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© 2016 Julia Ann Flagg ALL RIGHTS RESERVED © 2016 Julia Ann Flagg ALL RIGHTS RESERVED AIMING FOR ZERO: WHAT MAKES A NATION ADOPT A CARBON NEUTRAL PLEDGE? By JULIA ANN FLAGG A dissertation submitted to the Graduate School-New Brunswick Rutgers, The State University of New Jersey In partial fulfillment of the requirements For the degree of Doctor of Philosophy Graduate Program in Sociology Written under the direction of Thomas K. Rudel And approved by _______________________________________ _______________________________________ _______________________________________ _______________________________________ New Brunswick, New Jersey May 2016 ABSTRACT OF THE DISSERTATION AIMING FOR ZERO: WHAT MAKES A NATION ADOPT A CARBON NEUTRAL PLEDGE? By JULIA ANN FLAGG Dissertation Director: Thomas K. Rudel This dissertation research examines carbon neutral pledges made by several nation-states. Several countries have pledged to emit zero net carbon emissions in the near future in response to global climate change. First, this research uses newspaper articles to document which countries have made these pledges. These results show that nine nations have made carbon neutral pledges. Second, this research uses national-level statistics in a fuzzy-set qualitative comparative analysis to identify the common confluence of factors that is present in pledging nations. The results show that pledging nations, compared to non-pledging nations, have smaller populations, more egalitarian class structures, better governance, and more international environmental NGOs. Then, this project includes a case study on Costa Rica’s carbon neutrality pledge. The case study has three parts. First, it provides a historical account of how Costa Rica came to have the institutional profile of a country that makes a carbon neutral pledge. It uses archival research to explain how Costa Rica came to have the small size, egalitarian agricultural economy, good governance, and strong NGO presence that characterize pledging nations. Second, it provides a narrative account of the events that preceded the country’s carbon neutral commitment in February 2007. Archival research and interviews with people in ii government, industry, science, and civil society are used in this case study. In many ways, Costa Rica’s carbon neutral pledge is latest example of a highly ambitious political action that appeals to people’s values. The carbon neutral pledge reaffirms Costa Rica’s role as country that takes care of its people and takes care of the planet. The third and final section of the case study describes what has happened in Costa Rica since the country made the pledge. While political support for the pledge has in some respects waned since the initial commitment, officials are still committed to the carbon neutral goal and they reaffirmed the commitment in the country’s 2015 Intended Nationally Determined Contribution (INDC) ahead of the 21st meeting of the Conference of the Parties in Paris. iii Acknowledgements I am grateful to many people who have helped to make this project a reality. Faculty and fellow students in the Departments of Human Ecology and Sociology helped me develop my interests and learn how to undertake this research. Financial support from the Department of Human Ecology, the Department of Sociology, and the Graduate School at Rutgers University made the fieldwork for this research possible. An academic year fellowship from the Department of Sociology opened up time for me to write. A fellowship from the Hertog Global Strategy Initiative in Columbia University’s Department of History helped me think through the contours of this project and supported my fieldwork. A scholarship from the New Jersey Society for Women Environmental Professionals also supported my graduate work. I am indebted to my interviewees in Costa Rica who shared their time to talk with me about carbon neutrality. I am especially grateful to Sergio Musmanni Sobrado and Edmundo Castro Jimenez who provided assistance at numerous junctures. Since January 2010, Letty Tristan Chaves and Juan Guillermo Vargas Prado have patiently helped me to communicate better in their language and have nurtured my interest in Costa Rican environmental issues. They have shared many hours with me discussing Costa Rican politics and futbol. I am grateful for their encouragement and friendship. I am also grateful to Charles Ragin who answered many of my questions about fs/QCA and to Timmons Roberts who provided contact information for a reference in Costa Rica. I am grateful to friends and colleagues who listened to my concerns and excitement about this project over several years. In particular, I wish to thank Kelly Kato, Lindsay Stevens, Dilara Demir, Nil Uzun, Irina Nicorici, Tsai-Yen Han, Victoria iv Gonzalez, and Libby