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Polycentric pioneers? Explaining variations in governance models and their impacts on local climate change policy

Lead Research Organisation: University of Manchester
Department Name: Social Sciences

Abstract

The science behind climate change has been established, and now the mitigation of climate change has become a political puzzle. We need to act quickly to mitigate the worst impacts of climate change, and so this project is designed to find and then share effective policy solutions that can be used across society.

Until very recently, attempted solutions for climate change were 'top down': for example, the United Nations organised annual conferences, and those countries responsible for producing the most greenhouse gases dominated these negotiations. However, this approach for dealing with climate change has failed to generate effective change quickly enough, and academics are looking for new governance solutions for this most pressing and significant of issues.

Increasingly, scholars argue that we need to be improving policy-making the local level, and empowering a wide range of people take a lead in responding to climate change. In particular, they argue we need 'polycentric governance'. Polycentric governance involves businesses, NGOs and government agencies working independently of each other, while also overlapping and coordinating with one another, as part of complex, multi-level networks. The outcome should be that no individual group or organisation is solely responsible for mitigating climate change, and so every 'node' in the network is encouraged to fulfil its part without fearing being exploited by others.

Yet, despite growing support amongst academics for polycentric governance, there is limited research into how these networks can be created, or whether they even have a positive impact in mitigating climate change. This research project seeks to address that lack of knowledge by pursuing two research objectives.

First, the project will explain how and why polycentric models are developed, by analysing three key factors: the role of the European Union; the impact of a country's national governance model, such as the presence of federalism; and a city's status as a country's capital or not. To do so, the project will map out the interconnecting networks of different groups and individuals within six city regions in Germany, Sweden and the UK. These three countries were similarly ambitious towards climate change in the early 2010s, and the six city regions have been carefully selected to be as similar as possible, while also showing differences in the three key factors under exploration.

Second, the project will then determine how and why these different city regions' polycentric practices affect the creation of ambitious climate change policies. This goal will be achieved by analysing the climate policy documents of a wide range of actors within each city region, as well as interviewing key individuals. Here, a useful extra outcome of the research will be the ability to explore how changes in the UK's political landscape during the Brexit negotiations have influenced local climate change policy too.

Having then analysed how and why different governance models shape the ambitiousness of local climate policy, guidance will be created for policy-makers across Western Europe. This advice will inform policy-makers about which types of governance initiatives are most effective for helping to create more ambitious climate policy. The advice will seek to improve climate policy at the local level, and it will be designed with multiple audiences in mind, depending on whether policy-makers and practitioners work at the local, national or European level. As a result, this project aims to help every level of governance to be more effective at mitigating climate change.

Finally, this project will also seek to inform and empower citizens about how they can effect change themselves, by sharing the results of the study via a wide range of media outlets, pitching a TV programme on the topic, and by giving several public lectures.

Planned Impact

There is an urgent need for governance models to be optimised for mitigating climate change. As such, the primary goal of the project's impact activities is to shape policy; the secondary goal is to inform the wider public about their capacities to mitigate climate change as actors in their own right. Because policy guidance is the primary goal of this project's impact agenda, the Manchester Climate Change Agency (MCCA) has been involved in the design of the project and will be a partner throughout the research process. Beneficiaries of the policy guidance will include local, national and European policy-makers in Western Europe, and employees working for NGOs, businesses and civil society groups that seek to strengthen climate policy ambition as part of their work. Any emissions reductions resulting from this guidance will benefit all of society. £10,900 has been allocated purely to generating policy guidance, and further University of Manchester funds will be sought to expand these activities. As this project focuses primarily on guiding public policy, the budget is prioritised towards achieving that goal, and so activities designed to engage with the wider public will be cost-free. Policy guidance will be pursued via four main activities, and engagement with the public will be pursued in three ways. Throughout the project, I will seize further opportunities for generating impact as they arise.

