Maritime Governance and Policy-MakingVolume : The Need for Process Rather than Form 29 Number August 2013 pp 167-186 The Asian Journal of Shipping and Logistics Ɣ Ɣ Maritime Governance and Policy-Making : The Need for Process Rather than Form 0LFKDHO52( * Contents ,,QWURGXFWLRQ ,,*RYHUQDQFH)DLOXUH LQWKH0DULWLPH6HFWRU ,,,)RUPYHUVXV3URFHVV ,93URFHVV 93ROLF\0DNLQJDQG3URFHVV 9,&RQFOXVLRQV Abstract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aritime Governance and Policy-Making : The Need for Process Rather than Form I Introduction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¶VQDWLRQDOO\YHU\ FRPPRQO\VWDWHGHILQHGOHJLVODWLYHDQGSROLF\DXWKRULWLHV1DWLRQDOIODJV QDWLRQDOO\GH¿QHGJOREDODXWKRULWLHVDQGQDWLRQDOPDULWLPHDGPLQLVWUDWRUVFDQ QRORQJHUHIIHFWLYHO\GHYHORSRULPSOHPHQWSROLFLHV 7HUULWRULDOK\SRFULV\LVDFKDUDFWHULVWLFRIPDULWLPHJRYHUQDQFHPDQLIHVWLQJ LWVHOILQWKHZD\WKDWWKHVKLSSLQJLQGXVWU\DWWHPSWVDQGODUJHO\VXFFHHGVWR WDNHDGYDQWDJHRIERWKLWVQDWLRQDODQGJOREDOIUDPHZRUN7KLVLVHYLGHQFHG E\WKHZLGHVSUHDGDEXVHRIPDULWLPHSROLFLHVWKURXJKÀDJVRIFRQYHQLHQFH WKHDSSOLFDWLRQRIQDWLRQDOWRQQDJHWD[UHJLPHVDQGWKHLQDGHTXDFLHVRI3RUW 6WDWH&RQWUROMXVWVRPHRIWKHZD\VVKLSSLQJFRUSRUDWLRQV¶WUDGHRIISROLFLHV DWQDWLRQDODQGJOREDOOHYHOWRDFKLHYHWKHEHVWRIERWKZRUOGVDQGWKHZRUVW IRUWKHHQYLURQPHQWVDIHW\VHFXULW\DQGFRPSHWLWLRQ 7KH UHVXOW LV FKDUDFWHULVHG E\ WHUULWRULDO SRURVLW\ ZKHUHE\ WKH LPSDFW RI QDWLRQDO ERUGHUV FDQ EH LPSRVHG DW ZLOO DQG WDNHQ DZD\ E\ VKLSSLQJ FRUSRUDWLRQV WR PD[LPLVH SURILW ± HLWKHU LQ SUDFWLFH RU DW OHDVW E\ WKUHDW 1DWLRQDOWHUULWRU\QRORQJHUKDVWKHPHDQLQJLWRQFHKDGDQGJOREDOLVDWLRQKDV FUHDWHGDQLJKWPDUHIRUSROLF\PDNHUVFRQGHPQHGWRFRQWLQXHZRUNLQJZLWKLQ DQDWLRQDOO\GH¿QHGMXULVGLFWLRQDOIUDPHZRUNRIJRYHUQDQFH *OREDOLVDWLRQ FHQWUHV XSRQ IORZV ± RI LQIRUPDWLRQ PDWHULDOV PRQH\ ODERXUHWF±DQG\HWSXEOLFPDULWLPHSROLFLHVDUHHVVHQWLDOO\VWDWLF±GHVLJQHG WRSURYLGHJRYHUQDQFHIRUWKHFRUSRUDWHPDULWLPHLQGXVWU\DWRQHSRLQWLQ WLPHIRUDGHILQHGVLWXDWLRQDQGODUJHO\ZLWKDQLQDELOLW\WREHIOH[LEOHWR DFFRPPRGDWHFKDQJH$WWKHVDPHWLPHSURFHVVHV±WKHPRYHPHQWRIPRQH\ LQIRUPDWLRQ PDWHULDOV ± GRPLQDWH WKH VHFWRU DQG HIIHFWLYH JRYHUQDQFH VWUXFWXUHVQHHGWRDFFRPPRGDWHWKLVG\QDPLVPZKLFKWDNHVOLWWOHDFFRXQW RIQDWLRQDOERUGHUVDQGZKLFKDFWDVDQDQWLWKHVLVWRWKHVWDWLFSROLFLHVWKDW 5RH 168 Maritime Governance and Policy-Making : The Need for Process Rather than Form FKDUDFWHULVHWKHPDULWLPHVHFWRU 7KLV SDSHU H[DPLQHV WKH SUREOHPV IDFHG E\ SROLF\PDNHUV LQ WKH SXEOLF PDULWLPHVHFWRUWKHDOWHUQDWLYHVLQWKHIUDPHZRUNIRUJRYHUQDQFHWKDWPLJKW EH PDGH DYDLODEOH WKH FKDQJHV LQ VWUXFWXUH RI WKRVH LQYROYHG LQ SROLF\ PDNLQJDQGFRQFOXGHVZLWKLGHDVIRUWKHIXWXUHDVWRKRZWKHZKROHFRQFHSW RIPDULWLPHSROLF\PDNLQJPLJKWQHHGWREHUHFRQILJXUHGLIDGHTXDWHDQG HIIHFWLYHJRYHUQDQFHLVWREHDFKLHYHG II Governance Failure in the Maritime Sector 0DULWLPHJRYHUQDQFHUHIHUVWRWKHRYHUDUFKLQJVWUXFWXUHVDQGUHODWLRQVKLSV WKDWGLUHFWFRQWURODQGLQÀXHQFHWKHVKLSSLQJDQGSRUWVVHFWRU7RVXJJHVWWKDW WKHUHLVDQ\QHHGIRUDFRQVLGHUDWLRQRIFKDQJHVLQPDULWLPHJRYHUQDQFHWKHUH QHHGVWREHDFDVHPDGHWKDWVRPHWKLQJDWSUHVHQWFRXOGEHLPSURYHG7KLVLV QRWGLI¿FXOW7KHUDQJHRIIDLOXUHWKDWPDULWLPHSROLF\LQLWLDWLYHVGLVSOD\VLV VXEVWDQWLDODQGLQFOXGHVDOPRVWDOODVSHFWVRIWKHLQGXVWU\±DOOVHFWRUVOLQHU EXONIHUU\DOODFWLYLWLHVVDIHW\WKHHQYLURQPHQWVHFXULW\DQGHI¿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aritime Governance and Policy-Making : The Need for Process Rather than Form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¿QHLWVRSHUDWLRQDQGVWUXFWXUH DQGZKLFK LQ WXUQ KDYHD PDMRU HIIHFWXSRQZKDWFDQEHDFKLHYHGDQGE\ ZKRPDQGLWVHIIHFWLYHQHVVXSRQVKLSSLQJFRUSRUDWLRQV7KHVHFKDUDFWHULVWLFV FDQEHVXPPDULVHGDVIROORZV 1DWLRQEDVHGWKHVLJQL¿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ÀXHQFHWKDWQDWLRQEDVHGGHFLVLRQPDNLQJ FDQKDYHRYHUDJOREDOLVHGVHFWRUFDQEHHUUDWLFDQGDWWLPHVLQHIIHFWLYH7KH VKLSSLQJLQGXVWU\XVHVWKLVFRQÀLFWEHWZHHQJOREDOLVDWLRQDQGGRPHVWLFLW\WR LWVDGYDQWDJHWUDGLQJRIIRQHMXULVGLFWLRQDJDLQVWDQRWKHUDQGLQYROYLQJLWVHOI DWWKHGLIIHUHQWOHYHOVDVDQGZKHQLWVHHVLWWREHEHQH¿FLDO ,QVWLWXWLRQDOO\ GHILQHG PDULWLPH JRYHUQDQFH DQG WKH GHYHORSPHQW