Local climate governance in England and Germany: Converging towards a hybrid model? Peter Eckersley Thesis submitted in fulfilment of the degree of Doctor of Philosophy School of Geography, Politics and Sociology Newcastle University January 2016 Abstract This thesis investigates the governance of climate change policy in English and German cities. Based on fieldwork research in the comparable 'twin towns' of Newcastle and Gelsenkirchen, it focuses on how local authorities in these cities have worked with other actors to increase their capacity to achieve policy objectives. The study analyses these governance arrangements in the context of climate change strategies, planning policy and how the municipalities use resources in their everyday corporate activities. Drawing on theories and typologies of multi-level governance (Hooghe and Marks 2003), policy styles (Richardson 1982), urban governance (Stone 1989) and dependencies in inter- governmental relations (Rhodes 1981), it introduces a new model for mapping power relationships between governing actors. By applying this model to the empirical cases, the thesis identifies how central-local relations in England are looser than those in Germany, and how this results in weaker municipal institutions. This means that Newcastle has had to rely more on local stakeholders to achieve its objectives when compared to Gelsenkirchen. The English council is also less able to exert hierarchical authority over other bodies. Although the study found that the two cities’ approaches are converging in some areas, they are diverging in others. Indeed, they have developed their own distinct coping strategies to achieve policy objectives in the face of similar endogenous and exogenous pressures. These coping strategies are shaped by the institutional framework and power dependent relationships that apply to each city, which challenges the idea that policy problems determine the way in which the political system operates (see Lowi 1964). Such findings have implications for other municipalities in both England and Germany, as well as cities elsewhere in Europe that are seeking to address climate change or other ‘wicked’ public policy issues. i ii Acknowledgements Various people helped me considerably with researching, contemplating and writing this thesis. In particular, my main supervisor, Professor Anthony Zito, provided me with a great deal of guidance throughout the project, and I am especially grateful for his support when preparing my successful application for an Economic and Social Research Council (ESRC) studentship to fund my work. My second supervisor, Professor Derek Bell, also gave me helpful advice. It would have been very difficult to complete this thesis without my ESRC funding (Doctoral Training Grant ES/J500082/1), and therefore I am extremely thankful for this assistance. Similarly, I was able to receive a research grant from the Deutsche Akademische Austausch Dienst to fund the fieldwork in Gelsenkirchen, for which I am also very grateful. Adrian McLoughlin at Newcastle City Council helped me greatly by agreeing that the municipality would act as a collaborative partner and therefore improve the quality of my ESRC grant application. Indeed, Adrian and his colleagues at the council have all provided me with extremely useful data by agreeing to participate in fieldwork interviews and share policy documentation, without which I would not have been able to undertake this project. Similarly, Armin Hardes and his colleagues at Gelsenkirchen Council were extremely welcoming and very keen to help, as indeed was Professor Oliver Treib at the Westfälische Wilhelms-Universitat Münster, where I was based for the German fieldwork. My parents, John and Nancy, have also provided a lot of encouragement, as have Alan and Ellen Reid, my parents-in-law. Nonetheless, I am most indebted to my immediate family, whose patience, understanding and support has never faltered. Abigail, you were aged just two when I started my thesis, and so I have probably been talking about this book for as long as you can remember. Here it is, finally. Lukas, you arrived half-way through the project, and (believe it or not) your frequent waking during the night gave me some useful time for quiet contemplation about some of the theoretical aspects of my argument. However, my wife Susannah has been the greatest source of support and assistance. Since she followed a similar path eight years ago, I was in the enviable position of having an unofficial ‘extra’ supervisor at home, who provided advice and encouragement for the duration of this project from both an academic and personal perspective. Thank you. iii iv Table of Contents Page number Abstract i Acknowledgements ii Table of Contents v List of Figures ix