This is a study of approaches to fisheries management in the United Kingdom (UK) between 1945 and 1996. It examines the choices and incentives faced by UK Governments when designing policy instruments to deliver international commitments to sustainable fishing. The failure of international agreements to sustainably manage fisheries resources is often attributed to international institutions, the politicization of negotiations and their distributive outcomes. This thesis makes an original contribution by arguing that the success of international agreements was also dependent upon local negotiations that shaped the design of national delivery mechanisms. The central research question concerns the role and influence of local interests in delivering global economic and environmental agendas and how national governments accommodate local tensions within this process. A sustained content analysis of UK Government archives is used to argue that local political and sectional industry interests had a significant bearing on the development of UK fisheries policy and the design of domestic delivery mechanisms. The exception was UK policy on the international distribution of fisheries resources at the United Nations Law of the Sea Conferences (1958, 1960 and 1973-82). Economic considerations drove early environmental policy with sectional fishing industry interests of secondary importance to the potential economic benefits associated with the more valuable energy resources. In then seeking to implement controls on fishing activity, this thesis argues that UK fisheries management mechanisms were designed to compensate for tension between global commitments mandating a reduction in fishing effort and the local fleets and communities that had to bear the costs of industry contraction. This created a policy-making environment in which social and political motivations continually trumped the application of economic and scientific advice. This advice advocated a contraction in the size of the fleet which had become necessary as technical change and falling stocks resulted in overcapacity. The use of fisheries policy as a political tool to ease local tensions incentivised policy choices that directly contributed to the UK's failure to reduce fishing pressure and deliver international commitments. This thesis demonstrates the importance of local negotiations and interests in the construction of national and international approaches to environmental and natural resources problems.

Este tese tem por objetivo analisar o papel da legislação enquanto prática institucional de estruturação das políticas públicas. Pretende-se oferecer uma estrutura conceitual que auxilie na compreensão do modo como leis são desenhadas, da forma como administradores comportam-se diante destes arranjos legislativos, da capacidade de tais atos normativos de influenciar a atividade de implementação de programas governamentais, bem como a relação existente entre determinadas estratégias legislativas e os resultados das políticas públicas. Para tanto, esta tese se baseará nos pressupostos e fundamentos de uma teoria da legislação capaz de fornecer as ferramentas analíticas necessárias para a identificação das potencialidades e limitações de diversos instrumentos de engenharia legislativa para promover o controle político da administração e a efetividade das políticas públicas. Ver-se-á que a formulação de uma lei envolve escolhas não só sobre o conteúdo das políticas públicas, mas também sobre aspectos formais das normas jurídicas e dos procedimentos de tomada de decisão administrativa que constarão do texto legislativo. Cabe, portanto, à teoria da legislação fornecer subsídios para a escolha das normas substantivas e procedimentais mais adequadas à realização dos objetivos de uma política pública. Após serem discutidas, à luz das ferramentas analíticas fornecidas pela teoria da legislação, as vantagens e desvantagens, abstratamente consideradas, dos instrumentos de engenharia legislativa mais usuais, esta tese empreenderá um estudo de caso sobre a lei que disciplina a Política Nacional do Meio Ambiente. Este trabalho discutirá as principais falhas do desenho institucional desta lei, que argumenta-se não dispor de instrumentos adequados para condicionar a Administração Pública a agir de modo a formular e implementar a Política Nacional do Meio Ambiente de modo efetivo e eficiente. Contrariando um discurso dominante, que atribui exclusivamente a fatores não-legislativos a inefetividade da Política Nacional do Meio Ambiente, este trabalho procura demonstrar que falhas no desenho institucional da legislação vigente também possuem responsabilidade pelo fracasso das políticas ambientais. / The objective of this dissertation is to analyze the role of legislation in structuring public policy. This work aims to provide a conceptual framework which will help to increase the understanding of how laws are designed, how administrators respond to legislative arrangements, how effective legislation is in influencing the implementation process of governmental programs, as well as how specific legislative strategies affect the results of public policy. In order to do that, this dissertation will rely on the elements and norms of a theory of legislation which provides the analytical tools necessary to identify the strengths and weaknesses of the various instruments of legislative engineering used to promote political control of the administration, as well as public policy effectiveness. It will be seen that the drafting of a statute requires choices not only about substantial issues of public policy, but also about formal aspects of the legal rules and decision-making procedures which are to be set in legislation. In this regard, the theory of legislation on which this dissertation relies provides the analytical tools for the choice of the rules and procedures most suitable for the realization of public policy objectives. After discussing, in abstract, the advantages and disadvantages of specific instruments of legislative engineering, this dissertation will carry out a case study involving the National Environmental Policy Act. It will also discuss the main failures of the institutional design of this statute, which, it is claimed in this work, are not adequate to force the Public Administration to behave effectively and efficiently in the formulation and implementation of the National Environmental Policy. This work runs in the opposite direction to a leading academic discourse which considers only non-legislative factors as the causes for the ineffectiveness of the National Environmental Policy. Instead, this work will demonstrate that failures in the institutional design of legislation may also help to explain why environmental policies do not work.

