Maastricht University Journal of Sustainability Studies

Green Office

Vol. 3 July 2017

Maastricht University Journal of Sustainability Studies 2017

Maastricht University Journal of Sustainability Studies Volume 3, July 2017

Selection Process: 12 papers were submitted, 6 passed the initial review and 3 papers from 2015 selection were included, 8 were selected for the final publication.

Editorial Board:

Dr. Marc van Wegberg SBE Dr. Yvonne van der Meer FHS Prof. Dr. Gerjo Kok FPN Dr. Taotao Yue FdR Martina Kuhmer PhD Candidate, FASoS Alex Baker-Shelley PhD Candidate, ICIS

Stefania Barzeva Student FPN, UMGO Research Coordinator Mercedes Quammie Student FPN, UMGO Assessment & Reporting Camilo Straatsma Student UCM, UMGO Education Coordinator Meeri Heinonen Student FASoS Nabilah Noordin Student FASoS Shelly Tsui Student FASoS Amy Hitchenes Student FHML Caterina Gentili Student FPN Sophia von Stockert Student FPN Sarah Heller Student FdR Nguyen Thi Nhan Student FHS Katharina Runge Student MSP Sofia Vazquez Alferez Student UCM

Nur code: 907 ISBN: 978 905 681 4182

UMGO: Maastricht University Green Office UCM: University College Maastricht FASoS: Faculty of Arts & Social Sciences MSP: Maastricht Science Program SBE: School of Business & Economics FdR: Faculty of Law FPN: Faculty of Psychology & Neuroscience FHS: Faculty of Humanities & Sciences FHML: Faculty of Health, Medicine, & Life Sciences ICIS: International Center for Integrated assessment & Sustainable development

Maastricht University Journal of Sustainability Studies 2017

Table of Contents

Editorial Board ...... i

Table of Contents ...... ii

Resilience Assessment of Maastricht as a Social-Ecological System ...... 1 Elise Drost

The Road Towards Community Based Ecotourism...... 17 Freya Tilleman & Manon Marcharis

The Essence of Free Market Environmentalism: Protection Through Private Property ...... 31 Bill Wirtz

NAFTA and TPP: Comparing Imaginaries of Sustainability ...... 46 David Maull

Urgenda and Beyond: The Past, Present and Future of Climate Change Public Interest Litigation ...... 56 Olivier van Geel

How Good Products Make you Feel: The Underlying Emotions of Ethical Consumerism ...... 73 Margit Hain

Navigating Healthcare Systems: Is there a Solution to Healthy Ageing? ...... 82 Freya Tilleman

Renewable Energy Transition Australia 20140 ...... 94 Yağmur Masmas

Maastricht University Journal of Sustainability Studies 2017

Resilience assessment of Maastricht as a social-ecological system

Elise Droste University College Maastricht, Maastricht University [email protected]

Abstract The aim of this report is to assess the resilience of Maastricht as a multi-level, dynamic, social- ecological system by following the ‘Workbook for Practitioners’ by the Resilience Alliance (2010). A description of the system outlines historical events that had impacts on the landscape, such as urban expansion and the mining of limestone. The evaluation concludes that Maastricht finds itself at a point in a dynamic adaptive cycle of events where citizens’ awareness of nature and global environmental issues led to reconsiderations of ecological values and the reorganisation of the city according to these values. The assessment applauds the adaptive governance approach of the city and the current implementation of various ‘greening projects’. However, issues regarding possible lack of system resilience are criticised. Among others, recommendations are given related to increasing species diversity within and surrounding the urban area of Maastricht.

This report aims to assess the resilience of which interact with each other and the the urban area of Maastricht as a social- focal scale, resulting in changes in the ecological system. The resilience is defined landscape. This report adopts a ‘resilience as the capacity of a system to maintain or thinking’ approach. Additional attention return to its identity, including its function, will be drawn to the St. Pietersberg area feedbacks, and structure, after a major within the urban landscape and assess the disturbance (Walker & Salt, 2012). impacts of changes within this area on the Maastricht’s general resilience to whole system’s resilience. It will further disturbances will be looked at, as well as identify and describe the system’s some elaboration on its resilience towards dynamics, interactions between different biodiversity threats. Maastricht’s social- scales, assess the governance, and finally ecological system involves multiple scales,

Maastricht University Journal of Sustainability Studies 2017

suggest actions to improve the resilience of which connects the Maas to the Albert Maastricht’s urban landscape. Canal, the proximity of the Belgian border, and the excess of agricultural area around the city. The municipality of Maastricht is I. Methods currently implementing a number of projects with the intention of drawing This resilience assessment closely follows green spaces into the city and thereby the ‘Workbook for Practitioners’ by the increasing the connectivity between these Resilience Alliance (2010). It observes areas. They realised that, because the land Maastricht as a dynamic, self-organising around Maastricht is mostly devoted to system with emergent behaviour and agriculture, the city and its trees are affected by cross-scale interactions. Its becoming a refuge for certain species. Due general resilience to cope with various to the scope of this report, some focus shall future social and ecological change and go to the St. Pietersberg area and will later disturbances, such as temperature change, be related to the ‘Groene Loper’. These two floods, or urban expansion, depends on its areas are part of two major greening diversity, social capital, and openness projects within the city that are currently in (Walker & Salt, 2012). Identified motion. interactions between different scales, thresholds, and adaptive governance will be used to evaluate social and ecological III. The St. Pietersberg Area resilience. The St. Pietersberg area comprises a total area of 350 ha in the south of Maastricht II. Area between the Maas and the Jeker, including a limestone quarry of 125 ha (Gemeente Maastricht is the capital city of the Maastricht, 2014). The St. Pieters province of Limburg in The Netherlands. ‘mountain’ itself has been protected since As the focal scale, it covers a total area of 1974 and has been established as a Natura- 6007 ha (Gemeente in Cijfers, 2014). The 2000 area (Gemeente Maastricht, 2014). city itself is home to about 122 000 Natura-2000 is a policy set up by the inhabitants (Gemeente in Cijfers, 2014). European Union to protect significant Even though the city experienced some areas to Europe’s biodiversity (European significant urban expansions within the Commission, 2014). Due to the limestone last 200 years, it is only increasing at a formation, unique limestone grassland slight rate (Gemeente in Cijfers, 2014). species occur in this area that are normally Important features of the landscape found in Southern Europe (Gemeente include the river Maas, which runs directly Maastricht, 2012; Stichting Ontwikkelings- through Maastricht, the side-river Jeker, maatschappij ENCI-Gebied, 2014, a).

2 Miners started using the limestone in the extent where conservation policies need to 12th Century to build houses, creating an be strictly implemented to avoid intricate tunnel system that is now a extinction. For example, the Buba Buba touristic attraction (Peters & van Winden, owl, which is the largest owl in Europe 2002). The ENCI (“Eerste Nederlandse and has its habitat in limestone grasslands, Cement Industrie” – First Dutch Cement is nearing extinction in this area. By Industry) got permission to extract increasing its habitat by enhancing green limestone for cement production since areas and hunting grounds, their numbers 1926 (Groen Maastricht, 2014, a). They are might grow. The costs include the now part of the ‘Transformation Plan’, termination of the ENCI in the quarry and established in 2009, in which the decision costs involved in executing greening was made to convert the quarry into a projects, such as the ‘Groene Loper’, of nature reserve for biodiversity and which the contract budget amounts up to recreational purposes (Groen Maastricht, €515 million (Projectbureau A2 Maastricht, 2014, a). Natuurmonumenten, a Dutch 2009, b). nature conservation organization, will manage the area from 2018 onwards Description of the System (Peters & van Winden, 2002). The Maastricht’s urban history goes back to the ‘Oehoevallei’, which is the area of the time before the Roman occupation around quarry furthest away from the factory and Christ. Due to its strategic location, closest to the city, is already dedicated to Maastricht became an important city for Natuurmonumenten (Stichting cultural, political, and economic purposes Ontwikkelingsmaatschappij ENCI-gebied, (Panhuysen, 1996). In 1867, Maastricht was 2014, b). no longer a fortressed city, meaning that from then on property was allowed to be build outside the city walls (Stedentrip, IV. Results 2010). This opened the doors to urban expansion. The population dramatically Ecosystem Services increased after World War II, resulting in The entire focal scale provides the citizens an increase in construction activities as of Maastricht with the following ecosystem there was a lack of housing (Stouthart, services, table 1. Jenniskens, & Baeten, 1985). The Throughout history, this landscape University of Maastricht was set up in the has had to cope with urbanisation, the 1970s as a compensation for the economic conversion of forested land to agricultural loss to the province due to the closing of areas, and limestone mining practices. The the coalmines (Stouthart, Jenniskens, & ecosystem services have contributed a lot Baeten, 1985). This attracted an to the development of the city, but the international population and more urban biodiversity has been compensated to the development. Maastricht’s history as sa

Maastricht University Journal of Sustainability Studies 2017

fortressed city is the reason for its the Natterjack toad and Midwife toad relatively compact urban state today. (Peters & van Winden, 2002). This area has Maastricht’s landscape was formed also become the preferred breeding through the influence of multiple systems ground for the Buba Buba. Additionally, as over time at larger and smaller scales than limestone extraction occurred below the the focal scale (figure 1). Cross-scale water table, this lead to the formation of interactions and anthropogenic activities in natural pools and seepages, which have the past have led to some threats to the formed valuable habitats to different resilience of the social-economic system. species (Peters & van Winden, 2002). The The main threat was the gradual decline in variety in the quarry’s landscape and the biodiversity. The increase in limestone old city walls around Maastricht have a extracting operations by the ENCI had a similar effect in that they form species significant impact at this scale. In contrast habitats (Gemeente Maastricht, 2012). The to the centuries-long underground mining old city walls, for example, have many operations in the past (which created cracks between which plants can grow. habitats for at least twelve bat species The walls have become a refuge where (Stichting Ontwikkelingsmaatschappij species can rest, feed, and nest. ENCI-Gebied, 2014, a)), the ENCI dug One of the future threats to the away half of the tunnel system at the St. whole system is climate change, which Pietersberg, thereby disturbing grassland causes temperature increases that can be habitats and removing forests. In the 1950s, exacerbated by the urban heat island effect. some parts to the western side of the A study done on surface temperatures in quarry were reforested (Peters & van Maastricht shows lower temperatures for Winden, 2002). Diseases and pests will be a more green spaces than for more urbanised continual threat that affects the diversity of spaces, such as the city centre (Duyzer, the whole system, also within the city Verhagen, & Klok, 2012). Increasing heat itself. In 2012, 384 of the 1397 Horse can be detrimental to the health of the Chestnut trees had to be cut due to the citizens, especially people who are rapidly spreading, fatal bleeding canker physically more sensitive, such as the disease that was spreading throughout The elderly. As Maastricht has a relatively high Netherlands at the time (Dichtbij, 2012). percentage of elderly people (Duyzer, Despite the threat to biodiversity Verhagen, & Klok, 2012), maintaining within the quarry, some species found valuable ecosystem services is vital. recovery when the ENCI stopped digging Climate change also promises more in the northern part of the quarry (the precipitation in the winter, which can lead ‘Oehoevallei’). The area was covered with to an increase in flooding frequencies of soil, allowing for loam soil formation, the Maas (Gemeente Maastricht, 2012). which retained water and attracted various Another future threat is the dragonfly species and toads, specifically tendency of agriculture to increase in scale,

4 posing not only another threat to The termination of mining practices biodiversity by monoculture, but also to allows for opportunities in the future to the local economy, cultural landscape, and maintain and enhance the variety in the burgundian image of the city (Gemeente landscape of the St. Pietersberg area that it Maastricht, 2012). has created, such as bare limestone cliffs, Furthermore, the population expan- rough slopes, shallow waters, grasslands, sion in Maastricht right after WWII and the recovering patches of vegetation, seepage fact that people generally live longer are waters, and swamps (Peters & van leading to a significant increase in the Winden, 2002). This allows for a diverse number of people aged 65 and older (de species community. For example, birds like Jong & van Duin, 2009). Limburg is one of the Buba Buba owl or the Kestrel can nest the provinces that will have to cope most in the rough slopes, unique butterflies and with an aging population, as younger salamanders benefit from the grasslands, (more international) generations tend to toads and dragonflies can live around the move out of the area (de Jong & van Duin, lakes and swamps, and orchids and other 2009). The government might be forced to species dependent on soil rich in limestone economise, which poses a threat to future can thrive in the open areas (Peters & van investment in green infrastructure. Winden, 2002). Additionally, as Maastricht is A benefit of using native tree already a compact city, management species within the city is that they can decisions lean towards species that are become very old, allowing for tree hollows most resistant to compaction, such as to form and providing more habitats. Linden trees. This creates a monoculture, decreasing the system’s resistance to pests System Dynamics and other disturbances, thereby decreasing The adaptive cycle illustrates the dynamic the general resilience. For example, the nature of a system characterized by a rapid ‘Groene Loper’ (i.e. ‘green belt’) involves growth followed by a conservation phase, planting 2000 Linden trees for reasons such which is disrupted by an event, which as their tolerance for compaction, ability to leads to a release within the system that grow rapidly and healthily in shallow results in the reorganization phase soils, and high resistance to most pests and (Gunderson & Holling, 2002). Based on the diseases (Arbor Day Foundation, 2014). research of this report, the adaptive cycle, However, Linden trees lack resistance as illustrated in figure 2, is applied to against road salt (Arbor Day Foundation, Maastricht as a social-ecological system. 2014). This characteristic questions the After WWII, Maastricht experienced resilience of the system in the face of a rapid population increase coupled with climate change effects, which includes urban expansion (rapid growth phase). In more precipitation and colder the 1970s, the citizens of Maastricht started temperatures in winter. to appreciate the cultural values of the

Maastricht University Journal of Sustainability Studies 2017

century old tunnel systems that were being As the aim is to enhance the biodiversity of destroyed by the ENCI and realized what species dependent on limestone grass- kind of impacts the factory and lands, sheep have been put on grazing urbanization had on the environment patches to naturally avoid the regrowth of (conservation). Population growth was the forest (Peters & van Winden, 2002). simultaneously gradually decreasing, Presently, management is efficient at relieving urban expansion pressures (de avoiding overgrazing. The area directly Jong & van Duin, 2009). The system around the quarry was agricultural area gradually entered the release phase, as that has been re-forested in the 1950s. The citizens’ concern for the environment rest of the quarry is going to be subject to began to reflect in the municipality’s natural regeneration; some areas will be decisions, which included a number of allowed to reforest, others will be managed greening initiatives, such as the ‘Groene to stay in the ‘grassland’ state (Peters & Loper’, to increase the wellbeing of the van Winden, 2002). citizens and mitigate climate change effects (reorganization). Interactions Between Scales Maastricht’s current state includes a Whether Maastricht will re-enter the same combination of forests, agriculture, grass- adaptive cycle depends on the change in lands, and urban area (figure 3). Individual other scales (figure 4). The St. Pietersberg areas within the focal scale have been area has gone through the following cycle: converted to different states over the years according to the influence of cross-scale • Rapid growth: after WWI, the interactions. The main social threshold is ENCI got concession to extract population growth or strong decline, limestone at the quarry site and was which affects the local economy and able to extend its exploitation demand for agricultural or urban area. The throughout the 20th century. This conversion to urban area is a sudden, often had negative impacts on the irreversible threshold, due to a complete biodiversity in the area alteration of the landscape’s identity. • Conservation/accumulation: Agriculture involves the use of fertilizers, ENCI experienced challenges pesticides, and the disruption to soil extending mining operations due to horizons, decreasing its reversibility to increasing community appreciation native vegetation. The system, however, of biodiversity and conservation. has quite a high resilience in the sense that, • Release: Increase in friction if left untouched, the system will gradually until 2004, when, instead of ending return to its ‘forest state’ (Peters & van ENCI’s concession in 2010, the Winden, 2002). For example, the province of Limburg and the ‘Oehoevallei’ within the quarry naturally municipality of Maastricht decided regenerated to a native ‘grassland state’. to extend their concession until

6 2020, because resource demand had • The release phase has not increased as well as its price (Soete, occurred yet, but it might entail 2008). This lead to protests by reaching a certain proportion of Maastricht’s citizens, for example, elderly people that significantly by the ‘ENCI-Stop’ foundation affects the economy and thus (Smeets, n.d.). decisions related towards main- • The area is now starting its taining a ‘green’ city. Moreover, a reorganisation phase: The decision strained economy is unattractive for was made to terminate the companies and people seeking concession by 2018 and let the area employment. regenerate for biodiversity conservation and recreation purposes. This is a system that might destabilise the resilience of Maastricht. Subsystems, like the St. Pietersberg However, climate change is also in its area and other ‘greening’ projects in the accumulation phase, which might shift city, influence the stability of Maastricht’s future priorities more towards green resilience to biodiversity threats. technology and green spaces to mitigate its Enhancing biodiversity within the St. effects. Likewise, people’s values, which Pietersberg area will enhance that of the are influenced by education, are slowly entire focal system, because it will attract changing towards conservation and more species that can more easily increase their sustainable options. This is often reflected habitat area through the connectivity in policies, such as Natura-2000 of the EU between green spaces (Manning, Gibbons, and development plans of Limburg that & Lindenmayer, 2009). protect ecological values of certain areas At a larger scale, the population comp- (Gemeente Maastricht, 2012). osition of Limburg has gone through the Besides climate change, population following cycle: growth, and values, another slow variable is the aging of trees. Trees planted in one • Rapid growth: after WWII, period will die in approximately the same The Netherlands experienced a time-frame. It is therefore important that ‘babyboom’. there is a diversity of age among the trees • Conservation/accumulation: to avoid high maintenance costs in the the population increased and a shift future. is occurring towards a larger A fast variable to take into proportion of elderly citizens born consideration is the economy. For example, in the ‘babyboom’, while younger in 2004 the demand and price for cement generations tend to leave the suddenly increased, initiating a cascade of province. This is putting strains on change that changed the quarry’s future. A governmental economic decisions. threshold among the community had been

Maastricht University Journal of Sustainability Studies 2017

reached, causing protests that lead to a aim to unify urban areas with nature, it change in decisions of land use (Soete, learns from past impacts of policies and 2008). More exposure to nature influences implements new understandings into new education and further contributes to policies. conservation. Natuurmonumenten has an increasingly important role at the sub- system scale, as it will be managing the V. Governance whole St. Pietersberg area by 2018. This allows for more flexibility and diversity Decision-making processes and formal among the system it can manage. It will power lie mainly with the province of ensure recreational opportunities within Limburg and the municipality of the area, as well as provide a diverse Maastricht at the scale of the province and ecological system. This allows for city, respectively. These are influenced by experimentation of effective imple- other stakeholders, such as the community mentations to enhance the system’s and the EU. Maastricht’s community has resilience towards disturbances, including the largest informal power through votes, those by humans. norms, and local initiatives. The EU The ENCI restrained flexibility; no provides a flexible policy framework matter how well they complied with within which the municipality can make environmental policies regarding further decisions. For example, Natura- emissions and operations, extracting the 2000 areas do not exclude human limestone still required digging away at interaction with the specified environment, ecological systems. When the protests allowing for more flexibility when issues against the extraction operations began, arise (European Commission, 2014). they had no way of creating cooperation Through its implementation of amongst the stakeholders involved. It is, ‘greening’ projects throughout the city, the however, flexible in its own survival, as it municipality adopts an adaptive gover- will only process imported limestone from nance approach. It includes citizens in Belgium after 2019 instead of extracting it enhancing recreational, cultural, economic, at the site (Peters & van Winden, 2002). and ecological opportunities, thereby Even though Maastricht is a tight involving various scales and organi- network in itself, stakeholders are linked in zational levels, such as corporations. This a centralized network where the muni- allows for flexible approaches to solve cipality is the main stakeholder holding future issues. By increasing the green the network together. This allows the space in the city, the municipality is municipality to unite various stakeholders preparing for the uncertainty of effects that in the goal to conserve and enhance nature climate change might have on the city. within the city. Maastricht has the Even though the municipality has a fixed advantage that it is small in scale and

8 decisions are therefore more likely to The landscape’s diversity promotes impact the whole network, instead of a range of ecological, cultural, and isolated stakeholders. recreational opportunities that enhance Its centrality allowed the muni- interaction of people with nature and cipality to resolve the conflict between the absorbance of different shocks. Especially interests of the community and the ENCI. the increasing connectivity between green However, the resilience of the central areas facilitates movement. Increasing system might be affected in the future by biodiversity of target areas, such as the differing interests and lobbying activities. quarry, will have biodiversity “spillover” For example, for community and effects, even to non-targeted areas ecological purposes, the municipality (Brudvig, Damschen, Tewksbury, Haddad, decided to let some urban spaces & Levey, 2009). Studies have even shown temporarily be used for community that the Buba Buba owl has started hunting initiatives, such as urban gardening, until within the city (figure 5) (Houben, 2011). the space can be included in a permanent Using diversity for lower plan (Gemeente Maastricht, 2012). Yet, to maintenance costs and resilience is a apply innovation and receive long-term strategy that is not sufficiently used in the benefits, the community demands a long- approach for the ‘Groene Loper’, which term solution, which the municipality will consist out of 2000 Linden trees to cannot give due to economic obligations. connect other existing green spaces (A2 Maastricht, 2013; Groen Maastricht, 2014, VI. Actions b). Even though the Linden tree is resistant to compaction and pests, the monoculture Transformation to a greener city is already and similar age of trees can become a taking place. The question is whether this problem in the future if too much road salt increase in nature also makes the system is used, a new disease emerges, or the trees resilient. Ecologically, the system shows need to be replaced at once. remarkable resilience. Seed banks and The political support and ‘learning dispersion of native vegetation guarantee by doing’ approach of the municipality natural regeneration of nature if left make institutions and the community quite unmaintained (Peters & van Winden, resilient. The municipality continually 2002). For example, after 100 years of seeks ways to facilitate communication mining, grazing sheep need to suppress and public participation, such as setting up the growth of forest in the quarry. Old an information platform (www.groen- buildings and nature even unify, which maastricht.nl). Maastricht is a small and makes the city, its inhabitants, and species tight system that enhances social cohesion, more adaptable to effects of climate change communication, and interactions among (Manning, Gibbons, & Lindenmayer, 2009). different stakeholders. Recreational opportunities and increasing exposure to

Maastricht University Journal of Sustainability Studies 2017

nature enhances social ties (Tzoulas, et al., therefore create social cohesion and keep 2007). the community in touch with their natural To pursue a more resilient socio- surroundings. economic system, new projects should To build a stronger bridge between implement greater diversity with regards science, education, and policy, research to species, structure, and tree age. The and experiments in greening projects for contribution to the system’s resilience by students should be promoted to enhance the ‘Groene Loper’, for example, would collaborative learning and innovation. augment if it had greater diversity, Advancement in quantifying and allowing greater shock absorbance and understanding ecological values can more dynamic habitats. It should also be improve resilient decision-making and understood that focusing on resilience cost-benefit analyses. against a specific disturbance, such as Institutions need to be transparent compact soils, might affect the general to gain mutual and community trust. resilience, such as susceptibility to diseases Continuous assessment of social and due to monoculture. ecological resilience is important for In case of economic collapse, the decision-makers to maintain alignment in system would be more resilient if there interests among stakeholders, maintain was a trust fund for the maintenance of sufficient amounts of flexibility within the green spaces. Additionally, keeping the system, and anticipate threshold-crossings economy diversified enhances social across different scales. resilience. Diverse agricultural land would

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http://www.a2maastricht.nl/data/files/alg/id163 Stichting Ontwikkelingsmaatschappij ENCI-gebied (b). /Persbericht%20Groene%20voorLoper%20voor%2 (2014). De Prachtige Oehoevallei. Retrieved June 0A2%20Maastricht%20uitgelegd.pdf 10, 2014, from ENCI-Gebied: http://www.enci- Resilience Alliance. (2010). Assessing Resilience in Social- gebied.nl/natuur/info/oehoevallei Ecological Systems: Workbook for Practitioners. Stouthart, L. G., Jenniskens, A. H., & Baeten, A. M. (1985). Version 2.0. Online: Tussen Twee Bruggen: Maastricht in de Tijd van http://www.resalliance.org/3871.php. Baeten. Maastricht: Maastricht: Comite Afscheid Smeets, T. (n.d.). Stichting ENCI Stop. Retrieved June 10, Burgemeester Baeten. 2014, from ENCI Stop: Tzoulas, K., Korpela, K., Venn, S., Yli-Pelkonen, V., http://www.encistop.nl/start.html Kazmierczak, A., Niemela, J., et al. (2007). Soete. (2008, May 25). ENCI: Soit-Il. Retrieved June 9, 2014, Promoting Ecosystem and Human Health in Urban from http://www.soete.nl/blog/200805.php Areas Using Green Infrastructure: A Literature Stedentrip. (2010). Geschiedenis Maastricht. Retrieved June Review. Landscape and Urban Planning , 81, 167- 12, 2014, from Stedentrip: 178. http://www.stedentrip.com/geschiedenis- Walker, B., & Salt, D. (2012). Resilience Practice: Building maastricht Capacity to Absorb Disturbance and Maintain Stevenhagen, E. (n.d.). Lichtenberg. Retrieved June 10, 2014, Function. Island. from Lichtenberg: ZJA. (n.d.). A2 bij Maastricht. Retrieved June 9, 2014, from http://web.inter.nl.net/hcc/Ed.Stevenhagen/groe Zwarts & Jansma Architects: ven/dok/oldmap/sp2.htm http://www.zwarts.jansma.nl/page/2397/nl Stichting Ontwikkelingsmaatschappij ENCI-Gebied (a). (2014). Planten en Dieren. Retrieved June 10, 2014, from ENCI-Gebied: http://www.encigebied.nl/natuur/info/planten-en-dieren

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Appendix

Table 1: Identification of the ecosystem services provided by the green spaces within and around Maastricht.

