Professional Documents
Culture Documents
Introduction
The increasing visibility and inºuence of non-nation-state actors (NNSAs)1 in
global climate politics continues to pose important theoretical challenges for
how we conceptualize and understand the nature of global governance. There
has been an explosion of parallel initiatives by NNSAs aimed at reducing emis-
sions of greenhouse gases.2 These activities, which are broadening climate gov-
ernance “beyond” the realms of the international climate regime, have crucial
implications for climate governance.3 First, such initiatives may have a material
impact on the performance of the regime as they offer means through which
nation-states might achieve international goals. Second, they may achieve
emission reductions independently of the performance of the evolving climate
regime based on their own principles, rules, norms and procedures. Third,
through seeking to govern climate change in their own right, such initiatives
and practices signiªcantly affect how we conceptualize and understand the na-
ture of global climate governance.
It is this last issue to which we turn in this paper. We suggest that whilst re-
* Earlier drafts of this article were presented at the 2007 Amsterdam Conference on the Human
Dimensions of Global Environmental Change and at the annual meeting of the International
Studies Association, in San Francisco, in 2008. We thank the participants in these conferences
and Diana Liverman, Alex Haxeltine, Heather Lovell, Karin Bäckstrand, Frank Biermann, Peter
Newell, Fariborz Zelli, Andrew Jordan, and the editors and anonymous reviewers for Global En-
vironmental Politics for insightful comments on earlier drafts of this manuscript.
1. By NNSAs we mean all actors operating at local, regional, national and international levels that
are not nation-states. They include, for example, cities, corporations and offset organizations.
2. See Auer 2000; Betsill and Bulkeley 2004, 2006; Betsill and Corell 2001; Gulbrandsen and
Andresen 2004; and Newell 2000.
3. By the international climate regime, hereafter referred to as “the regime,” we mean the explicit
and implicit principles, rules, norms and procedures enshrined in the United Nations Frame-
work Convention on Climate Change (UNFCCC), its Kyoto Protocol and related legal docu-
ments. Here, governance “beyond” the regime does not necessarily mean governance without
the regime. Rather, in focusing on governance “beyond” the regime, we are seeking to under-
stand how a range of actors other than national governments may be conducting climate gover-
nance either within the regime or in parallel initiatives which are based on other principles,
rules, norms and procedures, such as voluntary carbon offsetting.
58
Chukwumerije Okereke, Harriet Bulkeley, and Heike Schroeder • 59
gime approaches and the global governance literature provide interesting in-
sights, a number of critical aspects of the governing of climate change beyond
the regime remain “out of the reach” and in some cases clearly incompatible
with the basic ontological assumptions of these existing approaches. We suggest
that there are four areas in which the need to develop a more robust conceptual
understanding of the global governance of climate change beyond the regime is
particularly pressing. These four areas are (1) the nature of power in global gov-
ernance, (2) the relationship between public and private authority, (3) the dy-
namics between structure and agency; and (4) the rationalities and actual pro-
cesses of governance. Here, we highlight how insights from governmentality and
neo-Gramscian theories can enrich and advance our understanding in these
critical areas for theorizing global environmental governance. As efforts to neg-
otiate a post-2012 climate agreement get under way, there is urgent need to
address the theoretical challenges associated with a changing global order. In
conclusion, we consider the implications of our analysis for such a research
agenda.
NNSAs can be regarded as “governors,” and crucially the extent to which they
have “critical independence”17 from the state, is rarely examined.18 Given this
oversight, it follows that the validity of the claim in the dominant narrative that
states are losing power to NNSAs remains unclear. Second, and related, Sending
and Neumann suggest that in deªning authority as “the capacity to generate
compliance,”19 studies in global governance “inadvertently perpetuate the very
state-centric framework that they seek to transcend.”20 Without an alternative
account of power and authority, conceptualizing governance “beyond” the re-
gime becomes tautologically tied to the structures and mechanisms of inter-
state governance. Finally, as Sending and Neumann21 also point out, a focus on
the actors involved with global governance means that there is a virtual lack of
attention to the processes of governing. Therefore, whilst scholarship on gover-
nance is on the rise, the theorization of governance beyond the regime is essen-
tially stuck in a conceptual impasse.
22. Of course classical readings in neorealism are more or less power theories with the central con-
tention being that “the distribution of power resources among actors strongly affects both the
prospects for effective regimes to emerge and persist in an issue-area” (Hasenclever, Mayer, and
Rittberger 1997, 3–4). However, on these accounts, power was essentially equated with military
might. This was later expanded in response to critiques to include economic power. A strand of
the functionalist critique of neorealism continues to allude to the inadequacy of a bi-modal ac-
count of power.
