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1、 Decarbonising Cities:Assessing Governance Approaches for Transformative Change Michael Roll Christian von Haldenwang Christina Grohmann Maria Elisabeth Gronen Anne Laible Johanna Orth Florian Wengel Lisa Zumegen IDOS STUDIES 107 2022 Decarbonising cities:assessing governance approaches for transfor
2、mative change Michael Roll Christian von Haldenwang Christina Grohmann Maria Elisabeth Gronen Anne Laible Johanna Orth Florian Wengel Lisa Zumegen Bonn 2022 Michael Roll is a researcher in the“Transformation of Political(Dis-)order”research programme at the German Institute of Development and Sustai
3、nability(IDOS).Email:michael.rollidos-research.de Dr Christian von Haldenwang is a senior researcher in the“Transformation of Political(Dis-)order”research programme at the German Institute of Development and Sustainability(IDOS).Email:christian.vonhaldenwangidos-research.de Christina Grohmann,Maria
4、 Elisabeth Gronen,Anne Laible,Johanna Orth,Florian Wengel and Lisa Zumegen were junior researchers and participants in the 56th Postgraduate Training Programme 2020/2021 of the German Development Institute/Deutsches Institut fr Entwicklungspolitik(DIE),which was renamed the German Institute of Devel
5、opment and Sustainability(IDOS)in June 2022.Published with financial support from the Federal Ministry for Economic Cooperation and Development(BMZ)and the state of North Rhine-Westphalia(NRW).Suggested citation:Roll,M.,von Haldenwang,C.,Grohmann,M.E.,Laible,A.,Wengel,F.,&Zumegen,L.(2022).Decarbonis
6、ing cities:assessing governance approaches for transformative change(IDOS Studies 107).Bonn:German Institute of Development and Sustainability(IDOS).https:/doi.org/10.23661/s107.2022 Disclaimer:The views expressed in this paper are those of the author(s)and do not necessarily reflect the views or po
7、licies of the German Institute of Development and Sustainability(IDOS).Except otherwise noted,this publication is licensed under Creative Commons Attribution(CC BY 4.0).You are free to copy,communicate and adapt this work,as long as you attribute the German Institute of Development and Sustainabilit
8、y(IDOS)gGmbH and the author(s).Studies/German Institute of Development and Sustainability(IDOS)gGmbH ISSN(Online)2751-4471 DOI:https:/doi.org/10.23661/is107.2022 German Institute of Development and Sustainability(IDOS)gGmbH Tulpenfeld 6,53113 Bonn Email:publicationsidos-research.de http:/www.idos-re
9、search.deIDOS Studies 107 III Acknowledgements We have been lucky to receive support from many people without whom this research project would not have been possible.We therefore want to thank each and everyone for their contributions,remarks,food for thought,and so much more.Under normal circumstan
10、ces,we would have met many of you in person and would have been able to thank you personally.As this was not possible,we want at least to name all those people who were of the greatest support to us.Our work has greatly benefitted from thoughtful comments and inputs by the members of our expert team
11、:Julia Leininger,Eva Dick,Armin von Schiller,Franco Jauregui Fung,and Ariel Macaspac Hernandez from the German Institute of Development and Sustainability(IDOS).We also want to highlight the valuable inputs from our IDOS colleagues Steffen Bauer,Gabriela Iacobuta,Anna Pegels,and Sascha Kuhn.We also
12、thank Lisa Stefanutti for her support with our city database.Valuable inputs have also been provided by Oliver Lah,Santhosh Kodukula,and Maria Rosa Muoz Barriga from the Wuppertal Institute;Christian Luy,Emma Hogenschurz,and Benjamin Oloyede from Decentralisation&Local Governance(DeLoG);and Marie-So
13、phie Schwarz,and Barbara Scholz from the GIZ Sector Project Cities.We especially want to highlight Maria Rosa Muoz Barrigas support in connecting us with stakeholders for our Quito case study.In the same regard,we thank Giovana Figueiredo and Barbara Godoy from ICLEI(Local Governments for Sustainabi
14、lity)South America for establishing further contacts to the City of Quito,as well as Pourya Salehi,Dana Vigran,and Beatriz Fonseca from the ICLEI World Secretariat for supporting and promoting our project.To Anna Taylor,Sylvia Croese,Anton Cartwright,Paul Currie,Lorena Pasquini,Katrin Seidel,Britta
15、Rennkamp,and Jeroen van der Heijden we express gratitude for their suggestions on possible case study cities.Thanks go also to the CIVITAS(City Vitality and Sustainability network)Secretariat,particularly Ana Aleixo,and the City of Cape Town,particularly Shamiela Reid,for their support.We thank Pris
16、cilla Negreiros from Cities Climate Finance Leadership Alliance,and Cesar Carreo from Carbonn for interesting insights into climate data.Further,we are grateful to Chris Rhie,Nikhil Nadkarni,David Dodman,Eric Chu,Linda Shi,Missy Stults,and Harriet Bulkeley for their help with the quest for the origi
17、nal Aylett survey.Additionally,we appreciate the valuable feedback on our survey and case study from Joachim Helbig,Stefan Wagner,Verena Schwarte,and Angelika Baukloh from the city of Bonn.Further,we want to thank Maria Camila Uribe,Ophelie Chevalier,Claudia Huerta,and Gonzalo Lanfranco Mongrut from