DQG LPSOHPHQWDWLRQRIPDULWLPHSROLFLHVDUHLQVWLWXWLRQDOO\EDVHG±DQGGHULYHG IURPLQVWLWXWLRQVWKDWUHÀHFWLQGXVWULDODQGSROLF\QHHGVRIWKHHDUO\WZHQWLHWK FHQWXU\ ZKHQ JOREDOLVDWLRQ ZDV IDU OHVV VLJQLILFDQW7KHVH LQVWLWXWLRQV ± IRU H[DPSOH WKH ,02 81&7$':RUOG7UDGH 2UJDQLVDWLRQ :72 WKH (8&RPPLVVLRQ$6($1HWF±DUHQRZLQPDQ\ZD\VQRORQJHU¿WIRUWKH WDVNVWKH\DUHVXSSRVHGWRSHUIRUPDVWKH\UHIOHFWDQDWLRQDOGRPLQDWLRQRI MXULVGLFWLRQDOLQWHJULW\WKDWLVLQDSSURSULDWHIRUDQLQFUHDVLQJO\JOREDOVKLSSLQJ 170 Maritime Governance and Policy-Making : The Need for Process Rather than Form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¿FDQFH RIWKHPHGLDSROLWLFLDQVLQWHUHVWJURXSVRIDOOW\SHVDQGPDQ\PRUHLISROLF\ PDNLQJLVWREHPHDQLQJIXO 6KLSRZQHUV VKLSRZQHUV DUH KLJKO\ VLJQLILFDQW VWDNHKROGHUV LQ PDULWLPH SROLF\PDNLQJ DQG VKRXOG IRUP D FHQWUDO SODQN RI PDULWLPH JRYHUQDQFH +RZHYHUWKHLUSUHVHQWLQÀXHQFHLVVRVLJQL¿FDQWDVWRRYHUZKHOPPDQ\RWKHU LQWHUHVWHG SDUWLHV ZLWK JHQXLQH VWDNHV7KH PXOWLWXGH RI WRQQDJH WD[DWLRQ UHJLPHV WKDW KDYH EHHQ DGRSWHG LVDQH[DPSOHZKHUHUHODWLYHO\SURILWDEOH VKLSSLQJFRPSDQLHVKDYHJDLQHGVWDWHVXEVLGLHVWKURXJKSUHIHUHQWLDOWD[DWLRQ DZDUGHG E\ QDWLRQVWDWHV GHVSHUDWH WR UHWDLQ D SVHXGRGRPHVWLF VKLSSLQJ LQGXVWU\7RUHPDLQFRPSHWLWLYHRQHFRXQWU\DIWHUDQRWKHUKDVLQWURGXFHGD FRQFHVVLRQDU\VFKHPHRIWKLVVRUWWKHOLNHRIZKLFKLVJHQHUDOO\XQDYDLODEOH IRUDQ\RWKHUVSHFL¿FLQGXVWULDOVHFWRU*OREDOLVDWLRQKDVHQDEOHGVKLSRZQHUV WR WUDGH RII QDWLRQV DJDLQVW HDFK RWKHU WR REWDLQ WKLV W\SH RI FRQFHVVLRQ 7KHUROHRIQDWLRQDOIODJUHJLVWHUVLVVLPLODULQSURYLGLQJRSSRUWXQLWLHVIRU VKLSRZQHUVWREDUJDLQWKHLUÀHHWUHJLVWUDWLRQEHWZHHQFRXQWULHV )RUP DQG SURFHVV PDULWLPH SROLFLHV KDYH WUDGLWLRQDOO\ EHHQ GHVLJQHG VWDWLFDOO\UDWKHUWKDQG\QDPLFDOO\IRFXVVLQJXSRQIRUPUDWKHUWKDQSURFHVV 7KHVKLSSLQJLQGXVWU\DQGLWVRSHUDWLQJHQYLURQPHQWLVKLJKO\G\QDPLFDQG WKH SUREOHPV DGGUHVVHG E\ SROLFLHV QHHG WR EH GHVLJQHG DURXQG G\QDPLF JRYHUQDQFHLIWKH\DUHWREHHIIHFWLYH3ROLFLHVDUHWUDGLWLRQDOO\³VQDSVKRW´ UHOHYDQWWRRQHPRPHQWLQWLPHDQGLQFUHDVLQJO\DQDFKURQLVWLFHYHQEHIRUH