Policy guidance will be pursued by firstly holding two events targeted at policy-makers and practitioners based in Manchester (co-hosted by the MCCA) and London. Around twenty individuals from a wide range of organisations will attend each event, where they will learn about how governance models can be designed to include a wider range of actors and to encourage greater climate policy ambition and experimentation. Attendees will benefit by learning best practice examples of polycentric governance models, and their impacts upon climate ambition. Feedback from this event will then shape the second activity. The second activity which will be a national workshop, held in London, for local government employees based in cities across the UK and for national-level policy-makers. This one-day event will be designed to discuss how local and national governance models can be designed to facilitate the development of climate mitigation policy. Third, having built on the feedback and discussions at the national workshop, I will submit evidence to the national parliaments of the UK, Germany and Sweden, as well as the European Parliament, both digitally and in person. Finally, this policy guidance will be generalised for small and large cities across Western Europe and then made available on the project's website.

Wider public engagement will seek to alter the perspective that climate change should be solved by 'others'. I will seek to inform the public about how they can influence the policy process themselves and to empower them to do so, and will pursue these goals in three ways. First, I will write articles for high-profile blogs, such as The Guardian's 'Comment is Free' and the Washington Post's 'Monkey Cage' regarding the findings of the project. Second, I will participate in the Political Studies Association's Total Exposure competition, whereby applicants pitch a proposal to a panel of media executives. I will propose a TV show in which I visit the city-regions of this project and explain the role of citizens and local initiatives in producing pioneering climate policies. Finally, I will host a range of public lectures at The University of Manchester for local citizens. Attendees will benefit by understanding how to influence the climate policy process, facilitating their involvement in future, possibly more polycentric, climate policy projects. As well as informing the public, these events will then shape my subsequent research project, on citizens' abilities to influence climate policy.
 
Description This grant has led to three key extensive conceptual collections that extend our knowledge of climate politics, alongside the creation of a new research group at the university of the grant's Principal Investigator, Paul Tobin.
First, as outlined in the original funding proposal, this grant has enabled Tobin to lead the creation of a Special Issue on the subject of 'polycentric climate governance' (PCG). The Special Issue advances our real-world, empirical understandings of how state and non-state actors independently cooperate and compete to act on climate change. In addition to the Introduction article, the seven empirical Special Issue articles examine a wide range of cases from across the world, including every country with a national climate plan, sub-national states within India, transnational city networks, and over 12,000 businesses. We developed five new areas of understanding. That: i) operationalising PCG regarding a large number of actors requires challenging compromises to be made in understanding 'polycentricity'; ii) voluntary aspects of PCG can support new opportunities but also lead to gaps in performance; iii) temporality is vital for assessing climate action, but difficult because of the newness of PCG; iv) power continues to be an under-explored and under-conceptualised features of studies of PCG; and v) PCG was shown to be effective in starting the process of reducing GHG emissions, but can also present pitfalls within climate governance.
Second, in examining the nature of polycentric climate governance, Tobin was struck of the importance of actors that operate behind-the-scenes, linking between different types of actors and between levels of governance. In response, Tobin co-edited another special issue, on a new concept that the editors proposed regarding these actors: 'climate intermediaries'. Taken together, the six contributing articles, plus Introduction and Conclusion, show that analysing often neglected climate intermediaries, we can better understand the forms and outcomes of climate politics and the climate policy process, especially regarding the importance of surrounding governance structures, and access to funding, when actors develop strategies for climate action.
Third, in the book on stability and politicization in climate governance, we offer two new four-part typologies of each concept. Specifically, we divide stability into four types, namely as the status quo, as engineering lock-in, as policy lock-in, and as long-term emissions reduction pathways. We then offer a new four-way conceptualisation of politicization as broader socio-political change, as partisan competition, as discourse, and as scholarly praxis.
Finally, the grant has enabled Tobin to create and convene a new Research Group at the University of Manchester, namely the Environmental Politics Group. Comprising over 25 members, the group now has its own annual budget and runs regular day-long research workshops, attended by early-career scholars, senior researchers, and external experts alike. These workshops have each generated a wide range of feedback on draft research about environmental politics, which has subsequently been published as new research articles.
Exploitation Route From the Special Issue on polycentric climate governance, three avenues for future research can build from our new empirical studies of a wide range of cases. We suggest greater clarity on: the role of the state within PCG as a directing force; how local initiatives can be diffused and expanded across scales; and finally, the roles of power dynamics within PCG.
From the Special Issue on climate intermediaries, our novel conceptualisation provides a new type of role for in climate governance in future research, and for policymakers to consider. Others may consider who becomes a climate intermediary and why. Also, comparative analyses of climate intermediaries in different governance contexts, especially around varieties of capitalism, is needed. And policymakers could consider how to encourage more actors to assume this important role in the policy process.
From the book on stability and politicization, scholars may use our new framework for understanding the two concepts, by examining new arenas of climate governance. For example, new research can be undertaken using our conceptualisations regarding long-term climate action in cities, and in certain sectors, such as electric vehicles, and actors in those areas can build from our open access book to strengthen their roles in climate mitigation.
Sectors Education