18、 the Inter-American Development Bank for the exchange.Also,we appreciate the discussion of our research with the Urban Management class at the Technische Universitt(TU)Berlin and are grateful for their comments.We also thank Kathrin Thomas for advising us on constructing our survey.In addition,we ar
19、e grateful for helpful remarks and support from the International Climate Initiative Transformative Urban Coalitions(IKI-TUC)project team,especially Simone Sandholz,Jorgelina Hardoy,Pablo Lazo,Florencia Almansi,Rogier van den Berg,and Tucker Landesman.We wish the IKI-TUC team all the best for their
20、important project!Of course,case studies are not possible without people agreeing to share their insights and experiences.We therefore thank all interviewees for taking the time to enlighten us with their perspectives and knowledge IDOS Studies 107 IV Additionally,we are grateful for the support we
21、received from the Head of Service Facilities at IDOS,Margret Heyen,and her staff,who provided us with crucial IT and library services,as well as the IDOS Communications Team for the support with our website.And,last but not least,special thanks to IDOS postgraduate programme director Regine Mehl,who
22、,together with Andrea Herder and Sven Grimm,was a great support throughout the main research phase.Bonn,July 2022 Michael Roll,Christian von Haldenwang,Christina Grohmann,Maria Elisabeth Gronen,Anne Laible,Johanna Orth,Florian Wengel,Lisa Zumegen IDOS Studies 107 V Contents Acknowledgements III Abbr
23、eviations VIII Executive summary 1 1 Introduction 4 2 Transformative change in cities 5 2.1 Conceptualisation 6 2.2 Transformative cities:recent trends 7 2.2.1 Cities 8 2.2.2 Networks 8 2.2.3 Awards 9 2.2.4 Datasets 10 3 Research design 11 3.1 Dependent variables:success dimensions of transformative
24、 change 11 3.1.1 Literature overview on success 12 3.1.2 Award criteria of success 13 3.1.3 Our definition of success 14 3.2 Explanatory variables:three governance dimensions for urban transformation 15 3.2.1 Stakeholder involvement 16 3.2.2 Urban finance 19 3.2.3 Impact assessment 22 3.3 Empirical
25、strategy and data 25 3.3.1 Survey approach 26 3.3.2 Case study approach 28 4 Findings 29 4.1 Survey 29 4.1.1 Status quo of local government mitigation action 30 4.1.2 Success dimensions of transformative change 32 4.1.3 Stakeholder involvement 35 4.1.4 Urban finance 39 4.1.5 Impact assessment 41 4.1
26、.6 Impact of the COVID-19 pandemic 44 4.1.7 Networks 44 4.1.8 Summary 46 IDOS Studies 107 VI 4.2 Case study Bonn 47 4.2.1 Introduction and context 47 4.2.2 Climate action in Bonn 47 4.2.3 Status of transformation 50 4.2.4 Explaining change 53 4.2.5 Summary 57 4.3 Case study Quito 57 4.3.1 Introducti
27、on and context 57 4.3.2 Climate action in Quito 58 4.3.3 Status of transformation 60 4.3.4 Explaining change 63 4.3.5 Summary 68 4.4 Case study Cape Town 69 4.4.1 Introduction and context 69 4.4.2 Climate action in Cape Town 70 4.4.3 Status of transformation 72 4.4.4 Explaining change 73 4.4.5 Summa
28、ry 78 5 Conclusions 79 5.1 Findings 79 5.2 Key lessons and limitations 82 References 84 Annex 92 IDOS Studies 107 VII Tables Table 1:Percentage of population supporting local government(LG)mitigation activities 34 Table 2:General,emissions-,and climate action-related data on Bonn 50 Table 3:General,
29、emissions-,and climate action-related data on Quito 61 Table 4:General,emissions-,and climate action-related data on Cape Town 71 Figures Figure 1:Dependent variables:success dimensions for transformative change 14 Figure 2:Hypotheses framework 25 Figure 3:Map of case study cities and source countri
30、es of city survey responses 28 Figure 4:Emission reduction activities by sector(ranking)31 Figure 5:Upscaling of mitigation activities beyond the city 34 Figure 6:Responses towards local government mitigation activities 35 Figure 7:Frequency of stakeholder involvement in mitigation activities 36 Fig
31、ure 8:Frequency of involving stakeholders 37 Figure 9:Cross-tabulation:change in speed of planning(2013-2018)and stakeholder involvement 38 Figure 10:Cross-tabulation:change in speed of implementation(2013-2018)and stakeholder involvement 38 Figure 11:Cross-tabulation:city population support and sta
32、keholder involvement 39 Figure 12:Financing sources for mitigation activities(ranking)40 Figure 13:Cross-tabulation:change in GHG emissions(2013-2018)and mobilisation of additional funding 41 Figure 14:Methods of impact assessment 42 Figure 15:Frequency of impact assessment by stakeholder groups 43
33、Figure 16:Cross-tabulation:spatial scope and methods used in impact assessment 43 Figure 17:Impact of COVID-19 pandemic 44 Figure 18:Network benefits 45 Annex tables Table A1:List of all identified city networks and awards and contact strategy for the survey 92 Table A2:International datasets coveri
