Replication material for paper "Bernauer, Böhmelt (2013): National Climate Policies in International Comparison. Environmental Science & Policy. DOI: 10.1016/j.envsci.2012.09.007"

National Climate Policies in International Comparison: The Climate Change Cooperation Index – Codebook Thomas Bernauer and Tobias Böhmelt ETH Zurich Center for Comparative and International Studies (CIS), and Institute for Environmental Decisions (IED) Haldeneggsteig 4 CH–8092 Zurich, Switzerland [email protected]; tobias.boehme[email protected]ss.ethz.ch www.ib.ethz.ch 1. Overview The project concentrates on several covariates of countries’ cooperative behavior within the UNFCCC. More specifically, the following data collection will focus on countries’ ratification behavior in terms of the UNFCCC framework treaty and the Kyoto Protocol, countries’ reporting obligations and their financial contributions, as well as emission patterns of UNFCCC states. 2. Data Documents and Initial Steps All necessary information for compiling the data are available via official UNFCCC websites or other sources indicated below. The research assistant’s coding sheet (either Excel or Stata) follows a monadic panel setup, i.e., the unit of observation is the state-year. All states of the international system will be listed in the data, while the temporal span ranges from 1995 to 2010. 3. Data Structure and Variable List The following set of variables should be coded in an Excel or Stata spread sheet (if any information is not available, please set the corresponding variable cell as missing, i.e., leave it blank): • year: variable that pertains to the country-year under study, i.e., if you code information on the US, France, or Switzerland (or any other country) in 1995, then this variable gets the value of 1995. • ccode: numerical country identifier used by the Correlates of War Data. Please see the specific country codes below. For example, if you code information on the US– regardless of the year under study – then this variable gets the value of 2. Note that some countries such as Niue only have limited sovereignty rights and are associated with some other “bigger” state (in this case: New Zealand). In this context, use the country ccode of the bigger country, although the next variable (cname) should refer to the smaller state. 2 • cname: string variable on the country delegation you code, e.g., USA or Niue. • annex: dummy variable indicating if a country is an Annex I (1) or non-Annex I country (0). • unfccc_rat: dummy variable indicating if a country has ratified the UNFCCC framework convention. The information is available at the following website: http://unfccc.int/essential_background/convention/status_of_ratification/items/2631.ph p. Essentially, the ratification was open on July 1, 1992, but note our different time frame. Hence, if a country has ratified in 1995 or before, the variable gets a value of 1 in the year 1995 and all subsequent years. If a country has not ratified in 1995, the variable gets a value of 0 in 1995 and for all subsequent years until the UNFCCC has been ratified. For example, Angola (ANG; ccode=540) only ratified in 2000. Thus, ANG receives a value of 0 for the years 1995, 1996, 1997, 1998, and 1999. ANG, on the other hand, receives a value of 1 for the years 2000, 2001, 2002, 2003, and 2004. Note a different treatment for states that gained independence after 1995: those countries are assigned a value of 1 if ratification occurs within one year of independence; otherwise these states are treated the same way as all the other countries. • unfccc_dur: This variable is similar to the previous item, albeit different since it measures promptness of countries’ ratification behavior via a count item. Put differently, this variable measures how fast countries ratified the UNFCCC protocol, where countries that ratified the UNFCCC protocol after 1995 receive higher points. All countries that ratified the UNFCCC protocol in or before 1995, receive