Este tese tem por objetivo analisar o papel da legislação enquanto prática institucional de estruturação das políticas públicas. Pretende-se oferecer uma estrutura conceitual que auxilie na compreensão do modo como leis são desenhadas, da forma como administradores comportam-se diante destes arranjos legislativos, da capacidade de tais atos normativos de influenciar a atividade de implementação de programas governamentais, bem como a relação existente entre determinadas estratégias legislativas e os resultados das políticas públicas. Para tanto, esta tese se baseará nos pressupostos e fundamentos de uma teoria da legislação capaz de fornecer as ferramentas analíticas necessárias para a identificação das potencialidades e limitações de diversos instrumentos de engenharia legislativa para promover o controle político da administração e a efetividade das políticas públicas. Ver-se-á que a formulação de uma lei envolve escolhas não só sobre o conteúdo das políticas públicas, mas também sobre aspectos formais das normas jurídicas e dos procedimentos de tomada de decisão administrativa que constarão do texto legislativo. Cabe, portanto, à teoria da legislação fornecer subsídios para a escolha das normas substantivas e procedimentais mais adequadas à realização dos objetivos de uma política pública. Após serem discutidas, à luz das ferramentas analíticas fornecidas pela teoria da legislação, as vantagens e desvantagens, abstratamente consideradas, dos instrumentos de engenharia legislativa mais usuais, esta tese empreenderá um estudo de caso sobre a lei que disciplina a Política Nacional do Meio Ambiente. Este trabalho discutirá as principais falhas do desenho institucional desta lei, que argumenta-se não dispor de instrumentos adequados para condicionar a Administração Pública a agir de modo a formular e implementar a Política Nacional do Meio Ambiente de modo efetivo e eficiente. Contrariando um discurso dominante, que atribui exclusivamente a fatores não-legislativos a inefetividade da Política Nacional do Meio Ambiente, este trabalho procura demonstrar que falhas no desenho institucional da legislação vigente também possuem responsabilidade pelo fracasso das políticas ambientais. / The objective of this dissertation is to analyze the role of legislation in structuring public policy. This work aims to provide a conceptual framework which will help to increase the understanding of how laws are designed, how administrators respond to legislative arrangements, how effective legislation is in influencing the implementation process of governmental programs, as well as how specific legislative strategies affect the results of public policy. In order to do that, this dissertation will rely on the elements and norms of a theory of legislation which provides the analytical tools necessary to identify the strengths and weaknesses of the various instruments of legislative engineering used to promote political control of the administration, as well as public policy effectiveness. It will be seen that the drafting of a statute requires choices not only about substantial issues of public policy, but also about formal aspects of the legal rules and decision-making procedures which are to be set in legislation. In this regard, the theory of legislation on which this dissertation relies provides the analytical tools for the choice of the rules and procedures most suitable for the realization of public policy objectives. After discussing, in abstract, the advantages and disadvantages of specific instruments of legislative engineering, this dissertation will carry out a case study involving the National Environmental Policy Act. It will also discuss the main failures of the institutional design of this statute, which, it is claimed in this work, are not adequate to force the Public Administration to behave effectively and efficiently in the formulation and implementation of the National Environmental Policy. This work runs in the opposite direction to a leading academic discourse which considers only non-legislative factors as the causes for the ineffectiveness of the National Environmental Policy. Instead, this work will demonstrate that failures in the institutional design of legislation may also help to explain why environmental policies do not work.

Die vorliegende Arbeit untersucht wie rationale Entscheidungsfindungen in Transformationsländern katalysiert werden können, indem durch den Fokus auf die internationale Wertschöpfungskette Synergieeffekte zwischen den Unternehmen genutzt und in deren Folge die Transaktionskosten, für Investitionsentscheidungen in energieeffiziente Technologien und Prozesse zur Erfüllung der Emissionsreduktionen, gesenkt werden können. Es wird das Wirken der Marktmechanismen analysiert und der Fokus auf die Transformationstheorie sowie die Ingenieurwissenschaften gelegt. Das Supply Chain Management, als anwendungsorientierte Realwissenschaft mit expliziter Ausrichtung auf Wertschöpfungsprozesse, wird in Bezug auf strategische Investitionsentscheidungen im Allgemeinen und Investitionen in Energieeffizienzmaßnahmen im Speziellen, weiterentwickelt. Mit Hilfe einer empirisch basierten Fallstudie werden die abgeleiteten Erkenntnisse einer kritischen Prüfung unterzogen und beispielhaft dargestellt, wie das entwickelte Entscheidungsmodell eingesetzt werden kann.

