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Rethinking Peace and Conflict
Studies

Series Editor
Oliver P. Richmond
University of Manchester
Manchester
United Kingdom
This agenda-setting series of research monographs, now more than a
decade old, provides an interdisciplinary forum aimed at advancing inno-
vative new agendas for approaches to, and understandings of, peace and
conflict studies and International Relations. Many of the critical volumes
the series has so far hosted have contributed to new avenues of analysis
directly or indirectly related to the search for positive, emancipatory, and
hybrid forms of peace. New perspectives on peacemaking in practice and
in theory, their implications for the international peace architecture, and
different conflict-affected regions around the world, remain crucial. This
series’ contributions offers both theoretical and empirical insights into
many of the world’s most intractable conflicts and any subsequent
attempts to build a new and more sustainable peace, responsive to the
needs and norms of those who are its subjects.

More information about this series at


http://www.springer.com/series/14500
Dawn Walsh

Independent
Commissions
and Contentious
Issues in Post-Good
Friday Agreement
Northern Ireland
Dawn Walsh
The Institute for International
Conflict Resolution and Reconstruction
Dublin City University
Dublin, Ireland

Rethinking Peace and Conflict Studies


ISBN 978-3-319-50771-2 ISBN 978-3-319-50772-9 (eBook)
DOI 10.1007/978-3-319-50772-9

Library of Congress Control Number: 2016962453

© The Editor(s) (if applicable) and The Author(s) 2017


This work is subject to copyright. All rights are solely and exclusively licensed by the
Publisher, whether the whole or part of the material is concerned, specifically the rights of
translation, reprinting, reuse of illustrations, recitation, broadcasting, reproduction on
microfilms or in any other physical way, and transmission or information storage and
retrieval, electronic adaptation, computer software, or by similar or dissimilar methodology
now known or hereafter developed.
The use of general descriptive names, registered names, trademarks, service marks, etc. in this
publication does not imply, even in the absence of a specific statement, that such names are
exempt from the relevant protective laws and regulations and therefore free for general use.
The publisher, the authors and the editors are safe to assume that the advice and information
in this book are believed to be true and accurate at the date of publication. Neither the
publisher nor the authors or the editors give a warranty, express or implied, with respect to
the material contained herein or for any errors or omissions that may have been made.
The publisher remains neutral with regard to jurisdictional claims in published maps and
institutional affiliations.

Cover illustration: Feature Eye Images / Alamy Stock Photo

Printed on acid-free paper

This Palgrave Macmillan imprint is published by Springer Nature


The registered company is Springer International Publishing AG
The registered company address is: Gewerbestrasse 11, 6330 Cham, Switzerland
This volume is dedicated to the people of Northern Ireland those
bravery, warmth, and ability to move past centuries old hatred have
been the inspiration for this work.
ACKNOWLEDGEMENTS

I would like to thank Dr John Doyle, Dr Eoin O’Malley, and Dr Donnacha


Ó Beacháin of the School of Law and Government, at Dublin City
University for their insightful comments on an earlier version of this
work. I would also like to thank those who agreed to be interviewed for
this research or provided informal insights. I am grateful to Prof Stefan
Wolff, of the University of Birmingham, and Prof Brendan O’Leary of the
University of Pennsylvania, whose support assisted me greatly in the com-
pletion of this volume. My friends and fellow scholars, Dr Clare Hayes-
Brady, Dr Jennifer Cowman, and Anne Byrne, your support and interest in
my research have been heartening. Finally, without the unfailing support of
my husband Cian, this project would not have been possible.
The support of the Paddy Moriarty Fellowship committee and the Irish
Research Council is gratefully acknowledged.

vii
CONTENTS

Introduction: Contentious Issues and the Implementation


of the Good Friday Agreement 1
The Importance of the Implementation Stage of a Peace Process 2
Mediation: Independent Actors in Peace Processes 4
The Northern Ireland Context 12
How the Factors Which Affect Mediation Operated
in Northern Ireland 14
Conducting the Research 18
Approach of This Book 24
Notes 24
References 25

Independent Commission on Policing 29


Background to Policing in Northern Ireland 30
Mediation and the Independent Commission for Policing 34
The Independent Commission for Policing’s Identity 39
Issue Intensity 45
Terms of Reference 47
The Good Friday Agreement 50
Conclusion 53
Notes 54
References 54

ix
x CONTENTS

Independent International Commission on Decommissioning 57


Background to Decommissioning in Northern Ireland 58
Mediation and Independent International Commission
on Decommissioning 60
The Independent International Commission
on Decommissioning’s Identity 68
Issue Intensity 73
Terms of Reference 75
The Good Friday Agreement 76
Summary 77
Conclusion 79
Notes 80
References 81

Independent Monitoring Commission 87


Background to the Setting Up of the Independent
Monitoring Commission 88
Mediation and the Independent Monitoring Commission 91
The Independent Monitoring Commission’s Identity 98
Issue Intensity 103
Terms of Reference 105
The Good Friday Agreement 109
Summary (See Table 4) 110
Conclusion 112
Notes 113
References 114

The Consultative Group on the Past 119


Background to the Issue of the Past in Northern Ireland 120
Mediation and the Consultative Group on the Past 123
The Consultative Group on the Past’s Identity 128
Issue Intensity 134
Terms of Reference 137
The Good Friday Agreement 139
Summary (See Table 5) 139
Conclusion 142
Notes 143
References 144
CONTENTS xi

The Human Rights Commission 149


Background to Human Rights in Northern Ireland 150
Mediation and the Human Rights Commission 153
The Human Rights Commission’s Identity 158
Issue Intensity 163
Terms of Reference 164
The Good Friday Agreement 167
Summary (See Table 6) 170
Conclusion 172
Notes 173
References 174

Conclusion 177
Factors (Mediator Identity, Issue Intensity, Terms
of Reference, Good Friday Agreement) 178
Mediation in an International Context 186
Note 191
References 191

The Agreement 193

Index 233
LIST OF ABBREVIATIONS

CLMC Combined Loyalist Military Command


CAJ Committee on the Administration of Justice
CGP Consultative Group on the Past
DUP Democratic Unionist Party
GFA Good Friday Agreement
HRC Human Rights Commission
ICP Independent Commission on Policing in Northern Ireland
IICD Independent International Commission on Decommissioning
IMC Independent Monitoring Commission
INLA Irish National Liberation Army
IRA Irish Republican Army
NICRA Northern Ireland Civil Rights Association
NIO Northern Ireland Office
NIAC Northern Ireland Affairs Select Committee
PSNI Police Service of Northern Ireland
PUP Progressive Unionist Party
RHC Red Hand Commando
RUC Royal Ulster Constabulary
SDLP Social Democratic and Labour Party
UDA Ulster Defence Association
UDP Ulster Democratic Party
UFF Ulster Freedom Fighters
UUP Ulster Unionist Party
UVF Ulster Volunteer Force

xiii
LIST OF TABLES

Table 1 Mediation typology 6


Table 2 ICP mediation 51
Table 3 IICD mediation 77
Table 4 IMC mediation 111
Table 5 CGP mediation 140
Table 6 HRC mediation 171
Table 7 Commissions’ Mediation 179

xv
Introduction: Contentious Issues
and the Implementation of the Good Friday
Agreement

The role of third parties and external actors in efforts to resolve the conflict
in Northern Ireland was one of its most notable aspects. Their involve-
ment has been cited by many as being central to the relative success of the
peace process and the negotiation of the Good Friday Agreement (GFA).1
There has been considerable examination of the role of these third parties
in the build-up to the 1998 GFA (see e.g. MacGinty 1997; McGarry and
O’Leary 2006). There has also been a small amount of work on the role of
the USA in post-agreement Northern Ireland (see e.g. Clancy 2010;
Marsden 2006). Yet this literature does not directly address the role played
by a number of key independent commissions, some with a strong inter-
national component, that were charged with managing some of the most
contentious issues of the peace process. This volume addresses this missing
dimension. Independent commissions were key players in post-agreement
Northern Ireland. Though some issues continue to be problematic, in
many cases the involvement of independent commissions led to the suc-
cessful resolution of problems which were critical stumbling blocks to the
implementation and operation of the GFA.
The signing of the GFA on the 10th of April 1998 was heralded as an
historic day for Northern Ireland. After centuries of violent conflict, the
most recent incarnation of which had lasted over thirty years and resulted
in the deaths of over three thousand people, there was broad consensus on
the way forward for the region. The endorsing of the GFA in popular

© The Author(s) 2017 1


D. Walsh, Independent Commissions and Contentious Issues
in Post-Good Friday Agreement Northern Ireland, Rethinking Peace
and Conflict Studies, DOI 10.1007/978-3-319-50772-9_1
2 INDEPENDENT COMMISSIONS AND CONTENTIOUS ISSUES . . .

referenda both in Northern Ireland and Ireland further underscored the


fundamental progress which the agreement marked. However, its signing
and popular endorsement marked the end of the beginning rather than the
beginning of the end. Much of the hard work that was necessary to make a
peace process work was still to come.
Many peace agreements fail and the GFA was often at risk of suffering
this fate. The institutions set up by the agreement were suspended on
various occasions and at other times teetered on the brink of collapse. The
cause of this instability was complex and multifaceted. The reform of poli-
cing, the decommissioning of paramilitary weapons, the monitoring of
ceasefires, dealing with the past conflict, and the production of a bill of
rights were substantial sources of volatility. In each of these areas an inde-
pendent commission was set up to manage the issue. These commissions
were asked to administer existing legislation and/or to make recommenda-
tions regarding reforms in their respective areas. This book establishes how
these commissions behaved and what affected their behaviour. Mediation is
used to capture the wide range of activities the groups carried out and a
typology is applied to capture meaningful distinctions between different
activities which involve different levels of intervention in the peace process.
The first section of this chapter explains the importance of understand-
ing the implementation stage of a peace process and the suitability of
mediation as a framework to understand the activities of these commis-
sions. The second section provides a background to the Northern Ireland
case; addressing the international nature of the peace process and how
identity and the terms of reference (TOR) of the commissions, the inten-
sity of different conflict issues, and the GFA may have affected the work of
the commissions. The final section outlines how the research for this book
was conducted, explaining why certain commissions are included in the
book and what data was used, before concluding by offering a theoretical
framework.