a value of 1 on this item. If a country ratified in 1996, i.e., one year after the start of our period under study, then this item receives a value of 2. If a country did not ratify until 1997, this state receives a value of 3, etc. Coming back to the ANG example, Angola ratified in 2000 and, hence, would receive a value of 6 on UNFCCC_dur. The treatment of newly independent states is similar to the previous variable. • kyoto_rat: dummy variable indicating if a country has ratified the Kyoto Protocol or not. The information is available at the following United Nations website: http://unfccc.int/kyoto_protocol/status_of_ratification/items/2613.php. Essentially, the ratification was open on April 1, 1998. Hence, if a country has ratified in 1998 (or before), the variable gets a value of 1 in the year 1998 and all subsequent years. If a country has not ratified in 1998, the variable gets a value of 0 in 1998 and for all subsequent years until the Kyoto Protocol has been ratified. For example, Angola (ANG; ccode=540) only ratified in 2007. Thus, ANG receives a value of 0 for the all years under study. Note a different treatment for states that gained independence after 1998: those countries are assigned a value of 1 if ratification occurs within one year of independence; otherwise these states are treated the same way as all the other countries. • kyoto_dur: This variable is similar to the previous item, albeit different since it measures promptness of countries’ ratification behavior via a count item. Put differently, this variable measures how fast countries ratified the Kyoto Protocol, where countries that ratified the Kyoto protocol after 1998 receive higher points. All countries that ratified the Kyoto Protocol in or before 1998, receive a value of 1 on this item. If a country ratified in 1999, i.e., one year after the start of our period under study, then this item receives a value of 2. If a country did not ratify until 2000, this 3 state receives a value of 3, etc. Coming back to the ANG example, Angola ratified in 2007 and, hence, would receive a value of 7 on Kyoto_dur. The treatment of newly independent states is similar to the previous variable. • report_dummy: each country has to report regularly to the UNFCCC via the National Communication (NC). The submission deadlines differ for Annex I (AI) and NonAnnex I countries. The necessary information for coding this variable is available at the following two websites: http://unfccc.int/national_reports/items/1408.php and http://unfccc.int/national_reports/annex_i_natcom/submitted_natcom/items/1395.php. By the end of 2010, AI countries had to submit five reports. Non-AI countries had to submit only their first NC. More specifically on this variable, it is coded dichotomously: a country receives a value of 1 for this item if an NC has been submitted by the deadline and for all subsequent years until the next NC is due. After that, the procedure starts again. If a country has not submitted an NC by the deadline, it receives a value of 0 until the NC has been submitted. The coding starts again when a new NC is due. • report1_dead: This variable is similar to the previous item, albeit different since it indicates the year of the deadline for the 1st report. Assume the first report was due in 1994, then this item gets a value of 1994 for all observations in the data. • report2_dead: This variable is similar to the previous item, albeit different since it indicates the year of the deadline for the 2nd report. Assume the second report was due in 1999, then this item gets a value of 1999 for all observations in the data. • report3_dead: This variable is similar to the previous item, albeit different since it indicates the year of the deadline for the 3rd report. Assume the third report was due in 2001, then this item gets a value of 1999 for all observations in the data. • report4_dead: This variable is similar to the previous item, albeit different since it indicates