Environment

Government

Democracy and Justice

URL https://direct.mit.edu/glep/issue/24/3
 
Description Working together with a Master's student (name available on request), we analysed policy report documents relating to UK cities' climate action. From here, we provided a report and I gave a presentation to Manchester Climate Change Agency (MCCA) and Manchester Climate Change Partnership (MCCP) in May 2021. These insights then shaped the design of the city's Version 2.0 of the 'Manchester Climate Change Framework 2020-25'. From here, I am working with the MCCA and MCCP, and also Councils within Manchester, such as Stockport, to support the development of partnership-based city-level climate strategies, as evidenced on p.38 of the Version 1.0 edition of the city's Framework (footnote 52): https://static1.squarespace.com/static/6347f4912d1e5d13811bd304/t/659fcd7132b99319280c3a39/1704971634294/Manchester+Climate+Change+Framework+2020-25.pdf Further, alongside Professor Matthew Paterson - my mentor on this grant - I co-organised an event for academics and policymakers alike regarding 'backlashes' against climate policies. Following the insightful day long workshop, we wrote a full co-authored report: https://www.manchester.ac.uk/about/news/new-report-navigating-the-backlash-the-future-of-british-climate-strategy/ This report then led to seven bespoke meetings with policymakers, who work for sub-city councils, city-wide councils, nations within the UK, and national policymakers. In each hour-long meeting, we advise policymakers on how policies can be designed and communicated in such a way as to avoid backlashes and dismantling of climate policies.
First Year Of Impact 2021
Sector Environment,Government, Democracy and Justice
Impact Types Societal

Economic

Policy & public services

 
Description Manchester Climate Change Framework
Geographic Reach Local/Municipal/Regional 
Policy Influence Type Citation in other policy documents
Impact Working together with a Master's student (name available on request), we analysed policy report documents relating to UK cities' climate action. From here, we provided a report and I gave a presentation to Manchester Climate Change Agency (MCCA) and Manchester Climate Change Partnership (MCCP) in May 2021. These insights then shaped the design of the city's Version 2.0 of the 'Manchester Climate Change Framework 2020-25'. From here, I am working with the MCCA and MCCP, and also Councils within Manchester, such as Stockport, to support the development of partnership-based city-level climate strategies, as evidenced on p.38 of the Version 1.0 edition of the city's Framework (footnote 52 - see link below).
URL https://static1.squarespace.com/static/6347f4912d1e5d13811bd304/t/659fcd7132b99319280c3a39/170497163...
 
Description Navigating the Backlash: The Future of British Climate Strategy
Geographic Reach National 
Policy Influence Type Participation in a guidance/advisory committee
Impact As a recent set of initiatives, the evidence is still incoming. However, we have advised policymakers on how to avoid climate policies being dismantled in the face of a backlash against climate action, building from the below report and also a more condensed version. The report itself builds from the co-production of knowledge as it is written by a team of both academics and policymakers. Specifically, the strategies we suggest are: 1. 'Mitigate the dilemmas that political parties face when navigating this new political context.' We suggest that parties may do so, for example, by 'Designing policies that create irreversible effects, such as zero-carbon infrastructure investments in electricity, housing, or transport that would be too costly to dismantle.' 2. 'Attack the backlash directly'. This option entails promoting 'net zero strategies that explicitly address social justice and inequality. Examples include policies that benefit low-income households, such as investment in public transport, and using the language of 'energy security' when promoting renewable energy.
URL https://www.manchester.ac.uk/about/news/new-report-navigating-the-backlash-the-future-of-british-cli...
 