List of Tables xi Chapter 1: Introduction 1 1.1 Background and context 2 1.1.1 The changing role of the state in developed countries 2 1.1.2 Cities and climate change 5 1.2 Aims and objectives of the thesis 5 1.3 Epistemological and methodological considerations 8 1.3.1. The relevance and limitations of qualitative methodologies 9 1.3.2 Case selection 10 1.3.3 Methodology for this thesis 13 1.4 Overview of the following chapters 16 Chapter 2: A new framework for analysing local climate governance 19 2.1 Introduction 19 2.2 Relevant theoretical perspectives on local climate governance 20 2.2.1 International relations perspectives 21 2.2.2 Governance 23 2.2.3 Multi-level governance 25 2.2.4 Policy implementation 30 2.2.5 Policy networks 33 2.2.6 New public management 35 2.2.7 Organisational capacity 39 2.2.8 Environmental policy integration 40 2.2.9 Policy styles 41 2.1.10 Urban governance 47 v 2.3 Towards a hybrid governance model? 51 2.4 A new approach to analysing governance relationships 55 2.5 Conclusions 61 Chapter 3: Local governance in England and Germany – the historical context 63 3.1 Introduction 63 3.2 Local governance up to 1900 64 3.2.1 Local governance in Germany up to 1900 64 3.2.2 Local governance in England up to 1900 69 3.3 Local governance between 1900 and the early 1970s 75 3.3.1 Local governance in Germany between 1900 and the early 1970s 76 3.3.2 Local governance in England between 1900 and the early 1970s 82 3.4 Local governance since the early 1970s 86 3.4.1 Local governance in Germany since the early 1970s 87 3.4.1.1 Vertical power dependencies in Germany since the early 1970s 87 3.4.1.2 Horizontal power dependencies in Germany since the early 1970s 94 3.4.2 Local governance in England since the early 1970s 100 3.4.2.1 Vertical power dependencies in England since the early 1970s 100 3.4.2.2 Horizontal power dependencies in England since the early 1970s 108 3.5 Conclusions 111 Chapter 4: Climate change strategy in Gelsenkirchen and Newcastle 114 4.1 Introduction 114 4.2 Multi-level governance and climate change strategy 116 4.2.1 Gelsenkirchen 116 4.2.1.1 Vertical governance structures 116 4.2.1.2 Horizontal governance structures 120 4.2.2 Newcastle 125 4.2.2.1 Vertical governance structures 125 4.2.2.2 Horizontal governance structures 129 4.3 Policy styles and climate change strategy 138 4.3.1 Gelsenkirchen 140 4.3.1.1 Hierarchy versus engagement 140 4.3.1.2 State of the art solutions versus best practicable means 145 vi 4.3.2 Newcastle 150 4.3.2.1 Hierarchy versus engagement 150 4.3.2.2 State of the art solutions versus best practicable means 154 4.4 Conclusions 159 Chapter 5: Planning policy in Gelsenkirchen and Newcastle 164 5.1 Introduction 164 5.1.1 Background to Hans-Sachs-Haus and Heinrich-König-Platz 166 5.1.2 Background to Science Central 170 5.2 Multi-level governance and planning policy 173 5.2.1 Gelsenkirchen 173 5.2.1.1 Vertical governance structures 174 5.2.1.2 Horizontal governance structures 180 5.2.2 Newcastle 184 5.2.2.1 Vertical governance structures 184 5.2.2.2 Horizontal governance structures 187 5.3 Policy styles and planning policy 195 5.3.1 Gelsenkirchen 196 5.3.1.1 Hierarchy versus engagement 196 5.3.1.2 State of the art solutions versus best practicable means 202 5.3.2 Newcastle 206 5.3.2.1 Hierarchy versus engagement 207 5.3.2.2 State of the art solutions versus best practicable means 212 5.4 Conclusions 220 Chapter 6: Corporate policies in Gelsenkirchen and Newcastle 223 6.1 Introduction 223 6.2 Multi-level governance and corporate policies 225 6.2.1 Gelsenkirchen 225 6.2.1.1 Vertical governance structures 225 6.2.1.2 Horizontal governance structures 229 6.2.2 Newcastle 234 6.2.2.1 Vertical governance structures 234 6.2.2.2 Horizontal governance structures 238 vii 6.3 Policy styles and corporate policy 246 6.3.1 Gelsenkirchen 247 6.3.1.1 Hierarchy versus engagement 247 6.3.1.2 State of the art solutions versus best practicable means 253 6.3.2 Newcastle 257 6.3.2.1 Hierarchy versus engagement 257 6.3.2.2 State of the art solutions versus best practicable means 265 6.4 Conclusions 272 Chapter 7: Conclusions and key findings 275 7.1 Introduction 275 7.2 Key theoretical findings 276 7.3 The historical evolution of local governance in Germany and England 279 7.4 Climate change strategy in Newcastle and Gelsenkirchen 281 7.5 Planning policy in Newcastle and Gelsenkirchen 283 7.6 Corporate policies in Newcastle and Gelsenkirchen 286 7.7 Summary of empirical findings 289 7.8 Implications for future research 297 7.8.1 Further empirical study 297 7.8.2 Normative considerations 298 7.9 Final conclusions 300 Appendix: Details of fieldwork interviews 306 References 308 viii List of Figures Page number Figure 1.1: Research questions at the core of this thesis and how they will