Urban Cooperation and Climate Governance
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Energiepolitik und Klimaschutz Energy Policy and Climate Protection Jan Beermann Urban Cooperation and Climate Governance How German and Indian Cities Join Forces to Tackle Climate Change Energiepolitik und Klimaschutz Energy Policy and Climate Protection Herausgegeben von L. Mez, Berlin, Deutschland A. Brunnengräber, Berlin, Deutschland Weltweite Verteilungskämpfe um knappe Energieressourcen und der Klimawan- del mit seinen Auswirkungen führen zu globalen, nationalen, regionalen und auch lokalen Herausforderungen, die Gegenstand dieser Publikationsreihe sind. Die Beiträge der Reihe sollen Chancen und Hemmnisse einer präventiv orientierten Energie- und Klimapolitik vor dem Hintergrund komplexer energiepolitischer und wirtschaftlicher Interessenlagen und Machtverhältnisse ausloten. Themenschwer- punkte sind die Analyse der europäischen und internationalen Liberalisierung der Energiesektoren und -branchen, die internationale Politik zum Schutz des Klimas, Anpassungsmaßnahmen an den Klimawandel in den Entwicklungs-, Schwellen- und Industrieländern, die Produktion von biogenen Treibstoffen zur Substitution fossiler Energieträger oder die Probleme der Atomenergie und deren nuklearen Hinterlassenschaften. Die Reihe bietet empirisch angeleiteten, quantitativen und international verglei- chenden Arbeiten, Untersuchungen von grenzüberschreitenden Transformations- und Mehrebenenprozessen oder von nationalen „best practice“-Beispielen ebenso ein Forum wie theoriegeleiteten, qualitativen Untersuchungen, die sich mit den grundlegenden Fragen des gesellschaftlichen Wandels in der Energiepolitik und beim Klimaschutz beschäftigen. Herausgegeben von PD Dr. Lutz Mez PD Dr. Achim Brunnengräber Freie Universität Berlin Freie Universität Berlin Jan Beermann Urban Cooperation and Climate Governance How German and Indian Cities Join Forces to Tackle Climate Change Jan Beermann Freie Universität Berlin Forschungszentrum für Umweltpolitik Deutschland Dissertation Freie Universität Berlin, 2016 D188 Gefördert durch das Stipendienprogramm der Deutschen Bundesstiftung Umwelt (DBU) Energiepolitik und Klimaschutz. Energy Policy and Climate Protection ISBN 978-3-658-17145-2 ISBN 978-3-658-17146-9 (eBook) DOI 10.1007/978-3-658-17146-9 Library of Congress Control Number: 2017931969 Springer VS © Springer Fachmedien Wiesbaden GmbH 2017 This work is subject to copyright. All rights are reserved 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. Printed on acid-free paper This Springer VS imprint is published by Springer Nature The registered company is Springer Fachmedien Wiesbaden GmbH The registered company address is: Abraham-Lincoln-Str. 46, 65189 Wiesbaden, Germany Acknowledgements 5 Acknowledgements Special thanks go to everyone who supported me during my visits to cities in India and Germany. I am particularly grateful for the generosity you showed me both in terms of time and hospitality. In particular I would like to thank my interviewees for providing me with the information that forms the basis of this study. Moreover I am extremely grateful to my supervisors, Miranda Schreurs and Avi Gottlieb, for challenging me and providing valuable feedback and support, and to my colleagues and peers at the Freie Universität Berlin for their highly constructive and motivating feedback. Special thanks go also to Philipp Schön- berger for testing the index system as a second rater. I would also like to express my sincerest thanks to the Deutsche Bundesstif- tung Umwelt (DBU) for offering me generous and flexible funding, and for the training in how to present my research to an interdisciplinary audience. In parti- cular I would like to thank Hedda Schlegel-Starmann for her great support and supervision. Many thanks also to the Deutsche Forschungsgemeinschaft (DFG), the In- dian-European Multi-Level Climate Governance Research Network and its coor- dinator Kirsten Jörgensen and for providing the funding for my research stay in India and for giving me the opportunity to present and discuss my research on several occasions. I would also like to thank my friends and family for keeping me motivated, for listening to my concerns and for showing interest in the progress of my work. My greatest thanks go to Erica, my salvation in hard times, whose support for this study extended far beyond countless hours of proofreading and editing. I dedicate this work to Erica and our children, Tilda and Erik Anton. Table of Contents 7 Table of Contents 1 Introduction ................................................................................................. 17 1.1 Background ........................................................................................... 17 1.1.1 The Growing Focus on Cities as a Proactive Force in Global Climate Governance ..................................................................... 18 1.1.2 Emerging Transnational Urban Co-operation towards a Low-Carbon Transition ................................................................ 21 1.2 Purpose of the Study ............................................................................. 23 1.3 Research Questions and Hypotheses .................................................... 25 1.4 Organisation of the Study ..................................................................... 26 2 State of Research and Key Debates ............................................................ 29 2.1 Urban Climate Governance .................................................................. 29 2.2 Urban Climate Governance in Germany and India ............................... 32 2.3 Urban North-South Cooperation ........................................................... 36 2.3.1 State Actor-driven Transnational Urban Cooperation .................. 36 2.3.2 Private Actor-driven Transnational Urban Cooperation ............... 38 2.3.3 Urban Cooperation in Transnational Municipal Networks .......... 39 2.4 Transnational Urban Cooperation in Germany and India ..................... 40 2.4.1 Transnational Urban Cooperation in Germany ............................ 41 2.4.2 Transnational Urban Cooperation in India ................................... 43 2.4.3 Urban Cooperation between German and Indian Cities ............... 45 3 Theoretical Framework .............................................................................. 47 3.1 Policy Transfer Theory ......................................................................... 47 3.2 Transnational Climate Governance Networks ...................................... 50 8 Table of Contents 3.3 New Institutionalism ............................................................................. 52 3.4 Policy Entrepreneur Concept ................................................................ 55 3.5 Social Capital Theory ........................................................................... 57 4 Methodology ................................................................................................ 61 4.1 Addressing the Northern Bias in Urban Research ................................ 61 4.1.1 Assumed Incommensurability ...................................................... 61 4.1.2 Northern Bias Reflected in Urban Climate Change Research ...... 62 4.1.3 Focus on Urban Processes and City Connections as a Way Forward ........................................................................................ 62 4.2 Comparative Case Study Analysis ........................................................ 63 4.2.1 Qualitative Case Study Analysis .................................................. 63 4.2.2 Multiple Case Study Analysis ...................................................... 64 4.3 Research Approach ............................................................................... 65 4.4 Development of Index System to Operationalise Dependent and Independent Variables.................................................................... 66 4.4.1 Approach ...................................................................................... 66 4.4.2 Index System ................................................................................ 67 4.5 Case Selection ....................................................................................... 72 4.6 Data Collection ..................................................................................... 73 5 Within Case Analysis .................................................................................. 75 5.1