awareness on turtles
Northwestern Hawaiian Islands (NWHI) Marine National MonumentGovernanceNWHI Monument Act 2006["Ban", "Information provision", "Protected area"]
Macquarie Island Marine ParkGovernanceMacquarie Island Toothfish Fishery Management Plan["Proportional outcome-based performance standard", "Technological prohibition", "Technological mandate", "Protected area"]The toothfish fishery is governed primarily with total allowable quota which is distributed proportionally among the holders of those quotas; however gear restrictions are also in place designed to minimize impact; as well as mandated technologies (brickle curtain for longline operation), and maximum number of boats (3) fishing at any one time (Macquarie Island Toothfish Fishery Management Plan 2006; MSC 2012).
Macquarie Island Marine ParkGovernanceMacquarie Island Toothfish Fishery Management Plan["Technological prohibition", "Technological mandate", "Ban"]Rules include bans on seabird bycatch and bycatch mitigation measures. The maximum bycatch rate is 0.01 birds per 1000 hooks.
Northwestern Hawaiian Islands (NWHI) Marine National MonumentGovernanceNWHI Monument Act 2006["Ban", "Information provision"]whole MPA is no-take. Education is an important component of their mission statement
Macquarie Island Marine ParkGovernanceMacquarie Island Nature Reserve Management Plan ["Ban", "Information provision", "Protected area"]Royal penguins may not be harvested within the nature reserve; breeding sites are protected and minimum approach and wildlife viewing guidelines are in place.
Community F (Fiji Fisheries)GovernanceCommunity F Governance System["Technological prohibition", "Ban", "Protected area"]
Great Australian Bight Marine Park (GABMP) (Commonwealth Waters)GovernanceGABMP (Commonwealth Waters) Plan of Management 2000 - 2005 and Management Plan 2005 - 2012["Technological prohibition", "Ban", "Protected area"]Demersal trawling is prohibited. Gillnet fishing is prohibited throughout the year in only a small portion of the GABMP. From May 1 and October 31 each year all non-commercial vessel access and all activities (scuba, fishing, etc) are prohibited in the Marine Mammal Protection Zone, including where it overlaps with the Benthic Protection Zone.
Community A (Fiji fisheries)GovernanceCommunity A Governance System["Technological prohibition", "Ban", "Protected area"]
Community C (Fiji Fisheries)GovernanceCommunity C Governance System["Technological prohibition", "Ban", "Protected area"]
Community B (Fiji Fisheries)GovernanceCommunity B Governance System["Technological prohibition", "Ban", "Protected area"]
Raja Ampat (National Act No. 32 2004)GovernanceRaja Ampat Governance System["Ban", "PES scheme", "Information provision", "Protected area"]Ban on shark and manta ray fishing in the MPAs and some areas no take. There is huge educational component to the MPAs (mainly through NGO involvement) Some MPAs pay local communities not to fish (Misool eco-resort) - and the whole involvement of local communities is not on voluntary basis, but they get paid to monitor and patrol MPAs, so more of a PES scheme (?)
Galapagos Marine Reserve (GMR)GovernanceGalapagos Governance System 1998-current["Ban"]ban long-lining, and on catch and sale of sharks
Community E (Fiji Fisheries)GovernanceCommunity E Governance System["Technological prohibition", "Ban", "Protected area"]
Raja Ampat (National Act No. 32 2004)GovernanceRaja Ampat Governance System["Ban", "Information provision"]
Raja Ampat (National Act No. 32 2004)GovernanceRaja Ampat Governance System["Ban", "Information provision", "Protected area"]
Central California National Marine Sanctuaries Governance Pacific Coast Groundfish Fishery Management Plan["Technological prohibition", "Ban"]Certain gears are prohibited.
Svalbard Nature ReservesGovernanceSvalbard Environmental Protection Act["Technological mandate", "Ban"]Tax – there is a ‘TBan - not allowed to visit Kong Karls Land (a region within the Nature Reourist Tax/Fee’ on each tourist that visits the islands of Svalbard. This money goes into an Environmental Protection Fund which can be distributed for environmental projects. (This fee likely does not influence the numbers of tourists travelling to Svalbard). Technological Mandate – in 2007 a ban on the use of ‘heavy fuels’ was introduced for the Nature Reserves.