the year of the deadline for the 3rd report. Assume the third report was due in 2001, then this item gets a value of 1999 for all observations in the data. • report5_dead: This variable is similar to the previous item, albeit different since it indicates the year of the deadline for the 3rd report. Assume the third report was due in 2001, then this item gets a value of 1999 for all observations in the data. • report1_dur: This variable is similar to the previous item, albeit different since it indicates the year of the submission for the 1st report. Assume the first report was submitted in 1995 by the US, then this item gets a value of 1995 for all US observations in the data. • report2_dur: This variable is similar to the previous item, albeit different since it indicates the year of the submission for the 2nd report. Assume the second report was submitted in 1999 by the US, then this item gets a value of 1999 for all US observations in the data. • report3_dur: This variable is similar to the previous item, albeit different since it indicates the year of the submission for the 3rd report. Assume the third report was submitted in 2001 by the US, then this item gets a value of 2001 for all US observations in the data. 4 • report4_dur: This variable is similar to the previous item, albeit different since it indicates the year of the submission for the 3rd report. Assume the third report was submitted in 2001 by the US, then this item gets a value of 2001 for all US observations in the data. • report5_dur: This variable is similar to the previous item, albeit different since it indicates the year of the submission for the 3rd report. Assume the third report was submitted in 2001 by the US, then this item gets a value of 2001 for all US observations in the data. • finance_dummy: According to this Indicator, an annual financial contribution is made ‘if a party has paid all owed amounts up to the present year and at least 50% of the amount of the present year’. It is assessed by means of the ‘‘Status of Contributions’’ reports that are published once to three times a year by the UNFCCC secretariat and indicate if a country has fulfilled the necessary requirements a year.1 Again, this variable is a dummy item, where 1 indicates if a country has contributed sufficiently to the budget of the UNFCCC in a given year. This item receives a value of 0 if no or no sufficient contributions have been made in a given year. For coding this item, please use a year’s final report only. • co2_item: This variable measures a country’s CO2 emissions per capita (i.e., actual CO2 per capita level) in a given year. Data can be retrieved from http://data.worldbank.org/indicator/EN.ATM.CO2E.PC/countries/latest?display=defau lt. • co2_change: This variable measures the annual change in CO2 emission trends for a specific country. For example, Afghanistan (AFG, ccode=700) has CO2 per capita emissions in 1995 of 0.061 and in 1994 0.0649. Hence, AFG receives a value of - 0.0039 in 1995. 1 http://unfccc.int/documentation/documents/advanced_search/items/3594.php?such=j&keywords=%22budget+contributions%22#beg. 5 List of Correlates of War Country Codes 2 USA United States of America 01:01:1816 01:11:2008 20 CAN Canada 01:07:1867 01:11:2008 31 BHM Bahamas 10:07:1973 01:11:2008 40 CUB Cuba 20:05:1902 01:11:2008 41 HAI Haiti 01:01:1816 04:07:1915 41 HAI Haiti 15:08:1934 01:11:2008 42 DOM Dominican Republic 27:02:1844 01:11:2008 51 JAM Jamaica 06:08:1962 01:11:2008 52 TRI Trinidad and Tobago 31:08:1962 01:11:2008 53 BAR Barbados 30:11:1966 01:11:2008 70 MEX Mexico 01:07:1821 01:11:2008 80 BLZ Belize 21:09:1981 01:11:2008 89 UPC United Provinces of Central America 01:07:1823 31:12:1839 90 GUA Guatemala 01:01:1840 01:11:2008 91 HON Honduras 01:01:1840 01:11:2008 92 SAL El Salvador 01:01:1840 01:11:2008 93 NIC Nicaragua 01:01:1840 01:11:2008 94 COS Costa Rica 01:01:1840 01:11:2008 95 PAN Panama 03:11:1903 01:11:2008 99 GCL Great Colombia 30:08:1821 22:09:1830 100 COL