THE IMPORTANCE OF THE IMPLEMENTATION STAGE


OF A PEACE PROCESS
The implementation of a peace agreement is not an inevitable result of the
continuous march of time. Yet implementation is necessary if it is to be
argued that the peace agreement has been successful in ameliorating the
conflict in a real way. Any measure of success in peace processes involves
INTRODUCTION: CONTENTIOUS ISSUES AND THE IMPLEMENTATION . . . 3

recognition that there must be sincere efforts to implement the changes


needed to bring about the political and constitutional transformation.
It could be argued that if the terms of the peace agreement were clearly
specified, the implementation phase would simply involve the logical and
smooth execution of these terms. But implementation is not usually a
straightforward process. This is due both to the role of ‘constructive
ambiguity’ in reaching agreement and the fact that the depth and breadth
of reforms needed in a post-conflict society mean that it is difficult if not
impossible to specify every element in a formal agreement.2 In addition to
this, confidence needs to be strengthened in stages. Post-conflict societies
often suffer from chronic mistrust, especially in internal conflicts where
power is shared and cannot simply be divided or partitioned.
The record shows that in the majority of cases, even where peace
agreements are negotiated and signed, these agreements collapse and the
conflict remerges (Möller et al. 2011). In part, the success of a peace
agreement is dependent on the quality and content of the agreement.
There are also a number of key elements that can also be identified as
having facilitated the success of some agreements. One such element is the
useful role of third parties in the form of key regional or global powers.
These third parties are often crucial if agreements are to be reached.
Without continued commitment by third parties to sustain agreements
through difficult years of implementation, agreements are more likely to
collapse. Many of the most successful peace agreements were not only
agreed by the direct parties to the conflict but also by key regional and
global powers (Crocker and Hampson 1996).
If a peace process is to be successful, third party involvement in the
processes should not end when an agreement is signed. The commitment
of the regional and global powers to the Northern Ireland peace process
can be seen in the involvement of the British, Irish, and US governments.3
How these third parties should act and what role they can play in imple-
menting peace agreements is not clear. Cocker and Hampson provided a
useful broad guideline. This included coordinating timetables, facilitating
demilitarisation, avoiding excessive expectations, determining the shape of
the deal, maintaining coherent leadership of the implementation process,
and using the leverage it offers to force decisions where a settlement
remained incomplete (Crocker and Hampson 1996). A mediation frame-
work captures a very broad range of these types of activities and allows us
to not only group them in a meaningful way but also to understand why a
third party engages in certain activities rather than others.
4 INDEPENDENT COMMISSIONS AND CONTENTIOUS ISSUES . . .

MEDIATION: INDEPENDENT ACTORS IN PEACE PROCESSES


Mediation has a long history, has been used in many different contexts, and
continues to be used not just in international relations but in labour disputes
and the area of family law amongst others. Bercovitch, Anagnoson, and Wille
define mediation as ‘a process of conflict management where disputants seek
the assistance of, or accept an offer of help from, an individual, group, state,
or organization to settle their conflict or resolve their differences without
resorting to physical force or invoking the authority of the law’ (Bercovitch
et al. 1991:8).
The broadness of this definition is a useful starting point but does not
provide a real insight into how mediation operates; it does not tell us what
exactly mediators do. A number of different typologies of mediation have
been created in an effort to capture mediation activities (Wall et al. 2001;
Beardsley et al. 2006). In pursuit of the overriding objective of dispute
settlement a third party may play a number of roles. These range along a
continuum from passive roles to active roles, or from those that represent a
low level of intervention to those which involve a higher level of interven-
tion. By using such a distinction between the different types of mediation
this book examines the central question of what role third parties or
independent actors can play in resolving conflict. Specifically in the less
studied context of the implementation of peace agreements.
Two prominent typologies categorise mediation type along this impor-
tant dimension. Firstly, Bercovitch and Houston provided a useful three
category classification of mediation types. They focused on the level of
intervention by exploring the content, process, and procedural aspects of
conflict management. The three types that emerged were communicative-
facilitative mediation, procedural mediation, and directive mediation
(Bercovitch and Houston 2000). The communication-facilitation approach
described mediator behaviour at the low end of the intervention spectrum.
The mediator typically adopted a comparatively passive role – channelling
information to the parties and facilitating cooperation – but exhibiting
little control over the more formal process or substance of mediation.
Procedural approaches enabled a mediator to exert more formal control
over the mediation process with respect to the environment of the
mediation. The mediator may have determined the structural aspects of
meetings and control constituency influences, media publicity, the dis-
tribution of information, and the situation powers of the parties’
resources and communication processes. The directive approach was the
INTRODUCTION: CONTENTIOUS ISSUES AND THE IMPLEMENTATION . . . 5

most powerful form of intervention. The mediator affected the content


and substance of the bargaining process by providing incentives for the
parties to negotiate or by issuing ultimatums. Directive approaches dealt
directly with and aimed to change the way issues were framed and the
behaviour associated with them (Bercovitch and Houston 2000).
A similar typology was developed by Touval and Zartman (1985). They
put forward three types of mediation: communicative/facilitative, formula-
tive, and manipulative. Communicative or facilitative mediation involved the
mediator acting as a channel for communication between the parties. The
mediator made no substantive contribution, restrained to ensuring contin-
ued and constructive discussion and dialogue between the disputants.
Formulative mediation involved substantive contribution to the negotiation,
including the development and proposal of new solutions, to assist the
disputants if and when they reach an impasse. Manipulative mediation
provided this substantive contribution but also involved the mediator
using its power and influence to ‘manipulate’ or incentivise the parties into
a solution, also referred to as ‘mediation with muscle’ (Beardsley et al.
2006:62–65).
These typologies had much in common. The communicative-facilita-
tive type of mediation conceptualised by both pairs of scholars was essen-
tially the same, but a difference did emerge. In Zartman and Touval’s
typology, the next type of mediation, formulative mediation, involved
substantive proposals by the mediator. This type was distinguished from
the more interventionist type of mediation, manipulative, by the latter’s
use of leverage to encourage agreement. Bercovitch and Houston’s typol-
ogy excluded mediations that involve substantive proposals from their
second category (procedural mediation). Their distinction between pro-
cedural and directive mediation was based on this difference in making
substantive proposals rather than on the use of power.
The typology used in this book is drawn from the above and adapted in
order to ensure it captures the meaningful differences between the different
commissions (see Table 1). The communicative-facilitative and procedural
mediation categories were combined into a facilitative-procedural type of
mediation. This was done in recognition of the fact that, as the commu-
nicative-facilitative type indicates, none of the commissions under exam-
ination simply act as channels of communication. Rather, the commissions
on the lower end of the intervention spectrum also engaged in controlling
procedural aspects of their respective issue to be managed. With this in
mind a merely communicative-facilitative category had no relevance to the
6 INDEPENDENT COMMISSIONS AND CONTENTIOUS ISSUES . . .