Figure 1: Social and ecological dimensions of larger and smaller systems that influence Maastricht’s social-ecological system.

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Figure 3: Different ecological states of the focal scale and actions or processes that influence state transitions.

Interactions Between Scales

Figure 4: Interaction between different scales (Adaptive cycle figures used from Resilience Alliance, 2010).

Figure 2: Adaptive cycle of Maastricht (Adaptive cycle figure, adapted from Resilience Alliance, 2010).

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Figure 5: Hunting areas of the Buba Buba owl (Houben, 2011). The three colours indicate three owl couples that have been tracked. Results show that the owls are starting to hunt within the city at night, mainly in greener areas.

Maastricht University Journal of Sustainability Studies 2017

The road towards community based ecotourism

Freya Tilleman & Manon Marcharis University College Maastricht, Maastricht University [email protected]

Abstract As the quest for sustainability reaches the larger public, the sector of tourism also becomes subject to demands of sustainability. Where the notion of sustainability is effectively integrated, it results in ecotourism and community based development. Ecotourism is mainly linked with environmental sustainability, while community based development provides sustainability of culture and local livelihoods. This paper argues that the ultimate form of sustainable tourism is community based ecotourism, which combines both developments. The guidelines on Sustainable Development from the Rio Declaration on Environment and Development (1992) are used to explain how a more sustainable form of tourism can be reached, and why it is believed community based ecotourism is the only possibility to achieve sustainable activity. While the goal of sustainable development requires more promotion in large parts of the world, community based ecotourism could be an effective way to apply theoretical values in practice, thereby improving the preservation of both culture and nature.

Along with the growing popularity of the merging sustainability with tourism. concept and idea of “sustainable However, utter sustainability exceeds the development” grows the general idea that environmental context that is incorporated the world does not pay enough attention to in ecotourism; tourism should also be the environment. In addition to this, large socially sustainable. This paper recognises amounts of people are attracted to the need for sustainability beyond the conceptions of local development and environment, towards the tourist industry. sustainable lifestyles. Tourism, as an The concepts ecotourism and community- upcoming sector of the market industry, based development both reflect promising has in turn become subject to the pursuit of principles of sustainable development, but sustainable development (Wnuk, 2013). lack substantive prognostic when used Ecotourism has emerged as one way of separately. This paper regards ecotourism

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and community-based development as more sustainable tourism were built, and two entities to be merged in order to create investigates whether a full application of the interdisciplinary and proactive concept sustainability principles can be achieved community-based ecotourism. through coining these developments as a In a quest for a form of tourism that true sustainable form of tourism. is more sustainable, all elements of In order to clearly construct our sustainable development (society, argument, we will first instantiate the most economy, environment) are needed. In important terms (sustainable development, fact, with a degraded environment, a ecotourism, community-based develop- malfunctioning society and an unstable ment and community-based ecotourism) as economy, tourism can never be to avoid future misconception. These sustainable. This quest occurs in response concepts will consequently allow us to to a market that becomes more aware of analyse the concepts as they were brought the concept of sustainability, as well as in to practise. A number of concrete response to the growing awareness of principles of sustainable development will environmental degradation and be used to compare practise to theory: is destruction of culture (Wnuk, 2013). It is sustainability as it has been laid out by the useful for tourists, companies and international community reflected in the especially local employers to know how to development of these new forms of be more sustainable. The principles of tourism? Furthermore, we will illustrate sustainable development revealed by the the arguments with concrete examples. Rio Declaration on Environment and The paper mainly focusses on the Development in 1992 will be used environmental and social aspects of throughout this paper as guidelines to sustainability, because while the economic more sustainable tourism. These principles aspect of sustainability in general might be offer indications of how sustainability can more ambiguous, the fact that this paper is be improved across a large spectrum of concerned about the tourist industry activities, of which the tourist industry is automatically implies an economic activity. one. Because these principles have been Sustainability in this sense concerns accepted by a large international sustaining livelihoods for present and community as desirable standards, these future generations, which would aim at principles will prove useful in providing generating income from sustainable us with a legitimate way of improving sources (Griggs et al, 2013). This means sustainability in practise, namely in the that for the economic aspect of the tourism sector. Instead of looking at sustainable tourist industry, social and improvements for existing strategies - environmental goals would have to be community based development or achieved first. ecotourism - this paper attempts to analyze the principles on which these new forms of

18 I. Clarification of concepts “development that meets the needs of the

present while safeguarding Earth’s life-support First of all, the concept of Sustainable system, on which the welfare of current and Development should be explained. It is a future generations depends” (Griggs et al., term that at first sight might seem 2013, p. 306). paradoxical, as it was always believed that development, as economic growth, and the This means that while it is important to environment do not go together. maintain a thriving economy, it should be Environmental harm was believed to be serving a functional and future society, undeniable within the process of and above all, it should be within the development (Wnuk, 2013). However, in limits of Earth’s capacity. 1987 the World Commission on In contrast to the Brundtland’s Environment and Development published conception of sustainable development, the Brundtland Report, which shone a Griggs and his colleagues considered different light on this widespread opinion. society and the environment to be In a quest for a development model that positively correlated. They furthermore would be more sustainable, the report connected the three elements of interconnected economy, the environment sustainable development - the economy, and the society in the term sustainable society and the environment - in a so- development. This meant that only striving called ‘nested approach’, in which the for a societal change in regards to three elements are of different importance development was not enough, because the and interdependence regarding their place environment had to be sustained and in the ‘nest’. Through this interconnection, protected in order for society to develop the elements of sustainable development and sustain itself (Baker, 2006). could be infiltrated into every layer of In the years after the Brundtland society. report, the term sustainable development Another important term to be became debatable, because it received clarified is the often wrongly interpreted criticism on the important role the ecotourism. Seen by many people as economy played in the sustainable greenwashing, ecotourism is a development equation. Scholars like phenomenon that requires a proactive Griggs pointed out that the three elements approach to pursue diminishment of of sustainable development are indeed negative impacts and intensification of interconnected, however, they are not of positive effects of tourism (WWF, 2010). equal importance as the Brundtland According to The International Ecotourism Commission proposed. Therefore, Griggs Society (abbreviated ‘TIES’), ecotourism et al. (2013) redefined sustainable develop- can be defined as ment as:

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“responsible travel to natural areas that making, and giving control and account- conserves the environment, sustains the well- tability to individuals and communities, being of the local people, and involves every CBD scheme is bound to the needs interpretation and education” (TIES, 2015, and resources of a particular community paragraph 4). (Narayan, 1995). Especially investing in education, as in the case of Sierra Leone, Ecotourism is a form of tourism has proven to be beneficial to the local with a long-term vision that focuses on the community, because it seeks to improve conservation of nature and culture, both the education and employment of the for the environment and the local community’s children and adults (JOY, community and its tourists. Sustainability 2010). is an important part of it, because CBD consists of a broad spectrum of ecotourism tries to sustain the environ- approaches that brings the benefits ment, as well as society and the economy. provided by the assistance directly to the Ecotourism goes a step further than community level, as well as prioritizes the regular tourism by believing that “tourism ownership of commands and decisions by and the environment are not merely the community (Parks et al. 2013). Doing interrelated, but are interdependent” this, CBD is able to solve conflicts in (Pigram, 1980, p. 554). The profits gained certain regions by implying the importance by ecotourism are often used to fulfil this of communication within the centre of the sustainability by investing in wildlife and community. In the Philippines for natural surroundings (TIES, 2015). An example, CBD has helped restore excellent example of this is the Parc des community-level confidence in decision- Volcans in Rwanda. The money earned by making and alleviate poverty with the attracting (eco)tourists is used to set up underlying assumption that poverty leads anti-poaching patrols and to employ local to conflict (Parks et al.). farmers as guides and guards. Because of Subsequently, community-based the $170-a-day fee that tourists pay to enter ecotourism (CBET) is created by linking the park, the gorillas are saved from ecotourism to community-based deve- extinction (Rainforest Action Network, lopment. Through this form of tourism, the n.d.). local community has a significant Furthermore, the term Community- involvement in the development and Based Development (CBD) refers to a management of the touristic sites in their demand-driven (instead of supply-driven) country, as well as the majority of benefits. approach that relies on local management CBET should furthermore foster of resources and services in order to sustainable use and collective respon- increase efficiency, equity, and empow- sibility while complying with the host erment within a local community. By community’s institutional structures and involving local stakeholders in the decision individual proposals of the host country

20 (WWF, 2010). Consequently, the ability of more sustainable, the principles of conserving the local communities and sustainable development as created in 1992 preserving the biodiversity whilst simul- at the Rio Earth Summit can be used as taneously reducing the local poverty is guidelines. These principles were invented what makes CBET attractive on a by the United Nations Environment sustainable scale (Kiss, 2004). Programme (UNEP) to make it easier to In Phuket, Thailand, ‘voluntourism’ promote and implement sustainable is a CBET phenomenon where tourists development throughout society volunteer in helping the local communities (McKeown, 2002). By applying these engage in ecotourism, protecting wildlife principles, one incorporates all dimensions and participate in marine conservation of sustainable development. (TAT, 2013). One of these projects is the Not all principles of sustainable Little Big Project, whose main aim is to development will be applied, as that protect and rehabilitate Thailand’s coral would be both unnecessary and reefs and marine ecosystems, while also encompassing the paper’s objectives. A creating awareness among the locals of the sustainable approach to tourism signifies importance of these ecosystems. neither the environment nor the Deforestation of the region is leading to community will be harmed by the influx of food shortages for marine life while having travellers. Even more so, the natural a negative effect on the local economy, and environment and the local communities these should thus be addressed in the should profit from tourism, both socially context of the local community. The project and economically. “Sustainability implies seeks to involve the local population in that tourism resources and attractions providing eco-tourism services, which will should be utilised in such a way that their on the one hand create jobs and income for subsequent use by future generations is the local community and on the other hand not compromised”, as stated by the World protect Phuket’s environment and culture Tourism Organisation (2000). (TAT, 2013). First, two principles will be applied to tourism in the context of ecotourism. Afterwards the same will be done for CBD. II. Sustainable Where ecotourism lacks in the ultimate development and protection of the local community’s identity and culture, CBD takes over and tourism adds to the social dimension of sustainable development (Narayan, 1995; TIES, 2015). As the idea of sustainability is increasingly Therefore, by combining these two fostered in people’s minds, more people concepts, CBET represents a more holistic also want to be involved in sustainable representation of sustainable development tourism (Wnuk, 2013). To make tourism values.

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inhabitants encounter can be solved more easily (TIES, 2015). Tourism therefore II.I. Ecotourism creates “mutual understanding among people” (Wnuk, 2013, p. 107). “Nations shall cooperate to conserve, protect It is the task of every nation to and restore the health and integrity of the provide companies as well as local Earth's ecosystem. The developed countries villagers with all information necessary to acknowledge the responsibility that they bear in both understand each other’s ways of the international pursuit of sustainable progress and actions, as well as to see the development in view of the pressures their importance of nature as such, and the societies place on the global environment and of value it has for humanity and the world’s the technologies and financial resources they life cycles (May, 1991). A greater command” (McKeown, 2002). participation rate increases this awareness of inhabitants of the host country as well Ecotourism is not solely an action as tourists in their home country. that has to be done; it should also be used Consequently, the environment will be to promote sustainability for both the more successfully protected and sustained. environment and the community in general. Especially developed countries “The full participation of women is essential to should advertise sustainability in tourism, achieve sustainable development. The as the tourists that cause most creativity, ideals and courage of youth and the environmental and cultural degradation knowledge of indigenous people are needed too. originate from the most developed Nations should recognize and support the countries. It is this form of mass tourism identity, culture and interests of indigenous that causes most pressure to the Earth’s people” (McKeown, 2002). natural environment (Sustainable Travel International, 2015). Ecotourism tries to empower local During a TED talk, Aziz Abu Sarah, people and especially the youth, because a tourist entrepreneur from Palestine, they are the ones that need to raise stated “tourism is the best [...] way to bring awareness to preserve the environment. In down those walls [of anger] and to create a fact, without a well-preserved environ- sustainable way of connecting with each ment, tourists are less inclined to come, as other and creating friendships” (Sarah, nature is what they are often looking for 2014, 2.02 minute). Ecotourism seeks to (Liu, 2003). Youths have the potential to accomplish exactly this. Tourists and local change the unsustainable habits of the villagers can learn about each other’s community, because they can learn about cultures and lifestyles so that they can the benefits that the environment has for explain the other’s behaviour. Conse- tourists, and for themselves (UN Divisions quently, problems that tourists and local for Sustainable Development, 1992, p.275).

22 We can see this has happened with the Guatemala, where the Oxlajuj B'atz' Maya EcoQuetzal project in Guatemala. This Women's Center was built. This project project made the villagers realize that it empowers women by providing them with takes less effort and it is more sustainable the skills and education to become self- to present their forests to tourists than to sufficient while at the same time guiding ruin them. tourists through the communities so they can learn about the Mayan culture. It is a “Together with our agricultural projects, the way of preserving indigenous knowledge communities have benefitted greatly and and culture through tourism that is already have begun improving the quality of sustainable on all fronts (TIES, 2012). their lives” says EcoQuetzal (2012). Where ecotourism might lack the motivation and knowledge to sustain a Not everywhere in the world do healthy and lively community, CBD can women have the same rights as men. take over. Ecotourism is often said to be Especially where they do not have these based on protecting the environment, equal rights, women have to be however it lacks the necessary social empowered. Women are often the ones dimension for true sustainable action (Liu, that make things happen, usually behind 2003). In contrast, CBD focusses entirely on the scenes. Without their commitment, it is the community, for which the environment difficult to accomplish the goal of is included in sustaining the community sustainable development (UN Divisions and its living grounds (Narayan, 1995). for Sustainable Development, 1992). With According to the principles of sustainable the full participation of women, a project development, local communities should be can be much more productive, because it is protected as much as the environment. performed by every member and within This is why, next to ecotourism, CBD is every layer of the community. needed to make sure that both In addition, the available know- environment and culture are equally ledge and creativity of indigenous people incorporated in tourism. should be used because they are the ones knowing their natural environment best. Instead of downgrading or erasing local II.II. Community based m cultures and villages for tourism, d development companies and nations should acknowledge the importance of local “People are entitled to a healthy and villagers and their valuable knowledge productive life in harmony with nature” about their surroundings to create (McKeown, 2002). situations that are beneficial for both tourists and villagers (TIES, 2014a). One example of successful cooperation is

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When used in a productive way, JOY has fulfilled three projects since CBD is a way to manage natural resources its start. Firstly, “The Beach Cops effectively, as well as a tool to provide the Programme” brought children together to community with basic infrastructure and clean the beaches in return for a free meal. social services (Narayan, 1995). By Furthermore “The Water and Sanitation teaching the communities the appropriate Project” accomplished the requirement of strategies to support community life, accessibility to water and sanitation as a changes in the implementing agencies crucial component of a healthy society by (technical, services etc.) need to be building toilets and a water tap. Finally, undertaken in order for these to become the project managed to finance books for more effective. These changes are often the local school and for families who difficult, as technical and educational couldn’t afford them in “Books for the personnel in developing countries are Lakka Primary School”. In 2010, JOY often reluctant or are lacking incentives for started working on constructing a nursery performance (Narayan, 1995). At this school and other education programs. The point, the help of NGOs to transform the organisation organizes fundraisings inter- agencies in a more effective way is nationally so that the current 35 children interesting, as it enables the communities who cannot afford going to school receive to remain independent from other nations. financial aid and obtain knowledge like the A perfect example of CBD is to be other children in Lakka (JOY, 2010). found in Lakka, Sierra Leone, where the “Peace, development and environmental organization “Joint Operation Youths” protection are interdependent and indivisible” (JOY) takes it as their responsibility to (McKeown, 2002). improve livelihoods and education quality for the young adults and children. JOY CBD is a model that has a conflict- was initiated in 2006 by a group of locals, sensitive approach to development, and now receives wide national and because the communities play a major role international help to complete several in prioritizing aid investments through projects on the improvement of health and open dialogue (Parks et al., 2013). Indeed, education in their community. The CBD does not merely provide the organization aims to receive funds and communities with basic infrastructure or assistance in the management of project resources, but also raises the importance of proposals originating from (and executed increased community-level dialogue and by) the Sierra Leonean community. democracy in decision-making or project According to the organization, education is planning, in order to generate important the most important ingredient of a healthy social benefits beyond the substantial society, and investing in it through outputs of the project (Parks et al., 2013). development work is a definite sustainable Three main benefits have been prevalent in approach for a better future (JOY, 2010). conflict-affected areas of the Philippines,

24 where development aid has been given (JOY, 2010). In case one of the three according to guidelines of CBD. Parks and elements of sustainable development is not his colleagues have shown in 2013 that pursued, the others cannot be CBD has helped to address a range of accomplished to the fullest (Scheyvens, challenges in conflict areas by improving 1999). For example, without development, the infrastructure and reduce economic there is little knowledge or means to deprivation. Second, they have proven that sustain an economy and with a degraded CBD restores confidence in these areas also environment, there is no development after the conflicts have stopped, by possible as there are no natural resources. increasing state-society relations through It is thus clear that community- education and job creation. Finally, based development is a method of local marginalized groups are included in the development completely detached from society by encouraging greater tourism, but can be incorporated into it. participation and collective action (Parks et Point taken, Lakka is a beach town that al., 2013). once was a popular tourist destination and Moreover, when looking at the with the recovery the country is going example of JOY in Sierra Leone and the through, it progressively attracts more previous principle, a steady education and tourists again. Therefore, it is interesting to knowledge on the correct use of resources involve tourism into effective development will enable a better life for the following of Sierra Leone. By combining ecotourism generations. Sierra Leone has since the late with CBD, we arrive at the phenomenon of eighteenth century experienced a long past Community Based Ecotourism. of conflicts, wars, coups and a long-lasting civil war from the early 1990s until early 2000s (BBC, 2015). The civil war destroyed II.III Community based most of the schools, and the living a ecotourism standards of most locals diminished considerably. Traumatized leaders, “In order to achieve sustainable development, upcoming rebel groups and economic environmental protection shall constitute an emergencies have destabilized the country integral part of the development process, and and made it dangerous for locals and cannot be considered in isolation from it. visitors, thus leaving the country without Eradicating poverty and reducing disparities in proper development. living standards in different parts of the world Nowadays, one of JOY’s primary are essential to achieve sustainable concerns is to maintain the peaceful development and meet the needs of the majority conditions that are predominant at the of people” (McKeown, 2002). moment, by educating the youth and developing the country in a way that provides jobs that are necessary for society

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Ecotourism organizations claim to local residents have incentives to be active assist local communities, either by in the project as local stakeholders, because employing locals or by aiding local they see their income grow exponentially projects, which benefits communities on all over time as tourism to Chi Phat increases aspects (Kiss, 2004). However, Kiss argues each year (Wildlife Alliance, 2015). The that adding the term ‘community-based’ villagers, who once depleted the into ecotourism implies going beyond environmental heritage of its resources in merely aiding communities, but actively order to survive from trade, are now involving communities in all actions employed as guides to lead the tourists (2004). The result of community-based through the abundant hiking trails through ecotourism strongly depends on how the jungles, waterfalls, rainforest and typical proposed objectives are interpreted by the cultural heritages. Additionally, the locals, and the degree of participation of villagers are employed to operate in the the local community. Where ecotourism guesthouses, transport services and stops at merely employing local workers restaurants (Wildlife Alliance, 2015). and thereby preventing extreme poverty, CBET strives for actually reducing “Development today must not undermine the disparities that exist in communities by development and environment needs of present involving them to the fullest in local and future generations” (McKeown, 2002). development (Kiss, 2004). The impoverished commune of Chi Community-based ecotourism is a Phat, Cambodia, was known for being a tool to conserve biodiversity, in order to hub for illegal logging and wildlife produce economic benefits for the local smuggling in the early twenty-first community (Kiss, 2004). Furthermore, century. However, the Cardamom Scheyvens notes that a community-based Mountains are abundant in resources and approach to ecotourism must recognize the thus the Wildlife Alliance intervened in necessity of promoting both the quality of 2007 to develop the communities in the life of people and the protection of mountains and provide these with a better resources simultaneously (1999). livelihood (Wildlife Alliance, 2015). With One of the aims in Chi Phat is to the optimistic economic prospects of protect the resources found in the area, natural resources and breath-taking and to create job and income opportunities landscapes, tourism was an opportunity to for the locals through CBET. This is made develop the region sustainably on both an possible by producing CBET activities and economic and cultural level. materials used for tourists as well as by Each place in the touristic site is providing adequate training for jobs and run by a committee of villagers that is improvements in the infrastructure and technically assisted and financially public facilities. Furthermore, a CBET supported by the Wildlife Alliance. The committee was established in which

26 members are elected to lead the To make tourism more sustainable, the management of the project, as well as internationally acknowledged principles of provide the locals with training in order to sustainable development were used as manage accounting and bookings to guidelines. After application of a selection further develop the system (Wildlife of concrete principles to tourism, it seems Alliance, 2015). as if CBET is a good step to take towards a The idea of sustainable develop- more sustainable form of tourism. Through ment implies the concern for both intra- CBET we found that the combination of generational and inter-generational equity ecotourism and CBD successfully inte- with respect to the use of resources is an grates the need for promoting environ- important part of the promotion of mental and cultural sustainability into sustainable development (Baker, 2006). tourism. Intra-generational equity refers to equity Ecotourism focuses on the conser- across the globe within the current vation of nature and culture both for the generation, while inter-generational equity present and future needs, hence it is involves the needs of future generations in beneficial both for the local community the design of current policies on equity and the environment as well as for the (Baker, 2006). tourists. By relying on the concept of The Wildlife Alliance (2015) states Community-Based Development, prom- that the first waste management system of oting local management of resources and Cambodia was developed in the area, and services creates long-term efficiency, that the local community, activated equity, empowerment and cost through the CBET programme, has taken effectiveness within the community. CBET action to check whether the economic coins both developments to create a form development does not put the of tourism that more adequately responds environmental protection at stake nor to the need for sustainable development in disrespects the environment in the long- tourism, thereby creating a proactive way term. By implementing waste and of implementing the principles of environmental protection policies, the sustainable development in local Wildlife Alliance is ensuring the security of communities. By ensuring future access to resources for the future generations to both human and natural resources, CBET come. With enough patience, CBET is thus simultaneously paves the path for more a long-term solution to make tourism more inclusive and economic sustainability. sustainable (Narayan, 1995). The concept of sustainability concerning the economy, society and the environment can bring about the needed III. Conclusion change in society, and thus has to be promoted and implemented in developing as well as developed countries.