Colombia 23:09:1830 01:11:2008 101 VEN Venezuela 01:01:1829 01:11:2008 110 GUY Guyana 26:05:1966 01:11:2008 115 SUR Surinam 25:11:1975 01:11:2008 130 ECU Ecuador 13:05:1830 01:11:2008 135 PER Peru 09:12:1824 01:11:2008 140 BRA Brazil 07:09:1822 01:11:2008 145 BOL Bolivia 06:08:1825 01:11:2008 150 PAR Paraguay 01:01:1816 01:11:2008 155 CHL Chile 01:04:1818 01:11:2008 160 ARG Argentina 09:07:1816 01:11:2008 165 URU Uruguay 26:05:1830 01:11:2008 200 UKG United Kingdom 01:01:1816 01:11:2008 205 IRE Ireland 06:12:1921 01:11:2008 210 NTH Netherlands 01:01:1816 01:11:2008 211 BEL Belgium 04:10:1830 01:11:2008 212 LUX Luxembourg 11:05:1867 01:11:2008 220 FRN France 01:01:1816 01:11:2008 225 SWZ Switzerland 01:01:1816 01:11:2008 230 SPN Spain 01:01:1816 01:11:2008 235 POR Portugal 01:01:1816 01:11:2008 240 HAN Hanover 01:01:1816 17:01:1871 245 BAV Bavaria 01:01:1816 17:01:1871 255 GMY Germany (Prussia) 01:01:1816 07:05:1945 260 GFR German Federal Republic 21:09:1949 01:11:2008 265 GDR German Democratic Republic 05:10:1949 02:10:1990 267 BAD Baden 01:01:1816 17:01:1871 269 SAX Saxony 01:01:1816 17:01:1871 271 WRT Württemberg 01:01:1816 17:01:1871 6 273 HSE Hesse-Kassel (Electoral) 01:01:1816 17:01:1871 275 HSD Hesse-Darmstadt (Ducal) 01:01:1816 17:01:1871 280 MEC Mecklenburg-Schwerin 01:01:1816 17:01:1871 290 POL Poland 11:11:1918 01:11:2008 300 AUH Austria-Hungary 01:01:1816 13:11:1918 305 AUS Austria 14:11:1918 01:11:2008 310 HUN Hungary 03:11:1918 01:11:2008 315 CZE Czechoslovakia 01:01:1919 31:12:1992 316 CZR Czech Republic 01:01:1993 01:11:2008 317 SLO Slovakia 01:01:1993 01:11:2008 325 ITA Italy/Sardinia 01:01:1816 01:11:2008 327 PAP Papal States 01:01:1816 22:09:1870 329 SIC Two Sicilies 01:01:1816 16:03:1861 332 MOD Modena 01:01:1816 16:03:1861 335 PMA Parma 01:01:1816 16:03:1861 337 TUS Tuscany 01:01:1816 16:03:1861 338 MLT Malta 21:09:1964 01:11:2008 339 ALB Albania 01:01:1913 01:11:2008 341 MNG Montenegro 01:01:1868 01:07:1915 341 MNG Montenegro 03:06:2006 01:11:2008 343 MAC Macedonia (Former Yugoslav Republic of) 20:11:1991 01:11:2008 344 CRO Croatia 25:06:1991 01:11:2008 345 SER Serbia 13:07:1878 01:10:1915 345 SER Serbia (Yugoslavia) 01:12:1918 01:11:2008 346 BOS Bosnia-Herzegovina 03:03:1992 01:11:2008 347 KOS Kosovo 17:02:2008 01:11:2008 349 SLV Slovenia 25:06:1991 01:11:2008 350 GRC Greece 17:05:1827 01:11:2008 352 CYP Cyprus 16:08:1960 01:11:2008 355 BUL Bulgaria 03:03:1878 01:11:2008 359 MLD Moldova 27:08:1991 01:11:2008 360 RUM Rumania 13:07:1878 01:11:2008 365 RUS Russia (Soviet Union) 01:01:1816 01:11:2008 366 EST Estonia 11:11:1918 01:06:1940 366 EST Estonia 06:09:1991 01:11:2008 367 LAT Latvia 01:11:1918 01:06:1940 367 LAT Latvia 06:09:1991 01:11:2008 368 LIT Lithuania 16:02:1918 01:06:1940 368 LIT Lithuania 06:09:1991 01:11:2008 369 UKR Ukraine 01:12:1991 01:11:2008 370 BLR Belarus (Byelorussia) 25:08:1991 01:11:2008 371 ARM Armenia 23:09:1991 01:11:2008 372 GRG Georgia 06:09:1991 01:11:2008 373 AZE Azerbaijan 30:08:1991 01:11:2008 375 FIN Finland 06:12:1917 01:11:2008 380 SWD Sweden 01:01:1816 01:11:2008 385 NOR Norway 26:08:1905 01:11:2008 390 DEN Denmark 01:01:1816 01:11:2008 395 ICE Iceland 17:06:1944 01:11:2008 402 CAP Cape Verde 05:07:1975 01:11:2008 404 GNB Guinea-Bissau 10:09:1974 01:11:2008 7 411 EQG Equatorial Guinea 12:10:1968 01:11:2008 420 GAM Gambia 18:02:1965 01:11:2008 432 MLI Mali 22:09:1960 01:11:2008 433 SEN Senegal 04:04:1960 01:11:2008 434 BEN Benin 01:08:1960 01:11:2008 435 MAA Mauritania 28:11:1960 01:11:2008 436 NIR Niger 03:08:1960 01:11:2008 437 CDI Cote D’Ivoire 07:08:1960 01:11:2008 438 GUI Guinea 02:10:1958 01:11:2008 439 BFO Burkina Faso (Upper Volta) 05:08:1960 01:11:2008 450 LBR Liberia 26:07:1847 01:11:2008 451 SIE Sierra Leone 27:04:1961 01:11:2008 452 GHA Ghana 06:03:1957 01:11:2008 461 TOG Togo 27:04:1960 01:11:2008 471 CAO Cameroon 01:01:1960 01:11:2008 475 NIG Nigeria 01:10:1960 01:11:2008 481 GAB Gabon 17:08:1960 01:11:2008 482 CEN Central African Republic 13:08:1960 