Table 1 Mediation typology


Mediation type Activities

Facilitative-procedural • Mediator makes no substantive contribution.


mediation • Mediators highlight areas of agreement.
• Mediators control setting of mediation such as agenda and
access to constituency or media.
Formulative mediation • Mediators make a substantive contribution to the
negotiation, proposing of new solutions.
• Mediators take ownership of these proposals.
Directive mediation • Mediators press conflict parties to compromise through the
application of leverage.
• Mediators act as verifiers of compliance.

case at hand. The second type of mediation used in this type was formula-
tive mediation, as conceptualised by Touval and Zartman (1985) and
referred to by Beardsley et al. (2006). The third and final type of mediation
employed was directive mediation. This type, which was drawn from
Bercovitch and Houston’s typology (2000), also incorporated the use of
power or leverage by the mediator – as included in manipulative mediation
by Zartman and Touval (1985).
Facilitative-procedural mediation involves a low level of intervention. If
facilitative-procedural mediation was present, the following would be
observed: mediators providing information to the parties in the hope it
assists in resolving the conflict. They will also control procedural elements
of the mediation, such as the agenda and the access of parties to media or
other actors. Information will be channelled between parties (Bercovitch
and Houston 2000). In facilitative-procedural mediations mediators will
seek to reduce tensions by clarifying or restating positions of the parties in
less confrontational or aggressive ways. The mediator will also highlight
any common areas of agreement between the parties. The mediator may
have private meetings with different parties immediately before direct talks
are held. The mediator will draft the agenda and decide which issues will be
discussed and how long to spend on various issues. The mediator will also
control when the discussions take place and will often provide the location.
This control over the physical mediation setting will also extend to
control of the distribution of information from the meetings. The med-
iator will control the flow of information from the meetings to different
parties. This will include the ability to restrict the media access to those
involved in the talks and thus limit the amount and type of information
INTRODUCTION: CONTENTIOUS ISSUES AND THE IMPLEMENTATION . . . 7

being made public. The mediator will either directly control this by issuing
the press releases or by overseeing the release of information to the media
by the parties themselves. The mediator will control the access which those
involved in the talks have to their constituents outside the talks. They will
limit the ability of those inside the talks to receive information from their
constituents or to provide their constituents with information regarding
the progression of the talks (Bercovitch and Houston 2000). In facilita-
tive-procedural mediation the mediator will not make substantive sugges-
tions or exert leverage. The mediator would not make recommendations
regarding compromises or make promises, or threats, regarding the impli-
cations of non-agreement.
Formulative mediation involves mediators making substantial proposals
or recommendations regarding the content of the compromises that may
be made. Formulative mediators will proactively outline the shape com-
promises may take. While these proposals may be adapted during discus-
sions, they are offered as a framework which can shape agreement. By
providing this framework, formulative mediators will take responsibility
for concessions. As such, they are accountable for proposals and the form
they take. In the case of formulative mediation, proposals will not be
perceived as originating with one of the conflict parties. The mediator
may stress their authorship of the proposals; this may make the proposals
more acceptable to all conflicting parties than if they originate from an
opposing party in the conflict.
Under directive mediation mediators will also make substantive propo-
sals. In addition to this they will pressure conflicting parties to compro-
mise, offering incentives/making promises in return for compromises,
highlighting the costs of non-agreement/progression and verifying com-
pliance. A chief determinant of directive mediation is the leverage which
the third party employs. This leverage may be the result of the mediator
being in possession of certain material resources. The mediator may be
observed offering access to these resources as a reward for compromise or
reaching agreement and threatening to block access to the same as a
punishment for non-agreement or progression of the process.
Leverage can also be observed as the result of non-material power.
Mediators may have leverage resulting from their reputation or exper-
tise in relation to particular policy areas. Individuals, organisations, or
states that are viewed as being leaders in the development of interna-
tional norms within particular policy areas possess leverage to have such
policies incorporated into implemented peace agreements. If this form
8 INDEPENDENT COMMISSIONS AND CONTENTIOUS ISSUES . . .

of leverage were being used, mediators will refer to their previous


experience or expertise and international norms to press for the accep-
tance of their proposals.
Finally, directive mediators will act as verifiers of compliance. The
threat of non-compliance represents a major obstacle to the implementa-
tion of peace agreements. In the case of directive mediation, the mediator
will verify that groups are complying with commitments made in peace
agreements. This independent verification greatly reduces the risks asso-
ciated with compliance (Bercovitch and Lee 2003).
The mediation types developed by Bercovitch and Houston,
Zartman and Touval, and the types adapted from these for use in this
book, acknowledge fundamental distinctions between mediation types
based on the level of involvement or intervention which the mediator
makes. Mediation types are not discrete but rather represent a spectrum
of involvement. For a mediator to engage in the activities of directive
mediation, the person or commission may also display characteristics of
facilitative-procedural mediation. Yet the characterisation of types
remains useful in that it allows distinctions between levels of interven-
tion to be recognised. The level of engagement which third parties have
in implementing peace agreements is an important issue for those
interested in conflict resolution.

What Affects Mediation Type?


It seems highly unlikely that the type of mediation used in a given context
is random or arbitrary. Bercovitch and Wells argued that it is a contingent
practice (Bercovitch and Well 1993). This book draws on current research
which directly or indirectly examines the factors that may have affected
what type of mediation is used by a given mediator. Mediator identity, the
intensity of the conflict, and the mediation environment are key factors
which influence mediation type.
The mediator’s characteristics play an important role in affecting choice
of mediator strategy. There is a wide range of possible actors who may
occupy the position of mediator. International organisations, non-govern-
mental organisations, regional organisations, states, and individuals may
all act as mediators. Each different mediator will have different strengths
and weaknesses (Bercovitch and Houston 2000). Certain mediators may
be in a position to offer rewards, such as financial aid, to conflicting parties
who reach agreements. Others may rely more heavily on their reputations
INTRODUCTION: CONTENTIOUS ISSUES AND THE IMPLEMENTATION . . . 9

or ideational attractiveness. Such elements are referred to as ‘soft power’


(Nye 1990). A mediator’s use of different types of mediation will take its
own position and resources into consideration. Furthermore, a mediator’s
nationality may be very important in ethnic or secessionist conflicts.
It is also important to consider the mediator’s previous relationship
with the conflict parties. Common membership of alliances or interna-
tional organisations, or historic relationships may affect what is considered
appropriate and acceptable within the mediation. There is disagreement in
the existing literature in relation to the importance of the impartiality of a
mediator. Some authors argue that power and status as discussed pre-
viously, are more important than conceptions of neutrality (Bercovitch
and Schneider 2000). There is an increasing amount of research that
suggests that biased mediators commonly have more leverage over the
parties in conflict and therefore have more ability to press the parties to
make concessions. Biased mediators can manipulate a special relationship
with one or more parties by, for example, promising increased resources
for the party which they support. Biased mediators may also be ready to
put pressure on the parties to deliver or protect their side (Svensson
2009). This suggests that biased mediators are more likely to engage in
directive mediation.
The strategy which the mediator adopts may also be affected by the
mediator’s past experience. If it has mediated in other disputes and was
successful, it may be predisposed towards choosing a similar strategy.
Equally if the mediator failed using a particular approach it is less likely to
choose that approach in a current situation. Past experiences help a med-
iator to build up skills related to particular approaches and conflicting
parties will also be aware that certain approaches were successful in the
past and may react favourably as a result (Bercovitch and Houston 2000).
Despite the obvious value of lesson-learning from past cases to guide the
choice of mediation approach, mediators should (and often do) take into
consideration the mediation environment associated with a particular
conflict.
The intensity of the conflict can refer to the level of hostilities, the
number of injuries or fatalities, the salience of the issues at stake to the
parties, and the strength of negative feelings the parties hold towards each
other. Current research suggests that higher intensity conflicts are more
likely to lead to deeper mediation interventions and that these intense
conflicts are more receptive to these types of mediation (Wall and
Druckman 2003; Wilkenfeld et al. 2003). For example, in highly intense
10 INDEPENDENT COMMISSIONS AND CONTENTIOUS ISSUES . . .

conflict environments facilitating communication will not be a sufficient


role for third parties to play to assist in resolving the conflicts.
The mediation environment, the specific conditions in which the par-
ties in conflict and a mediator interact, affects the type of mediation used.
While mediation is voluntary, different mediation events begin under
different circumstances (Bercovitch and Houston 2000). In some
instances mediators are approached by conflict parties and asked to med-
iate, in other cases the mediator offers its services, and in some cases
another party may bring the mediator and conflict parties together. The
origins of the mediation may affect how the mediator and the conflict
parties view its role. For example, a mediator who was invited by the
conflict parties may have a stronger mandate and therefore engages in
more interventionist mediation approaches.
It is useful to explore why conflict parties and mediators engage in the
practise. An exploration of possible motivations for engaging in mediation
provides a deeper understanding of the process. The conflicting parties
may have a range of reasons for entering into mediation. They may hope it
will prevent any escalation in the conflict, a conflict party may hope the
mediator may influence another conflict party, they may want to make a
public display of their commitment to peace, they may want an outsider to
blame for the failure to end the conflict, or they may want a mediator to
verify or monitor any agreement (Bercovitch 1997). Any prospective
mediators may also have a range of motivations. They may have a genuine
desire to change the course of a conflict, they may want to put into practise
ideas surrounding conflict management or transformation, they may want
to spread their own ideas or raise their own status, they may have a
mandate to mediate due to their membership of an international or
regional organisation, or it may be in their interest to preserve an existing
structure. Given these motivations, it is clear that mediation can occur
where all parties are committed to ameliorating the conflict situation but it
may also occur where resolving the conflict is not the main aim of the
conflict parties or the mediator. For example, even where mediators
primarily become involved in a conflict to spread their own ideas or
where conflict parties accept mediation to avoid being perceived as intran-
sigent, mediation can still be successful if the correct typologies are used
and if the conflict parties are willing to attempt to resolve their differences.
The timing of intervention in terms of the conflict phases and the state
of the parties’ current negotiations may affect the type of mediation used.
In examinations of success in mediation a number of authors have argued
INTRODUCTION: CONTENTIOUS ISSUES AND THE IMPLEMENTATION . . . 11

that mediators should not simply use one type of mediation but should
adapt the type of mediation they use at different points in a conflict or
crisis (Wilkenfeld et al. 2003). There are two contradictory ways in which
the post-agreement implementation context may affect mediation type. It
can be argued that at this stage of a conflict any third party mediator
should only be involved in low-level intervention. The conflicting parties
must be given the space to take ownership of their new situation.
Conversely, it can also be argued that the implementation stage is marked
by high levels of vulnerability on the part of the conflicting parties and that
an approach towards mediation that is highly interventionist can use third
parties to help overcome such vulnerability (Walter 1999).