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Community-based ecotourism offers hope Community-based ecotourism that the environmental responsibility promises to be an effective strategy for promoted by ecotourism and local combining tourism with sustainable empowerment brought by community- development. However, in order to based development can accomplish the improve upon sustainability in tourism, interests and vital needs of the receiving countries first have to be aware of the need communities. Still, CBET has limitations for more sustainability. Indeed, not all concerning local participation and external countries have sustainability on their involvement: finding the help needed to (political) agenda. Here the public and the make such a project possible should not media come in to ‘spread the message’ and hinder locals in creating businesses, nor help increasing the demand for more should it provide an opportunity to sustainable tourism when travelling. outside investors for exploiting the area. Growing economic power coupled with an As it remains a relatively new concept, increasing interest in sustainability might countries may be sceptical on the future it help to ensure a larger interest in promises. However, patience is required in sustainability measures, but there is still the process of CBET, because the work to be done, also in the field of investment in communities and tourism. In order to bring about such engagement of these communities takes change, a widespread promotion of time and money. sustainable development is an imperative step to take.

28 References

Adams, W. M. & Redford, K. H. (2009). Payment for the Philippines. The Asia Foundation. Retrieved Ecosystem Services and the Challenge of Saving 24.01.15 from Nature. Conservation Biology, 23(4), 785-787. http://asiafoundation.org/resources/pdfs/Comm Baker, S. (2006). The concept of Sustainable Development. In unitybasedDevinCAAofPhilippinesFeb2013.pdf D. Pepper (Ed.), Sustainable Development. pp. 17- Pigram, J. J. (1980). Environmental implications of tourism 48. Oxon: Routledge. development. Annals of Tourism Research, 7(4), BBC monitoring (2015). Sierra Leone Profile. Retrieved pp. 554-583. 19.01.2015 from Rainforest Action Network. (n.d.). Do Rainforests benefit http://www.bbc.com/news/world-africa- from Ecotourism? Retrieved 25.01.15 from 14094419 http://www.unesco.org/education/tlsf/mods/th Duraiappah, A. K. (1998). Poverty and Environmental eme_c/ Degradation: A Review and Analysis of the Nexus. mod16.html?panel=3#top World Development, 26(12), 2169-2179. Sarah, A. A. (2014). For more tolerance, we need more … EcoQuetzal. (2012). Ecotourism. Retrieved 25.01.15 from tourism? TED Talk. Retrieved 14.01.15 from http://ecoquetzal.org/ecotour.php http://www.ted.com/talks/aziz_abu_sarah_for_ Griggs, D., Stafford-smith, M., Gaffney, O., Rockström, J., more_tolerance_we_need_more_tourism?language Öhman, M. C., =en Shyamsundar, P., & Noble, I. (2013). Sustainable Scheyvens, R. (1999). Ecotourism and the empowerment of Development Goals for People and the Planet. local communities. Tourism management, 20(2), Nature, 495, pp. 305–307. Retrieved 22.01.15 from pp. 245-249. http://www.nature.com/nature/journal/v495/n7 Sustainable Travel International. (2015). The Effects Mass 441/full/495305a.html Tourism Has Had on Developing Joint Operation Youths (2010). JOY for Sierra Leone. Countries. Retrieved 25.01.15 from Retrieved 19.01.2015 from http://sustainabletravel.org/tourism-solutions- http://www.joyforsierraleone.org overview/for-travelers/before-you-travel/the- Kiss, A. (2004). Is Community-based ecotourism a good use effects-mass-tourism-has-had-on- of biodiversity conservation funds? Elsevier, 19(5), developing-countries/ 232-237. The International Ecotourism Society (TIES). (2012). Oxlajuj Liu, Z. (2003). Sustainable Tourism Development: A B'atz' Maya Women's Center: Empowering Critique. Journal of Sustainable Tourism, 11(6), Women, Inspiring Change. Retrieved 24.01.15 from 459-475 http://www. May, V. (1991). Tourism, environment and development: ecotourism.org/news/13-threads-maya-womens- Values, sustainability and stewardship. Tourism center-empowering- Management, 12(2), pp. 112-118. women-inspiring-change McKeown, R. (2002). Principles of Sustainable Development. The International Ecotourism Society (TIES). (2013). Tropic Education for Sustainable Development Toolkit. Journeys in Nature Opens Window on Huaorani Retrieved 13.01.15 from Indigenous People Threatened by Oil Interests in http://www.unep.org/training/programmes/Inst Amazon Rainforest. Retrieved 24.01.15 from ructor%20Version/Part_1/readings/Principles_%2 http://www.ecotourism.org/news/tropic- 0of_Sustainable_Development.pdf journeys-nature-ecuador-huaorani-indigenous- Narayan, D. (1995). Designing community based people-threatened-oil-interests-amazon development. The World Bank. Retrieved The International Ecotourism Society (TIES). (2014a). 06.01.2015 from Indigenous Knowledge. Retrieved 24.01.15 from https://openknowledge.worldbank.org/handle/1 http://www.ecotourism.org/indigenous- 0986/11662 knowledge Parks, T., Schuler, N., Chua, J., Magno, C. Johnson, K., The International Ecotourism Society (TIES). (2014b). Project Domado, H., & McCarthy, P., (2013). Community- summaries. Retrieved 25.01.15 from Based Development in Conflict-Affected Areas of http://www.ecotourism.org/project-summaries

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The International Ecotourism Society (TIES). (2015). What is Wildlife Alliance (2015). Community Based Ecotourism. Ecotourism? Retrieved 13.01.15 from Retrieved 19.01.2015 from http://www.ecotourism.org/what-is-ecotourism http://www.wildlifealliance.org/page/view/80/c Tourism Authority of Thailand, TAT (2013). Responsible ommunity-based-ecotourism.html Eco-Tourism and Marine Wnuk, Z. (2013). Ecotourism - Sustainable Development. Conservation in Phuket. Tourism Authority of Geography series Visnyk of the lviv University, Thailand Newsroom. Retrieved 19.01.2015 from 43(1), 107–118 http://www.tatnews.org/responsible-eco- World Tourism Organisation. (2000). Report of tourism-and-marine-conservation-in-phuket/ Multistakeholder Working Group on Tourism. United Nations Division for Sustainable Development. Retrieved 24.01.15 from (1992). United Nations Conference on Environment http://www.unesco.org/education/tlsf/mods/th & Development. Agenda 21. Retrieved 25.01.15 eme_c/mod16.html?panel=1#top from WWF International. (2001). Guidelines for community- https://sustainabledevelopment.un.org/content/ based ecotourism development. Retrieved documents/Agenda21.pdf 06.01.2014 from Wildlife Alliance (2014). Welcome to Chi Phat community- http://www.widecast.org/Resources/Docs/WWF based ecotourism. Retrieved 19.01.2015 from _2001_Community_Based_Ecotourism_Develop.pd http://www.chi-phat.org/Default.htm f

Maastricht University Journal of Sustainability Studies 2017

The Essence of Free Market Environmentalism: Protection through private property

Bill Wirtz Faculty of Law, Université de Lorraine [email protected]

Abstract In the 21st century, public policy actors are increasingly confronted with environmental questions that, as for now, have been solved through actions of state-control. This paper studies the theories and practicality of free market environmentalism and its fundamental difference with current regulatory systems. The research focuses on the conceptualisation of property rights by different economists and philosophers and seeks to illustrate how policies relying on a consistent defence of property rights or the absence of state actors altogether could indeed be beneficial.

The end of the 20th century has started to policy, yet there are a myriad of shape the importance that environ- approaches in the aspect of how to achieve mentalism plays in politics and public a drop in global temperature, less discourse, through the birth of powerful pollution or increased protection of NGO's such as Greenpeace or WWF, the endangered species. development of recycling practices, the Free-market environmentalism arrival of energy produced through (FME), a market approach to the protection alternative energy sources, the ever of the environment, is a lesser known way growing sensitivity towards endangered of tackling these issues, yet it is not only species, the emerging of environmentalist appealing in its radical approach, but also political parties or through political figures divergent in theory within itself. FME has such as Al Gore, the embrace of the a wide scholarly range that derives its political mainstream of environmentalist philosophy from the classical liberal policies. In the 21st century environ- movement, but divides into very differing mentalism is an integrated factor of public perceptions concerning its implimentation.

Maastricht University Journal of Sustainability Studies 2017

The liberal scholars, up until the school of climate change and pollution are "market modern anarcho-capitalism, disagree on failures" by the widespread journalistic matters such as taxation or the use of narrative. There is nonetheless a larger property rights, which makes the concept philosophy behind what makes the essence difficult to define. Only a few research of free market theories, which especially groups and think tanks, including the US- goes into the concept of property rights based Property and Environment Research and deep into economic theory. It Center (PERC) or the think tank Strata, promotes the study of spontaneous market both referenced in this paper, focus solely evolution contrary to political action. Over on FME in their policy research. The the course of its analysis, it is to be theories of liberal authors such as Friedrich immediately pointed out that essence of Hayek, Ronald Coase, Murray Rothbard, FME is not to advocate the absence of any Milton Friedman or Adam Smith, serve as intervention (or 'doing nothing'), but it the baseline for this research. rather says the actions of property rights In general terms, Free Market through the rule of law and market Environmentalism purports the idea that demands as driving factors for increased current environmental policy is deeply sustainability on environmental issues. mislead on the assumption that The primary question FME raises is government actions remidy the problems not “what” should be done, but “who” related to sustainable development. FME should do. FME should be understood as a suggests, as a general rule, that the current movement of scepticism towards state marketplace is overregulated and distorts interventionism and advocacy for private market prices, which contributes to the property rights, which can be either degradation of the environment. enforced in a state of limited government This paper will attempt to illustrate or be understood as concept adhering to the different theories relating to Free the non-aggression principle (aggression Market Environmentalism, to analyise its including the violation of the property of application in practice. another individual). What is commonly identified as a market failure would be argued by I. A counter-intuitive advocates of FME to be failures of the concept regulatory state. There is, therefore, not only fundamental disagreement on the

solution to the problem, but also on the At the sound of hearing "free market identification of its cause. environmentalism" (FME), there is a certain tendency to suggest that we are dealing with an oxymoron. A major contributor to this is the notion that

32 II. Theoretic bases corruption within the judiciary, and the ability of individuals and businesses to enforce

contracts." (Heritage Foundation, 2016) This section will explore the different theoretical approaches that exist inside the Property rights are an essential concept of Free Market Environmentalism. good in the striving for free-market It needs to be noted that these theories can environmentalism, since they influ- be in contradiction with each other – for ence human behaviour through the chan- instance, those arguing for the existence of ging perception of responsibility. The government to implement authorities able fundamental claim is that individuals hold to protect private property rights and those their own property, when it is protected by refuting that state institutions are government, as a higher good than their necessary to reach their goals – without fear of regulatory sanctions. This is negating the general idea that the concept illustrated in the divide between public of individual ownership serves as a property and private property. For protection for the environment. instance, this phenomenon comes to light In general terms, all of the when looking at the water consumption of proponents of these theories can be flat buildings. It is difficult to encourage identified as “libertarians”, with water efficiency through price signals (The distinctions between those who believe Atlantic, 2011), since owners and renter of that state institutions need to be reformed multi-flat buildings do not actually pay or reduced and those believing that state their very own consumption. Instead, the institutions are not only unnecessary but water consumption is divided between all also counterproductive. the tenants. An OECD report (OECD, 1999-

2000) found that two-thirds of OECD 2.1 Property rights and the rule of law member states meter more than 90% of The Heritage Foundation defines property single-family houses, yet for flat buildings rights as follows: the report only mentions "a few a metered".

There is evidence supporting that "The property rights component is an individual metering of water reduces assessment of the ability of individuals to overall water consumption. In the United accumulate private property, secured by clear Kingdom, a study (Lis Stedman, 2006) laws that are fully enforced by the state. It shows an instant drop of 10%, while the measures the degree to which a country’s laws 1993 German tap water report protect private property rights and the degree (Trinkwasserversorgung in Deutschland, to which its government enforces those laws. It 1993) shows a difference of an 18% lower also assesses the likelihood that private property consumption compared to flats that were will be expropriated and analyzes the not metered. This situation is comparable independence of the judiciary, the existence of to nature of public property, since it

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follows the principle of collectivism/ to best illustrate economic efficiency and common ownership. The critique of FME allocation of resources on the marketplace towards this collective ownership is the when confronted with external factors, all loss of individual responsibility, a void in the absence of regulation. Apart from which then has to be filled with regulation. the assumption of the existence of clearly The American Property and Environment defined property rights, Coase did not Research Center (PERC), a research suggest a solution to the confrontation of institute dedicated to study of FME, externalities, he merely observed that if describes to advantageous nature of confronted with the latter, and as long as property rights as follows (PERC, 2016): the problem is reciprocal to conflicting parties, the marketplace would find the "Property rights make the environment an most efficient solution. asset rather than a liability by giving owners The Ronald Coase Institute an incentive for stewardship." develops the concept in his theorem as follows (Ronald Coase Institute, 2016): The defence of property rights demands the existence of the rule of law, a "Coase further suggested that, if transaction justice system ready to establish property costs were zero, then it would not matter which and that punishes its violation. If the use of of the affected parties were found to be legally property rights is not based on proper liable for a social cost, since they could consent and they are in themselves not costlessly negotiate agreements to maximize easily transferable, this would negate the their wealth; and the right to use property, concept of property rights as such and be make noise, or pollute would end up in the contrary to FME (Richard L. Stroup, 2016). hands of the one who values the right the Without the existence of the rule of law most." and its implication of force, restricting the arbitrary use of power (Oxford Online Coase famously illustrated his Dictionary, 2016), property rights would theory on the regulation of radio be a mere philosophical concept that frequencies. In his counter-intuitive would have to be generally accepted argument he suggested that a situation in before it could be established. Illustrations which competing radio stations are trying of the importance for the rule of law will to use the exact same radio frequency, no be given in FME in practice chapter. governmental regulation was needed and that in contrary, competing interests would 2.2 Coase Theorem find the most efficient outcome. As long as The British Nobel Prize-winning economist property rights were in use, the radio and author Ronald Coase (1910-2013), also station that is able to accumulate the known for his works on transaction cost highest amount of value out of the use of analysis, developed this theorem in order the frequency will end up paying for its

34 use, even if it was owned by a different 2.3 Rothbardian anarchism station at the time. Coase opposes resource Murray N. Rothbard (1926-1995) was an allocation in its classic economic economist, historian and political theorist perspective between central planning who is at the philosophical heart and spontaneous market order. of anarcho-capitalism. This belief system It needs to be said nonetheless that rejects the concept of a state, generally out Coase recognised that it is impossible to of moral objection, and praises the wind back time, so that initial allocation of effectiveness of peaceful interaction property rights by a governmental between individuals and the guiding hand institution cannot be ignored. The of free markets. Although anarcho- transaction cost must therefore encompass capitalism rejects environmental the "head-start" of the station that the regulations by government by principle, it frequency was given to. does answer nonetheless to environmental In summary, the Coase theorem policy. To understand a Rothbardian seeks companies to internalise externalities interpretation of FME (although Rothbard to its absolute maximum. How does this did notably reject the term of "free market apply to environmentalism? environmentalism"), it needs to be pointed The same principle that applied to out that its proponents define property the example of radio frequencies also differently. applies to environmental externalities. If Rothbardians follow the Labour property rights work identically on factors Theory of Appropriation of John Locke. such as pollution, then pollution - as a Locke establishes property through usage result of the production of goods - and declares the possibility to live on an becomes a liability, a negative externality, own property a natural right. For natural that a company has take into account. law theorists, a declaration of property (for Under these circumstances, actors on the instance through fencing off a piece of marketplace need to negotiate, and thereby land) is meaningless. They believe that internalise these externalities. Supporters individuals own themselves and their own of this theorem as a solution to body, which makes them legitimate environmental problem believe that priv- property holders of their own labour. As ate ownership is the most effective long as an individual utilises a piece of protector of the environment, provided land for his own self-interest by actively ownership is transferable and backed by putting labour into it, he is capable of courts that make people liable when their calling this natural resource his homestead pollutants invade the person or property of property. Rothbardians adhere to this others. concept of self-ownership, however reject Further illustrations on the exam-ples of the concept of the Lockean proviso. The pollution will be given in the chapter FME idea of the Lockean proviso, developed by in practice. the American philosopher Robert Nozick

Maastricht University Journal of Sustainability Studies 2017

(1938-2002), is that the conversion from sulfur oxides—through the air and into the public property into private property lungs of innocent victims, as well as onto their included a moral sense of responsibility: material property. All such emanations which the act of claiming property cannot make injure person or property constitute aggression another individual worse off. against the private property of the victims. Air This minimalist view on the accumulation pollution, after all, is just as much aggression of wealth calls for a certain scepticism in as committing arson against another’s property the realm of free-market thinkers. or injuring him physically. Air pollution that Columnist Matt Zwolinski writes about injures others is aggression pure and simple." this : Anarcho-capitalism therefore takes "This “Lockean proviso” has been thought by a radical position on the question of many to be difficult, if not impossible, to meet. pollution, since it considers it to be in How could any act of appropriation leave as violation with the non-aggression princ- much and as good for others, when natural iple (NAP). The NAP rejects all forms of resources are finite?" (Matt Zwolinski, 2013) coercion and that no form of aggression can ever be justified, which leads its Murray Rothbard rejected the supporters to reject to concept of a state. Lockean proviso in the absence of The radical position of Rothbardian knowledge of how to allocate resources for anarchism on environmental damage has people's good (David Gordon, 2007). been criticised (Ryan McMaken, 2016) for Rothbard also criticised Nozick's view on being too unforgiving and of lacking the compensation, refuting that the act of support of clear definitions when it comes compensating a liability justifies the prior to the quantification of environmental violation of a right (Murray N. Rothbard, damage and its origins. 1982). Here's where anarcho-capitalism parts ways with different other theories: 2.4 Reformed tax systems – while asserting the importance of property Geolibertarianism rights for the allocation of resources, The geolibertarian philosophy is con- Rothbardians are consistent consequential vergent with classical liberalism and is not when it comes to immediate pollution as a inherently tied to free market environ- committed damage. Murray Rothbard mentalism by its interpretation of property admitted in his 1973 book For A New rights. Although geolibertarians, like all Liberty that pollution is a private property libertarians, believe in the concept of self- violation (Murray N. Rothbard, 1973): ownership, that one is the property holder of one's body and therefore holds "The vital fact about air pollution is that the legitimate ownership of the fruits of one's polluter sends unwanted and unbidden labour, they refute that occupation of pollutants—from smoke to nuclear fallout to resources (such as land) for the

36 accumulation of wealth makes these odds with certain aspects of most FME resources individual property. They theories, the collective vision of property believe instead that the planet is a common only applies to natural law, as it did for heritage that should be accessed by John Locke. Furthermore, this perception everyone equally under the law. leads geolibertarians to favour centralised Geolibertarians suggest to reform repercussions to the act of polluting, the tax system in order to incentivise through favouring so called Pigouvian environmental protection, without being taxes opposed to the general concept of free markets. They uphold the concept of land "Pigouvian taxes, named after Arthur C. value taxation (LVT). LVT taxes Pigou, a renowned English economist from the unimproved land value (meaning the early 20th century, are designed to correct value of the land without the what economists call "market failures" or improvements made through human "negative externalities" that impose spillover action, such as the construction of a house), costs on society, such as pollution". and redistributes the so called Citizen's (Tax Foundation, 2016): Dividend. This policy is known as the oldest existing basic income proposal, Unlike other collectivist philo-sophies, dating back to 483 BC (Wordsworth, 1996), geolibertarianism only applies Pigouvian when a silver deposit was found in the taxes to environmental exter-nalities such village of Laureium near Athens in Greece. as pollution or the extraction of natural The Athenian leader Themistocles resources. convinced the local population to invest the revenue from this deposit in a large 2.5 Altruistic market demands fleet. This proposal was opposed to the Outside of established theories, there is a idea of the statesman Aristides who point to be made about market demands. wanted to share the dividend from the Microeconomics teaches that individuals mine (10 drachmas each) equally among follow a certain rational of a cost-benefit the population, as a basic income. analysis. However, the charitable aspect of As a proponent of the Lockean consumption cannot be ignored: there is proviso, Geolibertarianism rejects the for instance a higher demand in accumulation of landmass by individuals environmental labelling (so called eco- and therefore encourages taxation as a labelling), than there was before. In order means to come closer to a level playing to illustrate this phenomenon, we’ll take a field. In this instance the LVT is a mere look at the Global Eco-Labelling Network concession issued by the general public for (GEN), a non-profit association dedicated the use of the individual piece of land, to fostering cooperation between different which negates the concept of private eco-labels, promoting the practices of these property. In this philosophy, which is at labels and encouraging the consumption of

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sustainable products. Groups like these than double in the period between 2006 to show how market transparency for the 2016. consumer can be a result of voluntary This development is indicative of a cooperation. The GEN differentiates today conscious of environmental protection between three types of labelling among the general population, which does established by the International Organ- not necessate governmental control. ization for Standardisation (ISO) (Global Labelling Network, 2016): III. FME in practice TYPE I: A voluntary, multiple-criteria based, third 3.1 Pollution party program that awards a license that In order to uphold the spirit of FME, authorises the use of environmental labels private property rights need to be upheld, on products indicating overall environ- which is only possible through the rule of mental preferability of a product within a law, thus an effective court system. In particular product category based on life practice, and paired with the definition of cycle considerations. FME being that negative externalities become a liability, it means that in the case TYPE II: of pollution, individuals can sue Informative environmental self-declaration- companies and other individuals for the claims. pollution they committed. In an article for the Cato Institute, Fred L. Smith Jr., and TYPE III: Kent Jeffreys describe this situation as Voluntary programs that provide such: quantified environmental data of a product, under pre-set categories of "Pollution is generally some form of waste, but parameters set by a qualified third party even if pollution were unavoidable in certain and based on life cycle assessment, and manufacturing processes, strongly enforced verified by that or another qualified third property rights would force polluters to either party. clean up or close shop. By definition, pollution The demand for these labels for the is a trespass against someone's property or purposes of consumer transparency has person. If the trespass is so minor that it creates been continuously increasing. This trend no impact or inconvenience for the property has been especially visible for organic owner, it will normally be tolerated, even under products. A study by the Organic common law rules." (Fred L. Smith, Jr., & Trade Association (OTA) has found Kent Jeffreys, 2016) (Organic Trade Association, 2016) the expenditure on organic foods per One example of practicing this household (in the United States) to more respect for property rights leads to the