Svalbard Nature ReservesGovernanceSvalbard Environmental Protection Act["Absolute outcome-based performance standard", "Technological prohibition", "Protected area"]Technological Prohibition – gear regulations (e.g. mesh size at least 35mm) Absolute Standards – number of fishing vessels, and number of fishing days per year
Macquarie Island Marine ParkGovernanceMacquarie Island Marine Park Management Plan["Technological prohibition", "Technological mandate", "Ban", "Protected area"]Fishing is not permitted within the highly protected zone; certain fishing technologies are prohibited and others (i.e. Brickle curtains) must be used within the habitat/species management zones.
Galapagos Marine Reserve (GMR)GovernanceGalapagos Governance System 1998-current["Ban", "Information provision"]Complete ban on the collection and distribution of turtles, whole or parts Educational materials on conservation and turtles
Falkland Islands squidGovernanceThe Falkland Islands Government (FIG) Fisheries Department’s Falklands Interim Conservation and Management Zone (FICZ)[""]Protected area: nursery grounds are protected Temporal standard: Specific fishing seasons (2 per year) Market based instrument: ITQ is market based, Fisheries Director can remove company if company is not making good market based decisions Technological mandate: vessels required anti-seabird interaction devices Proportional outcome-based performance standard: Effort (ITQ) is limited according to population status
Heard and McDonald Islands Marine ReserveGovernanceHeard Island and McDonald Islands Fishery Management Plan["Technological prohibition", "Technological mandate", "Ban"]Rules include bans on seabird bycatch and bycatch mitigation measures, including gear modifications and restrictions. There is also an MPA in which fishing is prohibited.
Great Australian Bight Marine Park (GABMP) (Commonwealth Waters)GovernanceGABMP (Commonwealth Waters) Plan of Management 2000 - 2005 and Management Plan 2005 - 2012["Technological prohibition", "Ban", "Protected area"]Vessels are prohibited in the Marine Mammal Protection Zone from May 1 - October 31. Users are banned from killing, injuring, taking, trading, keeping, moving, or interfering with a cetacean.
Heard and McDonald Islands Marine ReserveGovernanceHeard and McDonald Islands Marine Reserve Management Plan["Ban", "Protected area"]There is a ban on harvesting King Penguins. Most of the breeding area used by Penguins is protected (through zoning); tourists have rules by which they cannot come close to or harass the penguins; scientists need permits to study them. On the marine component, some of their foraging area falls within the marine reserve.
Macquarie Island Marine ParkGovernanceMacquarie Island Nature Reserve Management Plan ["Ban", "Protected area"]Fishing is banned within the marine portion of the Nature Reserve.
Great Barrier Reef Marine ParkGovernanceGBR Marine Park Act 2004-current["", "Technological mandate", "Ban", "Protected area"]Ban – on turtle harvesting Technological Mandate – to use TEDs
Seaflower MPAGovernanceSeaflower MPA Act 2005["Ban"]Presence of areas which are protected from fishing (depending on the gear size of boats, etc.)
Great Australian Bight Marine Park (GABMP) (Commonwealth Waters)GovernanceGABMP (Commonwealth Waters) Plan of Management 2000 - 2005 and Management Plan 2005 - 2012["Proportional outcome-based performance standard", "Information provision", "Protected area"]Commercial fishing for SBT in a Commonwealth reserve requires a permit issued by the Director and a fishing concession granted by the Australian government. Commercial fishers have to follow Park regulations, which include no commercial fishing in the Marine Mammal Protection Zone from May 1 - October 31 and no demersal trawling in the Benthic Protection Zone. The Australian Fisheries Management Authority (AFMA) is responsible for managing fishing activities and fisheries in the Australian Fishing Zone (where the GABMP (CW) is located) under the provisions of the Fisheries Management Act 1991. SBT are managed by the intergovernmental organization, the Commission for the Conservation of SBT (CCSBT), of which Australia is a participating country. The Commission sets the annual total allowable catch limit for each member country and AFMA applies Australia’s total allowable catch limit each year to the commercial SBT Fishery. The SBT Management Advisory Committee reviews the international and domestic science and management of SBT and provides advice to the AFMA Commission. AFMA Commission decides on the total allowable catch using information provided by scientists, the fishery manager and industry members. To fish in this fishery, fishers need to hold statutory fishing rights allocated by AFMA. These rights allow fishers to fish in the fishery and catch the fish species that are under a quota. The rights are transferable between fishers and they are also known as individually transferable quota’s. Under this system, each fisher is limited to catching up to the amount of quota that they hold and the whole fishery is limited to the total allowable catch that is set each season. Information provision on whales and sealions with guidance for viewing/tourism.