23. Hasenclever, Mayer, and Rittberger 1997, 4.
24. Ruggie 1998; Risse 2002; and Wendt 1999.
25. See Auer 2000; and Betsill and Bulkeley 2004.
26. Betsill and Bulkeley 2006, 146.
27. Lipschutz 2005, 751.
28. Jagers and Stripple 2003; and Risse 2002.
29. Lipschutz 2005, 751.
Chukwumerije Okereke, Harriet Bulkeley, and Heike Schroeder • 63
the use of sanctions and the rule of law as means of enforcement. In contrast,
government speaks to the totality of “the speciªc mechanisms, techniques, and
procedures which political authorities deploy to realize and enact their pro-
grammes.”30 Government is thus “an indirect form of rule that acts explicitly on
populations rather than territory.”31 In Foucault’s words, it is “The ensemble
formed by the institutions, procedures, analyses and reºections, the calcula-
tions, and tactics, that allow the exercise of this speciªc, albeit complex, form of
power.”32 Likewise, the neo-Gramscian approach draws attention to how knowl-
edge and power are co-constituted in order to leverage speciªc actors, policies
and practices and ultimately privilege a particular rationality in the governance
of social order.
This conception seems vital in any serious attempt to understand not just
the ways in which state actors seek to inºuence policies through the more tradi-
tional means of power, but also the manifold ways in which the sheer complex-
ity of the climate system and the politics surrounding its management serves to
open the space for other autonomous actors as well as different ideas and ratio-
nalities to compete for leverage in the process of climate governance at both do-
mestic and international levels. For example, the general preference for market
mechanisms such as emissions trading and the Clean Development Mechanism
(CDM) (as opposed to traditional command and control management meth-
ods) as the means of tackling climate change could very well be regarded as evi-
dence of the dominance of a particular rationality of government and social or-
der.33 This is not to say, however, that other “mentalities” of climate change rule
are not also signiªcant. The proliferation of different governing arrangements
and initiatives for the urban governance of climate change lies largely outside of
an approach based on market mechanisms. Further, within the workings of he-
gemony as a form of power, neo-Gramscian thought suggests that there may be
multiple ways through which various actors may be deploying their respective
strategic capacities in order to inºuence climate policy that might lie outside of
traditional distributive accounts of power. In this context, there is a need to ex-
plore the extent to which the views from some quarters may be privileged sim-
ply because such actors have either acquired “expert status” or recognition for
being proactive about climate change action. Conversely, there is a need also to
be sensitive to the possibility that some critical views may be dismissed simply
because the proponents do not have reputation for being in favor of strong ac-
tion on climate change.
Moreover, even within the broad policy of emissions trading as agreed by
governments, there are still countless ways through which various agents—state
and nonstate alike—could function to inºuence the more substantive policies,
shape the direction of the policy and ultimately determine not just the effective-
ness of the policy but also the winners and losers in the game. This can be seen,
for example, in the various debates around the issue of technologies, processes
and instruments for emission measurements, initial allocation of quotas, car-
bon accounting, the scope of emissions to be covered, the appropriate metrics
to be used, what sectors and companies should be included in trading, whether
and at what time to retire emission credits, etc. Indeed, for Foucauldians, in or-
der to govern from a distance, governmental rationalities and dominant dis-
courses need to be made “practical” in the form of governmental technologies.
It is, in particular, this “technical aspect of government . . . [which] has often
been neglected in . . . traditional analyses of political power.”34
Second, we consider the notion of power as relational. Rather than seeing
power as residing permanently with, or as a unique characteristic of, speciªed
entities, Gramsci conceptualizes power in terms of the “conªguration of forces
relative to each other and to adversaries.”35 In this view, power derives from so-
cial identities as much as it arises from structural forces.36 Thus, power is
broadly “implicated in the constitutions of the conditions of interaction”
among the different forces within a given social order.37 For Foucauldians, gov-
ernment as a form of power also involves the organization of society into forms
and functions that enhance the welfare of the population and individual liberty
without eroding the ability of the state to exercise socio-political control.
In other words, the political freedom and agency of the citizenry is “consid-
ered both as an end and as a means of governing.”38 However, while in a neo-
Gramscian analysis power is exercised through hegemony (indicating a con-
scious effort to ensure control by the ruling elite), for Foucauldians it involves
the use of tactics and techniques consistent with the wider changes in political
and socio-economic realms to steer conduct.39 In other words, the neo-
Gramscian account advances a structural and socially constructed account of
power whilst the governmentality perspective inclines to a dispersed, or what
Barnett and Duval40 call “productive” form of power. The account is dispersed in
the sense that Foucauldians are less impressed by “macro” accounts of power
but rather emphasize that power is produced “through a series of relations that
take place at the micro-level during social interactions.”41 Here, it is maintained
that even when power might be conceived as ºowing from the center, its exact
form remains ethnographic and can thus only be described in terms of the pre-
vailing local social context and relations.42 Despite differences, however, both
accounts direct our attention away from conventional distributive matters to a
consideration of how power is constituted in and through social relations.