38 inevitable conclusion that the principle internalise externalities: they would ask that the polluter should pay for his the question which additional cost do I pollution is correct. This can effectively be bear for either choice? If it were indeed implemented for instance through the true that plastic bags are more difficult to privatisation of motorways. If we presume dispose than paper bags (which by the the motorway is owned by a private pure nature of this illustration, and the company, then this company will be liable marketplace as such, does not play any to the neighbouring landowners' loss of role), then consumers on all ends would be land value due to pollution and noise. incentivised to opt for the paper bag. Here Compensating those liabilities will be is where the invisiable hand of the costly, and the owner of the motorway will marketplace leads consumers to make proceed to levy this burden on the sustainable choices. consumer, who are the initial polluters. This leads to the conclusion that there will 3.2 Endangered species be major incentives to not make use of a When it comes to the protection of car, since its negative externality has to be endangered species, free-market taken into account. environmentalism draws out the effect of Another effective illustration of this economic incentives. The question asked phenomenon would be the privatisation of must therefore be: what incentivises locals waste disposal. Without looking into the to protect animals they otherwise would question if it is paper or plastic bags in have no interest in whatsoever? FME tries supermarkets that is the harmful choice for to shift the incentive away from escaping a the environment, let us assume that both governmental sanction by leaving these cost the exact same price. Under this animals alone, to a positive and lucrative premise, the market demand will be equal incentive to protect them. for both bags, since it will merely depend A specific example of the effects that on the personal preference of the the rule of the marketplace has on consumer, since he does not carry a endangered species can be seen with exotic heavier cost for one of them. This situation wildlife animals such as the rhinoceros or emerges when waste disposal is run by lions in Africa. There is a consistent public government, since the disposal of either outrage about trophy hunting, meaning bag bears the same cost as well in terms of the act of shooting rare animals for sport. what is charged. The question whether or The Humane Society defines trophy not it is more difficult or not to dispose a hunting as such: plastic bag or a paper bag is never asked, since waste disposal is collectivised. "Trophy hunting is defined as killing wild If we would now assume that waste animals for their body parts, such as head and disposal was a private service, then hide, for display but not primarily for food or consumers and companies would sustenance." (Humane Society, 2016)

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This hunting sport has gotten The author and libertarian increasingly popular over the years. As economist Walter Block (Walter Block, National Geographic reports in 2016, these 2016) described further illustrations in a hunters imported more than 1.26 million lecture for the Australian Mises Seminar trophies to the United States between the (Walter Block, 2013). In fact, Block talks years 2015 and 2014, which is an average about the specific privatisation of animals of 126,000 trophy imports a year, or 345 a on a large scale. With the inquiry: "How day (National Geographic, 2016). come the bison came close to extinction, Trophy hunting however is not the yet there is still cattle?", Block explains the reason for why these species are incentive of protection of animals if they endangered in the first place, they suffer are private property. This is the so-called considerably more form loss of habitat and Tragedy of the Commons. This poaching (Scientific American, 2016; phenomenon is being defined as: PoachingFacts, 2016). In the case of loss of habitat, the endangered animals are driven "Archetypical social phenomenon where an out due to agricultural expansion for the attempt to exploit others (or 'the system') in harvesting of timber, wood or fuel (WWF, one way or the other eventually turns out to be 2016). self-defeating.” (Business Dictionary, 2016) In accordance with FME, the local population can be incentivised econom- Bison were considered as wildlife ically to protect these animals. In fact, in that did not have a specific owner, so in Namibia, the revenue from trophy hunting order to maximise profit, people would is the main revenue source for the funding hunt as many of them as possible, which of wildlife conservancies (Biological ultimately drove them extinct. Cattle on Consevation, 2007) and in South Africa the other hand were privatised, so killing trophy hunting reportedly incentivised cows that were not wild created a liability locals to give rhinoceros' land to live on and a situation of violation of property, and to protect them form poachers since they belonged to someone else. This (Conservation Magazine, 2015). This system has not only protected cows from evolution has led the number of existing becoming extinct, it made it an incredible rhinoceros to jump from 100 in 1916 to numerous animal that is harvested in over 18,000 today (World Wildlife Fund, multiple manners by modern agriculture. 2016). According to South Africa’s Others, such as Peter J. Hill (PERC Department of Environmental Affairs the research), have concluded that the near total revenue from trophy hunting was extinction of the bison was due to the close to R807 million (52.3 million euros) in increasing demand in land for cattle, 2012 and just over R1 billion (64.8 million which proceeded to deprive them of their euros) in 2013 (South Africa Department of natural habitat. In his publication Are All Environmental Affairs, 2012, 2013). Commons Tragedies? The Case Of Bison In

40 The Nineteenth Century (P.J. Hill, 2014), petrol costs for their vehicules. Evidently Hill explains that even though property so, the volatility of the petroleum market rights in the open prairies were not well has also fostered the development of defined for the bison, there is no reason to electrical cars. believe that the tragedy of the commons If, on the contrary, governmental applies. He claims that the bison is simply institutions were to overtax carbon not a valuable ressource, and there the emissions to a degree that the usage of a establishment of rights for bison was vehicule becomes a questionable invest- deemed unnecessary. ment for the consumer, then the lower demand will manifestly hamper 3.3 Innovation innovation. This leads to the conclusion The underlying concept of all FME that in order to innovate in the sector of thinkers is the belief of the inability of sustainable development, the exact knowing the future, being opposed to products that today are considered to be what Nobel-prize winning economist harmful for the environment necessitate an Friedrich A. Hayek (1899-1992) called the increased demand. pretence of knowledge. They believe that future innovation is unpredictable, yet that its historical trend has only been positive IV. Critique on the current in the sense of sustainability. Indeed, centralized regulatory despite the dramatic population growth and therefore increased energy consu- system mption, many everyday devices turn out to improve significantly over time. A 4.1 The failure of market socialism notable example to this is the historical F.A. Hayek's pretence of knowledge applies to economics, the environment or public evolution of fuel economy in cars: in policy in general. He wrote in “The Fatal statistics (EPA, 2011) published by the US Conceit”: Environmental Protection Agency (Pew Charitable Trusts, 2011) show that fuel "The curious task of economics is to economy has dramatically increased since demonstrate to men how little they really know 1975, rising from about 10 MPG (miles per about what they imagine they can design." gallon) to over 30 MPG until 2010. Free-market environmentalist issue Although the agency might suggest the same critique towards the regulatory that these changes are due to system we are momentarily in. They environmental protection regulation and presume that knowledge about how to carbon tax measures, more needs to be best preserve the environment cannot said: companies are, by nature, incenti- possibly lie in a political bureau, it is vised to produce cars with a higher fuel spread among all individuals. The same way that economic intervention creates economy, since consumers demand lower

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malinvestments, government institutions while individuals cannot act themselves on unintentionally create wrong incentives the pollution of their property by someone and hamper economic growth. else. Allowing a court system to act upon Regardless of the nomenclature liabilities would, according to FME employed by market socialism, the goal thinkers, significantly reduce pollution. remains the same: directing human behavior through state action. The presumption that advocates of state V. Conclusion intervention defend is that individuals cannot possess the necessary knowledge Environmental protection is undoubtedly and make "wrong choices". FME advocates one of the main challenges of the 21st tend to respond that if the concern that century. This paper investigates the individuals fail to make the right choices is incentives created through the marketplace legitimate, then transferring the power of in the absence of centralised state decision-making from some individuals to regulation, how inducing personal a group of individuals now called responsibility through private property government is inherently counter- helps to protect the environment, or the productive. FME rejects the notion that absence of state actors altogether fosters environmental solution can ever be sustainable development. Some FME directed through centralised control. A report by the Utah-based policy research thinkers purport the idea that if environmental protection includes the group Strata explained this phenomenon protection of property rights through the as such: rule of law, then we can expect significant

reduction of pollution and increased “Unintended consequences easily arise from sustainable development over time. Others even the most well-inetnioned policies. When reject the idea the the state is needed, and making policies, government officials cannot know all relevant information or foresee all that a society based on voluntary exchanges between consenting individuals is possible outcomes. Even with large numbers of essential for behaviour that leads to well-educated advisors, policymakers can still sustainable development. In general terms, pass flawed laws that impose unintended Free market environmentalism refuses the economic or environmental harm.” concept of the pretence of knowledge and (Strata, 2016) recognises that the competencies regarding

environmental protection lie in each and 4.2 Easement of significant pollution every individual. Free-market environmentalists criticise This inability to define FME as a furthermore that unlike the pretended defined school of thought is a weakness defence of the environment, current environmentalists fail to punish significant when it comes to identifying its proponents, but it simultaneously excludes pollution. By denying the concept of it being a mere theory used for policy property rights and therefore regarding advocacy. In fact, the deregulation that it polluting someone else's private property supports would not support corporate as trespassing, state-environmentalists rely interests, but could, depending on the solely on the sanctioning of legislation, all model that would be implemented, even

42 be harsher on businesses and individuals of acting on environmental issues is attempting to disregard the environmental widespread, yet FME is still differing on costs of their actions, by making them bear the fundamental question regarding the full costs they brought on other property. This can be perceived as individuals through hurting them or their discrediting and exclude FME advocates private property. from the discussion on urgent environ- The fact that property rights stand mental policies. at the core of the FME-argument is not Nonetheless, despite the views problematic, yet the fact that the thinkers expressed in FME, which are off the disagree on how to make private property mainstream, it provides a necessary rights respected, be that through state incentive for policy makers to take a step institutions or through the non-aggression back and re-evaluate if current policies are principle as a moral value held by effective not only on their intentions, but indidviduals can be regarded as pre- also on their results. carious. The feeling of urgency on the issue

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Biological Conservation. 2007. Economic and conservation nationalgeographic.com. [ONLINE] Available at: significance of the trophy hunting industry in sub- http://news.nationalgeographic.com/2016/02/16 Saharan Africa. [ONLINE] Available at: 0206-American-trophy-hunting-wildlife- http://www.africanwildlifeconservationfund.org/ conservation/ [Accessed 6 October 2016]. wp-content/uploads/2011/09/ Economic-and- OECD. 1999-2000. The OECD Enviroment Program, The conservation-significance.pdf [Accessed 6 October Price of Water : Trends in OECD Countries. 2016]. Organic Trade Association. 2016. ota.com. [ONLINE] Business Dictionary. 2016. businessdictionary.com. Available at: [ONLINE] Available at: https://www.ota.com/resources/market-analysis http://www.businessdictionary.com/definition/tr [Accessed 6 October 2016]. agedy-of-the-commons.html [Accessed 6 October Oxford Online Dictionary. 2016. oxforddictionaries.com. 2016]. [ONLINE] Available at: Conservation Magazine. 2015. Spring 2015. https://en.oxforddictionaries.com/definition/rule David Gordon. 2007. The History of Political Philosophy: _of_law [Accessed 6 October 2016]. From Plato to Rothbard, June 9th, 2007. PERC (Property and Environment Research Center). 2016. EPA. 2011. epa.gov. Data & Testing [ONLINE] Available at: perc.org. [ONLINE] Available at : https://www3.epa.gov/fueleconomy/data.htm http://www.perc.org/about-perc/free-market- [Accessed 6 October 2016]. environmentalism [Accessed 6 October 2016]. Fred L. Smith, Jr., & Kent Jeffreys. 2016. A Free-Market Pew Charitable Trusts. 2011. pewtrusts.org. Driving to 54.5 Environmental Vision. cato.org. [ONLINE] MPG : The History of Fuel Economy. [ONLINE] Available at: Available at: http://www.cato.org/pubs/chapters/marlib23.ht http://www.pewtrusts.org/en/research-and- ml [Accessed 6 October 2016]. analysis/fact-sheets/2011/04/20/driving-to-545- Global Ecolabelling Network. 2016. globalecolabelling.net. mpg-the-history-of-fuel-economy [Accessed 6 [ONLINE] Available at: October 2016]. http://www.globalecolabelling.net/what-is-eco- P.J. Hill. 2014. independent.org. Are All Commons labelling/ [Accessed 6 October 2016]. Tragedies? The Case of Bison in the Nineteenth Heritage Foundation. 2016. 2016 Index of Economic Century. [ONLINE] Available at : Freedom. heritage.org. [ONLINE] Available at: http://www.independent.org/publications/tir/ar http://www.heritage.org/index/property-rights ticle.asp?a=984 [Accessed 20 October 2016] [Accessed 6 October 2016]. PoachingFacts. 2016. poachingfacts.com. [ONLINE] Humane Society. 2016. February 2016. Trophy Hunting by Available at: the Numbers. http://www.poachingfacts.com/poaching- Lis Stedman. 2006. Motivations for metering, Water 21, The statistics/rhino-poaching-statistics/ [Accessed 6 Magazine of the International Water Association, October 2016]. April 2006, p. 26-28. Richard L. Stroup. 2016. Free-Market Environmentalism. Matt Zwolinski. 2013. libertarianism.org. Locke and Nozick econlib.org. [ONLINE] Available at: on the Justification of Property, February 18th, http://www.econlib.org/library/Enc/FreeMarket 2013. [ONLINE] Available at : Environmentalism.html [Accessed 6 October 2016]. http://www.libertarianism.org/blog/locke- Ronald Coase Institute. 2016. coase.org. [ONLINE] nozick-justification-property [Accessed 6 October Available at: 2016]. https://www.coase.org/coaseretrospective.htm Murray N. Rothbard. 1973. For A New Liberty : The [Accessed 6 October 2016]. Libertarian Manifesto. Ryan McMaken. 2016. mises.org. Are Libertarians Too Anti- Murray N. Rothbard. 1982. The Ethics of Liberty. Pollution ? [ONLINE] Available at: National Geographic. 2016. Hard Numbers Reveal Scale of https://mises.org/blog/are-libertarians-too-anti- America’s Trophy-Hunting Habit. pollution. [Accessed 6 October 2016].

44 Scientific American. 2016. 2015 : Deadliest Year Ever for The Atlantic. 2011. theatlanctic.com. The Simple Gadget Rhinos. scientificamerican.com. [ONLINE] That Could Slash Apartment Buildings' Water Use Available at: [ONLINE] Available at : https://blogs.scientificamerican.com/extinction- http://www.theatlantic.com/technology/archive countdown/2015-deadliest-rhinos/ [Accessed 6 /2011/11/the-simple-gadget-that-could-slash- October 2016]. apartment-buildings-water-use/247965/ [Accessed South Africa Department of Environmental Affairs. 2012. 6 October 2016]. 2013. africacheck.org. [ONLINE] Available at : Trinkwasserversorgung in Deutschland. 1993. DIW- https://africacheck.org/wp- Wochenbericht 39/1993. content/uploads/2015/09/Annexure-1-2012- Walter Block. 2013. mises.org. Walter Block: Free Market Trophy-stats-5-August-2015.xls & Environmentalism. [ONLINE] Available at : https://africacheck.org/wp- https://mises.org/blog/walter-block-free-market- content/uploads/2015/09/Annexure-2-2013- environmentalism [Accessed 6 October 2016]. Trophy-stats-5-August-2015.xlsx [Accessed 6 Walter Block. 2016. walterblock.com. [ONLINE] Available October 2016]. at: http://www.walterblock.com/about/ Strata. 2016. strata.org. How Good Intentions Backfire : [Accessed 6 October 2016]. Negative Effects Of Federal Environmental Wordsworth. 1996. ancientgreekbattles.net. [ONLINE] Policies. [ONLINE] Available at: Available at: http://www.strata.org/goodintentions/ www.ancientgreekbattles.net/Pages/48350_Laurio [Accessed 20 October 2016] nMine.htm [Accessed 6 October 2016]. Tax Foundation. 2016. taxfoundation.org. [ONLINE] World Wildlife Fund. 2016. Available at : http://taxfoundation.org/tax- WWF. 2016. Impact of Habitat Loss on Species. topics/environmental-policy-and-pigouvian- wwf.panda.org. [ONLINE] Available at: taxation [Accessed 6 October 2016]. http://wwf.panda.org/about_our_earth/species/ problems/habitat_loss_degradation/ [Accessed 6 October 2016].

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NAFTA and TPP: Comparing Imaginaries of Sustainability

David Maull Harvard Summer School, Freiburg, Germany [email protected]

Abstract Debates about new free-trade agreements provide various societal actors with opportunities to communicate their visions of sustainable futures. This paper analyses the development of US environmental groups’ imaginaries of sustainability from discussions around the North American Free Trade Agreement in the 1990s to current debates about the Transpacific Partnership. Using a qualitative Science and Technology studies approach, it examines statements, ‘fact sheets’, and reports published by environmental groups for (changing) patterns of mutually held visions of desirable futures in these two, isolated free-trade debates. The paper concludes that while argumentative continuity can be detected in the imagining of sustainability as an inclusive democratic concept, claims made against TPP increasingly focused on exclusively national concerns, the intrinsic value of nature, and the compatibility of economic growth with environmental protection.

As the heated debates around the the Right. In this regard, the selection of Transpacific Partnership (TPP) and the Donald Trump as the presidential nominee Transatlantic Trade and Investment of a US Republican Party that was until Partnership (TTIP) have indicated, recently an ardent supporter of free trade negotiations of free-trade agreements was at least as astounding as the United (FTA) provide special occasions for a Kingdom deciding to leave the European variety of actors from the political, Union on a platform of isolationism and economic, and social sphere to debate protectionism. At a general level, these crucial social issues. In recent years, the developments indicate that FTAs often liberal consensus that free trade is to be offer windows of opportunity for different supported has increasingly come under actors to assert visions and conceptions of attack not just from the Left, but also from desirable futures.

46 This paper aims to examine the field compatibility of sustainability with of environmental politics and sustain- economic growth. ability as one of the areas in which such visions are often asserted. Specifically, its goal is to trace and understand the I. Terminology and differences of public visions for Method sustainability between two isolated free- trade debates: the North American Free As this essay aims to compare imaginaries Trade Agreement (NAFTA), concluded in of sustainability of a particular set of US 1994, and the Trans-Pacific Partnership environmental organizations, it is only completed roughly twenty years later. In fitting to first define the term imaginaries this, it will not be concerned with the itself. For the purpose of this essay and ‘official’ governmental interpretation of the following Jasanoff (2015, p.4), imaginaries agreements, but will examine the change are taken to be collectively held visions of in imaginaries of sustainability of grass- desirable futures, animated by shared roots environmental organizations understandings of forms of social life and opposed to both NAFTA and TPP; in social order. As in Jasanoff’s piece, the particular, Friends of the Earth (FOE) and focus will be on the desirability of certain the Sierra Club (SC). It is thus interested in environmental measures and free-trade the ‘excluded’ voices and the ‘losers’ of the policies in relation to their sustainability. free trade debates. Although touching upon technological Following this introduction and a issues at its margin, this essay will shed brief note on methodology, the essay will Jasanoff’s focus on sociotechnical first proceed to an examination of the imaginaries, however, and be primarily opponents’ statements made on NAFTA concerned with the general character of the and before moving to an analysis of the groups’ imaginaries of sustainability. debates around the TPP. Thereafter, it will In regards to methodology, while compare the imaginaries of sustainability relying more on secondary sources and emerging from these two debates and newspaper articles for an analysis of the briefly conclude with some implications of debates around the NAFTA, the essay will the results. The paper finds that in both primarily use publications by environ- discourses sustainability was imagined to mental organizations themselves, such as be an inclusive concept ensuring citizens’ ‘fact sheets’ and ‘reports’, as material for overall well-being in a democratically examining imaginaries of sustainability in accountable manner. Where TPP debates the TPP disputes. This incongruence in the depart from NAFTA controversies is in type of sources can, of course, be seen as a their increased emphasis on the intrinsic limitation to the findings of this essay: value of nature, their stressing of the Secondary sources may have wrongly national interest, and their assurance of the

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interpreted some of the original arguments American border region; and, third, the made about the NAFTA and some Mexican interior turning into a pollution inductive reasoning is required for the haven. discourse analysis on TPP due to the First, in regards to US standards, paucity of relevant academic sources. Yet, participation and transparency, opponents the following comparison is still asserted that the planned investor-state sufficiently grounded in historical settlement mechanism would undermine evidence to draw conclusions about US environmental protection laws and conceptualizations of sustainability of standards (NYT, 1993). The argument some of the opponents of the two free- against private investment tribunals trade agreements. coincided with a fear of corporations posing a danger to democracy and the environment. It was also related to long- II. Environmental standing demands for responsible business organizations and their behavior and the general implementation of the ‘polluter-pays’ principle (Dreiling & opposition to NAFTA Wolf, 2001, p.43; Durbin, 1993). Against the backdrop of skepticism towards corpor- The NAFTA was used by environmental ations, the lack of transparency and citizen organizations to launch a successful oversight in the negotiations and in the attempt at shaping trade policy, once the implementation of the NAFTA was very epitome of reclusive and sovereign criticized (Gregory, 1992, p.172). In a policy areas (Mumme, 1993, p.215). For the hearing before the House Subcommittee on first time, these groups not only formed Trade, Friends of the Earth, for instance, cross-national networks (e.g. between the demanded a more representative process US and Mexico), but also became active and more public participation (Durbin, participants in trade policy (Gregory, 1992, 1993). These demands to uphold legal p.104). While many US environmental standards and ensure broad public organizations eventually came to support participation reflect the domestic agenda NAFTA and its environmental side that US environmental organizations op- agreement NAEEC, strong opposition posed to the NAFTA pursued at the time. remained especially among grass-roots Secondly, these groups were also organizations, such as the Sierra Club and concerned with the cross-national issues of Friends of the Earth. Broadly speaking, hazardous waste disposal and industrial these critics of NAFTA were concerned pollution and the ensuing threat to public with three issue areas: first, public health in the Mexican-American border participation, transparency, and the region. The fear of trade-induced growth upholding of US standards; second, public of excessively dirty maquiladora industries health and pollution in the Mexican- on the border was primarily expressed in

48 terms of its threat to the health of citizens to improve social and environmental in the area and not so much in terms of the conditions for their neighbors. danger to the environment itself (Durbin, In sum, the NAFTA’s opponents’ 1993; Fox, 1995, p.52). Skepticism was not imaginaries of sustainability merged just directed at economic growth itself, but environmental and social concerns to also at “sound science” as the proposed argue for environmental justice. They also solution to such problems (Fox, 1992, p.54). sought to refute the assumption that trade In essence, critics did not accept the ‘grow automatically stimulates environmental now, clean up later with the use of science protection and replace it with their own and technology’ imaginary touted by the vision of sustainable development. The government. In the dispute on waste- and former point is exemplified by FOE’s pollution management in the border Andrea Durbin’s demand that all region, there was thus a tendency to “environmental, health and safety laws invoke cross-national solidarity, as well as that may impact trade” be upheld (Durbin, growth- and techno-skepticism as unifying 1993). This reasoning enabled opponents to patterns of discourse. form a discursive frame with an expanded, This internationalist coupling of comprehensive meaning beyond purely social and environmental issues also environmental concerns, which enabled an persists in the third main issue area of alliance between labor and environmental concern for environmental organizations groups in opposition to NAFTA (Mumme, opposing the NAFTA: the fear of Mexico 1993, p.46). More importantly, the aim was turning into a pollution haven. Aside from to undermine the prevailing view that viewing the FTA as an opportunity to environmental protection could be influence trade policy in the US, achieved through growth. In an official environmental organizations saw the statement, Friends of the Earth argued that chance to shape environmental policy in other countries, as well (Fox, 1992, p.52). “rather than protecting the environment for They feared the relocation of America’s future generations, the Agreement’s [NAFTA] dirtiest industries to Mexico as result of backers have decided the U.S., Mexico, and low wages and lax enforcement of Canada should first get rich, then use their environmental laws. This, in turn, would wealth to clean up. This terrible gamble with result in the displacement of rural labor, the future is nothing less than the human settlement problems, and massive environmental equivalent of deficit spending.” pollution in the southern neighbor (NYT, (FOE, 1992 as cited in Mumme, 1993, p.46) 1993). With these arguments, American Opponents of the NAFTA thus constructed critics of NAFTA demonstrated that they a dichotomy between economic growth were not just concerned with their own and the protection of the environment. domestic environment, but were also eager Liberalized trade would necessarily lead to increased pollu-tion and resource

