Autonomous Local Climate Change Policy: An Analysis of the Effect of Intergovernmental Relations Among Subnational Governments

Local governments have emerged as important players in climate change governance, both at home and on the international stage. Likewise, action by states and provinces has been increasingly highlighted, particularly as national actors have moved slowly to reduce greenhouse gas emissions. But to what extent do local governments act independently from state and provincial governments in the area of climate change mitigation? Using an explicit process tracing approach, the article tests two hypotheses regarding the influence of upper level subnational governments on local policy. In Vancouver, British Columbia, Canada, a city that is a climate change leader, provincial government intervention cannot explain the results of climate change mitigation policy making. This suggests that local governments can exercise an important degree of autonomy over climate change policy, but also implies that where municipalities are less independently committed to climate action, active upper level government intervention will likely be needed.     

Comparative Climate Change Policy and Federalism: An Overview

This commentary provides an overview of the four papers in this issue of Review of Policy Research on the politics of climate change. The papers all address in one way or another aspects of how federal‐type systems are dealing with the collective action and multilevel governance issues of climate change policy. The comparative study of federal systems provides insight into how domestic authority is so often overlapping and divided when dealing with greenhouse gas emissions and climate change. Federal arrangements offer a rich array of norms, institutions, and practices for tackling these problems. Federal systems grapple continuously with the kinds of issues that are the most intractable in the climate change case, such as overcoming interregional differences of interests and values. A common federal feature is competition among subnational governments and between them and national or federated governments over climate change policy, which has been especially significant in the United States and in Canada in the relative absence of national action––although soberingly, the whole is as yet nowhere near as great as the sum of the parts. More significant, but rarer is the achievement of tighter coordination in federal systems achieved through intergovernmental co‐decision, as seen in the European Community and Australia. This has been accomplished in large part due to a consensus among all intergovernmental parties on the nature of the problem and congruence with the existing international regime, characteristics missing in the North American context.     

Policy diffusion in subnational governments: State–local relationships in the Brazilian education policy

Intergovernmental relations play a key role in policy diffusion among constituent units. Federal governments have adopted different mechanisms to guarantee minimum standards across the countries, but historical trajectories and widely shared policy ideas are also mentioned as relevant in diffusion processes. This paper focuses on the influence of federalism in policy diffusion at the subnational level in Brazil. The 1988 Constitution consolidated decentralization of the Brazilian education policy but required cooperation between states and municipalities. The lack of a national definition resulted in a great variety of cooperative programmes and coordination arrangements, allowing the identification of similarities and differences among their diffusion processes. This article shows that state governments are the main policy-makers regarding cooperation, which highlights that the role of the federal government does not entirely explain these processes. Nevertheless, policy trajectories and the movement of ideas and people municipalities were keys for policy diffusion.     

States on Steroids: The Intergovernmental Odyssey of American Climate Policy

Climate change has conventionally been framed as an issue that would be addressed by an international regime established through negotiation among nation‐states. The experience of policy development in the decade following the signing of the Kyoto Protocol indicates that climate change also needs to be examined as a challenge of multilevel governance. The increasingly central role of state governments in American climate policy formation squares with recent experience in other Western democracies that share authority across governmental levels. This paper examines the American experience, considering factors that have contributed to a state‐centric policy process and using that body of experience to assess competing strategic choices faced by individual states based on their mix of emission trends and policy adoption rates. In turn, the collective state experience allows for consideration of the varied political feasibility of competing climate policy tools that remain under active review in subnational, national, and international contexts. The paper concludes with a set of scenarios that explore different ways in which a state‐centric system may be integrated with expanding involvement at the national level.     

Interacting Capacities: The Indirect National Contribution to Subnational Service Provision

Different levels of government often interact on the ground, providing closely related services. While multilevel governance arrangements have been studied broadly, scarce literature has explored the contribution of national governments to achieving subnational policy goals. By reconceptualizing administrative decentralization as coexisting devolution (to subnational governments) and deconcentration (through field units), this research explores the indirect national contribution to subnational performance by delivering associated services. This article tests the following hypotheses: (1) there is a positive effect of national deconcentrated capacity on subnational policy outputs, and (2) under policy overlap, this contribution diminishes with increasing levels of subnational capacity. While Colombian schooling is decentralized, the national government indirectly contributes to education through a national agency that administers child protection services. Analyzing data for Colombian subnational governments over a decade reveals that national capacity boosts education provision while the least endowed regions benefit the most, thus providing evidence supporting both hypotheses.     