47. See Bäckstrand and Lövbrand 2006; Benner et al. 2004; Betsill and Bulkeley 2004; 2006;
Bulkeley and Betsill 2003; Pattberg 2005; and Yanacopulos 2005.
48. See Keohane and Nye 2001; and Vogler 2003.
49. Pattberg 2005.
50. Betsill and Bulkeley 2006.
51. Stokke 1997, 29.
Chukwumerije Okereke, Harriet Bulkeley, and Heike Schroeder • 67
tutes and subjectiªes it, yet which the civil society presumes to contest, regulate
and modify through its projects.”62
The important point is that both approaches help us to see that the state is
intricately interwoven with society. This issue of the state, and how it accom-
plishes governing, is critically tied to the boundary between public and private
authority. Once the “black box” is removed from around the state, then what
constitutes the “nongovernmental” or “private” sphere becomes more problem-
atic. In other words, where the “state” as a formal institution may be bounded,
its power and inºuence, and the ways in which it accomplishes governance
tasks, reach beyond the public sphere into the realms of private authority and
civil society. This could in turn lead to more serious questions about the ade-
quacy or otherwise of current institutions for climate governance which limits
emission reduction quotas to national governments. Already there has been a
series of proposals which suggest that corporations or industrial sectors should
be allocated targets in a post-2012 climate regime.63 On the other hand, a critical
implication of this characterization is that the rise of parallel initiatives operat-
ing beyond the regime is not necessarily a sign of a loss of power by states as
most global governance approaches tend to suggest, but rather that they indi-
cate a different means of getting governing done—through private authority
and different parts of the state. As Sending and Neumann argue, “the ascen-
dance of nonstate actors in shaping and carrying out global governance func-
tions is not an instance of transfer of power from the state to nonstate actors, or
a matter of the changing sources of, or institutional locus for authority. Rather it
is an expression of a change in governmentality”64 where civil society is ren-
dered both an object and the subject of governing. In other words, governing be-
yond the state does not necessarily entail governing without the state. What is,
therefore, needed now in order to more thoroughly understand the politics of
climate change is a series of theoretically sensitive, empirical investigations that
can articulate implications of current and possibly future initiatives for the au-
thority of the state and the series of actors on which the state now seems to rely
in order to dispense its traditional functions of governance.
the world in the form of nation-states. Other levels could include the interna-
tional regime level, including institutions like the UNFCCC, the Kyoto Protocol,
Global Environment Fund (GEF), and the International Monetary Fund (IMF)
as well as the broader workings of the international economic institutions. We
suggest that the ways in which public and private authority are conªgured, and
the relations between them, are shaped by structural constraints at multiple lev-
els and that these structural constraints work to privilege some actors, ideas and
policies over and above contending alternatives in relation to national and in-
ternational climate governance.
Existing theories of regimes do not generally give attention to the role of
structure in international cooperation for the environment. This has to do in
part with the focus on state actors and in particular the assumption of theoreti-
cal equality among states.65 The pervasive assumption, mostly evident in the
neoliberal institutionalist variant of regime analysis, is that all actors have a rela-
tively equal ability to inºuence and mutually beneªt from the process of inter-
national cooperation.66 Similarly, except for some critical versions, existing the-
ories of global governance and constructivism take the structure as given and
merely attempt to map the role of various actors and intersubjective ideas re-
spectively within the existing institutional arrangements. Here again, these ap-
proaches could be supplemented by drawing upon various aspects of the neo-
Gramscian and governmentality perspectives.
Gramscian thought contributes to our understanding by emphasizing that
although structures do not deªne outcomes, they do deªne the potential range
of alternative strategies from which different agents can choose. According to
Giddens, structure does not exist “independent of the knowledge that agents
have about what they do in their day-to-day activity.”67 Structural embedded-
ness varies; the deeper the structure, the more difªcult it is not only to trace the
human interactions that resulted in these structures but to also bring about
change.68 Bieler and Morton further suggest that such “macro level” structures
can still be changed but “only if it is realized that a particular structure is the re-
sult of human interaction in the past and not an objective ‘given.’”69 The per-
spective indicates as well that structures may also be transformed by agency over
time and thus avoids the element of determinism usually associated with classi-
cal Marxian philosophy. Agency is thus located in structure, but not determined
by it. In other words, social interaction is structurally conditioned but not struc-
turally determined.70 For example, the notion that climate change is a foreign
policy issue is being challenged by the breadth and depth of NNSA activities
vices will not remain priceless in the future. Attention to the structure-agency
dynamics is also crucial in order to determine their governance capacity which
in turn is vital in theorizing climate change governance beyond the regime. At
the same time, it should be recognized, drawing on the governmentality per-
spective, that through the very act of governing, the reach and effect of domi-
nant narratives and structures can be questioned and reworked.