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depletion (Gregory, 1992, p.113). This agenda. The fourth issue area was climate rejection of the view that trade by itself change, which the agreement inadequately stimulates environmental safeguarding addressed only according to its opponents. through increased wealth and better Resistance against investor-state technolo-gy was very much at the heart of settlements crystalized around the threat the controversy around NAFTA (Mumme, to domestic environmental and health 1993, p.206). In contrast to what would protection standards posed by large later be the case with TPP, the worry that corporations. As Michael Brune (2015) of increased trade would aggravate the Sierra Club put it in an op-ed in the environmental abuse was also extended to New York Times, TPP would “empower include concern for other nations, par- some of the world’s biggest polluters to ticularly Mexico and its maquiladora challenge environmental protections in industries. private trade tribunals” as non-tariff barriers to trade. The fear of corporations disregarding regulation of toxic chemicals III. Environmental or even simple consumer protection organizations and their measures like food labeling in their search of profits manifestly assumed that TPP opposition to TPP would drive a race to the bottom in sustainability-related areas and leave the Condemning it as “NAFTA on steroids” ordinary citizen and the environment (e.g. Henning, 2014), a number of worse off than before (Cossar-Gilbert, environmental organizations saw the 2015). Trans-Pacific Partnership as continuing on Aside from this dichotomy between the destructive path of the North American corporate profits and a suffering environ- Free Trade Agreement concluded 20 years ment, the threat of ‘the foreign’ to ‘the earlier. While opposition to the NAFTA domestic’ was also increasingly emph- was also concerned with defending US asized. The Sierra Club’s report on the standards and anti-corporate rhetoric, re- TPP, for instance, titles its paragraph about sistance against private investor-state the investor-state dispute settlement “A tribunals and national sovereignty parallel legal system for foreign concerns topped the agenda for critics of corporations” and argues that this TPP. A second biggest critique targeted the mechanism would give “foreign investors, secrecy of the trade talks. Here, the issue of including some of the world’s largest fossil sustainability was explicitly coupled with fuel corporations, expansive new rights to democratic accountability: environmental challenge climate protections” (Solomon & protection required public participation Beachy, 2015, p.4). Similarly, FOE’s Bill and scrutiny. Thirdly, conservation issues, Waren (2015) states that the “TPP […] such as wildlife trafficking, entered the investment chapters provides greater

50 rights for foreign investors than U.S. most dwelled upon arguments in the investors enjoy under the constitution” Sierra Club’s (2015b) TPP video. [both emphases added] and cites Senator Opponents of TPP also pointed to Elizabeth Warren as asking “What’s wrong gaps and deficiencies in the agreement that with the U.S. judicial system?” Leaving concerned a broad range of conservationist aside the fact that many of the world’s issues. Trade in illegally obtained timber or largest polluters may in fact be US wildlife, for instance, was seen as corporations, opponents of the TPP make inadequately addressed (The Sierra Club, no mention of the prospect of American 2015a). In a letter to Congress, 350.org, businesses profiting from suits brought Greenpeace USA, FOE, the Sierra Club, against other countries under these tribu- and others demanded a “legally nals. Similarly, the possibility that US enforceable prohibition on trade in standards may not be the gold standard in illegally sourced timber, wildlife, and environ-mental protection is never marine resources” (350.org et al., 2015). considered. In the critique of the Trans- Illegal, unreported, and unregulated Pacific Partnership, anti-corporate rhetoric fishing leading to the depletion of fisheries thus increasingly meshed with fear of ‘the were also of major concern for a number of foreign’ invading ‘the domes-tic’. organizations (350.org et al., 2015; The anti-corporations discourse was Environmental Investigation Agency et al., also a recurring theme in the critique of the 2015). Even issues as specific as the shark secrecy of the trade talks; this critique fin trade were taken up by both the Sierra linked sustainability to democratic Club (2015a) and the National Resource accountability. Not only was the public not Defense Council (Schmidt, 2014). sufficiently heard in the deliberations The SC, FOE, and the NRDC were concerning TPP, the argument went, the also outraged about the failure of the pact trade deal was also negotiated in secret to even mention the words ‘climate with corporate lobbyists shaping the change’. Given their view that TPP would agreement to their liking (Waren, 2015). increase emissions and pollution by Transparency was therefore seen as a locking the US into fossil fuels and prerequisite to ensuring the upholding of fracking to satisfy the demand of its Pacific environmental safeguards and sustainable trade partners, such an omission was seen development. FOE captured this link in the as alarming and detrimental to the US slogan “Protect Our Food and Our commitment to the United Nations Democracy” and depicted it visually in Framework Convention on Climate one of its news releases on TPP (see Image Change (UNFCCC) and the Sustainable 1). Similarly, the issues of unaccounta- Development Goals (SDGs) (Solomon & bility to the public and openness to Beachy, 2015). Taken together, the broad (foreign) businesses are the very first and inclusion of conservationist issues and the concern for climate change point to an

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increase in the scope of concerns of IV. Comparing imaginaries environmental organizations opposed to of sustainability the TPP in comparison with the debate around NAFTA. In sum, the imaginary of How, then, if at all, did imaginaries of sustainability in the TPP’s opponents’ sustainability of FTA opponents change description of the trade pact was both from the debates around NAFTA to those narrow and broad at the same time: on TPP? Discursive similarities appear in narrow, since it focused on the danger the coupling of social issues with posed to the domestic environment and environmental protection and a concern the American citizen; broad, since it about environmental safeguards in the face coupled environmental concerns with of a perceived corporate attack on national social and political issues and sovereignty. Criticisms of NAFTA and TPP encompassed a broad range of problems both primarily viewed the social aspect as ranging from overfishing to emissions consisting of health and safety regulations from a growing fracking industry. ensuring the well-being of the ordinary Somewhat paradoxically, Critics of TPP citizen. Specifically, for the former group hoped to achieve sustainability ‘for this was manifested in a concern for toxic everyone’ by criticizing corporate waste management and industrial involvement and demanding public pollution, while for the latter it consisted of participation and the fulfillment of ensuring food safety. By linking the social multilateral UN climate change and the environmental, sustainability was obligations. Somewhat paradoxically, they imagined as favorable for ordinary were simultaneously focusing solely on the citizens, in particular those who were pollution of the American environment vulnerable and disadvantaged. The aim of and TPP’s threat to American democracy. inclusivity also appeared in the fear that Although often defined ex negativo, environmental standards would be sustainability was thus implicitly imagined undermined by corporations. Opponents as encompassing the environmental, i.e. of both NAFTA and TPP saw corporate conservation and protection, as well as the greed as inherently detrimental to the social and the political, i.e. fair trade, fair needs and wants of ordinary citizens. They working conditions, and democratic demanded a kind of “social sustainability”, accountability, but only for the United which includes normative claims of public States. participation and social justice (Littig & Grießler, 2005, p.11). In both debates, sustainability was thus imagined as a concept that would be democratically negotiated, and thus ensure the well-being

52 of all, and prevent the exclusion of any prospect of increased trade aggravating (disadvantaged) group of society. the situation for the environment and its A first difference between the two inhabitants both at the Mexican-American debates concerns the environmental issues border region and in the Mexican interior. they encompassed. Whereas criticism of Statements on TPP, on the other hand, the NAFTA primarily focused on waste evoke threats to American jobs, American management and industrial pollution, food, ‘our’ habitats, and ‘our’ workers’ opposition to TPP also covered a number health. Even anti-corporate rhetoric, of conservationist topics and climate generally a common denominator of change. In fact, illegal trade in wildlife and NAFTA and TPP discourses, was framed overfishing displaced chemical waste differently to emphasize the threat that treatment and smog in cities on the foreign corporations posed to strict agenda. A healthy environment previously American environ-mental regulations. tended to signify the well-being of humans While still claiming to be inclusive, the and thus showcased an ‘instrumentalist’ imaginary of sustainability among conception of the environment. Per this opponents of the FTAs therefore narrowed logic, entities are only valuable insofar from NAFTA to TPP, increasingly they are considered valuable by some stressing the national interest as the (human) agent (Justus, Colyvan, Regan, & primary concern. Maguire, 2009, p.187). In the TPP debates, Finally, 20 years ago, environmental however, there was a tendency to imagine organizations were much more critical of sustainability to include a genuine and economic growth than they are today with ‘intrinsic’ appraisal of the environment regard to TPP. In the environmental itself. This approach seeks to liberate controversy over the NAFTA, the sustainability from a narrow anthropo- allegation that growth stimulates environ- centricism (Justus, Colyvan, Regan, & mental protection was at the very heart of Maguire, 2009, p.187). Exemplifying this the debate. With the NAFTA, growth trend towards intrinsic valuation is a new arising from increased trade was seen as concern for very specific conservationist exacerbating environmental destruction, issues, such as the advocated prohibition particularly in Mexico. In the debates over of shark fin trading or wildlife trafficking. TPP, however, the term ‘growth’ rarely The two debates also exhibit major appears, and growth per se is never differences regarding the scope of criticized. Instead, the critique of growth sustainability. While both discourses has given way to a critique of irresponsible emphasize inclusiveness, the criticism of corporate behavior. Sustainability was no TPP almost completely dis-regards the longer imagined to be detrimental to international dimension of sustainability. economic growth (and vice versa), but it In addition to their domestic demands, did require responsible corporate NAFTA’s opponents were alarmed by the behavior, which could be achieved

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through governmental regulation with In an age when an American enforceable environmental safeguards. president proposes to solve the problems of globalization with protectionism, isolationism, and coal mining, it seems odd V. Conclusion to look to grassroots environmental organizations as guides for understanding The transformation in imaginaries of today’s world. Yet, the findings of this sustainability projected by environmental essay indicate that a society’s ‘excluded’ organizations opposed to NAFTA and TPP voices and ‘losers’ may share basic can thus be summarized in the following imaginaries with even their most bitter terms: In both debates, a sustainable future opponents. After all, although Donald was imagined as being inclusive and Trump certainly seems to have no regard ensuring citizens’ well-being in a whatsoever for protection of the democratically accountable manner. Yet, environment, he, too, wants to ‘take back TPP debates differed from NAFTA control’, ‘make the people heard’, and ‘put controversies in moving from instrumental America first’. A society’s visions of to more intrinsic valuations of the desirable futures can therefore be easily environment, their focus on the national invoked for purposes both respectable and interest, and their view that economic unscrupulous. growth and sustainability are in principle compatible.

54 References

350.org et al. (2015). Environmental Provisions in the Trans- Justus, J., Colyvan, M., Regan, H., & Maguire, L. (2009). Pacific Partnership: Letter to Congress. Retrieved Buying into conservation: intrinsic versus from instrumental value. Trends in Ecology & https://www.sierraclub.org/sites/www.sierraclu Evolution, 24(4), 187–191. b.org/files/uploads-wysiwig/TPP%20letter Littig, B., & Grießler, E. (2005). Social sustainability: a %20FINAL%20(2).pdf catchword between political pragmatism and Brune, M. (2015, October 7). Congress should oppose TPP social theory. International Journal of Sustainable on environmental grounds. The New York Times. Development, 8(1-2), 65–79. Retrieved from Mumme, S. P. (1993). Environmentalists, NAFTA, and http://www.nytimes.com/roomfordebate/2015/1 North American environmental management. The 0/06/the-future-of-trans-pacific-trade/congress- Journal of Environment & Development, 2(1), 205– should-oppose-tpp-on-environmental-grounds 219. Cossar-Gilbert, S. (2015, September 25). Secret Trade NYT (1993, September 27). NAFTA and the environment. Negotiations Threaten Sustainable Development The New York Times. Retrieved from Goals. Inter Press Service. Retrieved from http://www.nytimes.com/1993/09/27/opinion/n http://www.ipsnews.net/2015/09/opinion- afta-and-the-environment.html secret-trade-negotiations-threaten-sustainable- Schmidt, J. (2014, October 30). U.S. Trade Agreement with development-goals/ Asia-Pacific Countries Must Have Strong Dreiling, M., & Wolf, B. (2001). Environmental Movement Environmental Provisions. The Huffington Post. Organizations and Political Strategy: Tactical Retrieved from Conflicts Over NAFTA. Organization & http://www.huffingtonpost.com/jake- Environment, 14(1), 34–54. schmidt/us-trade-agreement-with- Durbin, A. (1993). Testimony before the House Ways and a_b_6075064.html Means Subcommittee on Trade on the North Solomon, I., & Beachy, B. (2015). A Dirty Deal: How the American Free Trade Agreement and the Trans-Pacific Partnership Threatens our Climate. environmental side agreement. Retrieved from Retrieved from http://www.nathannewman.org/EDIN/.trade/.N https://www.sierraclub.org/sites/www.sierraclu AFTA/.sideFOE.html b.org/files/uploads-wysiwig/dirty-deal.pdf Environmental Investigation Agency et al. (2015). The Sierra Club. (2015a). The Trans-Pacific Partnership: A Environmental Chapter of the Trans-Pacific Threat to Our Air, Water, and Climate. Retrieved Partnership Agreement: Letter to United States from Trade Representative Ambassador Michael http://www.sierraclub.org/sites/www.sierraclub. Froman. Retrieved from org/files/uploads- http://vault.sierraclub.org/trade/downloads/NG wysiwig/TPP%20fact%20sheet.pdf O-Letter-Ambassador-Kirk-TPP.pdf The Sierra Club. (2015b). What is the TPP? (Trans-Pacific Fox, A. B. (1995). Environment and Trade: The NAFTA case. Partnership). Retrieved from Political Science Quarterly, 110(1), 49–68. http://www.sierraclub.org/trade/trans-pacific- Gregory, M. (1992). Environment, Sustainable Development, partnership Public Participation and the NAFTA: A Waren, B. (2015). Tell tales of the TPP (and the TTIP). Retrospective. Journal of Environmental Law & Retrieved from Litigation, 7, 99–174. http://www.foe.org/news/archives/2015-02-tall- Henning, C. (2014). What you don't know about the Trans tales-of-the-tpp#ednrefl Pacific Partnership could hurt you -- and the planet. Retrieved from http://angeles.sierraclub.org/news/blog/2014/11 /what_you_dont_know_about_trans_pacific_partn ership_could_hurt_you_and_planet Jasanoff, S. (2015). Future imperfect: Science, technology, and the imaginations of modernity. In S. Jasanoff & S.-H. K. Kim (Eds.), Dreamscapes of modernity: Sociotechnical imaginaries and the fabrication of power (pp. 1–47). Chicago: University of Chicago Press.

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Urgenda and Beyond: The past, present and future of climate change public interest litigation

Olivier van Geel Faculty of Law, Maastricht University [email protected]

Abstract Scientific evidence demonstrates that anthropogenic climate change is an urgent global problem with tremendous destructive capacity. Decades of multilateral negotiations have yielded limited success to date, but other responses are available. One such alternative is climate change litigation. Particularly interesting are recent public interest lawsuits, first in the Netherlands, and then in Pakistan, which have sought to hold the State responsible for climate change. This paper seeks to demystify the past, present, and future of climate change public interest litigation by placing it in a historical perspective, looking at contemporary developments, and assessing the potential of this technique for encouraging social change on a global scale.

The anthropogenic alteration of the global date, been inadequate in dealing with climate undoubtedly represents one of the climate change, and according to the greatest challenges that humanity faces in findings of the IPCC’s fifth assessment the 21st Century. The urgency of climate report, the current policy baseline would change mitigation is reflected in the most likely result in a temperature increase findings of the Intergovernmental Panel on of well above 2 degrees (Ibid.). Climate Change (IPCC), which suggest a Contemporary international political failure to restrict temperature increases to efforts to address climate change include 2 degrees Celsius above pre-industrial the Paris agreement, which was signed by levels would irrevocably and perilously the US and China (the two greatest alter the world’s climate (Peters et al., emitters) and entered into force on 4 2013). International policymaking has, to November 2016, and the inclusion of a

56 climate target in the Sustainable will be discussed, in addition to ongoing Development Goals (SDGs). However, as cases in Belgium and Norway, as they political action has dragged its feet, climate seem to signal the emergence of a new litigation has emerged as a possible kind of climate change public interest alternative method to encourage social litigation. Subsequently, climate change change. In particular, public interest public interest litigation will be placed in a litigation has become an important talking more analytical perspective in the point in contemporary debates about discussion, which will be followed by climate change subsequent to a landmark some further comments on the future judgement recently issued by a Dutch prospects of this technique. The discussion court in the Urgenda case. In this case, the will be guided by some analytical Hague District Court held the Dutch questions, such as do these new cases government responsible for climate constitute a global trend? and are they change. The ruling, which is being examples of (dangerous) judicial activism? discussed as a potential international precedent, was followed by a comparable I. Conceptualisation of decision by a Pakistani court in Ashgar public interest litigation Leghari v Pakistan. The aim of this paper is to and judicial activism investigate domestic public interest litigation as a potential tool in the struggle Both in theory and practice, public interest against climate change. The following litigation is a concept that is not easily research question will be addressed: defined, especially as it may take on a Taking into account past and present cases, different shape depending on the as well as the potential future prospects of jurisdiction in which it occurs. Hussain this technique, can public interest litigation (1993, p. 1) defines public interest litigation play an effective role in combating the in a broad sense as “litigation in the global problem of climate change? In this interest of the public”, where “The word context, the effectiveness of this technique 'public' means public at large, including all refers to the potential for encouraging classes and sections of society without any political action and social change. distinction of gender, social status, In addressing the research question, economic background, ethnic origin, this paper will draw on case law and religious credence or cultural orientation”. scholarly literature. Historical cases from This form of litigation is often employed the US and Indian contexts will be used as strategically as a motor for social change, illustrative examples of past environ- and particularly aims to advance the cause mental public interest litigation. In the of minority or disadvantaged groups, or contemporary context, the Urgenda, individuals who have no voice (“About Leghari, and Kelsey Cascade Rose cases Public Interest Litigation,” n.d.). Climate

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change litigation, which per definition interpretive methodology, and (5) result- seeks to protect the public interest, can oriented judging” (Ibid., p. 1444). In the thus be categorised as a subset of public context of public interest litigation, judicial interest litigation. Since climate cases activism can be broadly characterised as frequently envisage the shielding of future judges pushing the boundaries of existing generations from potential harm, they also law for political purposes. Such practices aim to protect those with no voice. Though may run the risk of crossing these this cursory definition captures the spirit boundaries if not handled with sufficient of public interest litigation, it also leaves care (Heringa, 2016, p. 203). Judicial many questions unanswered. Most activism is subject to different views notably, commentators clash over whether depending on the applicable legal system. criteria for assessing public interest exist For instance, in Pakistan and India, judicial and, if so, what these may be. It is also activism is embraced as an important facet often unclear whether a particular case of the respective legal traditions should be considered public interest (Razzaque, 2004). By contrast, in the US litigation. One of the main reasons for this context, judicial activism is often imbued disagreement is that there are diverging with a negative connotation (Siegel, 2010). perspectives of what constitutes an Interestingly, however, both jurisdictions advancement of social justice (Cummings have seen high-level justices defending this & Rhode, 2009). Conceptions of the exact method, at least in some contexts. Climate confines of public interest litigation may lawsuits are frequently linked to (liberal) also differ across jurisdictions, especially judicial activism, as was notably the case in when it concerns two legal systems that relation to the Urgenda ruling. are poles apart. Accordingly, this debate will be more “Judicial activism” is another term thoroughly addressed in the discussion that requires some further attention. This section. concept is multifaceted, defies clear definition, and also varies across II. Historical use of public jurisdictional contexts. As Kmiec (2004, p. interest litigation in 1443) points out, the exact meaning of judicial activism is frequently unclear, as relation to climate “it is defined in a number of disparate, change even contradictory ways”. He distinguishes between five core meanings Though public interest litigation is used by of judicial activism, namely: “(1) lawyers globally, it is more developed in invalidation of the arguably constitutional some legal traditions than in others. In the actions of other branches, (2) failure to Indian and US national contexts, this form adhere to precedent, (3) judicial of litigation is particularly well established. “legislation”, (4) departures from accepted

58 The following section will dissect some which is illustrative of the Indian historical environmental public interest approach, and has some relevance to litigation cases with relevance to the climate change, is Mehta v Union of India climate change debate in the US and (2002), in which the Supreme Court Indian contexts. ordered the government to replace the India has a rich history of public entire bus fleet of Delhi by more interest litigation, which really started to environmentally friendly Compressed take off as a legal mechanism in the 1980s. Natural Gas (CNG) buses. Though the In SP Gupta v Union of India (1982), a issue of climate change was not explicitly seminal case for the development of this mentioned in the Court’s reasoning, the concept in the Indian context, the Supreme case is demonstrative of how Court explicitly mentioned and gave environmental public interest litigation can meaning to public interest litigation. be used indirectly as a tool for climate Following this judgement, there have been change mitigation. Additionally, due to the many Indian cases that conform to this prevalence of such cases in India and the definition, particularly in the realm of Court’s activist role, a case in relation to fundamental rights. In environmental climate change would certainly not be matters, the Indian Supreme Court has inconceivable (Gupta, 2007). taken an interventionist line, partly due to The US has a history of public its strong tradition of judicial activism interest litigation that finds its roots in the (Deva, 2009). Public interest litigation is civil rights activism of the 1950s and 60s. widely regarded as one of the most Brown v Board of Education, in which the important legal innovations with regards US Supreme Court found segregation in to environmental protection in India (Sahu, public schools unconstitutional, is often 2008). There has been a long line of cited as the first example of this form of environmental public interest lawsuits, litigation (Hershkoff, 2005). In the US, starting with the Dehradun valley recent years have seen an explosion of litigation in 1983 (Ibid., p. 382-383). In fact, climate change litigation before the courts. the Indian Supreme Court’s public interest One important vehicle that has been litigation guidelines specifically recognise employed is initiating public nuisance tort the possibility of such claims ‘[…] claims (Hester, 2013). Though the pertaining to environmental pollution, conceptual delimitation of public nuisance disturbance of ecological balance, […], is not entirely clear, an indicative forest and wild life and other matters of definition is provided by the second US public importance’ (Supreme Court of Restatement of Torts, which defines it as, India, 2003, p. 2). However, most of these ‘an unreasonable interference with a right environmental public interest lawsuits general to the common public’ have no immediately apparent link to (Restatement (Second) of Torts § 821B, climate change. One interesting case, 1979). The first public nuisance climate

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change lawsuit was the unsuccessful AEP Thus, though the Supreme Court exercised v Connecticut case, but numerous other judicial restraint in its judgement, this kind attempts followed (Hester, 2013). One case of state-initiated public interest litigation of particular interest is Comer v Murphy can serve as an effective tool to address Oil USA, Inc. (2009). In this case, which climate change. went to the fifth circuit Court of Appeals An exhaustive study of historical before being dismissed, Mississippi global public interest litigation cases with residents sought to sue energy companies relevance to climate change is beyond the for contributing to global warming, and scope of this paper. However, the US and thus exacerbating the effects of Hurricane Indian case studies serve as illustrative Katrina. A similar case, Kivalina v examples, and are particularly interesting ExxonMobil (2012), saw Alaska residents for a number of reasons. Significantly, both suing oil companies over melting India and the US have an extensive history permafrost caused by greenhouse gas of public interest litigation in their (GHG) emissions. Though these cases domestic legal systems, and belong to the have not yielded successful results to date, world’s greatest emitters of GHGs. A they present an interesting legal technique comparison between the two can also yield in the struggle against climate change. some thought-provoking insights. It is for When it comes to filing suit against the example interesting that, despite the strong federal government for climate change, the culture of judicial activism and public Massachusetts v EPA case entailed an interest litigation in India, there have been interesting application of state-initiated no cases directly addressing climate public interest litigation (Welti, 2008). change. Conversely, in the US, where these After its petition asking the Environmental concepts are often approached with more Protection Agency (EPA) to regulate GHG caution, numerous claims have been emissions from new motor vehicles under brought, albeit with limited success. the Clean Air Act (CAA) was denied, Massachusetts appealed this decision in III. Present emergence of the courts. In Massachusetts v EPA (2007), climate change public the Supreme Court found, without imposing a specific obligation to regulate, interest litigation that the EPA had the authority to regulate GHGs, and remanded the case to the EPA, Starting with the Urgenda case in 2015, a requiring the agency to review its new type of public interest litigation has reasoning, as its argumentation had been started to gain currency in the courts. A inadequate. On remand, the EPA found subsequent ruling with comparative value that six GHGs met the threshold of occurred in Leghari v Pakistan, and further endangering public health and welfare insights can be gained by looking at (Environmental Protection Agency, 2009). ongoing lawsuits in the United States,