34、ng aspects of transformative change in cities 94 Table A3:City survey responses by source country 96 Table A4:List of interview partners for case studies 97 Annex figures Figure A1:Change of speed(2013-2018)of approval,planning and implementation of mitigation activities 98 Figure A2:Reasons for pub
35、lic expressions of discontent against mitigation activities 98 Figure A3:Guidance cities rely upon in their mitigation activities 99 Figure A4:Tools used to involve stakeholders 99 Figure A5:Cross-tabulation:Change in GHG emissions(2013-2018)and stakeholder involvement 100 Figure A6:Local government
36、 financing options 100 IDOS Studies 107 VIII Abbreviations ACC African Centre for Cities BISKO Bilanzierungs-Systematik Kommunal(municipal CO2 accounting system)BMU Bundesministerium fr Umwelt,Naturschutz und nukleare Sicherheit(Federal Ministry for the Environment,Nature Conservation and Nuclear Sa
37、fety)BMZ Bundesministerium fr wirtschaftliche Zusammenarbeit und Entwicklung(Federal Ministry for Economic Cooperation and Development)C40 C40 is a global network of mayors of nearly 100 cities that address the climate crisis CDP Carbon Disclosure Project CDU Christlich Demokratische Union Deutschla
38、nds(Christian Democratic Union of Germany)CIVITAS City Vitality and Sustainability network CO2e CO2 equivalents DeLoG Decentralisation&Local Governance DIE German Development Institute/Deutsches Institut fr Entwicklungspolitik(now German Institute of Development and Sustainability,IDOS)DMQ Distrito
39、Metropolitano de Quito EEA European Energy Award EEA European Environment Agency EGCA European Green Capital Award EGLA European Green Leaf Award EUR euro FONAG Fondo de Agua(water fund)FUA functional urban area GCoM Global Covenant of Mayors for Climate&Energy GDP gross domestic product GHG greenho
40、use gas GIZ Deutsche Gesellschaft fr Internationale Zusammenarbeit GPC Global Protocol for Community-Scale Greenhouse Gas Emission Inventories GVA gross value added GWP Global Warming Potential ICAT Initiative for Climate Action Transparency ICLEI Local Governments for Sustainability IDOS German Ins
41、titute of Development and Sustainability IDP Integrated Development Plan(Cape Town)IPP independent power provider IKI Internationale Klimaschutzinitiative(International Climate Initiative)IKI-TUC International Climate Initiative Transformative Urban Coalitions IT.NRW Information und Technik Nordrhei
42、n-Westfalen LAG 21 NRW Landesarbeitsgemeinschaft Agenda 21 Nordrhein-Westfalen IDOS Studies 107 IX LG local government LSK Leitstelle Klimaschutz(Climate Office,Bonn)MIT motorised individual traffic NDC Nationally Determined Contributions(Paris Agreement)NGO non-governmental organisation NRW North R
43、hine-Westphalia OECD Organisation for Economic Co-operation and Development SDG Sustainable Development Goal SEA Sustainable Energy Africa SNG-WOFI World Observatory on Subnational Government Finance and Investment SPD Sozialdemokratische Partei Deutschlands(Social Democratic Party of Germany)SWB St
44、adtwerke Bonn(public utility company)SWB EnW Stadtwerke Bonn Energie und Wasser(public utility company for energy and water)UCT University of Cape Town UNECE United Nations Economic Commission for Europe USD United States dollar WBGU Wissenschaftlicher Beirat der Bundesregierung Globale Umweltvernde
45、rungen(German Advisory Council on Global Change)WRI World Resources Institute IDOS Studies 107 1 Executive summary Cities are important emitters of greenhouse gases(GHGs)and are at the same time vulnerable to the impact of climate change.However,cities are also hubs for innovation and experimentatio
46、n with green solutions and technologies.It is therefore essential to make cities an integral part of reducing global GHG emissions and meeting the goals of the Paris Agreement.If cities are to fulfil their potential in contributing to global climate action,this requires a thorough understanding of t
47、he governance that underlies planning,financing and management of urban areas and climate action.Transforming cities toward zero carbon is a highly complex endeavour.Transformative urban governance hence plays a crucial role in determining the strategic facilitation and successful outcome of the amb
48、ition to achieve carbon neutrality in cities.While cities are places of dynamic change and innovative policy action,conceptual gaps and a critical shortage of empirical data in this particular field remain.With some exceptions,academic research at the interface of sustainable urban transformation an
49、d urban governance has suffered from siloed approaches and fragmentation among different scientific disciplines.Against this background,the present study aims at generating new insights into governance qualities that shape the transformation of cities.The study explores the following principal resea
50、rch question:Which governance approaches facilitate successful transformative change towards zero carbon in cities?While“urban governance”is the planning,financing,and management of urban areas by both government(at different levels)and non-government stakeholders,“transformative urban governance”re