Policy Experiment and Local Governance in China Empirical Evidence from Low Carbon Community Pilots Dongping Wang Environment Policy Research Center Graduate School of Global Politics Free University in Berlin March 16th. 2017 Sixth Annual Workshop on EU-Asia Relations in Global Politics, TAIPEI

Content State of the ART: Policy experiment in China Research Question: Climate policy experiment, different? Case Study: Low Carbon Community Initiative Empirical Analysis: LCC pilots in four Chinese cities Progress and Challenges: Local innovations Discussion: Policy experiment and Chinese Tiao-Kuai administration system

State of the ART: Policy Experiment in China Literature -focus on economic policy experiment -debate on local experiment contribution or central signaling? -focus on government agencies ASK is climate policy experiment different from economic policy experiment? microscope: negotiation and coordination process where are non-gov actors?

Climate Policy Experiment: Research Question How is climate policy implemented in the very bottom communities in China? How do stakeholders interact in low carbon community pilots? How these community pilots have influenced Chinese local governance? Why do some communities work out the Low Carbon Community Pilots more effectively, while others not? these research questions are relevant it opens more political space, increase the coordination of different stakeholders, cultivate rapport among stakeholders can the low experiment transform the development regime?

Case Study: Low Carbon Community Initiative Why? -cross vertical authority of government down to the bottom community -should involve many government departments and requires coordination -personal interest authoritarian environmentalism can be provisionally defined as a public policy model that concentrates authority in a few executive agencies manned by capable and uncorrupt elites seeking to improve environmental outcomes. Public participation is limited to a narrow cadre of scientific and technocratic elites while others are expected to participate only in state-led mobilisation for the purposes of implementation. The policy outputs that result include a rapid and comprehensive response to the issue and usually some limits on individual freedoms. 在环保／能源／低碳问题上有更多的主体能够参与进来，虽然没有进入到决策层面，只是以调研／报道等方式参与，但是仍然在发挥积极作用，至少对于低碳／环保本身是起到积极作用的，因为保持议题的关注度和资源进入 MLG/TIAOKUAI SYSTEM bureaucratic rationality

NDRC Low Carbon Community Initiative Nov 2011, State Council, Working Plans to control GHG emissions during 12 FYP, mentioned low carbon community as instrument to reduce GHG emission March 2014, National Development and Reform Committee (NDRC), Policy notice on low carbon community construction August 2014, NDRC, Evaluation measures on achieving carbon emission reduction per cap targets Feb 2015, NDRC, Guideline to construct low carbon communities pilots that have LCC pilots will add 2 points when evaluated, 2011

Goal: 1000 low carbon communities by the end of 12th FYP (2015) NDRC Top-down or bottom up? Provincial NDRC: working plan and evaluation District Administration: Compile and review the plan Administrative Committee of Newly Developed District Town Administration City NDRC: coordinate 工作方案编制－试点申报和名单确定－实施方案编制和审核－组织实施－试点验收－经验总结与推广 The process: compiling working plan by provincial NDRC-pilot application organized by city NDRC and final pilot list decided by provincial NDRC-implementation plan compilation and reviewed by district/town administration-implementation by community-pilot evaluation by provincial NDRC-concluding the experience and promotion by national NDRC Community level: implementation

Who has what power to do what target setting and guidelines: national NDRC coordination/resources distribution: provincial and city NDRC evaluation: provincial NDRC low carbon community pilot design: city NDRC project initiation and budget approval: city NDRC or district government implementation: community

Definition of LCC in the Initiative Community is a community governed by city neighborhood committee or rural community governed by villagers’ committee, including the community area, citizens and facilities. Low carbon community is the one that has achieved energy saving and emission reduction through constructing a climate friendly natural environment, building, facilities, lifestyle and management model. 国家发展改革委曾于2010年7月19日发布《关于开展低碳省区和低碳城市试点工作的通知》，确定广东、辽宁、湖北、陕西、云南五省和天津、重庆、深圳、厦门、杭州、南昌、贵阳、保定八市为我国第一批国家低碳试点。13 2012年，国家发展改革委确定在北京市、上海市、海南省和石家庄市、秦皇岛市、晋城市、呼伦贝尔市、吉林市、大兴安岭地区、苏州市、淮安市、镇江市、宁波市、温州市、池州市、南平市、景德镇市、赣州市、青岛市、济源市、武汉市、广州市、桂林市、广元市、遵义市、昆明市、延安市、金昌市、乌鲁木齐市开展第二批国家低碳省区和低碳城市试点工作。29 本《通知》中的“社区”是指城市居民委员会辖区和农村村民委员会辖区，包括辖区内的居民小区、社会单位、配套基础设施等。社区作为城乡居民生活的基本单元，是建设资源节约型和环境友好型社会的基础载体。在这个政策中是一个物理空间概念。 低碳社区是指通过构建气候友好的自然环境、房屋建筑、基础设施、生活方式和管理模式，降低能源资源消耗，实现低碳排放的城乡社区。