Mediation Success
Different mediation types have different effects on efforts to resolve
conflict. Understanding the relative success rates of the different types
of mediation highlights the importance of this book. If one type of
mediation was found to be more successful it would be desirable,
where possible, to manipulate the factors to allow for this type of media-
tion. There is no agreement among scholars as to which type of media-
tion is most successful. Advocates of less interventionist forms of
mediation argue that conflict parties should find their own solution and
that such a solution is more likely to last (Nathan 1999). Other scholars
argue that the application of leverage or pressure associated with directive
mediation will be more effective. As Wallensteen and Svensson (2014)
noted Touval has long contended that powerful actors are more the more
effective mediators.
This disagreement is somewhat explained by differing understandings
or definitions of success. Beardsley et al. demonstrate that more interven-
tionist types of mediation are more effective at securing formal peace
agreements while less interventionist types are better placed at long-term
tension reduction (Beardsley et al. 2006). It is also important to consider
the nature of the conflict when assessing what type of mediation will be
most successful. For example, Moller et al. argue that facilitative and
formulative mediation are more useful in secessionist wars (Moller et al.
2011), while Bercovitch and Gartner argue that the depth of mediation
intervention will be more effective if it matches the intensity of the con-
flict, that is, higher intensity conflicts demand more interventionist forms
of mediation (Bercovitch and Gartner 2006).
12 INDEPENDENT COMMISSIONS AND CONTENTIOUS ISSUES . . .

The logic of the current research suggests that more interventionist


forms of mediation would be more successful in the context of the
commissions examined in this book. Most of the issues which the commis-
sions addressed were highly contentious and were delegated due to the
difficulty in securing achievement. The commissions were also tasked with
producing or implementing recommendations which share some key
characteristics with peace agreements, that is, they are formal principles
which parties must accept. While not directly addressing Wallensteen and
Svensson’s request for more research to help us to more fully understand
which types of mediation will be more successful in different contexts this
book provides guidance on the issue as the different commission enjoyed
different levels of success. Furthermore, the policy applicability of current
and future research regarding which type of mediation is most successful is
dependent on an understanding of what factors will result in different
types of mediation, an issue which is directly addressed in this volume.

THE NORTHERN IRELAND CONTEXT


The international nature of the Northern Ireland peace process and how
this internationalisation may have contributed to the use of the commis-
sions as third parties is now outlined. This is followed by an explanation of
how mediator identity, issue intensity, and mediation context (taking into
consideration the commissions’ TOR and the GFA) may affect the beha-
viour of the commissions examined in this book.

The EU, the USA, and Other Actors


The history of the Northern Ireland peace process is a history of the gradually
increasing internationalisation of efforts to end the conflict. While tradition-
ally treated by much of the international community and the British govern-
ment as an internal issue to be dealt with by the UK, the Sunningdale
Agreement of 1973 briefly and unsuccessfully introduced formal consulta-
tion with the Republic of Ireland, and the Anglo-Irish Agreement of 1985
institutionalised the acceptance of the advisory role of the Irish government
in attempting to reach a solution to the Northern Ireland issue (Tannam
2007). The 1990s saw further involvement by other international actors
including the US government and the European Union (EU).
The growing importance of the EU was an international development that
altered the wider setting in which the Northern Ireland conflict was situated.
INTRODUCTION: CONTENTIOUS ISSUES AND THE IMPLEMENTATION . . . 13

Its significance has generally been highlighted in two separate but related ways.
Firstly, the membership of both Britain and Ireland contributed to enhanced
cooperation between the governments and reduced the significance of the
border. This position was one that was particularly favoured by the constitu-
tional nationalist party, the Social Democratic and Labour Party (SDLP). It
saw the logic of Europeanisation represented by the UK and Ireland joining
the EU in 1973 as key to dissolving the importance of the border and felt this
could allow politicians involved in trying to end the conflict work together
within an informal European framework (albeit with limited success)
(Ramsbotham et al. 1999). Accompanying the reduced significance of the
border and reinforcing this idea is the issue of EU financial support.
The support of the Irish economy south of the border by EU funds
assisted Ireland in the creation of the positive economic conditions that
were commonly referred to as the ‘Celtic Tiger’. This prosperity was accom-
panied by a wider but related process of social liberalisation. This undermined
but did not alter unionist objections to joining a ‘backward papist state’
(Ramsbotham et al. 1999:178). The EU also provided funds that sought to
redress the underdevelopment of particular areas on a regional rather than a
national basis. This arrangement arguably weakened the importance of state
borders. However, the EU had no significant political role. As Doyle argued,
‘there was no direct involvement by either the European Commission or the
Council of Ministers. No other member state ever sought to raise the
Northern Ireland conflict or had any strategic desire to’ and European
reports on the issue such as the 1984 Haagerup report did not lead to
proactive European engagement in conflict resolution (Doyle 2012:7).
The involvement of the USA was undoubtedly the most prominent inter-
national element of the Northern Ireland peace process. Albert Reynolds
commented that the ‘much vaunted greening of the White House cannot be
underestimated in its effect on the trajectory of the Northern Ireland Peace
Process’. He further developed this US-International dimension by outlining
President Clinton’s personal attachment to the (British) Isles. And impor-
tantly, by indicating that the wider global context allowed for US involvement
in a way that would not have been previously possible given post-WWI
American isolationism and that ‘Nixon had other things on his mind’
(Reynolds 1999:1–13).
The election of Bill Clinton as President of the USA led to an unprece-
dented level of US interest and involvement in Northern Ireland.4 The
granting of an entry visa for the USA to Gerry Adams in 1994 marked a
move in control of policy on Northern Ireland away from the Anglophile
14 INDEPENDENT COMMISSIONS AND CONTENTIOUS ISSUES . . .

State Department to the White House (MacGinty 1997). In 1995, Bill


Clinton appointed former Senate majority leader George Mitchell as the
peace envoy that he had promised during his campaign. This culminated in
George Mitchell not only chairing the GFA negotiations but critically, for
this analysis, chairing the first commission to examine the issue of decom-
missioning in Northern Ireland. This highlights the direct progression of
international involvement in the wider peace process and how it had a direct
effect on the commissions examined in this book. International involvement
was linked to the formation of the first commission to act as a mediator
and also impacted mediator identity, providing an enduring international
element.
The USA continued to be involved in the implementation of the GFA
as Donald C. Johnsons in 1999 and later Andrew D. Sens, were members
of the Independent International Commission on Decommissioning
(IICD) which sought to facilitate paramilitary disarmament. Another
American, Dick Kerr, held an important position on the Independent
Monitoring Commission which was primarily charged with overseeing
the status of the paramilitary ceasefires and reporting any activity.
Less high-profile states have also been pivotal in the support that they
have offered the Northern Ireland process. Andrew D. Sens was accompa-
nied on the IICD by Tauno Nieminen from Finland and the Commission
Chairman was Canadian General John De Chastelain. Given how extremely
contentious the issue of decommissioning was, and how it continued to
linger and threaten the entire peace process for years after the signing of the
GFA, the assistance of the men who sat on the decommissioning commission
and the states from which they came should not be underestimated. The
continued support provided by international members of the independent
commissions is a central concern of this book.

HOW THE FACTORS WHICH AFFECT MEDIATION OPERATED


IN NORTHERN IRELAND

The particular history and politics of the Northern Ireland conflict and
peace process, including the abovementioned internalisation, were impor-
tant for operation of the independent commissions. The factors which
affect mediation type (mediator identity, issue intensity, and conflict con-
text) must be understood as a way which captures how they operate in this
particular context.
INTRODUCTION: CONTENTIOUS ISSUES AND THE IMPLEMENTATION . . . 15

Mediator Identity
This book examines how each of the five commissions operated as a team.
Böhmelt focused on composite mediation, outlining both the advantages
and potential difficulties which this presents. Composite mediators can
pool resources and provide political balance. This increases the mediator’s
ability to exert leverage making it easier to engage in directive mediation
(Böhmelt 2012). The five commissions in this book drew members from
various states which afforded them varying levels of leverage. Different
members also had different individual levels of status due to, for example,
expertise or professional experience. To provide a nuanced understanding
of how the identity of a mediator affected mediation type this book
considers the group nature and origins of the commissions and the back-
ground personal status of the individual members.