Redistributive policies in decentralised systems: The effect of decentralisation on subnational social spending

This article uses cross‐national data to examine the effects of fiscal and political decentralisation on subnational governments’ social expenditures. It revisits the benefit competition hypothesis put forward by fiscal federalism research, which posits that subnational governments in decentralised countries match welfare benefit reductions by their peers to keep taxes low and avoid an in‐migration of welfare dependents. As a consequence, subnational social expenditures are assumed to plateau at similar and low levels. Using a new cross‐national dataset on social expenditures in 334 subnational units across 14 countries and 21 years, the author explores whether benefit competition causes subnational governments to converge on similar levels of social spending. The analysis reveals that as countries decentralise, subnational social spending levels begin to diverge rather than converge, with some subnational governments reducing their social expenditures and others increasing them. Furthermore, decentralisation is not likely to be associated with lowest common denominator social policies, but with more variability in social expenditure. The article also examines the effects of other macro‐level institutions and demonstrates that policy coordination influences the relationship between decentralisation and subnational social spending levels.     

Institutional Collective Action and Economic Development Joint Ventures

There is high interest in economic development efforts involving cooperation or collaboration among metropolitan jurisdictions. To determine why some local governments engage in cooperative agreements while others do not, this paper investigates transaction obstacles, including bargaining, information, agency, enforcement, and division problems. The authors then advance an institutional collective action explanation for intergovernmental cooperation, focusing on the conditions under which these transactions costs are low. This work anticipates that the costs associated with interlocal cooperation are influenced by the demographic characteristics of communities, local political institutions, and the nature of regional government networks. Empirical analysis based on a national survey of local development officials provides support for several predictions from this model and identifies policy variables that, in turn, increase the prospects for cooperation, specifically through the development of informal policy networks.     

The Impact of Parties and Elections on Municipal Debt Policy in Mexico

Opportunistic electoral fiscal policy cycle theory suggests that all subnational officials will raise fiscal spending during elections. Ideological partisan fiscal policy cycle theory suggests that only left‐leaning governments will raise election year fiscal spending, with right‐leaning parties choosing the reverse. This article assesses which of these competing logics applies to debt policy choices. Cross‐sectional time‐series analysis of yearly loan acquisition across Mexican municipalities—on statistically matched municipal subsamples to balance creditworthiness across left‐ and right‐leaning governments—shows that all parties engage in electoral policy cycles but not in the way originally thought. It also shows that different parties favored different types of loans, although not always according to partisan predictions. Both electoral and partisan logics thus shape debt policy decisions—in contrast to fiscal policy where these logics are mutually exclusive—because debt policy involves decisions on multiple dimensions, about the total and type of loans.     

The Global Climate Regime: Explaining Lagging Reform

There have been growing calls for reform of the United Nations Framework Convention on Climate Change (UNFCCC). How have governments met the demand for action on climate change despite the lagging pace of UNFCCC reform? New qualitative data demonstrate that the institutional, sectoral, and technical characteristics of multilateral institutions have guided government choices in managing climate change issues. Institutional resources and sectoral participation in multilateral institutions have enabled governments to handle climate change issues outside the UNFCCC, reducing the need to invest in its reform as demand for action has grown. These specialized institutions are able to mitigate political disputes and facilitate greater efficacy in handling specific issues such as financing and emissions mitigation. They have mandates that overlap with the cross‐cutting nature of climate change, requiring no new mandates, which mitigates political disputes in managing specific climate issues.     

Sub-state Climate Pioneers: The Case of Scotland

Climate change poses a global challenge, but many of the most ambitious and innovative efforts to confront it have emerged from the sub-state level. While such action has received significant attention in North America, less attention has been paid to European sub-state nations and regions, even though several of these regions are at the forefront of policy efforts to reduce carbon emissions and promote renewable energy. This article begins to fill that knowledge gap. It explores the puzzle as to why, and how, given their more limited scope for policy action, some sub-state governments position themselves as ‘climate pioneers’. The article undertakes a heuristic case study of Scotland, which has developed a particularly ambitious climate change and renewable energy programme. Drawing on public policy literature, we use the case study to consider the extent to which such ambition is enabled by constitutional and fiscal capacity, facilitated by a cohesive policy network, and motivated by economic and political goals. While we find evidence of these enabling features in the Scottish case, we argue that understanding sub-state climate action also necessitates examining such action through the lens of territorial politics. Adopting a territorial perspective highlights the opportunities, constraints and motivations associated with the politics of territorial identity and multi-level government.     