Index system

Low carbon community pilot training session July 23-24, 2015, Beijing, targeted on North-East, and North China Oct. 19-20, 2015, Hangzhou, target on South and Central China Oct.23-24, 2015, Guiyang, target on North West, and South East China organized by Climate Department, NDRC, and Environmental Defense Fund 国家发展改革委联合美国环保协会开办低碳社区试点培训班 发布日期： 2015-08-29访问次数: 43字号 近日，国家发展改革委联合美国环保协会合作在北京合作开办了低碳社区培训班，期间国家发改委气候司田成川处长详细解读了《低碳社区建设指南》，国内相关领域专家在“低碳社区规划建设与实践”、“低碳社区绿色建筑设计与实践”、“低碳社区建设国内外案例”等方面进行了详细介绍。 2015年10月19日-20日以及23日-24日，为期两天的“低碳社区试点工作培训班”分别在杭州和贵阳举行 http://www.wwfchina.org/site/citymap/?m=Work&a=newsCont&id=12

Administrative Regions that have started to implement the LCCI until Dec. 2016 Provinces Anhui Fujian Gansu Guangdong Guangxi Guizhou Hainan Hebei Heilongjiang Hubei Hunan Jiangsu Jiangxi Liaoning Qinghai Shandong Shanxi (山西) Shanxi (陕西) Sichuan Yunnan Zhejiang Municipality directly under the Central Government Beijing Chongqing Shanghai Tianjin Autonomous Region (excluded): Neimenggu Xinjiang Ningxia Guangxi Xizang SAR (excluded): Hongkong Macao 23个省，4个直辖市，5个少数民族自治区，2个特别行政区 NDRC policy document, media reports to check if the provinces have started low carbon community pilots media reports, research reports, government doc, interviews with researchers, so as to find the representative cases how do you select the cases, the criteria: representative, economic development, civil society participation Guangdong, Beijing, Chongqing Shanghai, Wuxi, Hangzhou Chengdu, Lanzhou The bold are working on LCC pilots. Sort out through media reports, research reports, government documents, and interviews with experts.

Low carbon initiatives in community level before City Project title Initiated year Initiated by Activities Shanghai Low carbon community 2008 WWF Energy efficiency of buildings Baoding Low carbon high tech zone Renewable energy (solar) Weifang Low carbon community construction since 2010 Bureau of Housing and Urban Planning, Weifang Energy efficiency measures Guangzhou Low carbon community pilot 2012 International Fund for China's Environment Comprehensive plan Hangzhou 2011-2013 Low carbon office, Xiacheng district government comprehensive planning Nanjing Family carbon emission survey CEEC&EDF Emission survey of 1000 families Survey in 15 cities Family lifestyle and its influence on GHG emissions survey Green Beagle What factors influence family choice of low carbon lifestyle Survey in 2 cities Community low carbon awareness in Beijing and Shanghai 2014&2015 Green Claw Low carbon awareness of citizens NGO and its innovative capacity 保利温泉新城社区， 贵阳市碧水人家社区 Source: Authors’ collection

Research methods & data collection literature analysis participatory observation in stakeholder meetings semi-structured interviews Stakeholders Neighborhood committee NGO Academia Government official Semi-Gov. research org. SOE Private companies Community stakeholder meeting Expert focus group meeting BJ 3/5  11 10 1 4   WX 5/6  1 HZ 3/3 CQ 0/4 CD  3 2+2 ZJ 2

Empirical Analysis: LCC Pilots in Four Chinese Cities City B C H W Number of community pilots 5 4 3 6 Responsible Gov. department NDRC Other Gov. department Commission on City Management Environment and Health Bureau No Coordinating agency C Low Carbon Development association PeaceCarbon consultancy Ltd. Other local stakeholders Vantone foundation; Property management company University experts, SOE Hu’ge recycling company Other actors Environment Defense Fund (INGO) provides training for community pilots Progress? / 受到当地政府的主导部门的工作重点的影响 受到当地政府的主导部门的能力的影响，是否能够争取到项目（政府专项／基金会），资金／技术／咨询服务 受到多部门协调是否顺畅的影响 受到当地公共议题的影响（会影响政府的工作重点） 总之是非常受到地方政府能力／意愿的影响的；而且也很受到条条关系的影响；每个社区需要从条条中获取资金来进行建设，但是最终发改委具有立项权

The Challenges The structural challenge of Tiao-Kuai system and coordination of crosscutting authority relationships Mismatch of the responsibility and capacity of local communities Where does the funding come from? Evaluate or not, and how? Possible funding: Government special funding, real estate or property management companies, NGOs or foundations; Technique and social support: NGOs, foundations, and GONGOS

Local innovations on coordinating Two examples: low carbon association in CQ consultancy company in WX BUT: network is somehow project based Icing on the cake? the NDRC-led LCC projects place priority on policy learning and test different models; how does it transfer the regime?

Discussion: Policy experiment and Tiao-Kuai system “Tiao-Kuai system” and priorities and resources of vertical authority are essential for pilot progress. Need to build experience sharing platform of low carbon community cases to encourage information transparency and best practice sharing.

Q&A Thank you! dongping.wang@fu-berlin.de