60 Belgium, and Norway. These cases differ rather insignificant on a global scale. This from the historical examples discussed final argument would suggest that the above in that they hold the state directly correct solution should be found through responsible for climate change. Thus, the multilateral talks, in which the Dutch form of public interest litigation they government’s negotiation position would embody appears to have tremendous allegedly be weakened by a judgement in potential in terms of influencing state Urgenda’s favour (Ibid., para 4.100). On 24 policy, and encouraging social change. The June 2015, the Hague District Court ruled following section seeks to further explain in favour of the plaintiffs, finding that the and compare these case studies. state had violated a duty of care under In the Urgenda case, a non- Dutch law and ordering it to readjust its governmental organisation (NGO) named targets to at least 25 percent reduction by Urgenda brought suit against the Dutch 2020 (Ibid., para. 5.1). All other claims, state. They argued that the government including the argument under the ECHR, climate policy violated a duty of care were dismissed. The Dutch government under Dutch law, and the fundamental has launched an appeal and, accordingly, rights of Urgenda, as well as 886 the District Court’s decision will be individual plaintiffs, under the European reviewed by the Hague Court of Appeal, Convention of Human Rights (ECHR). To and potentially the Dutch Supreme Court. remedy this transgression, they claimed The Court’s reasoning merits some the government would have to readjust its further discussion. The prevailing claim low emissions reduction targets, which was ultimately that the Dutch government were set at 17 percent by 2020 compared to had breached a duty of care pursuant Book 1990 levels at the time, to the 25-40 percent 6, Section 162 of the Dutch Civil Code, suggested in the Cancun agreements which was informed inter alia by article 21 (Urgenda Foundation v. State of the of the Dutch Constitution, and various Netherlands, 2015, para. 3.1). In their international obligations and legal submission, they referred to national law, principles (Ibid., para. 4.89). Significantly, most notably article 21 of the Dutch whereas NGOs or individuals before Constitution, regional law, including national courts cannot usually invoke articles 2 and 8 of the ECHR, as well as international obligations between states, international treaty law and legal this approach permitted the inclusion of principles. The Dutch state contested these international law through the so-called allegations, arguing that such an ‘reflex effect’ (de Graaf & Jans, 2015). The intervention in policymaking by the courts Court found a duty of a ‘high level’ of care, would violate the separation of powers. resulting in the required establishment of a They also noted that the climate targets satisfactory statutory framework to reduce were in line with EU policy, and that the emissions. Interestingly, the environmental Dutch contribution to climate change was rights approach did not meet such success,

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as Urgenda itself could not rely on articles Belgian Constitution on sustainable 2 and 8 of the ECHR on the right to life and development, the protection of public private and family life, and the Court health, and the right to the protection of a found that there was insufficient infor- healthy living environment. Additionally, mation to assess the separate claim put it is argued that the Belgian government is forward on behalf of the 886 individual in violation of the principle of prevention, plaintiffs (Urgenda Foundation v. State of the precautionary principle, and a duty of the Netherlands, 2015, para. 4.109). Thus, care under Belgian law (Ibid., para. 43). even though the Court stopped short of The proceedings are momentarily delayed confirming the validity of the ECHR due to a language dispute over whether argument, it also did not explicitly reject it. the case should be heard in French or Internationally, this judgement was the Dutch. first to hold the state responsible for In September 2015, the Lahore High climate change, and it certainly constituted Court became the second to hold the state a significant breakthrough in the Dutch responsible for climate change in Ashgar context. Furthermore, it could be argued Leghari v Pakistan (2015). It is noteworthy that this ruling indicates the onset of a that Pakistan, like its neighbour India, also broader global trend. The case studies that has a long history of public interest follow appear to suggest that such a trend litigation (Razzaque, 2004). In this may indeed be underway. particular case, Ashgar Leghari filed suit Another notable climate change against the government for its inaction in public interest case that was inspired by relation to climate change, especially its the example of Urgenda is currently failure to implement the National Climate taking place in Belgium. The Belgian case, Change Policy (NCCP). The argument was which mirrors the Dutch case in its that the government had violated the arguments, was initiated by the NGO fundamental rights to life and dignity ‘klimaatzaak vzw’, established by 11 under articles 9 and 14 of the Constitution Belgian celebrities, with a parallel claim by (Ashgar Leghari v Pakistan, 2015, p. 2, a large number of individuals. The para. 1). The Court found in favour of the plaintiffs argue that the Court should plaintiff, ordering the government to take order the Belgian government to reduce numerous specific actions to remedy this emissions by 40, or at least 25 percent offence. Several government ministries compared to 1990 levels by 2020, and 87.5, were ordered to appoint a ‘climate change or at least 80 percent by 2050 (Summons of focal person’ to monitor the imple- the Belgian climate case, 2015, para. 14). mentation of the NCCP. Additionally, the The claim is that the current government Court even went so far as to create a policy is in violation of human rights, Climate Change Commission (Ibid., p. 5, specifically article 2 and 8 of the ECHR, as para. 7). well as article 7bis, 22, and 23 of the

62 The reasoning in Leghari v Pakistan future generations (Kelsey Cascade Rose v is interesting in that it differed from the United States of America, 2016, p. 1, Urgenda on a number of points. Notably, para. 2). In its order denying the Leghari concerned an omission by the defendant’s motion to dismiss, the Oregon state. Moreover, public interest litigation District Court found that the plaintiffs’ and judicial activism are more accepted in claims could move forward to trial. The the Pakistani legal system than in the plaintiffs allege that the government’s Dutch context. It is thus not surprising actions and omissions in relation to climate that, in some ways, the Pakistani change amount to a violation of their judgement appears even more progressive substantive due process rights, their right than Urgenda. The Lahore court expressly to equal protection under the fifth accepted the fundamental rights argument, amendment of the US Constitution, as well from which the judges shied away in the as an implicit right to a stable climate Netherlands. Additionally, the Dutch under the ninth amendment. The claim is judges went out of their way to exercise that the government's policy ‘has resulted some degree of restraint, by choosing the in a danger of constitutional proportions to lower bound of the 25-40 percent standard the public health’ (Kelsey Cascade Rose v as an obligation, and refraining from the United States of America, 2016, p. 10, prescribing specific tasks for the para. 1). Thus, as in the aforementioned government to perform (Urgenda Leghari case, the claim is firmly rooted in Foundation v. State of the Netherlands, rights rhetoric. However, the judge also 2015, para. 5.1). The Lahore court, on the explicitly mentions the Urgenda case in other hand, determined the specific actions this order, rejecting the argument that the that the government was required to take, fact that the GHG emissions only form a and even named the 21 individuals to be portion of the global whole meant that the appointed to the Climate Change claim should be dismissed in this instance Commission (Ashgar Leghari v Pakistan, (Kelsey Cascade Rose v the United States 2015, p. 7, para. 8(iii)). Ultimately, of America, 2016, p. 11, para. 2). Thus, even however, the central difference between though it is questionable whether the the cases comes down to two different plaintiffs’ arguments will succeed at trial, legal arguments with potential for future this case study does go to show that litigation, the duty of care argument and climate change public interest litigation is the fundamental rights argument. also gaining traction in the US context. On 8 April 2016, another interesting In Norway, a similar case, aiming development took place in Kelsey Cascade to hold the government responsible for its Rose v the United States of America. In this allegedly unconstitutional oil exploration case, the plaintiffs are 21 children from in the Arctic, is underway. In the People v. around the US aged 9 to 18, and climate Arctic Oil, The claimants, Greenpeace scientist Dr. James Hansen on behalf of Nordic Association and Natur og Ungdom

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(Nature & Youth), argue that the IV. Discussion Norwegian government's Licensing Decision, which opened up new acreage to The emergence of this new type of climate oil and gas companies in the Arctic Barents change public interest raises important Sea, is illegal under Norwegian law. questions. Significantly, does this develop- Specifically, they claim a violation of ment constitute a global trend? and, if so, Article 112 of the Norwegian Constitution can these climate cases really bring about on the right to a healthy environment. the necessary social change? Additionally, Additionally, it is argued that a procedural are these cases (dangerous) examples of irregularity occurred, as the impacts of the judicial activism? Finally, the distinction decision were not properly assessed (Writ between the duty of care approach of Summons in the People v. Artic Oil, p. endorsed in the Urgenda case and the 5-7). The case presents another example of fundamental rights argument accepted by environmental rights being mobilised in the Lahore court in Leghari merits some the public interest. further scrutiny. The question here is The case studies described above which legal argumentation has more seem to suggest that public interest potential for climate change litigation? litigation seeking to hold states responsible The cases mentioned in the analysis above for climate change may be taking hold as a do seem to suggest a global trend in the legal mechanism. Before dismissing these making. examples as context-specific, it must be In the Netherlands and Pakistan, noted that the cases stretch across three claimants already successfully held the continents, and have occurred in both state responsible for climate change. common and civil law jurisdictions. Similar ongoing cases can be identified in Nonetheless, though they share like the US, Belgian, and Norwegian national features, the respective courts’ reasonings contexts. The diversity of the domestic differ. Especially interesting in this regard jurisdictions in which these cases occur is the distinction between the clear seems to deny the argument that this kind fundamental rights approach in Leghari, of public interest litigation is context- and the duty of care method that prevailed specific. The cases cut across continents in Urgenda. The following section will and involve both common and civil law attempt to deepen the analysis of public systems. Notably, the Netherlands shares interest litigation as a possible driver for common roots with a number of European climate change mitigation on the basis of a legal systems, and Pakistan’s neighbours, number of evaluative questions. India and Bangladesh, have similar traditions of public interest litigation and judicial activism (Razzaque, 2004). However, the dismissal of some of the

64 ongoing cases could dull the enthusiasm pollution problem, and seeks to mobilise surrounding this new technique. In this citizens by taking a relatively liberal regard, the outcomes of other ongoing approach to environmental public interest climate cases will be important in litigation, reflecting the Chinese state’s determining whether this emerging global increased focus on sustainability in view of trend solidifies into more established the current economic slowdown international practice. (Carpenter-Gold, 2015). Regarding the potential for As explained in the concept- encouraging social change, it has been ualisation section, public interest lawsuits argued that public interest litigation are often linked to judicial activism, which cannot bring about institutional reform per broadly entails judges pushing the se, and can draw attention away from boundaries of existing law for political more effective (political) strategies purposes. Judicial activism may take on (Cummings & Rhode, 2009). In this regard, varying meanings depending on the it must be stressed that these climate cases context of a commentator’s observations, are insufficient to resolve the dilemma of or the jurisdiction in which a lawsuit climate change on their own. Ultimately, it occurs. Though it is not always clear is up to political decision-making to whether a ruling constitutes judicial address this global challenge. However, activism, the progressive climate change public interest litigation can contribute to cases discussed above, particularly the tackling climate change in a number of Urgenda case, have been labelled as such. ways. Firstly, the courts can encourage Specifically, the Dutch government policymakers to act, and comply with their position is that the Court did not respect existing obligations. Secondly, climate the separation of powers in its decision, a change public interest litigation can claim that was dismissed by the Hague contribute to awareness-raising. High District Court in its ruling (Urgenda profile climate cases against the state bring Foundation v. State of the Netherlands, climate change into the public eye, 2015, paras. 4.94-4.102). In this regard, it is enhancing the visibility of this issue. important to note that, whereas the Dutch Finally, the potential for legal mobilisation court’s interpretation was certainly is tremendous, as illustrated by the Belgian progressive, it was based in existing climate case, which involves over 10,000 principles of law (Heringa, 2016, p. 3). Loth individual co-plaintiffs (Belgian climate and van Gestel (2015) also gave a more case website, n.d.). Mobilising citizens in positive appreciation of Urgenda, placing the struggle against climate change can be the ruling in the context of multi-level essential in refocusing the priorities of governance, and noting that, in light society. Particularly striking is the new thereof, judges seek to contribute to Chinese environmental protection law, providing solutions for complex which recognises the urgency of the air transboundary problems. Essentially, the

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approach of the Hague District Court can of care (Urgenda Foundation v. State of the be likened to civil rights cases in the US, Netherlands, 2015, para. 4.52). Certainly, where the courts found underlying legal the environmental rights approach has a principles, which were interpreted in a number of advantages. Signiﬁcantly, rights new way (The Guardian, 2015). Thus, rhetoric has tremendous potential for the while the Court may have exercised a fair mobilisation of citizens for a cause (Hilson, degree of interpretative freedom, it is not 2015). Additionally, human rights are clear-cut that this case would amount to universal in scope, and therefore this judicial activism as such. The question, argument is applicable beyond the which will be addressed on appeal, is national boundaries of a single state. whether the Court only pushed the Hence, it could be employed in cases boundaries of existing law, or transgressed before regional courts such as the them, in its ruling. It must also be noted European Court of Human Rights that, where conservatives in the US often (ECtHR). There are however some describe judicial activism as something drawbacks. The concept of environmental used by liberals to circumvent the rights does not enjoy broad recognition, requirements of the law, it is not only a and this approach is likely to face liberal tactic. A recent example would be difficulties in domestic jurisdictions that the Supreme Court’s stay of the have a more restrictive traditional implementation of the Obama conception of human rights as civil and administration’s Clean Power Plan (CPP) political rights. Thus, where rights claims pending judicial review (Ryan, 2016). are more ambitious, they may also be more The cases discussed in this paper challenging. seem to employ two different legal The above analysis seems to suggest arguments. In Urgenda, the Court upheld that this new breed of climate change the claim that there was a duty of care public interest litigation cases constitutes under Dutch law informed by an emerging global trend that could have constitutional and international law. By enormous potential as a driver of social contrast, in the Leghari case, the Pakistani change. However, this technique can only court found that the fundamental rights of encourage governments to take more the claimant had been violated. The effective action, and does not suffice in relative power of these two arguments itself. Ultimately, it is the policymakers depends largely on the jurisdiction. It is who must implement measures to tackle noteworthy that, in the Urgenda case, the climate change. Therefore, though a claimants also put forward a fundamental progressive interpretation of the law does rights claim. The argument that article 2 not necessarily amount to judicial activism, and 8 of the ECHR had been violated, was it would be wise for courts to exercise not explicitly rejected by the Court, and some judicial restraint, since it is not for these rights were used to inform the duty judges to deﬁne policy. Restraint is

66 especially important as judicial activism is One obstacle that can pose a threat a double-edged sword, and can also be to future climate change public interest employed to curtail climate change litigation is the problem of standing in mitigation policies, as illustrated by the US environmental cases. In the Dutch legal Supreme Court’s CPP stay. Finally, though system, there is an established, though not environmental rights claims have a more uncontested, practice of granting standing universal applicability and a high to NGOs, but this practice may not be as propensity for legal mobilisation, they may well accepted in some other jurisdictions also face severe challenges, particularly in (Broek & Enneking, 2014). Proving the jurisdictions with a more restrictive interest of the individuals or legal persons conception of human rights. The following involved can cause difficulties, considering section will attempt to shed some light on that climate change litigation often what these developments could imply for concerns future harm. These challenges the future prospects of public interest were all too apparent in the Urgenda case litigation as a tool for encouraging climate where, with regards to the human rights change mitigation. argument, the judges denied Urgenda standing, and refrained from assessing the V. Future prospects individual claims. The difficulty of establishing a causal link for potential There are numerous threats and future harm is also of particular relevance opportunities with regard to the future in cases of this nature. Furthermore, it is potential of climate change public interest often unclear what portion of the damage litigation. Notably, continued enthusiasm can be attributed to the conduct of the over this technique depends on the defendant, especially considering the outcome of certain ongoing cases. plurality of third parties that often Substantial momentum could be gained by contribute to the emissions. These a victory on US soil in Kelsey Cascade obstacles, along with the challenge of Rose, or another successful European case relying on international obligations in a in Norway or Belgium. However, a domestic context, can hinder climate dismissal could have the opposite effect. change public interest litigation. However, Additionally, the problem of standing, the successes of the Urgenda and Leghari particularly standing of NGOs, could cases suggest that they may be overcome. present an obstacle. In assessing the future References to the ECHR in the potential of this technique, some special Dutch and Belgian climate cases raise the attention should also be paid to the question of whether a state could be held prospects of public interest litigation in the responsible for climate change before the Chinese context, and before the ECtHR. ECtHR. It must be noted that, as the Hague District Court reiterated, NGOs cannot themselves be considered victims of

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individual rights violations. However, the applicable in the UK context (Thornton, potential standing of the individual 2015). Under this new legislation, which claimants was essentially left unanswered. seeks to involve citizens in the struggle Certainly, some ECtHR case law appears against pollution, an increase in public to suggest that a climate case before the interest litigation is to be expected. Court could have some potential of However, it is unclear whether the shift is succeeding. However, there are also merely symbolic, or if it will have a more numerous obstacles that have to be concrete impact. Additionally, bringing considered. For instance, there is no actio suit against government authorities in popularis under the ECHR, and, in China is marred with difficulties, with general, there is need for a clear link in cases often disappearing into a so-called order to receive victim status (Loucaides, ‘black hole’ (Botsford, 2016). Significantly, 2005). Additionally, states are given a judicial independence is lacking, and the substantial margin of appreciation to socialist rule of law means that there is no pursue environmental objectives under the clear hierarchy between the law and ECHR, and there is a requirement to political practice (Peerenboom, 2015). exhaust local remedies (Boyle, 2006). Thus, where the new law is likely to Finally, it must be noted that the Court enhance the effectiveness and frequency of may opt to exercise judicial restraint in this environmental public interest litigation in regard with a view to political China, much is dependent on how it is considerations. implemented, and there are limits to its In the Chinese context, there have potential. also been some instances of environmental The future prospects of public public interest litigation. Considering its interest litigation as a tool to tackle climate status as the largest polluter globally, the change merit some cautious optimism. potential for environmental public interest Despite numerous obstacles, including the lawsuits in China is of particular interest. problem of standing and proving China’s new environmental protection causation in climate change cases, other law, which came into force on 1 January ongoing cases are already attempting to 2015, has opened some doors in this regard hold the state accountable for climate by, for instance, granting standing for change, following the successes of NGOs to bring cases on behalf of the Urgenda and Leghari. Climate change public, if they satisfy certain conditions public interest litigation could also be used (Liu, 2015). It also enhances liability to bring cases before regional courts, regimes for polluters and public officials particularly the ECtHR. However, it is who act in dereliction of their duties, unclear whether such claims would leading ClientEarth CEO James Thornton succeed. Signiﬁcantly, public interest to suggest that some of the law’s litigation has some potential as a provisions are more advanced than those mechanism in the Chinese context,

68 especially under the new environmental Essentially, these examples demonstrate protection law, though it seems unlikely that it is possible for non-governmental that a claim seeking to hold the state actors to hold states responsible for climate responsible for climate change would be change, something that seemed impossible successful in the Chinese context. or at least highly unlikely before. Perhaps this development alone can be presented VI. Conclusion as evidence of shifting attitudes, which in themselves indicate that social change is The emerging trend of public interest cases underway. Nonetheless, much depends on holding the government responsible for the outcomes of ongoing cases, particularly climate change is an important in Belgium, the US, and Norway, to ensure breakthrough in climate litigation. This that this emerging trend solidifies. If this paper has sought to deepen the solidification occurs, climate change public understanding of this phenomenon by interest litigation could also be taken to the elaborating on its historical context, regional level at, for instance, the ECtHR, analysing the present emergence of climate in addition to various national change public interest litigation, and jurisdictions. These findings suggest that assessing the future potential of this the potential impact of this new method to technique. It was found that these cases, address the widespread political which have revolutionised attitudes intransigence with regard to climate towards climate litigation, represent a change is significant. However, only the trend in the making. The successful future can tell to what extent these climate Urgenda and Leghari cases can serve to cases will actually succeed in stimulating embolden the efforts of civil society action, and effectuating meaningful social pushing for climate action worldwide. transformation.

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Footnotes

1 US Supreme Court Justice John Paul Stevens remarked in relation to a series of cases viewed as activist that, “[…] with the benefit of hindsight I can say that I now agree with each of these examples of judicial activism” (Stevens, 2002, p. 26), and former Indian Chief Justice A. H. Ahmadi noted that judicial activism forms a necessary adjunct of the judicial function, seen as the main concern is the public as opposed to the private interest (Sathe, 2001, p. 30).

2 The Court defined public interest litigation in para. 19A as “[…]litigation undertaken for the purpose of redressing public injury, enforcing public duty, protecting social, collective, 'diffused' rights and interests or vindicating public interest […]”.

3 Other jurisdictions that have seen environmental public interest litigation include Pakistan, Bangladesh, the UK, and China.

4 See the Dutch government website for an up-to-date overview of developments in the Urgenda case: https://www.rijksoverheid.nl/onderwerpen/klimaatverandering/inhoud/klimaatrechtszaak.

5 See the Belgian climate case website for an up-to-date timeline of the proceedings: http://www.klimaatzaak.eu/nl/de-rechtszaak/#klimaatzaak.

6 For legal arguments against Norwegian oil exploration in the Arctive see: Sjåfjell, B., & Halvorssen, A. M. (2015). The Legal Status of Oil and Gas Exploitation in the Arctic: The Case of Norway. Oil, Gas and Energy Law (OGEL), Special Issue September.

7 For a more extensive coverage of the argument for climate change liability under the ECHR see: Cox, R. H. J. (2014). The Liability of European States for Climate Change. Utrecht Journal of International and European Law, 30(78), 125-135.

70 References

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Siegel, N. (2010). Interring the Rhetoric of Judicial Activism. http://www.ibanet.org/Article/Detail.aspx?Articl DePaul Law Review, 59(2), p. 555-600. eUid=d4101ee7-fb0b-41cf-b1d1-936a075382d5. Sjåfjell, B., & Halvorssen, A. M. (2015). The Legal Status of Environmental Protection Agency. Endangerment and Oil and Gas Exploitation in the Arctic: The Case of Cause or Contribute Findings for Greenhouse Norway. Oil, Gas and Energy Law (OGEL), Special Gases Under Section 202(a) of the Clean Air Act. 74 Issue September, Tina Hunter (ed.). FR 66496-66546 (2009). Stevens, J.P. (2002). Judicial Activism: Ensuring the Powers Greenpeace Nordic Association and Natur og Ungdom. and Freedoms Conceived by the Framers for (2016). Writ of Summons in the People v. Arctic Today’s World. Chicago Bar Association Record Oil. Available at: 16(2002), p. 25-33. http://www.greenpeace.org/norway/Global/nor Welti, T. (2008). Massachusetts v. EPA's Regulatory Interest way/Arktis/Dokumenter/2016/legal_writ_englis Theory: A Victory for the Climate, Not Public Law h_final_20161018.pdf. Plaintiffs. Virginia Law Review, 94(7) p. 1751-1785. Hague climate change judgement could inspire a global civil Loth, M., and van Gestel, R. (2015). Urgenda: roekeloze movement. (2015). The Guardian. Available at: rechtspraak of rechtsvinding 3.0? Nederlands http://www.theguardian.com/environment/2015 Juristenblad, 37, p. 2598 - 2605. /jun/24/hague-climate-change-judgement-could- inspire-aglobal-civil-movement. Books Klimaatzaak vzw. (2015) Summons in the Belgian climate Razzaque, J. (2004). Public interest environmental litigation case. Available at: in India, Pakistan, and Bangladesh (Vol. 7): Kluwer http://www.klimaatzaak.eu/wp- Law International. content/uploads/2015/04/Dagvaarding.pdf. The Supreme Court of India. Guidelines to be followed for Other entertaining letters/petitions received in the court About Public Interest Litigation. The PILS Project. Available as public interest litigation. Available at: at: http://www.pilsni.org/about-public-interest- http://supremecourtofindia.nic.in/circular/guidel litigation. ines/pilguidelines.pdf. Botsford, P. (2016). China’s War on Pollution. International Thornton, J. (2015). Can We Catch-Up? How the UK is Bar Association. Available at: falling behind on Environmental Law. Garner Lecture 2015.