Governance as a Process
Scholars interested in issues of global environmental governance have shown a
peculiar lack of curiosity for exploring the actual dynamics of governance—the
hows of governing. For the most part, regime approaches are concerned with the
question of identifying which factors are most important in determining the in-
cidence, stability and effectiveness of regimes. Indeed, the classiªcation of the
three basic variants of the regime approach (neorealism, functionalism and
constructivism) is principally based on how this question is answered. Simi-
larly, the ultimate focus of global governance approaches has been on tracking
the types and identities of actors as well as the degree to which power ºows
from one actor to another and the consequent implications for issues such as le-
gitimacy and accountability. The result of focusing on the process of regime de-
velopment, on the one hand, and tracking the process of institutionalization of
political authority on the other hand, is that thinking on the actual modalities
of governance has been largely ignored.
Governmentality is a perspective which focuses explicitly on such pro-
cesses. Indeed the notion of governmentality was coined in order to capture the
“socio-political functions and processes of governance.”74 Accordingly, a global
governmentality perspective, unlike other accounts of global governance, allows
the analyst to engage with how governing is accomplished in practical and tech-
nical terms. In focusing on these processes, governmentality approaches are
concerned with two related phenomena—the rationalities and the technologies
of government. Governmental rationalities “deªne both the objects (what
should be governed) and nature (how they should be governed) of government,
in effect rendering reality governable through the collecting and framing of
knowledge.”75 Governmental technologies “both make rationalities ‘visible’ and
permit their extension through time and space.”76 Two forms of governmental
technology are seen to be critical to the operation of “advanced liberal govern-
ment.”77 The ªrst are the “technologies of performance,” which seek to deter-
mine what counts as relevant knowledge and provokes action on the ground,
for example through targets, monitoring, audit processes and so on. The second
are “technologies of agency,” which seek to determine the nature of “the sub-
ject” and its participation in processes of governing, and include different forms
of participation and partnership as well as infrastructures and materials through
which action is created and sustained. For example, Oels argues that “an ad-
vanced liberal government of climate change mobilizes actors in the business
sector, the non-proªt sector and governments at all levels to engage in ‘partner-
ships’ to contribute in their own ways to mitigating climate change, thereby
turning climate change into a matter of concern and responsibility for all these
actors.”78 In this manner, such technologies serve to propagate and disseminate
governmental rationalities. However, a key feature of the governmentality litera-
ture is the emphasis that governmental technologies do not merely reºect any
given rationality, but are central to actively deªning “the domains which are to
be governed.”79 This means that “forms of political authority and subjectivity
are not determined outside of the particular rationalities and technologies of
government, but are actively created and mobilized through this process.”80 The
rationalities and technologies of government which come to shape the roles of
actors and policy instruments can be illustrated by considering the processes in-
volved in constructing and regulating what counts as a carbon offset. In turn,
these processes rework what the effective and legitimate governance of climate
change might entail.
Conclusion
In this article, we have suggested that current approaches to the theorization of
the governing of global environmental problems have reached a conceptual im-
passe. We have argued that in order to address this impasse, four conceptual is-
sues merit particular attention. We identiªed these as: the nature of power and
authority in the global arena; the nature of private and public authority; the dy-
namics between structure and agency; and the actual practice and processes of
governance. We have suggested that governmentality and neo-Gramscian per-
spectives provide interesting insights into these four domains which can enable
a more critical engagement with the nature of governance beyond the interna-
tional regime.
A critical starting point is that these approaches generate an understanding
of power that is radically different from those implied in the prevailing accounts
of regime analysis and global governance. Rather than seeing power in distribu-
tive, zero-sum terms, they demonstrate that power is multiple and relational.
Together they show that power is constituted through social relations as well as
a function of the speciªc alignment of social structural forces at any given time.
Moreover, they indicate that there is a distinct difference between sovereignty as
a form of power and governmentality as a form of power which speaks to the to-
tours of existing structures. This invites a focus on the actual process and dy-
namics of governance in order to allow scholars to examine how various agen-
cies are using different practical techniques to leverage their positions in the
multiple arenas/centers of global climate governance. As we have argued, the
question of how climate change is governed is not merely an interesting empiri-
cal matter, but has signiªcant consequences for the ways in which we conceptu-
alize structure and agency, the state and power. Together, we suggest, the critical
scrutiny of these concepts which we have advanced in this article has the poten-
tial to enable a more thorough understanding of the agents, processes and prac-
tices of governing of climate change, and of its potential to make a difference to
the global climate.
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