Macquarie Island Marine ParkGovernanceMacquarie Island Marine Park Management Plan["Technological prohibition", "Technological mandate", "Ban", "Protected area"]Fishing is banned within the highly protected area; some technologies are banned within the species management zone; while others are required.
Macquarie Island Marine ParkGovernanceMacquarie Island Marine Park Management Plan["Ban", "Information provision", "Protected area"]
Central California National Marine Sanctuaries GovernanceJoint Sanctuary Management Governance System ["Ban"]Users are banned from harassing, killing, capturing, feeding or collecting any humpback whale.
Cenderwasih National ParkGovernanceCenderwasih governance system["Ban", "Protected area"]
Heard and McDonald Islands Marine ReserveGovernanceHeard and McDonald Islands Marine Reserve Management Plan["Ban", "Information provision", "Protected area"]Ban on harvesting or harassing albatross. Most of the HIMI land area is strictly protected with human visitation prohibited. The marine reserve component is fully no take, providing some protection for foraging areas. AAD provides guidelines and rules on how tourists and scientists can interact with the Light Mantled Albatross.
Galapagos Marine Reserve (GMR)GovernanceGalapagos Governance System 1998-current["Ban", "Tax"]Bans industrial fishing within the GMR, as well as restricts artisan fishing to designated zones. Allows fishing and tourism with permits.
Svalbard Nature ReservesGovernanceSvalbard Environmental Protection Act["Technological mandate", "Tax", "Protected area"]Tax – there is a ‘Tourist Tax/Fee’ on each tourist that visits the islands of Svalbard. This money goes into an Environmental Protection Fund which can be distributed for environmental projects. (This fee likely does not influence the numbers of tourists travelling to Svalbard). Technological Mandate – in 2007 a ban on the use of ‘heavy fuels’ was introduced for the Nature Reserves.
Cenderwasih National ParkGovernanceCenderwasih governance system["Ban", "Protected area"]
California squidGovernanceCalifornia Department of Fish and Wildlife Market Squid Fishery Management Plan[""]Only certain gear types accepted (existing gear restriction (G.1) which states that each vessel fishing for squid and lighting for squid will utilize a total of no more than 30,000 watts of light to attract squid at any time and that each vessel fishing for squid or lighting for squid will reduce the light scatter of its fishing operations by shielding the entire filament of each light) (FMA 2005) Landing taxes. Protected no-fishing areas. Weekend closures. (Temporal Standard)
New Zealand squidGovernanceNew Zealand Quota Management System[""]Fishing season (temporal), protected areas, gear restrictions, tax quota allocated, outcome-based (if sea lions die more, close fishery / if squid are very abundant, increase TACC).
Community G (Fiji Fisheries)GovernanceCommunity G Governance System["Technological prohibition", "Ban", "Protected area"]
Community H (Fiji Fisheries)GovernanceCommunity H Governance System["Technological prohibition", "Ban", "Protected area"]
Heard and McDonald Islands Marine ReserveGovernanceHeard and McDonald Islands Marine Reserve Management Plan["Ban", "Protected area"]Fishing is banned in the MPA.
Heard and McDonald Islands Marine ReserveGovernanceHeard Island and McDonald Islands Fishery Management Plan["Proportional outcome-based performance standard", "Technological prohibition", "Technological mandate", "Protected area"]The toothfish fishery is governed with total allowable quota which is distributed proportionally among the holders of those quotas. There are a variety of other measures designed to limit impacts on the environment and wildlife, including a no-take marine reserve, mandated technology (e.g., streamer lines to mitigate incidental catch of birds), move on rules to limit bycatch, and other environmental based rules (e.g., rules about discarding waste). There is also a mandated fisheries reporting system so that managers can tract progress towards the total allowable catch and onboard fisheries observers.