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How good products make you feel: The underlying emotions of ethical consumerism

Margit Hain Faculty of Psychology, Leiden University [email protected]

Abstract Ethical consumerism describes a more conscious way of consumption embracing products which are produced in a fair and/or environmentally positive manner. This paper investigates this growing market by explaining which emotions are evoked by these ethical products. It is argued that the psychological fundament for purchasing green products is “feeling good”, “feeling moral” and “feeling powerful”. First, “feeling good” embraces positive emotions and effects on one’s own health and well- being. Secondly, “feeling moral” describes evoked feelings of morality and altruistic concerns about human, animal, and environmental welfare. Thirdly, “feeling powerful” focuses on ethical consumerism as means to increase one’s own power and social status. Each of these emotions is analyzed by psychological theories and a practical example. At the end of the paper, the effect of the negative emotions such as fear and anger, and the possibility to combine various emotional strategies are discussed.

In the last decade there has been a steadily describes a conscious way of consumption increasing trend in purchasing green and that incorporates sustainability, but also fair products (Hunt & Dorfman, 2009; human rights, animal welfare, and fair Loureiro & Lotade, 2005). This growing working conditions (Tallontire, market embraces various products ranging Rentsendorj, & Blowfield, 2001). This inc- from fair-trade coffee and organic meat in ludes green products that benefit the supermarket to environmentally- sustainable production, such as organic friendly cars. This whole trend can be seen agriculture, and fair and social products underneath the umbrella of “ethical that benefit the working conditions of consumerism”. Ethical consumerism humans. In line with this trend, in 2003 the

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World Bank formulated that for “feeling moral” is analyzed, which sustainable development three aspects concentrates on the evoked feelings of have to be addressed: economic, social and morality and altruistic concerns about environmental factors (World Bank, 2003). human, animal, and environmental In order to foster sustainable development welfare. The third analysis will elaborate it is necessary to understand ethical on “feeling powerful”, that is how ethical consumerism holistically without consumerism is a mean to increase one’s excluding one or more aspects. own power and social status. For each Additionally, the focus on ethical emotional category, one product or brand consumerism allows this paper to analyze is analyzed which uses the specific brands which are difficult to categorize as emotion as a marketing strategy. In either “social” or “green”. For example, consideration of these outcomes, the effect fairtrade coffee mainly focuses on fair of the negative emotions fear and anger, labor conditions and fair payment, but and the possibility to combine various many brands are also concerned about emotional strategies are discussed. environmentally friendly bean cultivation and production (Ethical Bean Coffee, n.d.). As climate change is one of the I. Feeling good major challenges of our time and as the labor conditions in many third world Positive emotions such as happiness are countries fail to improve, ethical often used as a marketing strategy for consumerism is not only a fad but a green and fair trade products. Evoking necessity. In order to attract more positive emotions does not only lead to consumers to ethical products, marketers higher levels of physiological arousal, have to understand the consumer’s attention and recall, but also evokes a shift motivation to purchase an ethical product. in orientation from a self-centered to other- As emotions provide a strong guidance of centered orientation. In other words, this actions and goals (Bagozzi, Gopinath & means that positive emotions lead to Nyer, 1999), it is of high importance to higher levels of friendliness and comprehend the underlying emotions of helpfulness, thus fostering an altruistic ethical consumerism to foster its effective mindset. On an individual level, positive marketing. Therefore, this paper aims to emotions also lead to actions that savor approach the research question, in which these emotions and nourish the positive way ethical products influence consumer’s rewards (Bagozzi, Gopinath, & Nyer, emotions leading them to purchase the 1999). Based on these characteristics, actual product. The following analysis first positive emotions can serve as an excellent focuses on “feeling good”, which includes marketing strategy for ethical the positive emotions and effects on one’s consumerism. This paper argues that the own health and well-being. Secondly, combination of having an other-centered

74 orientation and the urge to savor one’s highly positive and focus on a healthy own positive emotions, can lead mind, soul and body. An example is the consumers to purchase products which are “Ginger Lemon” tea, which is advertised advertised as increasing well-being by the following: (health, positive affect) but also foster pro- social and pro-environmental goals. In line “The spicy taste of ginger warms the heart and with this argumentation, research by lifts the spirit. The fruity, tart taste of lemon McCarty and Shrum (1994) examined the refreshes the mind and invigorates the soul. relationship between personal values and Hints of lemongrass, liquorice and black pepper environmentally-friendly habits, such as add a light, spicy sweetness. Always delicious, recycling. In this study, a higher value of this tea refreshes in the summer and warms in fun/enjoyment (excitement, warm relat- the winter. The essence of this tea is: ionships with others, etc.) was positively ‘Optimistic new beginnings.’“ correlated with attitudes regarding the (YogiTea, n.d.). importance of sustainable behavior. In sum, the usage of positive emotions which As can be seen in this example YogiTea promote happiness, quality of life, evokes highly positive emotions through enjoyment, fun and enjoyment appears to its tea advertisement. In order to reach or be an adequate strategy for ethical maintain these positive states of well- consumerism. being, the consumer should have the One environmentally-friendly com- intention to purchase this product pany, which bases their success on the (Bagozzi, Gopinath, & Nyer, 1999). One strategy of “feeling good”, is the American feature which distinguishes YogiTea from tea company “YogiTea” (YogiTea, n.d.). other organic teas might not only be the YogiTea is a company which produces focus on well-being and yoga, but also the ayurvedic herbal and spiced tea, only little “YogiTea wisdoms”: Little positive using ingredients which originate from saying are attached to the string of every organic agriculture. Their brand is closely tea bag, such as “Happiness is taking connected to the beliefs of the yoga things as they are” (YogiTea, n.d.). Besides movement and well-being, which can be the evoked positive emotions while noticed in their teas names such as purchasing YogiTea, these little wisdoms “Wellbeing”, “Positive Energy” and provide the consumer with additional “Heartwarming”. Each tea has another positive emotions while consuming the effect on the human well-being (calming, product. As can be seen an ethical product, energizing, vitality, inspiring, etc.). In such as organic tea, can be very accordance to the desired effect of the successfully advertised by evoking particular tea, a description of a yoga pose positive emotions. and ayurvedic information is given. The descriptions of the tea sorts are always

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II. Feeling Moral According to Mazar and Zhong (2010) a possible explanation is that the moral self

Besides the feeling of happiness and is boosted while people purchase a green positivity, another strong emotion that product. After the purchase, this good needs to be examined is morality. As deed can “license” non-altruistic and normative and environmental concerns unethical behavior leading to more self- can highly influence behavioral intentions interested acts (Marzar & Zhong, 2010). (Bamberg, 2003), it is of high importance to Although this view challenges the understand the extent to which they connection between ethical consumerism influence ethical consumerism. Moral and moral values, there has to be more norms are also closely linked to the research done to affirm these results. personal value of collectivism, which Marketers for various ethical incorporates the welfare of the community, products have made use of these moral cooperation and helpfulness. Collectivistic values, for example the brand “Ethical values can direct actions and connect Bean Coffee” (Ethical Bean Coffee, n.d.). decisions to emotional intensity (Schwartz, Ethical Bean Coffee is a company based in 1994). It has been shown that consumers Vancouver, that buys their coffee beans scoring high on collectivistic values, have a produced under fair working and trade higher tendency to purchase sustainable conditions and with respect to sustainable products (Laroche, Bergeron, Barbaro- agriculture. Their marketing strategy is to Forleo, 2001). In line with collectivism, stress their ethical values, e.g. one of their research also found that people who score main slogans is “better for workers, better higher on universalism, defined as the for communities, better for the engagement in the welfare of humanity environment”. On each coffee package, and nature, are more inclined to protect information is given about their social and the environment and buy more environmental commitment. By buying environmentally-friendly products Ethical Bean Coffee, the consumer does not (Vermeir & Verbeke, 2006). Interestingly, a only buy conventional coffee but also helps study by Mazar and Zhong (2010) to promote fair and environmentally- challenges the view that “green products friendly labor conditions. For each bought make us better people”. According to their package of coffee it is possible to track findings, the mere exposure to green down the particular farmer via a QR code products made participants more inclined (Ethical Bean Coffee, n.d.). This to act altruistic and pro-social. However, transparency allows for a concrete link after the purchase of these green products, between the purchase of Ethical Bean people were more inclined to act less products and the support of one particular altruistic compared to people who individual. By stressing these social and purchased conventional products. altruistic values, the consumer’s moral values is addressed which might lead him

76 to make a favorable consumer decision be irrational to spend more money on a (Vermeir & Verbeke, 2006). On the luxury good which has the same functional homepage more detailed information can utility as another less expensive good. But be found about various projects and why do some consumers act so irrational? background stories, e.g. more information It can be argued that the phenomena of on the company’s pillars of being “Fair conspicuous consumption can be trade. Organic. Community-minded. described by the “costly signaling theory”. Environmentally-aware.” or on Ethical According to this theory, conspicuous Bean Coffee’s low emission headquarter: consumption can be a costly signal to “Our coffee may be black, but our building others, indicating positive and desirable is green”. Research (Dodds, Monroe & characteristics of the owner (Nelissen & Grewal, 1991) has shown that additional Meijers, 2010). One reason why ethical positive information about a brand can products can serve as costly signal is their strengthen the perceived value and quality high price (Griskevicius, Tybur & Van den of the brand, which leads to a higher Bergh, 2010). Most ethical products are intention to buy its products. The success more expensive than the conventional of this marketing strategy is easily items, beginning with organic meat in the noticeable as Ethical Bean’s coffee has supermarket to fair trade clothing in the gotten more and more successful over the mall. The fact that one is able to purchase last few years and is about to provide its these products signals financial wealth, coffee all across Canada. But not only which is, in our society, a highly desirable feelings of morality but also of power can characteristic. This means that obtaining make you buy an ethical product, as the more expensive goods can act as costly next paragraph will highlight on. signals to others indicating a high social status (Plourde, 2008). Another reason why ethical consumerism can also be promoted III. Feeling powerful by conspicuous consumption is a perceived high moral status by others. By Besides the aforementioned emo- buying ethical products, others can tions of feeling moral and good, another perceive the buyer as a person with high emotion can motivate consumers to buy moral standards and values, which can ethical products: feeling powerful through generate a positive social reputation conspicuous consumption. Generally, (Griskevicius, Tybur & Van den Bergh, “conspicuous consumption” refers to the 2010). preference to purchase expensive branded This explanation is also true for products than cheaper non branded well-known case of the Toyota Prius, products although both are of equal which has been the most sold hybrid car in quality (Nelissen & Meijers, 2010). From a the world (Toyota Prius, n.d.). The car’s rational economic perspective, it seems to technology is not immensely different

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from other hybrid cars, but Toyota’s majority can address individualistic values marketing has been decisive. According to which are linked to social status. This Heffner, Kurani and Turrentine (2007) a means that the purchase of a product like car is not only a mean to get from A to B, the Toyota Prius does not only serve to but can also serve as a symbol to make a positive statement about its owner, communicate beliefs and values. Which but also shows the world that its owner is symbols does the Toyota Prius embody? an individual with high status. The Toyota Prius is a car which signals environmentally-friendliness, and more generally pro-social and altruistic values. IV. Feeling afraid and angry Drivers of the Toyota Prius can communicate to others that they inherit all In the earlier sections it has been outlined these positive values. A survey by CNW that positive, moral and powerful Marketing Research, showed that more emotions can be linked to ethical than a half of the Toyota Prius customers consumerism and that they can be used as claim that they bought the Toyota Prius as a successful marketing tool. On the other it “makes a statement about me”, whereby hand, it is important to note that negative “low emissions” was only on the fifth emotions, such as fear and anger, might be place of named reasons (Maynard, 2007). an obvious but not a suitable marketing In an article by the New York Times a strategy. For example, a commercial for Prius customer explains his motivation to organic vegetables could advertise its buy a Toyota Prius with the following: products by evoking fear of the possible consequences of synthetic pesticides and “I really want people to know that I care about chemical fertilizers. Or producers of the environment. I like that people stop and ask fairtrade clothing could highlight the me how I like my car.” (Maynard, 2007). horrible working conditions in the producing countries. Hereby, anger could Many Prius commercials do not only be evoked by showing that conventional feature the environmental benefits of the brands deliberately exploit workers. Both car, but they are also slightly different negative emotions focus on preventing the from conventional car commercials. An buying of non-ethical products, in this case example is the TV commercial in 2010, the non-organic vegetables or conventional showing the Toyota Prius driving through clothing. However, this marketing strategy a colorfully animated world, with children is relatively risky as it could easily dressed up as flowers, and happy singing backfire. Being faced with these negative in the background (CarlockToyotaTupelo, emotions, the consumer might generate 2012). In a study by Laroche, Bergeron and one of the two following coping-strategies: Barbaro-Forleo (2001) it has been shown The first coping strategy is being problem- that being slightly different from the focused, which would lead a person to

78 identify the source of stress and alleviate it good embraces positive emotions about (Bagozzi, Gopinath, & Nyer, 1999). For health and well-being. Positive emotions ethical consumerism, this could mean that can cause actions which nourish the the evoked fear or anger could lead to a emotion, but they can also trigger an other- more favorable purchase decision for centered orientation. Taken together, ethical products instead of conventional evoked positive emotions lead to an products. In this way, the consumer could increased motivation to buy ethical instead alleviate the negativity of conventional of conventional products. The second products. The second coping strategy is examined emotion was “feeling moral,” emotion-focused coping. Here, the person which focuses on altruistic and changes the problem’s meaning (trying to collectivistic values. Moral emotions can convince oneself that it is not a lead a consumer to prefer an ethical problem/threat at all, etc.) or just tries to product over a conventional one. The third ignore the problem (Bagozzi, Gopinath, & emotion of morality is triggered by Nyer, 1999). In this case, the consumer conspicuous consumption, which takes could simply ignore the negative account for buying luxury and high status consequences and continue buying articles in order to signal economic power. conventional products. Additionally, the In the case of ethical consumption, consumer could also try to completely conspicuous consumption of ethical avoid the source of his negative emotions, products can also serve to make a positive which is the negatively advertised ethical statement about the buyer by increasing product. Using negative emotions as a his social reputation. All in all, the marketing strategy could predispose the practical examples of YogiTea, Ethical consumer towards emotion-focused Bean Coffee and Toyota Prius showed that coping, it is advised to focus on the using certain emotions as marketing aforementioned positive, moral and techniques can be a very powerful tool. powerful emotions without the risk of With this knowledge, is it advisable backfiring. for an ethical marketer to combine all three emotions in one single communication V. Discussion strategy? A study by Kaptein and Duplinsky (2013) examined the effect of The aim of this paper was to analyze the several influential strategies combined in underlying emotions of ethical one message versus the effect of a single consumerism, consumerism that in- strategy in the message. The results of this corporates socially and ecologically research clearly indicated that combining produced products. The emotions that are several strategies is less effective as there is evoked by ethical products, can be a higher risk that the communication categorized as “feeling good”, “feeling becomes less clear to the possible buyer moral”, and “feeling powerful”. Feeling (Kaptein & Duplinsky, 2013). Applying

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these results to the emotions of ethical behavior, have a huge impact. In order to consumerism, it should be argued that it is effectively master this ecological challenge, better to focus on one concrete emotion the cause itself has to be tackled. rather than combining them. Together This paper investigated the research with the previous analysis of positive, question on how emotions influence the moral and powerful emotions, this paper purchase of ethical products. It is stated can provide a first guideline for effective that emotions of positivity, morality and and non-effective emotions in ethical power do have a major effect on our marketing. ethical purchasing, and that using negative emotions such as fear and anger should be avoided. If marketing techniques will VI. Conclusion make more use of the presented academic Environmental protection is undoubtedly knowledge, effective advertisement could one of the main challenges of the 21st significantly increase ethical consumption century in which everyday actions of and, thereby, positively contribute to the individuals, such as their shopping protection of our environment.

80 References

Bagozzi, R. P., Gopinath, M., & Nyer, P. U. (1999). The role McCarty, J.A. and Shrum, L.J. (1994), ``The recycling of solid of emotions in marketing. Jour-nal of the academy wastes: personal values, value orientations, and of marketing science, 27(2), 184-206. attitudes about recycling as antecedents of Bamberg, S., Hunecke, M. & Blöbaum, A.. (2007). Social recycling behavior’’, Journal of Business Research, context, personal norms and the use of public Vol. 30 No. 1, pp. 53-62. transportation: Two field studies. Journal of Nelissen, R. M., & Meijers, M. H. (2011). Social benefits of Environmental Psychology, 27(3), 190-203. luxury brands as costly signals of wealth and CarlockToyotaTupelo. (2012, July 16). 2010 Toyota Prius status. Evolution and Human Behavior, 32(5), 343- Harmony TV Commercial – Car lock Toyota of 355. Tupelo [Video File]. Retrieved from Plourde, A. M. (2008). The origins of prestige goods as https://www.youtube.com/watch?v=k9LqWd3kk honest signals of skill and knowledge. Human kM Nature, 19(4), 374-388. Dodds, W. B., Monroe, K. B., & Grewal, D. (1991). Effects of Schwartz, S. H. (1994). Are there universal aspects in the price, brand, and store infor mation on buyers' structure and contents of human values?. Journal product evaluations. Journal of marketing of social issues, 50(4), 19-45. research, 307-319. Tallontire, A., E. Rentsendorj, and M. Blowfield (2001), Ethical Bean Coffee (n.d.). Retrieved from Ethical Consumers and Ethical Trade: A Review of http://www.ethicalbean.com Current Literature, Policy Series 12, Natural Griskevicius, V., Tybur, J. M., & Van den Bergh, B. (2010). Resources Institute, Kent Going green to be seen: status, reputation, and Toyota Prius (n.d.). Retrieved from conspicuous conservation. Journal of personality http://www.toyota.com/prius/ and social psychol ogy, 98(3), 392. Vermeir, I., & Verbeke, W. (2006). Sustainable food Heffner, R.R., Kurani K.S. & Turrentine T.S. (2007). consumption: Exploring the consumer “attitude– Symbolism in California’s early market for hybrid behavioral intention” gap. Journal of Agricultural electric vehicles, Transportation Research Part D: and Environmental Eth ics, 19(2), 169-194. Transport and Environ ment,12 (6), 396–413. World Bank (2003), ‘‘World Development Report 2003’’, in, Hunt, N., & Dorfman, B. (2009, January 28). How green is Sustainable Development in a Dynamic World, my wallet? Organic food growth slows. Reuters. Transforming Institutions, Growth and Quality of Retrieved February 20, 2009, from Life, New York: Oxford University Press for World http://www.reuters.com Bank. Kaptein, M., & Duplinsky, S. (2013). Combining multiple YogiTea (n.d.). Retrieved from http://www.yogitea.co influence strategies to increase consumer compliance. International Journal of Internet Marketing and Advertis ing, 8(1), 32-53. Laroche, M., Bergeron, J., & Barbaro-Forleo, G. (2001). Targeting consumers who are willing to pay more for environmentally friendly products. Journal of consumer marketing, 18(6), 503-520. Loureiro, M. L., & Lotade, J. (2005). Do fair trade and eco- labels in coffee wake up the con sumer conscience?. Ecological Economics, 53(1), 129-138. Maynard, M. (2007, July 4). Say ‘hybrid’ and many people will hear ‘Prius.’ The New York Times. Retrieved from http://www.nytimes.com Mazar, N., & Zhong, C. B. (2010). Do green products make us better people?. Psychological science.

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Navigating healthcare systems: Is there a solution to healthy ageing?

Freya Tilleman Faculty of Geography, Université de Montréal Semester Abroad Programme of University College Maastricht [email protected]

Abstract Across cultures and countries, people have different understandings of what health entails, so improving the health of the elderly would also mean improving different health factors. Universal health as a notion is an illusionary idea, because it is context-dependent. Countries face different issues with elderly populations, and so they have different objectives for their healthcare systems. Even when elderly populations have similar problems, the social, political and cultural differences between countries make the implementation of universal health measures impossible. Countries’ healthcare systems are already different due to the different circumstances, and so healthy ageing should be promoted in a more localised fashion. Healthcare systems are not efficient in addressing local issues when the different understandings of health are not respected. For a healthcare system to work to its full potential, measures have to be adapted to local needs, local values, and local priorities. Healthy ageing might be a universal problem, but it has no universal solution.