Description Non-state actors and the politicisation of climate change
Amount £10,000 (GBP)
Organisation Stockholm University 
Sector Academic/University
Country Sweden
Start 01/2022 
End 12/2022
 
Description Reducing burnout in those fighting global heating
Amount £9,877 (GBP)
Organisation Grantham Institute: Cimate Change and Environemnt 
Sector Public
Country United Kingdom
Start 03/2023 
End 12/2023
 
Title Brace for turbulence: EU Member States' climate strategies in the aviation sector - Supplementary Information 
Description Dataset of aviation-related references and thematic scores regarding European Union member states' National Energy and Climate Plans (NECPs) 
Type Of Material Database/Collection of data 
Year Produced 2022 
Provided To Others? Yes  
Impact This dataset is the first to code every country's NECP regarding its engagement with climate change action in the aviation sector. 
URL https://www.nature.com/articles/s44168-022-00018-1#Sec7
 
Description Visiting scholar at Stockholm University. 
Organisation Stockholm University
Country Sweden 
Sector Academic/University 
PI Contribution As outlined in my funding proposal, I visited Professor Andreas Duit at Stockholm University to research polycentric climate governance. With two co-authors, Ciara Kelly and Niall Kelly, we analysed businesses' climate activities using the publicly-available data from the Global Climate Action Portal.
Collaborator Contribution Professor Duit supported the design, undertaking, analysis, and writing of the subsequent research article.
Impact Tobin, P., Duit, A., Kelly, N. and Kelly, C., 2024. Exploring the Role of Businesses in Polycentric Climate Governance with Large-N Data Sets. Global Environmental Politics, 24(3), pp.168-190. It is interdisciplinary in that Dr Ciara Kelly (University of Sheffield) specialises in the sustainability of businesses, and joined us as a co-author on this article.
Start Year 2022
 
Description ESRC Festival of Social Sciences public seminar entitled "Manchester: From Industrial Revolutionary to Climate Pioneer?" 
Form Of Engagement Activity A talk or presentation
Part Of Official Scheme? No
Geographic Reach Regional
Primary Audience Public/other audiences
Results and Impact 34 people attended a talk that involved stakeholders working on climate change from across Manchester. The discussion focused on the challenges faced by Manchester in becoming a climate pioneer, and what the city needs to do next to act more effectively on climate change. Questions were asked from the audience, leading to a wide-ranging discussion on city-level climate action.
Year(s) Of Engagement Activity 2020
URL https://www.eventbrite.co.uk/e/manchester-from-industrial-revolutionary-to-climate-pioneer-tickets-1...
 
Description Environmental Sustainability and British Muslims 
Form Of Engagement Activity A talk or presentation
Part Of Official Scheme? No
Geographic Reach National
Primary Audience Other audiences
Results and Impact Over 250 attendees registered for an online collaborative conference is organised by the University of Manchester's Sustainable Consumption Institute (SCI), Muslims in Britain Research Network (MBRN) and The Muslim Council of Britain (MCB). The discussions focused on practical ways in which, often marginalised, Muslim voices can be included in wider debates around the environment, climate change and the green policy agenda. I contributed as an expert speaker regarding how inclusive practices and faith can be incorporated into policy and decision making?
Year(s) Of Engagement Activity 2021
URL https://www.manchester.ac.uk/discover/news/british-muslims-are-involved-in-environmental-issues/
 