01:11:2008 483 CHA Chad 11:08:1960 01:11:2008 484 CON Congo 15:08:1960 01:11:2008 490 DRC Congo, Democratic Republic of (Zaire) 30:06:1960 01:11:2008 500 UGA Uganda 09:10:1962 01:11:2008 501 KEN Kenya 12:12:1963 01:11:2008 510 TAZ Tanzania/Tanganyika 09:12:1961 01:11:2008 511 ZAN Zanzibar 19:12:1963 26:04:1964 516 BUI Burundi 01:07:1962 01:11:2008 517 RWA Rwanda 07:01:1962 01:11:2008 520 SOM Somalia 01:07:1960 01:11:2008 522 DJI Djibouti 27:06:1977 01:11:2008 530 ETH Ethiopia 11:02:1855 01:11:2008 531 ERI Eritrea 24:05:1993 01:11:2008 540 ANG Angola 11:11:1975 01:11:2008 541 MZM Mozambique 25:06:1975 01:11:2008 551 ZAM Zambia 24:10:1964 01:11:2008 552 ZIM Zimbabwe (Rhodesia) 11:11:1965 01:11:2008 553 MAW Malawi 06:07:1964 01:11:2008 560 SAF South Africa 31:05:1910 01:11:2008 563 TRA Transvaal 01:01:1852 30:05:1910 564 OFS Orange Free State 28:03:1854 30:05:1910 565 NAM Namibia 21:03:1990 01:11:2008 570 LES Lesotho 04:10:1966 01:11:2008 571 BOT Botswana 30:09:1966 01:11:2008 572 SWA Swaziland 06:09:1968 01:11:2008 580 MAG Madagascar (Malagasy) 01:01:1816 05:08:1896 580 MAG Madagascar 26:06:1960 01:11:2008 581 COM Comoros 06:07:1975 01:11:2008 590 MAS Mauritius 12:03:1968 01:11:2008 600 MOR Morocco 01:01:1816 01:01:1904 600 MOR Morocco 02:03:1956 01:11:2008 615 ALG Algeria 01:01:1816 05:07:1830 615 ALG Algeria 05:07:1962 01:11:2008 8 616 TUN Tunisia 01:01:1816 12:05:1881 616 TUN Tunisia 01:01:1956 01:11:2008 620 LIB Libya 01:01:1816 31:12:1834 620 LIB Libya 24:12:1951 01:11:2008 625 SUD Sudan 01:01:1956 01:11:2008 630 IRN Iran (Persia) 01:01:1816 01:11:2008 640 TUR Turkey (Ottoman Empire) 01:01:1816 01:11:2008 645 IRQ Iraq 03:10:1932 01:11:2008 651 EGY Egypt 01:01:1827 31:12:1855 651 EGY Egypt 28:02:1922 01:11:2008 652 SYR Syria 01:01:1946 01:11:2008 660 LEB Lebanon 22:11:1944 01:11:2008 663 JOR Jordan 25:05:1946 01:11:2008 666 ISR Israel 14:05:1948 01:11:2008 670 SAU Saudi Arabia 23:09:1932 01:11:2008 678 YEM Yemen (Arab Republic of Yemen) 30:10:1918 01:11:2008 680 YPR Yemen, People's Republic of 30:11:1967 21:05:1990 690 KUW Kuwait 19:06:1961 01:11:2008 692 BAH Bahrain 15:08:1971 01:11:2008 694 QAT Qatar 03:09:1971 01:11:2008 696 UAE United Arab Emirates 02:12:1971 01:11:2008 698 OMA Oman 01:01:1816 01:11:2008 700 AFG Afghanistan 01:01:1816 30:12:1888 700 AFG Afghanistan 01:05:1919 01:11:2008 701 TKM Turkmenistan 27:10:1991 01:11:2008 702 TAJ Tajikistan 09:09:1991 01:11:2008 703 KYR Kyrgyz Republic 31:08:1991 01:11:2008 704 UZB Uzbekistan 31:08:1991 01:11:2008 705 KZK Kazakhstan 16:12:1991 01:11:2008 710 CHN China 01:01:1816 01:11:2008 711 TBT Tibet 01:01:1913 01:10:1950 712 MON Mongolia 13:03:1921 01:11:2008 713 TAW Taiwan 08:12:1949 01:11:2008 730 KOR Korea 01:01:1816 22:08:1910 731 PRK Korea, People's Republic of 09:09:1948 01:11:2008 732 ROK Korea, Republic of 15:08:1948 01:11:2008 740 JPN Japan 01:01:1816 01:11:2008 750 IND India 15:08:1947 01:11:2008 760 BHU Bhutan 01:01:1949 01:11:2008 770 PAK Pakistan 14:08:1947 01:11:2008 771 BNG Bangladesh 16:12:1971 01:11:2008 775 MYA Myanmar (Burma) 01:01:1816 31:12:1885 775 MYA Myanmar (Burma) 04:01:1948 01:11:2008 780 SRI Sri Lanka (Ceylon) 04:02:1948 01:11:2008 781 MAD Maldives 26:05:1965 01:11:2008 790 NEP Nepal 01:01:1816 01:11:2008 800 THI Thailand 01:01:1816 01:11:2008 811 CAM Cambodia (Kampuchea) 09:11:1953 01:11:2008 812 LAO Laos 01:05:1954 01:11:2008 815 VNM Vietnam (Annam/Cochin China/Tonkin) 01:01:1816 01:01:1893 816 DRV Vietnam, Democratic Republic of 01:05:1954 01:11:2008 9 817 RVN Vietnam, Republic of 01:05:1954 30:04:1975 820 MAL Malaysia 31:08:1957 01:11:2008 830 SIN Singapore 09:08:1965 01:11:2008 835 BRU Brunei 01:01:1984 01:11:2008 840 PHI Philippines 04:07:1946 01:11:2008 850 INS Indonesia 17:08:1945 01:11:2008 860 ETM East Timor 20:05:2002 01:11:2008 900 AUL Australia 01:01:1901 01:11:2008 910 PNG Papua New Guinea 16:09:1975 01:11:2008 920 NEW New Zealand 01:09:1907 01:11:2008 940 SOL Solomon Islands 07:07:1978 01:11:2008 950 FJI Fiji 10:10:1970 01:11:2008