Die vorliegende Arbeit untersucht wie rationale Entscheidungsfindungen in Transformationsländern katalysiert werden können, indem durch den Fokus auf die internationale Wertschöpfungskette Synergieeffekte zwischen den Unternehmen genutzt und in deren Folge die Transaktionskosten, für Investitionsentscheidungen in energieeffiziente Technologien und Prozesse zur Erfüllung der Emissionsreduktionen, gesenkt werden können. Es wird das Wirken der Marktmechanismen analysiert und der Fokus auf die Transformationstheorie sowie die Ingenieurwissenschaften gelegt. Das Supply Chain Management, als anwendungsorientierte Realwissenschaft mit expliziter Ausrichtung auf Wertschöpfungsprozesse, wird in Bezug auf strategische Investitionsentscheidungen im Allgemeinen und Investitionen in Energieeffizienzmaßnahmen im Speziellen, weiterentwickelt. Mit Hilfe einer empirisch basierten Fallstudie werden die abgeleiteten Erkenntnisse einer kritischen Prüfung unterzogen und beispielhaft dargestellt, wie das entwickelte Entscheidungsmodell eingesetzt werden kann.:Inhaltsverzeichnis Geleitwort ................................................................................................................ III Danksagung ............................................................................................................ IV Inhaltsverzeichnis ...................................................................................................... V Formelverzeichnis .................................................................................................... XI Abkürzungsverzeichnis............................................................................................. XII Teil A Konzeption der Arbeit...................................................................................... 16 1 Einführung – Integrierte Klima- und Energiepolitik und Entscheidungstheorie .. 16 2 Problemstellung...................................................................................... 25 3 Zielsetzung der Arbeit.............................................................................. 27 4 Wissenschaftstheoretische Fundierung und Methodischer Aufbau der Arbeit .. 30 4.1 Zur wissenschaftlichen Fundierung der Arbeit ................................................... 30 4.2 Aufbau der Arbeit und Beitrag zum wissenschaftlichen Erkenntnisfortschritt .......... 34 Teil B Theoretischer Bezugsrahmen........................................................................... 40 5 Basale Begriffe und Definitionen ............................................................... 40 5.1 Kohlenstoffdioxid und andere Treibhausgase .................................................... 40 5.2 Der Effizienzbegriff ........................................................................................ 44 5.3 Energie-Effizienz-Indikatoren .......................................................................... 47 5.4 Unternehmensrelevante Normen..................................................................... 52 5.5 Theoretischer Ansatz des Supply Chain Managements ...................................... 55 5.6 Transformationsländer und Systemtransformation ............................................. 62 5.6.1 Zum Begriff des Transformationslandes ..................................................... 62 5.6.2 Ökonomische Systemtransformation in Transformationsländern.................... 66 5.6.3 Bedeutung der Energieeffizienz in der polnischen Industrie im Rahmen des Transformationsprozesses ....................................................................... 71 5.6.4 Die Industrie Rumäniens unter energetischem Gesichtspunkt ....................... 74 5.7 Transaktionskostentheorie.............................................................................. 78 5.7.1 Die Transaktionskostentheorie im Rahmen der Neuen Institutionentheorie ..... 78 5.7.2 Transaktionskosten im Rahmen des Emissionshandels................................ 83 5.8 System -und Entscheidungstheorie.................................................................. 85 5.8.1 Grundlagen der System– und Entscheidungstheorie.................................... 85 5.8.2 Betriebswirtschaftliche Entscheidungstheorie.............................................. 90 5.8.2.1 Zum Problembegriff....................................................................................90 5.8.2.2 Alternativenkonfiguration............................................................................92 5.8.2.3 Präferenzmodellierung ...............................................................................94 5.8.3 Unternehmenspolitische Entscheidungsansätze.......................................... 96 5.8.3.1 Argumentenbilanz ......................................................................................96 5.8.3.2 Nutzwertanalyse.........................................................................................97 5.8.3.3 Portfolioanalyse..........................................................................................99 VI 5.8.4 Die Entscheidungsorientierte Betriebswirtschaftslehre................................ 102 5.8.5 Modellklassen ...................................................................................... 109 5.8.6 Entscheidungsregeln............................................................................. 