Luth. Libby was especially helpful near the very end, when my nerves seemed to be the most frayed. I am deeply indebted to Angie Oberg and Ryan Good who read and provided feedback on various parts of this project and who helped me think critically about writing. I am happy and fortunate to have been able to share my writing process with you. I have been very fortunate to have several excellent mentors. Diane Bates introduced me to the world of environmental sociology and encouraged me to think in exciting ways about the combination of sociology, environmental studies, and Latin America studies. My experience of having you as a mentor fundamentally changed my life. I am also thankful to have had a supportive dissertation committee. Robert Fletcher was immediately supportive of my ideas and has provided many suggestions along the way to continue to improve my work. Thank you for your help. I am so grateful that Steve Brechin arrived during my third year at Rutgers. Steve has provided contagious excitement about my ideas and the project as a whole from day one, and I am grateful for that. I also appreciate his critical inquiries into the theoretical approach I have used in this project. Norah MacKendrick has helped me at every stage of this project. I am so grateful for the care and detail you have invested in every conversation we have had and every draft you have read. Finally, I am very fortunate to have worked with Tom Rudel. I walked in to Tom’s office during the first week of my second year of graduate school and told him I wanted to study carbon neutrality pledges. From that moment on, he has invested a great deal of time and energy with me in bringing this project to life. This project would not exist without you and I can’t thank you enough for your help at every step along the way. v I am grateful for the support I received from my family. I was especially fortunate to be part of a family that maintained a steadfast interest in what I have been doing for these past years. My sister Rachel and my brother Russell in particular have provided encouragement during the highs and the lows of bringing this project to completion. Neither of my parents lived to see the day when this project would be finished, but I believe that during the time we shared together, they laid the foundation for me to undertake this kind of an investment. I will always be in their debt. Finally, Joseph Berenguel listened to more hours of my excitement and worry over this project than any reasonable person would sign-up for. I am grateful for the sacrifices you have made to help me succeed and for the support you have provided at each and every turn. A slightly different version of chapter 3 was published in Environmental Sociology. The citation is: Flagg, Julia A. 2015. “Aiming for zero: What makes nations adopt carbon neutral pledges?” Environmental Sociology. 1(3): 202-212. vi Table of Contents Abstract: ii-iii Acknowledgement: iv-vi List of Tables: viii List of Acronyms: ix- x Chapter 1. Introduction: 1-10 Chapter 2. Theoretical Approaches: 11-61 Chapter 3. Cross-national Comparative Analysis: 62-79 Chapter 4. The Historical Context for Pledge Making: Post-colonial Costa Rica: 80-144 Chapter 5. Narrative Account of Pledge-making Process in Costa Rica: 145-197 Chapter 6. Post-Pledge Making Context in Costa Rica: 198-221 Chapter 7. Conclusion: 222-248 Methodological Appendix: 249-265 References: 266-287 vii List of Tables Table 1: States that have pledged to go carbon neutral 65 Table II: States considering the possibility of going carbon neutral 66 Table III: Randomly selected group of non-pledging states 68 Table IV: Comparison of pledging vs. non-pledging states 74 Table V: List of respondents and their institutional affiliations 81-82 Table VI: AIJ projects in Costa Rica 159 Table VII: Members of Peace with Nature Committee 173 Table VIII: Values on the calibrated fuzzy set variables 252 Table IX: Archival source by date of retrieval with citations 262-265 viii List of Acronyms AIJ: Activities Implemented Jointly ALIDES: Alliance for Sustainable Development (Alianza para el Desarollo Sostenible) BSI: British Standards Institution CDM: Clean Development Mechanism CINPE: Center of Political Economic Investigations for Sustainable Development (El Centro Internacional de Politica Economica para el Desarrollo Sostenible) COP: Conference of the Parties CORBANA: National Banana Corporation (La Corporación Bananera Nacional) CST: Certification for Sustainable Tourism CTO: Certifiable Tradable Offsets DCC: Climate Change Center (Direccion de Cambio Climatico) ECA: Costa Rican Entity of Accreditation (El Ente Costarricense de Acreditación) FONAFIFO: National Forestry Financing Fund (El Fondo de Financiamiento Forestal de Costa Rica) FORESTA: Forest Resources for
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