Issue Intensity
The delegation of issues to the commissions was as a result of the intensity of
disagreement surrounding them. In most cases the substantive policies or
reforms that were needed in these areas could not be agreed. Even in cases
where the substance was largely agreed, certain actors needed to distance
themselves from what was agreed for political reasons. Thus the commis-
sions were charged with the administration of the changes or reforms.
However, the intensity of feeling around each specific issue was not
uniform. Some actors felt more strongly about a particular issue. In some
cases the disagreement over an issue can be viewed as one community
seeking action and the other resisting. For example the nationalist com-
munity seeking policing reform while the unionist community resisted.
The intensity of feeling around a particular issue can also vary over time.
Certain domestic or international events heightened the intensity of feel-
ing about particular issues. Both the robbery of the Northern Bank and
the murder of Robert McCartney in Belfast were issues which greatly
heightened the intensity of issues surrounding the paramilitary ceasefires,
particularly that of the IRA.5 While the monitoring of paramilitary cease-
fires was an issue around which there was a low level of intensity during
periods when the ceasefires appeared to be holding, incidents such as those
mentioned above led to higher levels of issue intensity.
The variation of the intensity of feeling from different actors and across
different time periods indicates that this concept must be considered in a
16 INDEPENDENT COMMISSIONS AND CONTENTIOUS ISSUES . . .

nuanced manner. To capture this variation this book considers whether


the type of mediation changed around points at which intensity increased,
either in general or for particular actors, and examines the opinions,
arguments, and behaviours of different political parties, community
groups, etc.

TOR of the Commissions


This book distinguishes between the immediate context of the mediation
and the broader environment by considering both the TOR of the com-
missions, the direct context surrounding the mediation, and the GFA
which was the broader environment in which the mediation occurred
(discussed momentarily).
The TOR provided the direct framework through which the commis-
sions operated. They outlined matters such as what was expected of the
commission and how they should go about their work. It may appear that
the effect of TOR on mediation type is so direct as to make it unnecessary
or uninteresting to study. However, this is not the case for two reasons.
Firstly, commissions were often charged with engaging in a number of
diverse activities. Where this is the case the commission must decide how
much attention to pay to the different aspects of its remit. Secondly, the
issue of ambiguity was important for some commissions. In certain cases
the TOR provided to a commission were not explicit. This meant that
commissions had to interpret their TOR and decided what activities they
should engage in to fulfil their mandate. In relation to both these issues it
would be expected that the TOR would be interpreted in such a way as to
encourage mediation types that were also being enabled by the other
factors.

The Good Friday Agreement


Both governments and all the main parties, with the exception of the
Democratic Unionist Party (DUP) accepted the GFA. Importantly, it
was endorsed in referendums north and south of the border, affording it
considerable status.6 This suggested that connections to the GFA would
afford the commissions’ legitimacy and leverage, thus facilitating more
interventionist mediation. The GFA may also have indirectly affected the
commissions through the effect of its internationalising and power-sharing
nature on mediator identity. These two key principles which broadly
INTRODUCTION: CONTENTIOUS ISSUES AND THE IMPLEMENTATION . . . 17

guided the peace process and informed the GFA in particular are now
discussed.
The GFA represented a continued internationalisation of conflict reso-
lution both in terms of its content and its process. By recognising the
principle of consent in law, it moves away from the absoluteness of British
sovereignty in the region and codifies the right of the people of Northern
Ireland to either unify with the Irish state or remain part of UK. This was
done within the context of an international agreement, as the GFA was
endorsed by two separate states and thus enjoyed the legal status of an
international agreement. Furthermore, it included the creation of a num-
ber of bodies that work across international borders to allow coordination
on policies and issues not only between the two parts of the island of
Ireland but also from east to west between Ireland and the nations that
make up the UK.
This external dimension, the role of the Republic of Ireland in the
affairs of Northern Ireland and the East-West relationship between the
peoples of the two islands, were dealt with innovatively. This dimension is
described as ‘external’ not as any form of judgement as to the rightful
constitutional position of Northern Ireland but simply to recognise that
these elements cross state borders. The North-South Ministerial Council
(NSMC) and the British-Irish Council (BIC) provide a cohesive frame-
work for the recognition and incorporation of the international in post-
conflict Northern Ireland. This may have led to the inclusion of the
international members of the commissions.
The internal institutions which the GFA established were structured
in accordance with principles of power-sharing. Power-sharing within
the executive is governed by the use of the d’Hondt formula. It allocates
seats within the executive to parties without the need for the parties to
reach an agreement on their allocation and a programme for govern-
ment, thus facilitating power-sharing in an atmosphere where trust is
low. The legislative function of the Assembly is also based on power-
sharing. Within the Assembly members choose to classify themselves as
‘nationalist’, ‘unionist’, or ‘other’. This identification exists to facilitate
minority veto on important issues. These are either predetermined by the
GFA, or are designated as such via a ‘petition of concern’ moved by 30
Assembly members. While a full discussion of these elements is outside
the remit of this book, these power-sharing elements may have influ-
enced the selection of commission members to ensure cross-community
representation.
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Fig. 293.—Coregonus oxyrhynchus.

Fig. 294.—Head of Coregonus


oxyrhynchus.
The majority of the species, of which more than forty are known,
are lacustrine species; and comparatively few are subject to
periodical migrations to the sea, like Salmo. They are confined to the
northern parts of temperate Europe, Asia, and North America. Their
distribution is local, but sometimes three and more species are found
in the same lake. They abound in every lake and river of the northern
parts of North America, and are known by the name of “White-fish.”
They are of vital importance to some tribes of the native population.
The European C. oxyrhynchus is as much a marine as a freshwater
species. In the British Islands several small species occur, viz. C.
clupeoides, the “Gwyniad,” “Schelly,” or “Powen” from the great
lakes; C. vandesius, the “Vendace” of Lochmaben; and C. pollan, the
“Pollan” of the Irish lakes. The latter is brought in quantities to Belfast
market during the season, that is, at the time when it rises from the
depths of Lough Neagh to deposit its spawn near the shore.
Thomson says that in September 1834 some 17,000 were taken
there at three or four draughts of the net. Some of the species of the
continent of Europe and America attain to a much larger size than
the British species, viz. to a length of two feet.

Fig. 295.—Coregonus clupeoides.


Thymallus.—Principally distinguished from Coregonus by its long
many-rayed dorsal fin.
“Graylings”—five species, inhabiting clear streams of the north of
Europe, Asia, and North America. The best known are the “Poisson
bleu” of the Canadian voyageurs (Th. signifer), and the European
Grayling (T. vulgaris).
Salanx.—Body elongate, compressed, naked or covered with
small, exceedingly fine, deciduous scales. Head elongate and much
depressed, terminating in a long, flat, pointed snout. Eye small. Cleft
of the mouth wide; jaws and palatine bones with conical teeth, some
of the intermaxillaries and mandibles being enlarged; no teeth on the
vomer; tongue with a single series of curved teeth. Dorsal fin placed
far behind the ventrals, but in front of the anal; anal long; adipose fin
small; caudal forked. Pseudobranchiæ well developed; air-bladder
none. The entire alimentary canal straight, without bend; pyloric
appendages none. Ova small.
This small, transparent, or whitish fish (S. chinensis) is well
known at Canton and other places of the coast of China as “White-
bait,” and considered a delicacy. It is evidently a fish which lives at a
considerable depth in the sea, and approaches the coast only at
certain seasons.
Finally, this family is represented in the deep sea by three
genera, Argentina, Microstoma, and Bathylagus, of which the two
former live at moderate depths, and have been known for a long
time, whilst the last was discovered during the “Challenger”
expedition in the Atlantic and Antarctic Oceans at depths of 1950
and 2040 fathoms. As Argentina is sometimes found in the North
Atlantic, and even near the British coasts, we give its principal
characters.
Argentina.—Scales rather large; cleft of the mouth small;
intermaxillaries and maxillaries very short, not extending to below the
orbit. Eye large. Jaws without teeth; an arched series of minute teeth
across the head of the vomer and on the fore part of the palatines;
tongue armed with a series of small curved teeth on each side. Dorsal
fin short, in advance of the ventrals; caudal deeply forked.
Pseudobranchiæ well developed. Pyloric appendages in moderate
numbers. Ova small.
Four species are known, of which A. silus and A. hebridica have
been found occasionally on the North British, and, more frequently,
on the Norwegian coast. The other species are from the
Mediterranean. Attaining to a length of 18 inches.

Sixteenth Family—Percopsidæ.
Body covered with ctenoid scales; head naked. Margin of the
upper jaw formed by the intermaxillaries only; opercular apparatus
complete. Barbels none. Gill-openings wide. Adipose fin present.
One genus and species only (Percopsis guttatus); interesting as
having the general characters of Salmonoids, but the mouth and
scales of a Percoid. Freshwaters of the northern United States.
Seventeenth Family—Haplochitonidæ.
Body naked or scaly (cycloid). Margin of the upper jaw formed by
the intermaxillary; opercular apparatus complete. Barbels none. Gill-
opening wide; pseudobranchiæ. Air-bladder simple. Adipose fin
present. Ovaries laminated; the eggs fall into the cavity of the
abdomen, there being no oviduct. Pyloric appendages none.

Fig. 296.—Prototroctes oxyrhynchus, New Zealand.


Freshwater-fishes which represent the Salmonoids in the
southern hemisphere. Two genera only are known. Haplochiton (Fig.
104, p. 250) abundant in lakes and the streams falling into the Straits
of Magelhæn and in the rivers of Chile and the Falkland Islands. It
has the general appearance of a Trout, but is naked. Prototroctes,
with the habit of a Coregonus, scaly, and provided with minute teeth;
one species (P. maræna) is common in South Australia, the other (P.
oxyrhynchus) in New Zealand. The settlers in these colonies call
them Grayling; the Maori name of the second species is
“Upokororo.”