LPSOHPHQWDWLRQ:KLOVWWKHGHYHORSPHQWRIG\QDPLFJRYHUQDQFHPD\ZHOO 171 Maritime Governance and Policy-Making : The Need for Process Rather than Form SUHVHQWFKDOOHQJHVLWLVVRPHWKLQJWKDWKDVDWWUDFWHGPXFKDWWHQWLRQLQPDQ\ ¿HOGVDOUHDG\±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¿FDQWFKDUDFWHULVWLFVZKLFKZLOOEHFRQVLGHUHGLQWKLVSDSHU,QVWHDGLWLV WKHQDWXUHRISROLFLHVDQGWKHFRQWLQXHGIRFXVRQVWDWLFUDWKHUWKDQG\QDPLF PHDVXUHVWKDWZLOOEHDGGUHVVHGXSRQIRUPUDWKHUWKDQSURFHVVDQGXSRQ WKHQHHGWRGHYHORSPDULWLPHJRYHUQDQFHDQGSROLF\PDNLQJVRWKDWLWFDQ DFFRPPRGDWHFKDQJHUDWKHUWKDQIL[DWLRQLQLWVFRQVLGHUDWLRQRIWKHZLGHU UHVSRQVLELOLWLHVWKDWH[LVW III Form versus Process 7KHPDULWLPHLQGXVWU\LVQRWKLQJLIQRWG\QDPLF6KLSSLQJLVGRPLQDWHG E\ PRYHPHQW RI LWV PDLQ SK\VLFDO DVVHWV EXW LQ DGGLWLRQ WR WKLV WKH YHU\ QDWXUHRIWKHVHFWRULVSHUVLVWHQWO\RQHRIFKDQJHLQFOXGLQJLWVLPSDFWRQWKH HQYLURQPHQWWKHFRQWLQXRXVWKUHDWRIVDIHW\IDLOLQJVWKHDFWLYLW\RILVVXHV HPDQDWLQJIURPVHFXULW\WKUHDWVWKHVDOHDQGSXUFKDVHRIFRPPRGLWLHVDQG YHVVHOVWKHWUDQVIHURIODERXUDVVHWVWKHUHUHJLVWUDWLRQRIVKLSVWKHHYHU LQFUHDVLQJVFHQDULRRIÀDJKRSSLQJDQGPXFKHOVH$OODVSHFWVRIWKHLQGXVWU\ DUHDIIHFWHGWRDJUHDWHUH[WHQWWKDQPDQ\RWKHUVUHIOHFWLQJWKHLQWHQVLW\WR ZKLFKLWLVLQÀXHQFHGE\JOREDOLVDWLRQDQGWKHFRQWULEXWLRQRIWKHPDULWLPH VHFWRUWRWKHSURFHVVRIJOREDOLVDWLRQLWVHOI $W WKH VDPH WLPH PDULWLPH SROLF\PDNLQJ UHPDLQV VWDWLF &KDUDFWHULVHG E\DJRYHUQDQFHSURFHVVWKDWLVORFNHGZLWKLQDQDQDFKURQLVWLFLQVWLWXWLRQDO &RPPLVVLRQRIWKH(XURSHDQ&RPPXQLWLHV 172 Maritime Governance and Policy-Making : The Need for Process Rather than Form IUDPHZRUN DQG DQ XQFKDQJLQJ QDWLRQVWDWH GRPLQDWLRQ WKH SROLFLHV WKDW HPHUJHDUHDOPRVWZLWKRXWH[FHSWLRQVWDWLFDOO\REVHVVHG¿[HGXQWLOWKHQH[W SROLF\UHYLHZFRPHVURXQG7KLVLVH[HPSOL¿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ÀHFWWKHPRYHPHQWWKDW FKDUDFWHULVHVWKHLQGXVWU\ :KLOVW WKH PDULWLPH VHFWRU LV QRW DORQH LQ SRVVHVVLQJ D JRYHUQDQFH IUDPHZRUNZKLFKLVGLUHFWHGWRZDUGVDVLQJOHVWDWHUDWKHUWKDQDFFRPPRGDWLQJ SURFHVVHV RI FKDQJH LW LV PRUH VHYHUHO\ DIIHFWHG EHFDXVH RI LWV LQKHUHQW FKDUDFWHULVWLFV 1RW