Description Lecture at King's College London entitled 'Comparative Climate Policy: from analysing London boroughs' policy instruments, to conceptualising long-term action' 
Form Of Engagement Activity A talk or presentation
Part Of Official Scheme? No
Geographic Reach National
Primary Audience Postgraduate students
Results and Impact 12 scholars and postgraduate students attended a seminar on the topic of my grant, focusing in particular on my local analysis of London and the forthcoming book on Stability and Politicization in Climate governance, leading to much ongoing discussion and future research collaboration.
Year(s) Of Engagement Activity 2025
 
Description Lecture at London School of Economics called 'Comparative Climate Policy: from analysing London boroughs' policy instruments, to conceptualising long-term action' 
Form Of Engagement Activity A talk or presentation
Part Of Official Scheme? No
Geographic Reach International
Primary Audience Postgraduate students
Results and Impact 16 scholars and postgraduate students attended a seminar on the topic of my grant, focusing in particular on my local analysis of London and the forthcoming book on Stability and Politicization in Climate governance, leading to much ongoing discussion and future research collaboration. I was subsequently invited back for a larger and longer talk.
Year(s) Of Engagement Activity 2025
 
Description Lecture at Padua University, Italy on 'The importance of politics and leadership to polycentric climate governance' 
Form Of Engagement Activity A talk or presentation
Part Of Official Scheme? No
Geographic Reach International
Primary Audience Undergraduate students
Results and Impact 30 students attended a talk about my research on polycentric climate governance, which led to many questions and an ongoing dialogue with the organiser of the event, Dr Katerina Domorenok, with whom discussions are ongoing about future funding applications.
Year(s) Of Engagement Activity 2023
 
Description Lecture at Stockholm University 
Form Of Engagement Activity A talk or presentation
Part Of Official Scheme? No
Geographic Reach International
Primary Audience Postgraduate students
Results and Impact 20 postgraduate researchers and academics attended a lecturer entitled "polycentric climate governance in cities", which led to many questions and discussions, the sharing of research papers, and interview contacts for my subsequent fieldwork.
Year(s) Of Engagement Activity 2022
 
Description Lecture at Sussex University on 'The empirical realities of Polycentric climate governance' 
Form Of Engagement Activity A talk or presentation
Part Of Official Scheme? No
Geographic Reach National
Primary Audience Postgraduate students
Results and Impact 35 postgraduates and members of research staff attended a lecture on the topic of my grant, leading to ongoing co-author conversations.
Year(s) Of Engagement Activity 2024
URL https://www.sussex.ac.uk/research/centres/sussex-energy-group/events/archive
 
Description Lecture on "Why climate change is 'complex', and your research topic might be too" 
Form Of Engagement Activity A talk or presentation
Part Of Official Scheme? No
Geographic Reach Regional
Primary Audience Postgraduate students
Results and Impact 30 early career researchers attended a talk on considering the role of 'complexity' within their research, hosted by the White Rose Doctoral Training Partnership at the University of Sheffield, leading to many questions and much discussion, alongside further links between contacts made that day.
Year(s) Of Engagement Activity 2022
URL https://wrdtp.ac.uk/events/climate-change-futures-post-cop26/
 
Description Research lecture to Muenster University, Germany 
Form Of Engagement Activity A talk or presentation
Part Of Official Scheme? No
Geographic Reach International
Primary Audience Undergraduate students
Results and Impact 25 students attended a lecture entitled "Researching climate governance in cities", which directly related to the students' research projects, and the university reported that students showed increased understanding of and engagement with their original research.
Year(s) Of Engagement Activity 2023
 
Description Talk at Loughborough University, London Campus: "Polycentric Pioneers: Climate Change Leadership in Europe" 
Form Of Engagement Activity A talk or presentation
Part Of Official Scheme? No
Geographic Reach Local
Primary Audience Postgraduate students
Results and Impact 18 university staff and postgraduate researchers attended an online talk on my research regarding polycentric climate governance to date. Several participants contacted me afterwards to discuss the research, provide insights, and build future networks.
Year(s) Of Engagement Activity 2021
URL https://www.lborolondon.ac.uk/news-events/events/idig-speaker-series-dr-paul-tobin/