Eighteenth Family—Gonorhynchidæ.
Head and body entirely covered with spiny scales; mouth with
barbels. Margin of the upper jaw formed by the intermaxillary, which,
although short, is continued downwards as a thick lip, situated in
front of the maxillary. Adipose fin none; the dorsal fin is opposite to
the ventrals, and short, like the anal. Stomach simple, without blind
sac; pyloric appendages in small number. Pseudobranchiæ; air-
bladder absent. Gill-openings narrow.

Fig. 297.—Gonorhynchus greyi.

Fig. 298.—Scale of
Gonorhynchus greyi.
One genus and species only (Gonorhynchus greyi) is known; it is
a semi-pelagic fish, not very rare off the Cape of Good Hope, and in
the Australian and Japanese seas. From 12 to 18 inches long. The
colonists in New Zealand name it “Sand-eel,” as it frequents bays
with sandy bottom. It is eaten.

Nineteenth Family—Hyodontidæ.
Body covered with cycloid scales; head naked; barbels none.
Margin of the upper jaw formed by the intermaxillaries mesially, and
by the maxillaries laterally, the latter being articulated to the end of
the former. Opercular apparatus complete. Adipose fin none; the
dorsal fin belongs to the caudal portion of the vertebral column.
Stomach horseshoe-shaped, without blind sac; intestine short; one
pyloric appendage. Pseudobranchiæ none; air-bladder simple. Gill-
openings wide. The ova fall into the abdominal cavity before
exclusion.
One genus and species only (Hyodon tergisus) is known,
generally called “Moon-eye.” It is abundant in the western streams
and great lakes of North America. From 12 to 18 inches long.

Twentieth Family—Pantodontidæ.
Body covered with large cycloid scales; sides of the head
osseous. Margin of the upper jaw formed by the single intermaxillary
mesially, and by the maxillaries laterally. The dorsal fin belongs to
the caudal portion of the vertebral column, is short, opposite and
similar to the anal. Gill-openings wide; gill-covers consisting of a
præoperculum and operculum only. Branchiostegals numerous.
Pseudobranchiæ none; air-bladder simple. Stomach without coecal
sac; one pyloric appendage. Sexual organs with a duct.
A small freshwater-fish (Pantodon buchholzi), singularly alike to a
Cyprinodont, from the west coast of Africa.

Twenty-first Family—Osteoglossidæ.
Body covered with large hard scales, composed of pieces like
mosaic. Head scaleless; its integuments nearly entirely replaced by
bone; lateral line composed of wide openings of the mucus-duct.
Margin of the upper jaw formed by the intermaxillaries mesially, and
by the maxillaries laterally. The dorsal fin belongs to the caudal
portion of the vertebral column, is opposite and very similar to the
anal fin; both approximate to the rounded caudal (with which they
are abnormally confluent). Gill-openings wide; pseudobranchiæ
none; air-bladder simple or cellular. Stomach without coecal sac;
pyloric appendages two.
Large freshwater-fishes of the tropics, whose singular
geographical distribution has been noticed above (p. 223).
Osteoglossum.—Cleft of the mouth very wide, oblique, with the
lower jaw prominent. A pair of barbels at the lower jaw. Abdomen
trenchant. Bands of rasp-like teeth on the vomer, palatine and
pterygoid bones, on the tongue and hyoid. Pectoral fins elongate.
O. bicirrhosum from Brazil and Guyana, O. formosum from
Borneo and Sumatra, O. leichardti from Queensland.
Arapaima.—Cleft of the mouth wide, with the lower jaw prominent;
barbels none. Abdomen rounded. Jaws with an outer series of small
conical teeth; broad bands of rasp-like teeth on the vomer, palatines,
pterygoids, sphenoid, os linguale, and hyoid. Pectoral fins of moderate
length.

Fig. 299.—Arapaima gigas.


The largest freshwater Teleostean known, exceeding a length of
15 feet and a weight of 400 pounds. It is common in the large rivers
of Brazil and the Guyanas, and esteemed as an article of food.
When salted it is exported in large quantities from the inland fisheries
to the seaports.
Heterotis.—Cleft of the mouth rather small, with the jaws
subequal; barbels none. A single series of small teeth in the jaws;
pterygoids and hyoid with a patch of small conical teeth; none on the
vomer or palatines.
This fish (H. niloticus), which is not uncommon in the Upper Nile
and the West African rivers, exhibits several anatomical peculiarities.
The fourth branchial arch supports a spiral accessory organ, the
function of which is still unexplained. The air-bladder is cellular, and
the stomach consists of a membranous and a muscular portion.

Twenty-Second Family—Clupeidæ.
Body covered with scales; head naked; barbels none. Abdomen
frequently compressed into a serrated edge. Margin of the upper jaw
formed by the intermaxillaries mesially, and by the maxillaries
laterally; maxillaries composed of at least three movable pieces.
Opercular apparatus complete. Adipose fin none. Dorsal not
elongate; anal sometimes very long. Stomach with a blind sac;
pyloric appendages numerous. Gill-apparatus much developed, the
gill-openings being generally very wide. Pseudobranchiæ generally
present. Air-bladder more or less simple.
The family of “Herrings” is probably unsurpassed by any other in
the number of individuals, although others comprise a much greater
variety of species. The Herrings are principally coast-fishes, or, at
least, do not go far from the shore; none belong to the deep-sea
fauna; scarcely any have pelagic habits, but many enter or live in
fresh waters communicating with the sea. They are spread over all
the temperate and tropical zones. Fossil remains of Herrings are
numerous, but the pertinence of some of the genera to this family is
open to serious doubts, as the remains are too fragmentary to allow
of determining whether they belong to Salmonoids or Clupeoids.
Therefore, Agassiz comprised both families in one—Halecidæ. Many
of the remains belong to recent genera, which are readily
recognised, as Clupea, Engraulis and Chanos, principally from the
schists of Glaris and Licata, from Monte Bolca and the Lebanon.
Others, like Thrissopater, from the Gault at Folkestone, Leptosomus,
Opisthopteryx, Spaniodon, from the chalk and tertiary formations,
can be readily associated with recent genera. But the majority do not
show an apparent affinity to the present fauna. Thus, Halec from the
chalk of Bohemia, Platinx and Coelogaster from Monte Bolca,
Rhinellus from Monte Bolca and Mount Lebanon, Scombroclupea,
with finlets behind the anal, from the Lebanon and Comen, and
Crossognathus from tertiary Swiss formations, allied to Megalops,
Spathodactylus from the same locality, and Chirocentrites from
Mount Lebanon, etc. Finally, a genus recently discovered in tertiary
formations of Northern Italy, Hemitrichas, has been classed with the
Clupeoids, from which, however, it differs by having two short dorsal
fins, so that it must be considered, without doubt, to be the
representative of a distinct family.
Engraulis (including Cetengraulis).—Scales large or of
moderate size. Snout more or less conical, projecting beyond the
lower jaw. Teeth small or rudimentary. Intermaxillaries very small,
hidden; maxillary long, attached to the cheek by a scarcely distensible
membrane. Anal fin of moderate or great length. Branchiostegals
short, from nine to fourteen in number.
Not less than forty-three different species of “Anchovies” are
known from temperate and tropical seas. They exhibit marked
differences in the length of their maxillary bone, which sometimes
does not reach the gill-opening, whilst in other species it extends far
beyond it; and in the number of their anal rays, which varies from 20
to 80. Some have the upper pectoral ray prolonged into a filament,
thus leading towards the succeeding genus, Coilia. The majority are
recognised, besides, by their peculiar structure, by a broad silvery,
lateral band, similar to that observed in the Atherines. The most
celebrated Anchovy is E. encrasicholus, very plentiful in the
Mediterranean, but rarely wandering northwards. It is the species
which, preserved in salt, is exported to all parts of the world,
although similarly lucrative fisheries of Anchovies might be
established in Tasmania where the same species occurs, in Chile,
China, Japan, California, at Buenos Ayres, each of which countries
possesses Anchovies by no means inferior to the Mediterranean
species.
Coilia.—Body terminating in a long tapering tail. Scales of
moderate size. Snout and jaws as in Engraulis. Anal fin exceedingly
long, confluent with the caudal. The two or three upper pectoral rays
are much prolonged, and their branches form four, six, or seven
filaments.

Fig. 300.—Coilia clupeoides.

Ten species from Indian and Chinese seas.