OHDVW RI WKHVH LV WKH RSSRUWXQLW\ DIIRUGHG WR VKLSSLQJ LQGXVWU\VWDNHKROGHUVRZQHUEURNHUVDJHQWVDQGWKHOLNHWRWDNHDGYDQWDJH RIWKHFKDVPWKDWH[LVWVEHWZHHQVWDWLFSROLFLHVDQGWKHUHDOOLIHQDWXUHRI G\QDPLFLQGXVWULDODFWLYLW\([DPSOHVDERXQG±ÀDJKRSSLQJWKHDEXVHRIWKH SRUWVWDWHFRQWUROV\VWHPWKHUROHWKDWWRQQDJHWD[DWLRQSOD\VLQQDWLRQDOWUDGH RIIV EHWZHHQ MXULVGLFWLRQV WKH PRYHPHQW RI VKLSSLQJ FRPSDQLHV EHWZHHQ ILQDQFLDODQGOHJDODGPLQLVWUDWLRQVWRDYRLGSHQDOWLHVWKDWRWKHUZLVHPLJKW EH LQFXUUHG DUH MXVW VRPH:KLOVW WKH DLPV RI PDULWLPH SROLF\PDNLQJ DUH FRPPRQO\ODXGDEOHLWVVWDWLFQDWXUHPDNHVLWVHIIHFWLYHDSSOLFDWLRQGLI¿FXOW IV Process ³2WKHUV ZKR VHHPHG WR OLYH LQ D PRVW FXULRXV FRQGLWLRQ RI FRQVFLRXVQHVVDVLIWKHVWDWHWKH\KDGDUULYHGDWWRGD\ZHUH¿QDOZLWK QRSRVVLELOLW\RIFKDQJHRUDVLIWKHZRUOGDQGWKHSV\FKHZHUHVWDWLF DQG ZRXOG UHPDLQ VR IRUHYHU´ &DUO -XQJ ³0DQ DQG +LV 6\PEROV´ 7KH*UHHNVVXJJHVWHGWKDWH[SHULHQFHSUHVHQWVHYHU\RQHLQFOXGLQJSROLF\ 173 Maritime Governance and Policy-Making : The Need for Process Rather than Form PDNHUV ZLWK ZKDW WKH\ WHUPHG IOX[ 7KH GLIILFXOW\ ZDV WR XQGHUVWDQG WKH àHQGXULQJ XQFKDQJLQJ HQWLWLHVả EHKLQG WKLV IOX[ ZKLFK KDG WR FRQWDLQ HOHPHQWVRIERWKVWDELOLW\DQGFKDQJH7KHUHKDYHDOVREHHQSUREOHPVZLWK DFFRPPRGDWLQJ G\QDPLVP LQ WKH DQDO\VLV RI ZKDW VHHPLQJO\ ZHUH IL[HG VWUXFWXUHVDQGPDULWLPHSROLFLHVDUHQRWH[HPSWIURPWKLV7KHDQDO\VLVRI FXUUHQWGHYHORSPHQWVLQSROLF\PDNLQJDVàVQDSVKRWVảDQGWKHLQDGHTXDFLHV WKLVUHSUHVHQWVKDVEHHQKLJKOLJKWHGLQJHQHUDOIRUPE\DODUJHQXPEHURI FRPPHQWDWRUV EXWWKHDEVHQFHRIVSHFLFUHIHUHQFHWRWKHVHLQDGHTXDFLHVLQ WKHPDULWLPHSROLF\DQGJRYHUQDQFHOLWHUDWXUHLVQRWDEOH0DULWLPHJRYHUQDQFH QHHGV WR DGGUHVV WKH FRQFHUQV RI VRFLDO VFLHQFH¶V SURFHVV ODZV 6KRWWHU FRQFXUV±SROLFLHVDUHQRW³VWDWLFJHRPHWULFVWUXFWXUHVVXEMHFWRQO\WRFKDQJHV RI FRQILJXUDWLRQ DQG UHDUUDQJHPHQW´ EXW QHHG WR EH YLHZHG DV ³G\QDPLF VWDELOLWLHVSURGXFHGZLWKLQDFRQWLQXRXVÀRZRIFRQGXFW´ 7KHGH¿QLWLRQRISURFHVVLVLQFRQVLVWHQWEXWLQYDULDEO\LQYROYHVDWOHDVWRQH RI FKDQJH WLPH DQG G\QDPLVP7KH OLWHUDWXUH GLVFXVVLQJ SURFHVV FKDQJH