Civil society participation in global governance: Insights from climate politics

A rather unique feature of global climate negotiations is that most governments allow representatives of civil society organisations to be part of their national delegation. It remains unclear, however, why states grant such access in the first place. While there are likely to be benefits from formally including civil society, there are also substantial costs stemming from constraints on sovereignty. In light of this tradeoff, this article argues for a ‘contagion’ effect that explains this phenomenon besides domestic determinants. In particular, states, which are more central to the broader network of global governance, are more likely to be informed of and influenced by other states' actions and policies toward civil society. In turn, more central governments are likely to include civil society actors if other governments do so as well. This argument is tested with data on the participation of civil society organisations in national delegations to global climate negotiations between 1995 and 2005. To further uncover the underlying mechanisms, the article also provides an analysis of survey data collected at the United Nations Framework Convention on Climate Change (UNFCCC) negotiations in Durban in 2011.     

The home front: Internal organization of public affairs in Dutch subnational governments

Dutch subnational governments such as municipalities and provinces are increasingly compelled to express their interests in the national and European political arenas. Effectiveness in these arenas requires an optimal arrangement of Public Affairs (PA) activities in the subnational organization. Based on 41 in‐depth interviews with prolific PA professionals and practitioners in the Netherlands, this article provides an overview of initiatives that subnational government organizations have to develop in their own organization after their “discovery” of how useful PA may be, but before the moment they enter the arenas. According to the participants, the creation of individual, collective, and regional commitment regarding PA is the first initiative. Subsequently, conditional and instrumental terms should be fulfilled, so that PA will be used as a tool to model PA messages. Concluding from the interviews, human aspects and internal cooperation determine the sensemaking of PA in a subnational organization, but a lack of arena knowledge frustrates this process.     

Political Partisanship and Welfare Service Privatization: Ideological Attitudes among Local Politicians in Sweden

This article ties in with a growing international literature examining the link between party politics and welfare service privatization in modern welfare states. In recent decades, a central aspect of policy change in Sweden is that private actors have come to produce publicly financed welfare services on a more regular basis. This overall privatization trend is furthermore characterized by substantial geographical variation across Sweden's 290 municipalities. The ideological attitudes of local politicians have been recognized as particularly important for understanding this development. This article examines the extent to which local politicians’ ideological attitudes regarding welfare service privatization are best explained with a partisan approach emphasizing between‐party polarization as opposed to a critical perspective that points to the proclaimed significance of ideological consensus between left and right parties in certain municipal contexts. Using multilevel modelling and survey data collected from elected politicians in municipal governments, the empirical findings show substantial differences in attitudes between Conservatives and Social Democrats, irrespective of municipal characteristics – most notably the degree of welfare service privatization. Hence, the results strongly indicate that the partisan approach is much more fruitful compared to the consensus approach as a general explanation for local politicians’ attitudes towards welfare service privatization in Sweden. Accordingly, a conclusion is that comparisons at the subnational level within countries are important as a complement to country‐comparative studies when attempting to understand the link between political partisanship and welfare service privatization in modern welfare states.     

Beyond Kyoto: Climate Change Policy in Multilevel Governance Systems

Climate change policy has commonly been framed as a matter of international governance for which global policy strategies can be readily employed. The decade of experience following the 1997 signing of the Kyoto Protocol suggests a far more complex process involving a wide range of policy options and varied engagement by multiple levels of governance systems. The respective experiences of the United States and Canada suggest that formal engagement in the international realm of policy is not a good indicator of domestic policy development or emissions reductions. The different contexts of intergovernmental relations, varied resources available to subnational governments for policy development and implementation, and role of subnational leaders in policy formation have emerged as important factors in explaining national differences between these North American neighbors. Consequently, climate change increasingly presents itself as a challenge not only of international relations but also of multilevel governance, thereby creating considerable opportunity to learn from domestic policy experimentation.     

A Comparison of State Traditions and the Revival of a Nuclear Power in Four Countries

Abstract

The British, American, French and Finnish governments are seeking to promote investment in a new generation of nuclear power plants. Nuclear power programmes are delivered through networks of international companies through which government must manage. This is consistent with the concept of governance. Governments can advance their policy goals by using a variety of policy instruments to shape and organize governance networks. This is known as metagovernance. The paper considers the extent to which the selection and deployment of the policy instruments used to metagovern is informed by the prevailing tradition of government. The paper examines how the British, American, French and Finnish governments have tried to metagovern. It is shown that whilst governing traditions do inform the selection and deployment of the policy instruments used to metagovern, the composition of the network, and the nature of the policy problem also plays a role in shaping government action.     