Chatoëssus.—Body compressed; abdomen serrated. Scales of
moderate size. Snout obtuse, or obtusely conical, more or less
projecting beyond the cleft of the mouth, which is narrow, more or less
transverse. Maxillary joined to the ethmoid, its upper portion being
behind the intermaxillary. Teeth none. Anal fin rather long; dorsal
opposite to the ventrals, or to the space between ventrals and anal.
Gill-membranes entirely separate; branchial arches forming two
angles, one pointing forward and the other backwards; the fourth
branchial arch with an accessory organ; branchiostegals of moderate
length, five or six in number.
Ten species from the coasts, brackish and fresh waters of Central
America (one species ranges to New York), Australia, the East
Indies, and Japan.
Clupea.—Body compressed, with the abdomen serrated, the
serrature extending forwards to the thorax. Scales of moderate or
large, rarely of small size. Upper jaw not projecting beyond the lower.
Cleft of the mouth of moderate width. Teeth, if present, rudimentary
and deciduous. Anal fin of moderate extent, with less than thirty rays;
dorsal fin opposite to the ventrals. Caudal forked.
This genus comprises more than sixty different species, the
geographical distribution of which coincides with that of the family.
The majority are of greater or less utility to man, but a few tropical
species (C. thrissa, C. venenosa, and others) acquire, probably from
their food, highly poisonous properties, so as to endanger the life of
persons eating them. The most noteworthy species are—
1. C. harengus (the “Herring”).—It is readily recognised by having
an ovate patch of very small teeth on the vomer. D. 17–20. A. 16–18.
L. lat. 53–59. Vert. 56. Gill-cover smooth, without radiating ridges. It
inhabits, in incredible numbers, the German Ocean, the northern
parts of the Atlantic, and the seas north of Asia. The Herring of the
Atlantic coasts of North America is identical with that of Europe. A
second species has been supposed to exist on the British coast (C.
leachii), but it comprises only individuals of a smaller size, the
produce of an early or late spawn. Also the so-called “White-bait” is
not a distinct species, but consists chiefly of the fry or the young of
herrings, and is obtained “in perfection” at localities where these
small fishes find an abundance of food, as in the estuary of the
Thames.
[Separate accounts on the Herring may be found in Cuvier and
Valenciennes, “Hist. nat. des Poissons,” vol. xx.; J. M. Mitchell, “The
Herring, its Natural History and National Importance,” Edinb. 1864,
8vo; P. Neucrantz, “De Harengo,” Lübeck, 1654; J. S. Dodd, “Essay
towards a Natural History of the Herring,” Lond. 1768, 8vo; Bock,
“Versuch einer vollstændigen Natur-und Handels-Geschichte des
Hærings,” Königsberg, 1769, 8vo.]
2. C. mirabilis.—The Herring of the North Pacific.
3. C. sprattus.—The “Sprat.” Without vomerine teeth. D. 15–18.
A. 17–20. L. lat. 47–48. Vert. 47–49. Gill-cover, smooth, without
radiating ridges. Abundant on the Atlantic coasts of Europe.
4. C. thrissa.—One of the most common West Indian fishes,
distinguished by the last dorsal ray being prolonged into a filament.
Hyrtl has discovered a small accessory branchial organ in this
species.
5. C. alosa.—The “Shad” or “Allice Shad,” with very fine and long
gill-rakers, from 60 to 80 on the horizontal part of the outer branchial
arch, and with one or more black lateral blotches. Coasts of Europe,
ascending rivers.
6. C. finta.—The “Shad” or “Twaite Shad,” with stout osseous gill-
rakers, from 21 to 27 on the horizontal part of the outer branchial
arch, and spotted like the preceding species. Coasts of Europe,
ascending rivers, and found in abundance in the Nile.
7. C. menhaden.—The “Mossbanker,” common on the Atlantic
coasts of the United States. The economic value of this fish is
surpassed in America only by that of the Gadoids, and derived
chiefly from its use as bait for other fishes, and from the oil extracted
from it, the annual yield of the latter exceeding that of the whale
(from American Fisheries). The refuse of the oil factories supplies a
material of much value for artificial manures.
[See G. Brown Goode, “The Natural and Economical History of the
American Menhaden,” in U.S. Commission of Fish and Fisheries, Part
V., Washington, 1879, 8vo.]
8. C. sapidissima.—The American Shad, abundant, and an
important food-fish on the Atlantic coasts of North America. Spawns
in fresh water.
9. C. mattowocca.—The “Gaspereau” or “Ale-wife,” common on
the Atlantic coasts of North America, ascending into freshwater in
early spring, and spawning in ponds and lakes.
10. C. pilchardus.—The “Pilchard” or the “Sardine,” equally
abundant in the British Channel, on the coast of Portugal, and in the
Mediterranean, and readily recognised by radiating ridges on the
operculum, descending towards the sub-operculum.
11. C. sagax.—Representing the Pilchard in the Pacific, and
found in equally large shoals on the coasts of California, Chile, New
Zealand, and Japan.
12. C. toli.—The subject of a very extensive fishery on the coast
of Sumatra for the sake of its roes, which are salted and exported to
China, the dried fish themselves being sent into the interior of the
island. The fish is called “Trubu” by the Malays, about 18 inches
long, and it is said that between fourteen and fifteen millions are
caught annually.
13. C. scombrina.—The “Oil-Sardine” of the eastern coast of the
Indian Peninsula.

Other, but less important genera of Clupeoids with serrated


abdomen, are Clupeoides, Pellonula, Clupeichthys, Pellona,
Pristigaster, and Chirocentrodon (these three last with very small or
without any ventral fins).
Albula.—Body oblong, moderately compressed; abdomen flat.
Scales of moderate size, adherent; lateral line distinct. Eyes covered
with a broad annular adipose membrane. Snout pointed, the upper
jaw projecting beyond the lower. Mouth inferior, of moderate width,
with villiform teeth; intermaxillary juxtaposed to the upper anterior
edge of the maxillary. Dorsal fin opposite to the ventrals; anal fin
shorter than dorsal. Gill-membranes entirely separate, with numerous
branchiostegals.
One species only (A. conorhynchus), ranging over all tropical and
sub-tropical seas, and very common in many localities near the
coasts. It grows to a length of from two to three feet, and is not
valued as food.
Elops.—Body rather elongate, moderately compressed; abdomen
flat. Scales small, adherent; lateral line distinct. A narrow osseous
lamella, attached to the mandibulary symphysis, covers the part
between the mandibles. Snout pointed; mouth wide, anterior;
intermaxillary short, maxillary forming the lateral part of the mouth.
Bands of villiform teeth in the jaws, on the vomer, palatine and
pterygoid bones, on the tongue, and on the base of the skull. Dorsal
fin opposite to ventrals; anal rather shorter than dorsal. Gill-
membranes entirely separate, with very numerous branchiostegals.
Two species, of which one, E. saurus, is, like the preceding fish,
spread over all tropical and sub-tropical seas; it exceeds a length of
three feet, and is not esteemed as food.

Fig. 301.—Elops saurus.


Megalops.—Body oblong, compressed, abdomen flat. Scales
large, adherent; lateral line distinct. A narrow osseous lamella,
attached to the mandibulary symphysis, between the mandibles.
Snout obtusely conical; mouth anterior, lower jaw prominent;
intermaxillary short; maxillary forming the lateral part of the mouth.
Bands of villiform teeth in the jaws, on the vomer, palatine and
pterygoid bones, on the tongue and on the base of the skull. Dorsal fin
opposite to, or immediately behind, the ventrals; anal rather larger
than dorsal. Gill-membranes entirely separate, with numerous
branchiostegals. Pseudobranchiæ none.
Two species, one belonging to the Indo-Pacific (M. cyprinoides),
the other to the Atlantic (M. thrissoides); they are the largest fishes of
this family, exceeding a length of five feet, and excellent eating.
Young specimens enter freely fresh waters.
Chanos.—Body oblong, compressed; abdomen flat. Scales small,
striated, adherent; lateral line distinct. Snout depressed; mouth small,
anterior, transverse, the lower jaw with a small symphysial tubercle.
Intermaxillary in juxtaposition to the upper anterior edge of maxillary.
Teeth none. Dorsal fin opposite to the ventrals; anal small, shorter
than dorsal; caudal deeply forked. Gill-membranes entirely united
below, and free from the isthmus. Branchiostegals four, long. An
accessory branchial organ in a cavity behind the gill-cavity proper. Air-
bladder divided by a constriction into an anterior and posterior portion.
Mucous membrane of the œsophagus raised in a spiral fold. Intestine
with many convolutions.
Two species from the Indo-Pacific, of which Ch. salmoneus is
extremely common; it enters fresh waters, and exceeds a length of
four feet; its flesh is highly esteemed. The accessory branchial organ
and the skeleton have been described by Müller, “Bau und Grenzen
der Ganoiden,” p. 75; and by Hyrtl, “Denkschr. Ak. Wiss. Wien.” xxi.
1883, p. 1.

Fig. 302.—Chanos salmoneus.


The remaining genera belonging to this family are Spratelloides,
Dussumieria, and Etrumeus, which together form a small group,
distinguished by an anterior and lateral mouth, by the upper jaw not
overlapping the lower, by a rounded abdomen, and by lacking the
gular plate of some of the preceding genera.