DQGJRYHUQDQFHLVVXEVWDQWLDOEXWUDUHO\LIHYHUUHIHUVGLUHFWO\WRWKHPDULWLPH VHFWRU:H PXVW WKHUHIRUH ERUURZ IURP HOVHZKHUH %ODXW EHOLHYHG WKDW ³HYHU\WKLQJ LV SURFHVV´ DOWKRXJK VRPHWLPHV YHU\ VORZ VRPHWKLQJ ZLWK ZKLFK9RQ%HUWDODQII\DJUHHGVHHLQJ³DOOVWUXFWXUHVDVVORZSURFHVVHVRI ORQJGXUDWLRQ´6FKDHIHUFRQVLGHUHGWKDWDOOPDWXUHVRFLDOVFLHQFHGHSHQGHG RQ³SURFHVVODZV´ 3UHG FRQVLGHUHG OLIH DV D ³FRPSRVLWH RI VLPXOWDQHRXV GLYHUVLW\ DQG VXFFHVVLYHYDULDWLRQRIXQIROGLQJSURFHVVHV«´+DUYH\HPSKDVLVHG WKDW D WHPSRUDO IUDPHZRUN ZDV DOZD\V QHHGHG WR XQGHUVWDQG WKH VSDWLDO FRQWH[WDQGWKDWWKH³UHDOLW\´RIDQ\HOHPHQWZLWKLQDQ\V\VWHPLVDOZD\V WLPHGHSHQGHQW%HUU\ FRPPHQWHGWKDW³WRVHHNDQ\¿[HGWKLQJVLVWRGHDO LQIDOVHLPDJLQDWLRQV´0DULWLPHSROLF\LVQRWH[HPSW±&DVWHOO¶VLQIRUPDWLRQ ÀRZVDUHFHQWUDO+DUYH\¶VWHPSRUDOUHDOLW\IXQGDPHQWDODQG%HUU\¶VDYHUVLRQ WR IL[LW\ UHDOLVWLF %XOOLPHU VWUHVVHG WKDW DOO PDQNLQG¶V DFWLYLWLHV VRXJKW ORFDWLRQLQWLPHDQGWKLVH[WHQGVWRSROLF\PDNLQJDQGWKHPDULWLPHVHFWRU 9RJWS %XOPHU3LHUVRQ 6KRWWHUS %ODXW 9RQ%HUWDODQII\S 6FKDHIHUS 3UHGS +DUYH\ %HUU\S %XOOLPHUS 174 Maritime Governance and Policy-Making : The Need for Process Rather than Form +DUWVKRUQHFRPPHQWDWHGRQWKHVLJQLILFDQFHRIWKHWUDGLWLRQDOQHJOHFWRI WLPHLQFRPSDULVRQZLWKVSDFHDQGDOWKRXJKZULWWHQLQDJHRJUDSKLFDOFRQWH[W KLV DQDO\VLV RI WKH ZRUN RI 6SHWKPDQQ ZDV SDUWLFXODUO\ SHUWLQHQW LQ LWV HPSKDVLVRIWKHQHHGIRUDG\QDPLFRYHUDVWDWLFDSSURDFK7KLVZDVWKHRQO\ ZD\WRJDLQD³SURSHUXQGHUVWDQGLQJ´RIWKHSUHVHQWDQGWKHSURFHVVHVWKDW XQGHUOLHWKH³HOXVLYHWUDQVIRUPDWLRQV´WKDWFRQWLQXRXVO\WDNHSODFH %HUU\ VXJJHVWV WKDW LW LV LPSRUWDQW WR WDNH D G\QDPLF DSSURDFK LQ FRQVLGHULQJDSDUDGLJPIRUJHRJUDSK\ZKLFKZLWKLWVVSDWLDODQGFRPPHUFLDO FKDUDFWHULVWLFVLVFOHDUO\UHOHYDQWIRUWKHVKLSSLQJVHFWRU$VWDWLFDSSURDFKLV LQDGHTXDWHWRLQWHUSUHWWKHFDXVDOSURFHVVHVWKDWXQGHUOLHWKHVSDWLDOSDWWHUQV WKDWDPRQJVWRWKHUVDQ\WUDQVSRUWDFWLYLW\LQFOXGLQJVKLSSLQJGLVSOD\V *HUWOHUVXPPDULVHG ³WKH« GLDOHFWLF RI IL[LW\ DQG IOXLGLW\« RSHUDWHV LQ D WHPSRUDO VHQVH DV ZHOO+HQFH¿UPVPXVWFRPPLWDJRRGGHDORIFDSLWDOWRVRPH¿[HGIRUPLQ RUGHUWRKDYHDPHDQVRISURGXFWLRQ