Inauguraldissertation
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Multi-level Regulation of Agricultural Biotechnology: Determinants and Actor Strategies in Germany Inauguraldissertation zur Erlangung des akademischen Grades Dr. rer. pol. an der Fakultät für Wirtschafts- und Sozialwissenschaften der Ruprecht-Karls- Universität Heidelberg vorgelegt von Ulrich Franz Friedrich Hartung im Oktober 2019 Erstgutachterin: Prof. Dr. Jale Tosun, Zweitgutachter: Prof. Dr. Reimut Zohlnhöfer Ulrich Franz Friedrich Hartung Institute of Political Science Bergheimer Straße 58 69115 Heidelberg, Germany First printed in October 2019 Acknowledgements Writing this thesis would not have been possible without the direct and indirect support of many people. First and foremost, I would like to thank my supervisors at the Institute of Political Science of the University of Heidelberg, Germany. My main supervisor Jale Tosun deserves great gratitude for her continuous support, advice and rigorous feedback on my research. In addition, I am appreciative to my second supervisor Reimut Zohlnhöfer for his support and the valuable comments on my project. Furthermore, I would like to thank my co-authors Felix Hörisch and Simon Schaub from the Institute of Political Science for the fruitful cooperation in writing the two joint articles. Moreover, I owe thanks to Laura Zöckler, Felix Scholl, Julian Erhard, and Paul Thalmann for their research assistance. I would also like to say thank you to Rebecca Abu Shark and Laurence Crumbie for improving the English language of my texts. The support of these many helping hands contributed to the successful publication of the articles underlying this thesis. Finally, I am grateful to the German Environmental Foundation – Deutsche Bun- desstiftung Umwelt (DBU) –, which has funded my research for three years. Its knowledge-based offers and the DBU fellows, who I met during the scholarship have expanded my understanding of environmental, agricultural, and technologi- cal issues beyond my main perspective as a political scientist. i ii Table of Contents 1 Introduction .................................................................................................................. 1 1.1 General Remarks ..................................................................................................... 1 1.2 Background Information ........................................................................................ 4 1.3 Introducing the Key Concepts ............................................................................ 13 1.4 Overview of Approaches .................................................................................... 17 1.4.1 Theoretical Approach ................................................................................... 18 1.4.2 Methodological Approach ........................................................................... 21 1.5 Outline and Findings ........................................................................................... 23 1.6 Avenues for Future Research ............................................................................. 28 2 The Regulation of Genetically Modified Organisms on a Local Level: Exploring the Determinants of Cultivation Bans ...................................................... 34 2.1 Introduction .......................................................................................................... 34 2.2 The Regulatory Context ...................................................................................... 36 2.2.1 Phase 1: The ‘moratorium’ years, 1999–2004 ............................................. 38 2.2.2 Phase 2: The years of strictly regulated GMO cultivation, 2005–2008 ... 41 2.2.3 Phase 3: The years after the national cultivation ban on MON810, 2009– 2014 .............................................................................................................................. 44 2.2.4 Phase 4: The years after the national ex-ante bans on GM crops, 2015– 2017 .............................................................................................................................. 46 2.3 Theoretical Considerations ................................................................................. 47 2.4 Methodological Clarifications ............................................................................. 50 2.5 Presentation and Discussion of the Empirical Findings................................. 54 2.5.1 Functional Reasons for Banning GMO Cultivation ................................. 54 iii 2.5.2 Policymakers’ Reasons for Adopting GMO Cultivation Bans................ 59 2.5.3 Diffusion of GMO Cultivation Bans ........................................................... 61 2.5.4 The Interdependencies between the Reasons for Banning GMO Cultivation .................................................................................................................. 63 2.6 Concluding Remarks and Implications ............................................................ 67 3 Regulation vs Symbolic Policy-Making: Genetically Modified Organisms in the German States ............................................................................................................ 71 3.1 Introduction .......................................................................................................... 71 3.2 The Regulatory Context ...................................................................................... 74 3.3 The Variety of GMO Policies existing at State Level ...................................... 75 3.4 Theoretical Considerations and Hypotheses ................................................... 78 3.4.1 Political Parties .............................................................................................. 78 3.4.2 Environmental Interest Groups ................................................................... 82 3.5 Control Variables ................................................................................................. 83 3.6 Methodological Approach: Fuzzy-Set Qualitative Comparative Analysis . 85 3.7 Empirical Findings ............................................................................................... 86 3.8 Discussion and Concluding Remarks ............................................................... 94 4 Why Parties take Neutral Positions on Policy Issues: Insights from the German Christian Democratic Union .......................................................................... 97 4.1 Introduction .......................................................................................................... 97 4.2 Theoretical Considerations .................................................................................. 99 4.2.1 Differentiating Neutral Position-Taking from other Forms of Partisan Position-Taking ........................................................................................................ 100 4.2.2 Explaining Factors of Neutral Position-Taking ....................................... 101 4.3 Methodological Clarifications ........................................................................... 106 4.4 Case Selection ...................................................................................................... 108 iv 4.5 Analysis of the Position-Taking of the Federal CDU..................................... 110 4.6 Analysis of the Position-Taking of the Thuringian CDU .............................. 119 4.7 Concluding Remarks .......................................................................................... 130 5 Inside-Lobbying on the Regulation of New Plant Breeding Techniques in the European Union: Determinants of Venue Choices .......................................... 131 5.1 Introduction ........................................................................................................ 131 5.2 The EU Regulatory Process .............................................................................. 134 5.3 Theoretical Framework ..................................................................................... 136 5.3.1 Unpopular Policies and Institutionally Closed Venues......................... 136 5.3.2 Venue Decision-Makers and Venue Contexts ......................................... 139 5.3.3 Reasons for Cibus’ Venue Choices ........................................................... 140 5.4 Clarifications on Data and Methods ............................................................... 142 5.5 Empirical Analysis ............................................................................................. 144 5.5.1 Assessing the Effect of Institutional Closedness on Cibus’ Choices .... 145 5.5.2 Comparative Explanation of Cibus’ Venue Choices .............................. 149 5.5.3 Explaining Cibus’ Choice of Germany ..................................................... 155 5.6 Concluding Remarks ......................................................................................... 159 References ....................................................................................................................... 162 Appendix ......................................................................................................................... 186 v List of Tables Table 1. Differing Regulatory Implications for Breeding Techniques that Produce Commercial Crops with Similar Traits ....................................................................... 5 Table 2. The Foundations of the EU Regulatory Framework ....................................... 7 Table 3. Overview of