Twenty-third Family—Bathythrissidæ.
Body oblong, with rounded abdomen, covered with cycloid
scales; head naked; barbels none. Margin of the upper jaw formed
by the intermaxillaries mesially, and by the maxillaries laterally.
Opercular apparatus complete. Adipose fin none; dorsal fin much
elongate, many rayed; anal fin short. Stomach with a blind sac;
pyloric appendages numerous. Gill-apparatus well developed;
pseudobranchiæ; gill-openings wide; an air-bladder. Ova very small;
ovaries without duct.
One genus and species only (Bathythrissa dorsalis) from deep
water (350 fathoms) off the coast of Japan. This remarkable fish has
the appearance of a Coregonus, and attains to a length of two feet.
Nothing is known of its osteology, but possibly a fossil genus from
the Gyps of Montmartre; Notæus, which has also a long dorsal fin,
may prove to belong to the same family.

Twenty-fourth Family—Chirocentridæ.
Body covered with thin, deciduous scales; barbels none. Margin
of the upper jaw formed by the intermaxillaries mesially, and by the
maxillaries laterally, both bones being firmly united, in juxtaposition.
Opercular apparatus complete. Adipose fin none; the dorsal fin
belongs to the caudal portion of the vertebral column. Stomach with
a blind sac; intestine short, the mucous membrane forming a spiral
fold; pyloric appendages none. Pseudobranchiæ none; air-bladder
incompletely divided into cells; gill-opening wide.
One genus and species only (Chirocentrus dorab) is known,
which is common in the Indian Ocean, and attains to a length of
about three feet; it is not esteemed as food. Remains of fishes
similar to Chirocentrus are found in the marl slates of Padang, in
Sumatra.

Twenty-fifth Family—Alepocephalidæ.
Body with or without scales; head naked; barbels none. Margin of
the upper jaw formed by the intermaxillaries and maxillaries, the
former being placed along the upper anterior edge of the latter.
Opercular apparatus complete. Adipose fin none; the dorsal fin
belongs to the caudal portion of the vertebral column. Stomach
curved, without blind sac; pyloric appendages in moderate number.
Pseudobranchiæ; air-bladder absent. Gill-openings very wide.
Before the voyage of the “Challenger” one species only of this
family was known, Alepocephalus rostratus, a rare fish from the
Mediterranean; now, four genera with seven species are known, and
there is no doubt that this family is one of the most characteristic,
and will prove to be one of the most generally distributed forms, of
the deep-sea. Their vertical range varies between 345
(Xenodermichthys) and 2150 (Bathytroctes) fathoms. They approach
the Salmonoids, but lack invariably the adipose fin. Their dentition is
very feeble; their eye large; bones thin. Coloration black.
Alepocephalus has thin cycloid scales; a mouth of moderate
width, and no teeth on the maxillary.
Bathytroctes has cycloid scales, a wide mouth, and teeth on the
maxillary as well as intermaxillary.
Platytroctes has small keeled scales and no ventrals.
Xenodermichthys with fine nodules instead of scales.

Twenty-sixth Family—Notopteridæ.
Head and body scaly; barbels none. Margin of the upper jaw
formed by the intermaxillaries mesially, and by the maxillaries
laterally. Opercular apparatus incomplete. Tail prolonged, tapering.
Adipose fin none. Dorsal short, belonging to the caudal portion of the
vertebral column; anal very long. Stomach without blind sac; two
pyloric appendages. Pseudobranchiae none; air-bladder present,
divided in the interior. The ova fall into the cavity of the abdomen
before exclusion. On each side a parieto-mastoid cavity leading into
the interior of the skull.
One genus only (Notopterus) with five species which inhabit fresh
waters of the East Indies and West Africa. Well-preserved remains of
this genus occur in the marl slates of Padang, in Sumatra. Their air-
bladder is divided into several compartments, and terminates in two
horns anteriorly and posteriorly, the anterior horns being in direct
connection with the auditory organ.

Twenty-seventh Family—Halosauridæ.
Body covered with cycloid scales; head scaly; barbels none.
Margin of the upper jaw formed by the intermaxillaries mesially, and
by the maxillaries laterally. Opercular apparatus incomplete. Adipose
fin none. The short dorsal belongs to the abdominal part of the
vertebral column; anal very long. Stomach with a blind sac; intestine
short; pyloric appendages in moderate number. Pseudobranchiæ
none. Air-bladder large, simple; gill-openings wide. Ovaries closed.
The only genus belonging to this family was discovered by the
Madeiran ichthyologist Johnson, in 1863; but since then the
naturalists of the “Challenger” expedition have added four other
species, showing that this type is a deep-sea form and widely
distributed; the specimens were dredged in depths varying from 560
to 2750 fathoms.

Twenty-eighth Family—Hoplopleuridæ.
Body generally with four series of subtriangular scutes, and with
intermediate scale-like smaller ones. One (?) dorsal only; head long,
with the jaws produced.
Extinct; developed in the chalk and extending into tertiary
formations: Dercetis (with the upper jaw longest), Leptotrachelus,
Pelargorhynchus, Plinthophorus, Saurorhamphus (with the lower jaw
longest), Eurypholis; Ischyrocephalus (?). The latter genus, from
cretaceous formations of Westphalia, is said to have two dorsal fins.

Twenty-ninth Family—Gymnotidæ.
Head scaleless; barbels none. Body elongate, eel-shaped.
Margin of the upper jaw formed in the middle by the intermaxillaries,
and laterally by the maxillaries. Dorsal fin absent or reduced to an
adipose strip; caudal generally absent, the tail terminating in a point.
Anal fin exceedingly long. Ventrals none. Extremity of the tapering
tail capable of being reproduced. Vent situated at, or at a short
distance behind, the throat. Humeral arch attached to the skull. Ribs
well developed. Gill-openings rather narrow. Air-bladder present,
double. Stomach with a cæcal sac and pyloric appendages. Ovaries
with oviducts.
Eel-like freshwater fishes from Tropical America.
Sternarchus.—Tail terminating in a distinct small caudal fin.
Teeth small. A rudimentary dorsal fin is indicated by an adipose band
fitting into a groove on the back of the tail; it is easily detached, so as
to appear as a thong-like appendage fixed in front. Branchiostegals
four.
Eight species, some have the snout compressed and of
moderate length, like St. Bonapartii from the River Amazons; others
have it produced into a long tube, as St. oxyrhynchus from the
Essequibo.
Rhamphichthys.—Caudal fin none; teeth none; no trace of a
dorsal fin. No free orbital margin.
Six species, of which, again, some have a tubiform snout, whilst
in the others it is short.
Sternopygus.—Caudal fin none; no trace of a dorsal fin. Both
jaws with small villiform teeth; similar teeth on each side of the palate.
Body scaly.

Four species, very common, and growing to a length of 30


inches.
Carapus.—Caudal fin none; no trace of a dorsal fin. A series of
conical teeth in each jaw. Anterior nostrils, wide in the upper lip. Body
scaly.

One species (C. fasciatus) extremely common, and found all over
tropical America, east of the Andes, from 18 to 24 inches long.
Gymnotus.—Caudal and dorsal fins absent; anal extending to the
end of the tail. Scales none. Teeth conical, in a single series. Eyes
exceedingly small.

The “Electric Eel” is the most powerful of electric fishes, growing


to a length of six feet, and extremely abundant in certain localities of
Brazil and the Guyanas. The electric organ consists of two pairs of
longitudinal bodies, situated immediately below the skin, above the
muscles; one pair on the back of the tail, and the other pair along the
anal fin. Each fasciculus is composed of flat partitions or septa, with
transverse divisions between them. The outer edge of the septa
appear in nearly parallel lines in the direction of the longitudinal axis
of the body, and consist of thin membranes, which are easily torn;
they serve the same purpose as the columns in the analogous organ
of the Torpedo, making the walls or abutments for the perpendicular
and transverse dissepiments, which are exceedingly numerous, and
so closely aggregated as to seem almost in contact. The minute
prismatic cells, intercepted between these two sorts of plates,
contain a gelatinous matter; the septa are about one-thirtieth of an
inch from each other, and one inch in length contains a series of 240
cells, giving an enormous surface to the electric organs. The whole
apparatus is supplied with more than 200 nerves, which are the
continuations of the rami anteriores of the spinal nerves. In their
course they give out branches to the muscles of the back, and to the
skin of the animal. In the Gymnotus, as in the Torpedo, the nerves
supplying the electric organs are much larger than those bestowed
on any part for the purposes of sensation or movement.
The graphic description by Humboldt of the capture of Electric
Eels by horses driven into the water, which would receive the electric
discharges and thus exhaust the fishes, seems to rest either on the
imagination of some person who told it to the great traveller or on
some isolated incident. Recent travellers have not been able to verify
it even in the same parts of the country where the practice was said
to exist.

Thirtieth Family—Symbranchidæ.
Body elongate, naked or covered with minute scales; barbels
none. Margin of the upper jaw formed by the intermaxillaries only,
the well developed maxillaries lying behind and parallel to them.
Paired fins none. Vertical fins rudimentary, reduced to more or less
distinct cutaneous folds. Vent situated at a, great distance behind the
head. Ribs present. Gill-openings confluent into one slit situated on
the ventral surface. Air-bladder none. Stomach without cæcal sac or
pyloric appendages. Ovaries with oviducts.
The fishes of this family consist of freshwater-fishes from tropical
America and Asia, which, however, enter also brackish water; and of
a truly marine genus from Australia.
Amphipnous.—Vent in the posterior half of the body, which is
covered with minute scales longitudinally arranged.

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