The effectiveness of institutional borrowing restrictions: Empirical evidence from Spanish municipalities

The need for restrictions on borrowing by subnational governments is a generally accepted notion that is justified both by public choice theory and by the fact that such restrictions are in force in the majority of decentralized countries. Furthermore, recent breaches of the Stability and Growth Pact of the European Union have led to the introduction of legislative tools aimed at balancing the budget at all levels of government have come to the forefront of interest in European public finance research. This paper is concerned with the financial situation and debt level of Spanish municipalities from 1988 to 2000. We have two main objectives: the first is to assess the value of mandatory limitations on municipal borrowing and past trends in the borrowing policies adopted by Spanish local authorities. The second is to develop an econometric model using panel data stratified by population size to measure indebtedness in Spanish municipalities. These measures enable us to formulate a series of hypotheses to explain municipal borrowing practices, which are then tested empirically. The evidence thus obtained appears to support the effectiveness of institutional borrowing restrictions to introduce some financial discipline in the borrowing policies adopted by local governments in Spain.     

The failure to learn from others: Vertical fiscal imbalance,centralisation, and Australia's metropolitan knowledge deficit

This paper questions the routes to knowledge of metropolitan governance elsewhere in the world and then explains how and why these are rendered more difficult in Australia. The paper begins with the policy literature on the exchange of knowledge relevant to metropolitan governance. The paper next explains the constitutional and fiscal backdrop to metropolitan governance in Australia; the ‘unique’ role of state governments in the funding, planning, and management of cities, and the powers adopted by the federal government that are made possible by vertical fiscal imbalance and funding conditionality. The paper then explores horizontal knowledge exchange of metropolitan governance in the form of transnational municipal networks, corporations, international organisations, and consultants. The final section of the paper considers the thesis that were Australia's cities to function independently, as metropolitan governments, the potential for knowledge exchange would be optimised. Knowledge of smart city technologies is used for case study purposes.     

Paths and Constraints of Subnational Government Mobilization in East-Central Europe

The article studies the impact of enlargement on subnational governments in the Czech Republic, Hungary, and Poland. It compares the resources and political constellations of subnational governments and analyses how these variables interact with Europeanization to influence domestic intergovernmental relations, the management of structural funds and the European Union relations of subnational governments. The article argues that stronger regional governments (in Poland and the Czech Republic) have been able to resist attempts to centralize intergovernmental relations. Decentralizing reforms occurred where incumbent governing parties dominated subnational government (Poland). Under ‘vertically divided’ government (Czech Republic), subnational governments sought unmediated access to European Union institutions.     

Comparative Analysis of Sweden’s Wind Energy Policy: The Evolution of “Coordinated” Networks

Abstract

In search of an appropriate institutional structure for successful environmental policy, many researchers focus on network governance. And while it provides the flexibility and adaptability needed for climate change initiatives, the paper argues that many networks collaborate too loosely to have the capacity to reach strategic goals or mobilize local players. There is often a disconnect between national policy goals and on-the-ground dynamics. Instead, government should adopt a network perspective which does not eliminate state action, but involves network management institutions at arm’s length of government. As an example for this mode of network governance, the research looks at the Swedish “National Network for Wind Power”, which was initiated by government and is now led by four wind coordinators managing the development of on- and off-shore wind electricity. The paper compares Swedish performance before and after the introduction of the wind network and shows how these government efforts have transformed Sweden from a weak performer to being a frontrunner in Europe.     

An Assessment of the Impact that Participation in Local Climate Networks Has on Cities’ Implementation of Climate,Energy, and Transportation Policies

Much of the attention surrounding local climate protection in the United States is associated with two networks: ICLEI Local Governments for Sustainability's Cities for Climate Protection and the U.S. Conference of Mayors’ Climate Protection Agreement (MCPA). However, the impact of these networks on member‐city actions has not been clearly established. This paper examines whether, and to what extent, participation in climate networks leads to the implementation of greenhouse gas (GHG)‐reducing policies, above and beyond what would have been done in their absence. To account for the possibility that cities which join climate networks are systematically different from those that do not and control for self‐selection induced bias, three statistical techniques—propensity score matching, Heckman full information maximum likelihood, and instrumental variables—are employed to estimate the “treatment effect” of participation. Results suggest that impact is network specific: ICLEI membership causes small to moderate increases in cities’ GHG‐relevant activity, whereas the MCPA has no such effect. The characteristics of each network are evaluated in light of these findings.