112 5.8.6.1 Entscheidungsregeln bei Unsicherheit .....................................................116 5.8.6.1.1 Minimax-Entscheidungsregel.............................................................116 5.8.6.1.2 Maximax- Entscheidungsregel...........................................................116 5.8.6.1.3 Hurwicz-Entscheidungsregel (Pessimissmus-Optimismus-Regel) .....117 5.8.6.1.4 Savage-Niehans-Entscheidungsregel................................................118 5.8.6.1.5 Laplace-Entscheidungsregel .............................................................119 5.8.6.2 Entscheidungsregeln bei Risiko ...............................................................121 5.8.6.2.1 Erwartungswert-Regel .......................................................................121 5.8.6.2.2 μ -σ -Regel.......................................................................................121 5.8.6.2.3 Bernoulli-Regel..................................................................................122 5.8.6.2.4 Entscheidungsbaum..........................................................................123 5.8.7 Anforderungen an ein Entscheidungsmodell ............................................. 125 Teil C Energieeffizienzstrategien: Europäische Union versus Transformationsländer ...... 128 6 Integrierte Ansätze zur Energieeffizienzsteigerung in Transformationsländern128 6.1 Emissionshandel als marktorientierter Mechanismus zur Effizienzerhöhung ........ 128 6.2 Ordnungspolitik versus Marktmechanismen – Kohlenstoffdioxidsteuer und Handel mit Emissionsrechten............................................................................................... 131 6.3 Die flexiblen Mechanismen des Kyoto -Protokolls ............................................ 136 6.3.1 Clean development mechanism.............................................................. 141 6.3.2 Joint Implementation ............................................................................. 143 6.4 Unternehmensstrategien unter cap – and trade Regulierung ............................. 152 Teil D Energieeffizienzinvestitionen entlang der Wertschöpfungskette........................... 156 7 Herausarbeitung des Handlungsbedarfes für Investitionen in Energieeffizienztechnologien – das ENEFFTECH-Entscheidungsmodell ....................... 156 7.1 Anforderungen an das ENEFFTECH-Entscheidungsmodell............................... 156 7.2 Das ENEFFTECH-Strukturmodell .................................................................. 157 7.3 Datenmodellierung im ENEFFTECH-Strukturmodell......................................... 158 7.3.1 Grundsätze der Datenmodellierung im ENEFFTECH-Strukturmodell............ 158 7.3.2 Informationsarchitektur und Prozessgestaltung für Strategisches Supply Chain Management ........................................................................................ 160 7.3.3 Datenmodell – Informationsebene ........................................................... 166 7.3.4 Datenmodell - Datenerfassungebene....................................................... 169 7.3.5 Datenmodell - Entscheidungsebene ........................................................ 171 7.3.5.1 Vorgaben zur Berechnung........................................................................171 7.3.5.2 Investitionsalternativen.............................................................................172 7.3.5.3 Umweltzustände.......................................................................................173 7.4 Abgrenzung von Bilanzräumen...................................................................... 174 7.5 Formulierung des Entscheidungsproblems...................................................... 178 7.6 Identifizierung von Handlungsalternativen auf Unternehmensebene ................... 183 7.7 Ableitung von Aussagen auf Branchenebene .................................................. 190 VII 7.7.1 Mikro-Makro-Link (MML) ........................................................................ 190 7.7.2 Erfassung relevanter Daten zur Ableitung von Branchenaussagen............... 194 7.7.3 Erweiterung des Ansatzes auf Emissionsreduzierende Energieeffizienzsteigerung ..................................................................... 199 7.7.4 Bewertung des ENEFFTECH-Entscheidungsmodell und Vergleich mit anderen Entscheidungsmethoden........................................................................ 203 8 Modelltest: Fallstudie zum ENEFFTECH-Entscheidungsmodell ................... 205 8.1 Energieeffizienzinvestionen entlang der Supply Chain am Beispiel eines mittelständischen Energieversorgers..................................................................... 205 8.1.1 Allgemeine Informationen und Rahmenbedingungen ................................. 205 8.1.2 Auswahl des Kooperationspartners der Stadtwerke ENEFFTECH-Stadt GmbH... .......................................................................................................... 206 8.1.3 Rahmenbedingungen hinsichtlich des Emissionshandels............................ 208 8.1.4 Auswahl der Wertschöpfungspartner ....................................................... 211 8.2 Lösungsansätze unter Nutzung des Supply Chain Managements ...................... 212 8.2.1 Systematisierung der Investitionsalternativen............................................ 212 8.2.2 Ableitung der Investitionsentscheidung .................................................... 217 Teil E Zusammenfassung und Schlussbetrachtungen ................................................. 220 9 Zusammenfassung und Fazit der Arbeit ................................................... 220 9.1 Zusammenfassende Einschätzung ................................................................ 220 9.2 Quo Vadis? - Ableitung des weiteren Forschungsbedarfes................................ 225 Symbole, Einheiten und Umrechnungen ................................................................... 227 Glossar ................................................................................................................ 229 Literatur- und Quellenverzeichnis............................................................................. 244 Anhang ................................................................................................................ 276