Health is essential to living. The systems need to be increasingly adept at international community acknowledges tackling issues that this proportion of our the importance of health by including population faces. Healthy ageing is a term health as a basic Human Right (Art. 25). that has recently been coined to point at Every community in the world needs to these issues. The term especially hints at provide health to its members in some the fact that adding extra years to our lives form of healthcare, addressing especially does not necessarily equate with being those vulnerable in society: the elderly and more active during those years (WHO, the young. As we have to deal with a 2015b). One cannot say, however, that growing elderly population, healthcare healthy ageing can be promoted in similar

82 ways across the world. After all, healthcare Development Goals (SDGs) advocate systems already differ between countries, health. and even defining what one regards as There has been some criticism by universal health is difficult. This paper scholars on the standard definitions of investigates the struggle of localised health (Huber et al., 2011; “What is universal health, and examines to what Health?”, 2009), but there has been little extent a universal approach to promoting research on structural differences in healthy ageing is appropriate. conceptualising health and how these Health is a controversial topic differences in turn affect the functioning of because of its universal need, and its healthcare systems. This paper thus variety of implementations (Huber et al., attempts to reconsider healthcare systems 2011; “What is Health?”, 2009). Due to as structures that cannot be taken for changing views of political parties, cultural granted, focussing on health of the elderly norms, values and social habits, countries as a niche topic. Furthermore, the paper address health issues in ways that fit their aims at challenging the reader on their societies. Even though most countries face belief in universal healthcare, because ageing populations, the health of these universality seems to be an assumption populations is addressed differently. that is criticisable, yet often overlooked. Therefore, this paper argues that universal First, the notion of health will be analysed. healthcare is problematic or even The concept of health can refer to different illusionary because of cultural, social and things, and so its conceptualisation political circumstances. Every country influences prioritisation and implem- needs an adapted programme to promote entation of healthcare policies regarding healthy ageing. The need for specific care healthy ageing (Hurst, 1991; Kraaijvanger, is even strengthened by countries’ diverse 2014). In the second section the appeal of a demographics. Naturally, universal prog- universal healthcare system will be rammmes do exist, and they will differ in discussed, followed by an investigation of practice (WHO, 2012; WHO, 2015a), but whether similar problems lead to similar this paper argues that the very idea of solutions. Lastly, different healthcare universality is debatable. This paper systems will be elaborated upon, focussing regards healthcare as intrinsically local: the especially on the Netherlands, the United functioning of healthcare, its prioritisation States of America, Canada and Uganda. of certain treatments and its response to The different ways in which their critical situations depend on specific healthcare systems are organised can shed circumstances. Therefore, according to this light on how different conceptualisations viewpoint, healthy ageing cannot be lead to different approaches in healthcare promoted in the universal manner systems, while also offering different programmes like the Millennium roadmaps for addressing healthy ageing. Development Goals (MDGs) or Sustainable

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I. The ‘health’ in healthy “[h]ealth is a state of complete physical, mental and social well-being and not merely the ageing absence of disease or infirmity” (WHO, 2006, p. 1). Health is a basic necessity of life, yet its meaning is not as clear-cut as one might The WHO’s definition was so broad that assume. The seemingly universal concept even though it was criticized on its open is applied so diversely in different places interpretation, the definition has not been that one is inclined to think that the amended since its formulation (Huber et meaning attached to the concept depends al., 2011). However, this notion of health on context and culture. It seems that has its own problems, because it is unclear people in a certain place or a certain how it differs from well-being or quality of environment define health according to life (Peter, 2001). The WHO’s definition their necessities and values, indicating that might capture every person’s under- health would be dependent on geographic standing of health, but it might be less location (“What is Health?”, 2009). useful when implementing health policies, Moreover, when people rate their health, as a meaning so broad does not give a clear they are subjective in how they perceive direction (Huber et al., 2011). The their condition. In Idler and Benyamini’s definition has also been criticised on the study, participants stated that their health word “complete”, because it medicalises depended on many things, and that how health in the sense that many people who healthy they felt depended on the day and normally consider themselves healthy may on what body part they were talking about be categorised as unhealthy (Kraaijvanger, (1997, p. 27). Health is thus not a state that 2014; “What is Health?”, 2009). Ageing can be decided upon externally, nor a state populations have chronic diseases that that is unchangeable. A universal notion of might not make the elderly very ill per se, health, in similar sense, can hardly exist. but that do contribute to the elderly’s Initially, health was understood as a medical histories. “state of being free from illness or injury” When looking at health on a more while also referring to “[a] person’s mental local level, one can see that different or physical condition” (“Health”, 2016). communities have different under- These are two different things, since being standings of what is means to be healthy free from illness or injury might not (Farmer, Kleinman, Kim & Basilico, 2013). necessarily mean one is in perfect health Communities’ notion of health possibly (Huber et al., 2011). Therefore, one might includes spiritual health, mental health or favour a broader definition such as the one group (social) health (Kraaijvanger, 2014; the World Health Organisation (WHO) Maastricht University, 2014). What uses: conception of health one prioritizes for a healthcare system should then depend on

84 the community, because a healthcare WHO has set a guideline of ways by which system addresses the problems that a to approach it (WHO, 2015a). The way in community regards as detrimental to which these health measures are health (Frenk, 2010). If a community does implemented will differ in practice, but the not perceive depression as a problem of idea behind them is universal none the mental health, the solution should not be less. It can be questioned why health sought in the medical sphere. How a measures are advocated in this universal health problem is defined is thus related to manner when healthcare implementation how it is solved, as the health treatment is so different in different countries. should correspond to the health problem. Universal healthcare measures seem Improving the elderly’s health is appealing because of their global dependent on the community in a similar possibilities: the belief is that because they way: health measures should treat those are universal, they can be implemented issues that the community regards as most worldwide. These measures are specific pressing, or in other words, issues that the enough to be attractive but vague enough elderly regard as part of the healthcare to leave their practical implications up to system. Therefore, health and healthcare governments and NGO’s. Organisations are intrinsically tied to and dependent on like the UN strive for universal systems social surroundings (“What is Health?”, because it simplifies the task governments 2009). often face: pushing through changes in countries’ healthcare systems. Publicised universal health measures to health II. Universal healthcare problems should be solutions, exactly programmes because the UN has promoted them as universal. They are designed to work

everywhere, and so healthcare imp- Healthcare mostly refers to the treatment rovement seems easier: governments of a large variety of diseases. The question merely have to implement what the UN is whether it is possible to implement one has set out for them. One such a project set of health measures that adequately that did seem to be effective was the responds to all diseases all over the world, programme ‘Health for All’. This or whether such a health system would be programme did not involve governments, so elaborate and unspecific that but it did, in contrast to most projects, take implementation would never function. differences in health conceptualisations Organisations like the United Nations into account. The programme was by (UN) present health as an issue that can be developed by the WHO and has been addressed on a global scale: the MDGs and ongoing since 1979. The project views SDGs are the visible proof. Health is to be health as a flexible concept, thus taking tackled by a global community, and the local wishes and restraints into account

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when implementing measures (Taylor, tropical regions (WHO, n.d.). The double 1992). Inequality and access to health burden does mean that elderly across the services are viewed as part of the basic world face similar diseases coupled with health necessary for citizens to enjoy life. ageing – the chronic diseases-, at least next Another action the WHO took to ensure to illnesses specific to regions or the project’s success was the project’s developmental status (WHO, n.d.). This response to situational changes and realisation means that certain measures epidemics, thus shifting the priorities of could be effective beyond country the project to what was urgently needed boundaries: different healthcare systems (Taylor, 1992). Whereas ‘Health for All’ did could possibly implement similar take social contexts into account, usually measures advocating healthy ageing. healthcare measures are not localised. However, implementing measures across Even governments tend to ignore this basic borders does not immediately mean a step when organising their public universal system would also be healthcare systems, in the name of appropriate. This assumption is crucial, unification and ease of administration because it means measures that are (Taylor, 1992). Accordingly, adequate country specific can be implemented responses to growing elderly populations elsewhere, yet they are not universal. are often lacking. The solution for promoting healthy Just as much as anyone else, the ageing is thus not simple in the sense that elderly want and need to be in good health one can design a universal measure and too. As people age, a variety of problems implement it afterwards. One can only loom: memory loss, heart problems, start local and relatively small, after which, dementia, and many more. Even though if successful, the measure can be many of these problems are seen on a transported to another region facing a wider span of time and space, it does not similar problem. Even then, the measure seem like all elderly are affected by the cannot be implemented right away – same set of diseases. Whereas in taking a health measure to another region developing countries elderly are still does not mean implementing it without feeling the burden of infectious or adaptation to local values. Social, political communicable diseases such as lung and cultural values in which a healthcare infection or malaria, elderly in first world system functions cannot simply be ignored countries mainly face diseases such as (“What is Health?”, 2009). A health diabetes, cancer and Alzheimer’s (WHO, measure taken from another region can be n.d.). Nevertheless, these diseases have used as inspiration, or as a role-model, but also reached the developing world, it will have to be remodelled to local creating a double burden – as elderly have values in order to be most effective (Frenk, to treat them next to communicative 2010). Healthcare systems are not different diseases that are typical for the mostly without a reason; therefore, governments

86 cannot simply take a WHO advice on a 2015b). Yet, as mentioned before, many measure and implement it directly. The populations in the world are ageing, and argument is that local differences will so many countries in the world will have make health measures intrinsically local, to find ways to promote healthy ageing. because even if the healthcare system’s Surprisingly, where one would target group (the elderly) is facing similar think that countries with similar health diseases as the elderly in another region, problems would have similar healthcare the success of the health measure will systems, nothing seems to be less true than depend on how well local needs are that. Canada and the Netherlands, for catered to. example, foster very different healthcare measures even though they have III. Similar problems, experienced similar economic growth and similar solutions? socio-political development (Hurst, 1991). This contradiction indicates that there

might be other reasons than develop- Improving the increasingly longer life of mental status for the diversity in the increasingly larger older population healthcare provision: whether that is seems to be an issue many countries are social, political or cultural (Hurst, 1991). facing. Often quoted is the (approaching) There does not seem to be one clear answer burden healthcare systems have to bear, to why the differences persist. Is it because pointing at the strain that elderly are likely of their political ideologies or because of a to bring to healthcare systems regarding different understanding of health (Farmer, their capacities and needs. A larger Kleinman, Kim & Basilico, 2013)? An proportion of the population being older answer might be found when comparing explains why: the working force decreases the different healthcare systems con- in size, while the amount of people that cerning their applications of health and needs care increases (WHO, 2015b). Fewer their objectives (Frenk, 2010). What is clear, people have to generate the capital to pay though, is that because of these differences, for the healthcare of a larger amount of healthy ageing cannot be promoted in a older people, diminishing the resilience universal fashion, simply because each and productivity of healthcare systems. ‘universal’ method would have to be The WHO points out that current tailored to every country’s specific healthcare systems are often not adept to healthcare system in order to be the increasing elderly population, and implemented effectively. already-stressed healthcare systems in Universally advocated measures do developing countries cannot carry the not only need to be implemented abovementioned double burden that is differently between countries, also within currently taking its toll on vulnerable countries inequalities exist that diminish populations (Huber et al., 2011; WHO, the effectiveness of healthcare measures.

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Countries that struggle with inequality, world that has integrated Alain Enthoven’s such as the United States of America theory of managed competition into its (USA), often see differences between basic healthcare system. This theory has set groups reflected in different demands and out a competition of healthcare insurers needs for healthcare (Van Ginneken, according to the free market principle, Swartz & Van der Wees, 2013). In order to however, the insurers are ultimately solve this problem of inequality, the USA regulated by the state (Enthoven, 1978; started to look at Western European Tunstall, 2014). The insurance companies countries such as the Netherlands (Van de cannot turn new applicants down: they Ven & Schut, 2008). Every healthcare must accept every one, and demand a set system has a particular understanding of price per region that cannot be changed health that forms its foundation, yet most personally. This means that the Dutch countries do not address this foundation healthcare system is relatively accessible when looking at each other as examples. (Tunstall, 2014). Furthermore, there is What is included and excluded by a financial help provided by the government healthcare system is strongly influenced by for those with an income too low to afford this foundation, and thus this ignorance is health insurance (Tunstall, 2014). Finally, a problematic (Huber et al., 2011; small percentage of a worker’s salary is Kraaijvanger, 2014). The problematic deducted to contribute to the long term shows when one country adopts measures care and risk adjustment system that is used in another country: the copied used for vulnerable groups such as elderly measures do not work out well because (Van de Ven & Schut, 2008). This means circumstances are not alike. that the cost of elderly care is a shared responsibility of the entire working force, as is typical of a welfare system. Hence, a IV. Country-specific stability or potential reduction of costs will healthcare be enjoyed by everyone, meaning that healthy ageing is likely to be promoted

nation-wide. Healthy ageing thus needs to be addressed When comparing the Dutch country-specific, still, there are countries healthcare system to the American system, that inspire others with their healthcare opposite strengths and weaknesses can be models (Frenk, 2010). The Dutch witnessed (Davis, Stremikis, Squires & healthcare system is interesting because it Schoen, 2014; Van de Ven & Schut, 2008). is an “efficient, universally-accessible When one looks at access to healthcare and system that has successfully integrated a consumer choice, the Dutch system strong competitive market component into performs better, because the USA is it” (Tunstall, 2014, “Overview”). The severely lagging behind on basic health Netherlands is the only country in the insurance coverage (Davis, Stremikis,

88 Squires, & Schoen, 2014). However, the Kim & Basilico, 2013; Hurst, 1991). It might challenge of the Dutch system is “to create therefore be no surprise that Uganda’s integrated delivery systems that provide healthcare system is very much focussed high-quality care in response to on sanitation and communicable diseases consumers’ preferences” whereas in the US such as AIDS and tuberculosis, which can this integration is well-developed (Van de be concluded from the main programs run Ven & Schut, 2008, p. 780). Whether these by the Ministry of Health of the Republic systems could be combined to create a of Uganda (Ministry of Health, 2015; healthcare system that scores high on all Kavuma, 2009). On the contrary, the aspects remains an open question (Van de Netherlands is mainly concerned with Ven & Schut, 2008). For now, it seems to be smoking, excessive drinking and sport; a question of prioritizing. According to health issues that are of a very different Kapiriri and Norheim, “[p]riority setting is dimension than those in Uganda (Meessen, one of the most important issues in Van Damme, Tashobya & Tibouti, 2006; healthcare policy because no health system Rijksoverheid, n.d.). Promoting health at can afford to pay for every service it an older age will thus also concern these wishes to provide” (2004, p. 172). issues that are deemed important by the Scandinavian countries try and do indeed population and the government, with perform quite well, but their health health measures targeting those issues that services are expensive in return, and thus elderly are particularly weighed down by. those countries must compromise on other Consequently, healthy ageing might need public expenses (Davis, Stremikis, Squires, to be stimulated in Uganda by installing & Schoen, 2014). Canada’s health AIDS-related programmes, while this indicators show that the Canadian would hardly be necessary in the government prioritises equity (Canadian Netherlands. Institute for Health Information, 2011, p. Instead of looking at the rather ix). Yet, the country is lacking in several obvious differences in healthcare systems other aspects of health, such as patient- between Uganda and the Netherlands, one centred care, safe care and efficiency might find it interesting to look at two (Davis, Stremikis, Squires, & Schoen, 2014). developed countries, such as the These different ways of providing Netherlands and Canada. These countries, healthcare may be assigned to the different quite similar in terms of life expectancy, objectives that countries foster for their income, equality and quality of living, healthcare systems (Hurst, 1991). The basic nevertheless have different healthcare goals of health services may be shared – systems (United Nations Development such as accessibility, adequacy and Programme, 2014). There are many reasons efficiency- but the main health concerns that could be lying at the origin of the differ, especially between developing and divergence: the history of the countries, developed countries (Farmer, Kleinman, their political ideologies or their number

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and involvement of inhabitants. What the values, and measures can thus not be differences do show are the different extended across social, cultural and mind-sets regarding healthcare, across political boundaries without tailoring to countries with different development local systems. levels, logically, but also across countries People in different countries with similar levels of prosperity. What perceive health differently, their healthcare follows is that measures of healthy ageing systems work differently, and their are as context-dependent as is healthcare systems prioritise different diseases and in general. The Dutch system is successful set different objectives. Hence, a universal in addressing different needs within this approach to healthy ageing is hardly context – and thus scores high on possible, despite organisations’ advocates accessibility - yet it does not provide the of health measures on a global scale. ultimate solution. Measures that might work in one country need not be extendable into other countries, even when both are facing an V. Conclusion ageing society. The differences in development of countries like Uganda and Whereas healthy ageing is a relatively the Netherlands help to explain why their recent point of interest, our healthcare healthcare systems differ, but more systems have had time to develop. Yet, this research is needed to clarify how these paper has seen that even developed differences change the implementation countries like Canada or the Netherlands programmes concerning for example have difficulties in designing a holistic healthy ageing. These differences show healthcare system that does justice to all. that universal health is an illusionary idea, Healthy ageing is thus likely to become a even though the basis on which it rests challenge, forcing the systems to cater to remains its global importance: health as a the needs of more elderly when working human right. For promoting healthy forces are declining, and the systems ageing one cannot rely on this foundation, already under stress. Universal health because healthy ageing is an issue that is to measures like the UN advocates under be promoted through an existing system: banners of MDG’s or SDG’s are not the the healthcare system. For this system, solution, however. Healthcare systems social, political and cultural context are need to locally respond to diseases or determining factors of the functioning and issues the elderly are facing, depending on effectiveness, and so should be taken into what is considered part of healthcare account. treatment, and how health is locally This paper has addressed conceptualised. Similarly, promoting differences between healthcare systems, healthy ageing will only be effective if but future research could look into what health measures are adapted to local exactly causes these differences, especially

90 if it concerns differences between two efficient as possible. In line with the developed countries. Finding out why needed response to ageing populations, these deviations occur might also act as a health measures will have to become guideline for tailoring health measures integrated in local systems, in order to concerning healthy ageing. Research on alleviate the burden on the working force. these differences is important because For happy and healthy elderly, healthcare healthcare services make up a significant should be considered in its local context, part of countries budgets, so policy makers because that is where all contextualisation will find it helpful to know how healthcare of health begins. measures can be made as effective and

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References

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92 Development. Retrieved from WHO. (n.d.). The global burden of chronic. Retrieved from http://hdr.undp.org/en/2015-report/download http://www.who.int/nutrition/topics/2_backgro Van Ginneken, E., Swartz, K., & Van der Wees, P. (2013). und/en/print.html Health insurance exchanges in Switzerland and the WHO. (2006). Constitution of the World Health Netherlands offer five key lessons for the Organization. Retrieved from at operations of US exchanges. Health Affairs, 32(4), www.who.int/governance/eb/who_constitution_ 744-752. doi: 10.1377/hlthaff.2012.0948 en.pdf Van de Ven, W. P., & Schut, F. T. (2008). Universal WHO. (2012). Health: essential for sustainable development. mandatory health insurance in the Netherlands: a United Nations resolution on universal health model for the United States?. Health Affairs, 27(3), coverage. Retrieved from 771-781. doi: 10.1377/hlthaff.27.3.771 http://www.who.int/universal_health_coverage/ Wagstaff, A., Van Doorslaer, E., Van der Burg, H., Calonge, un_resolution/en/ S., Christiansen, T., Citoni, G., ... & Johnson, P. WHO. (2015a). MDGs: progress made in health. Retrieved (1999). Equity in the finance of health care: some from further international comparisons. Journal of http://www.who.int/topics/millennium_develop health economics, 18(3), 263-290. ment_goals/post2015/en/ doi:10.1016/S0167-6296(98)00044-7 WHO. (2015b). Number of people over 60 years set to “What is health? The ability to adapt.” (2009). [editorial]. double by 2050; major societal changes required. The Lancet, 373, 781. Retrieved from Retrieved from http://www.download.thelancet.com/pdfs/journ http://www.who.int/mediacentre/news/releases als/lancet/PIIS0140673609604566.pdf /2015/older-persons-day/en/

Maastricht University Journal of Sustainability Studies 2017

Renewable energy transition Australia 2040

Yağmur Masmas University College Maastricht, Maastricht University [email protected]

Abstract This paper examines the transition to renewable energy within the context of a nation-state using Australia as case study. Both the Australian government and independent energy agencies have the potential to drive the transition as forerunner, with societal support. After determining currently ongoing initiatives, a framework is established for carrying out a hypothetical Integrated Sustainability Assessment. Both the theoretical framework and practical guide to implementation are presented in several stages: Stakeholder Analysis, Public Consultation, Modelling, Stakeholder Conference, Scenario analysis and lastly Monitoring and Evaluation. Finally, insights from the case study are translated into a synthesis of ideas for promoting country level renewable energy transitions.

The Australian government is among the Hugh et al., 2006). A Roadmap report of most ambitious with regard to renewable the Australian Greens concludes that this energy targets. Currently, ten per cent of transition is possible. Its costs would be Australia’s energy comes from renewable similar to the cost of replacing ageing fossil energy sources (RES). By 2020, this should fuel plants. Several governmental reach twenty per cent according to the institutions have been established to guide Renewable Energy Target, or RET the transition from conventional to (Australian Government Department of renewable energy sources. Their main aim the Environment and Energy, n.d). is to build the energy infrastructure that is Research teams, both governmental and going to determine the energy market in independent, have concluded that a several decades’ time. Two of these complete transition is technically agencies, the Australian Energy Market achievable and economically feasible Operator (AEMO) and Clean Energy (Elliston et al., 2013; The Greens, n.d.; Finance Corporation (CEFC), are the

problem-owners of the case study outlined proposal is discussed in context. Secondly, in this paper. the proposed ISA stages are described. A Strikingly, the Abbot government knowledge basis for executing the different has recently halted the progress to meet stages is included per stage. Finally, the the RET for 2020. There are considerations proposal is concluded with a synthesis of to scrap the target and accompanying ideas working towards a framework for financial assistance (Su, 2014). The country level RE transition. proposal in this paper is set in a hypothetical situation: two of Australia’s largest independent energy agencies have I. Outline context called for a complete Integrated Sustainability Assessment of plausible Climate change and the resulting pathways to a fully renewable energy consequences are among the biggest sector by 2040. The primary stakeholders challenges of this era. Mitigation and of both agencies are investors and energy adaptation are increasingly becoming companies. Secondly, researchers and priorities of governments worldwide. consumers can also be considered Environmental NGOs sound the alarm stakeholders. Even without further as the scenarios in IPCC reports government initiative, the agencies are become more alarming with each interested in a feasibility assessment which publication. The emission reduction targets does not only assess economic benefits, but (ERT) under the Kyoto protocol are not also social and environmental risks. In a expected to result in the two degree global country already affected by climate warming target as agreed upon during the change, there is a strong intention to COP in Copenhagen. Some countries take become more sustainable. Furthermore, measures into their own hands, setting Australia’s climatic and geographic themselves higher targets and actively situation promise extremely high promoting the transition to more potential for a variety of profitable RES sustainable practices, especially in the (Hearps & Wright, 2010). Existing wide energy sector. scale solar plants have proven to be a It is expected that these trends will success; Australia is ready to scale up lead to increasing carbon pollution costs, RES as long as the benefits outweigh while renewable energy is getting cheaper. social or environmental disadvantages. According to the Australian Greens’ This paper proposes steps of an ISA based Roadmap report, another desired side on the Australian case study. Without effect is the creation of jobs, because carrying out the actual ISA a theoretical renewables employ more people on framework is provided. average. However, the report does not First, the main question of the take into account citizens that will have to Integrated Sustainability Assessment live with RE installations in their backyard.

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Also, environmental compatibility is not ation is not taken into account. The focus is assessed. The report does not give a on the process of production, extraction, complete overview of the three pillars to storage, maintenance and replacement of assess RE potential as defined in the World machines. Energy Council Report, namely Thus, this case study aims to assess geographical potential, technical potential plausible pathways towards a 100% and economic potential (De Vries et al., renewable energy target by 2040 as well as 2007). The ISA outlined in this paper the respective consequences for Australia’s loosely works within these three quality of life, environmental quality and definitions and relating mathematical economic vitality. Sub questions of the formulas in order to create backcasting problem description are to be refined by scenarios. The end point of the scenarios is the research team during the execution of identical, namely a 100% domestic the proposed ISA. renewable energy production. Different pathways to this end, from 2014 to 2040, are explored. II. Stage I. Stakeholder As the assessment of technical and analysis economic potential of RES in Australia is already thoroughly documented, existing Crucial stakeholders in the energy sector research can be used in the ISA. New are the two problem owners, AEMO and knowledge is generated in the area of CEFC. AEMO is the body advising on social and ecological implications of a large planning and operating the National scale energy transition. Thus, the ISA is Energy Market (NEM). As independent meant to identify possible constraints of agency it ensures the long-term security scaling up RES, constraints which may not and quality of the NEM in the interest of previously have been considered. A its members, the Australian consumers. By challenge frequently named is the vast commission of the national government amount of land required to produce AEMO has conducted a study on energy alternative energy. Renewables must transition (AEMO, 2013) including a compete with humans, nature and Working Group for scenario agriculture. Other key variables are development (See Appendix I). Similar disturbances to ecosystems or settlements, in status, CEFC is an independent, the use of water, materials and possible commercially oriented agency initiated by negative impacts on the global climate the national government. Its main system. These and other issues are stakeholders are investors, businesses and included in five to ten scenarios using a scientists in the field of Research and combination of stakeholder dialogue, Development (R&D) of clean technology. observational data and mathematical The CEFC prioritizes investment that modelling. Consumption and transport-

generates social, environmental and interest (Enserink et al., 2010). The economic benefits, accelerating a category ‘businesses’ includes energy transformation in the energy sector. producers (including transmission) and In reaction to the government’s their associations as well as investors and diversion from its initial renewable energy their associations. Following the target, the two clients wish to show ‘positioning approach’, the government commitment to the intentions of the 2011 and related independent agencies such as Clean Energy Future Plan. Their main aim AEMO are identified as actors with a is to raise awareness and understanding in formal position in policymaking diverse fields of actors. Ultimately, the (Enserink et al., 2010). The current Abbot process of envisioning alternative futures government has a role of opinion should inspire thought, debate and action leadership. ‘Scientific experts’ include on all levels of society. Therefore, the R&D scientists as well as scientists in the widest variety of stakeholders must be fields of environment and social sciences. mapped and involved in the ISA. ‘Interest groups’ represent the interest Stakeholders are distinguished according groups which are not in one of the four to the five categories defined by other categories. A division can be made Grosskurth and Rotmans (2005), namely between environmental NGOs, regional businesses, interest groups, citizens, NGOs and NGO’s representing, to a government and scientific experts. In certain extent, the interest of future Appendix II, critical actors on the list of generations, namely youth NGOs. relevant Australian entities are underlined. The list of actors is to be revised and During the research process, until Stage IV, completed during the research process. stakeholders are mapped in an interest- Critical actors are invited to the conference power matrix in order to identify players, in Stage II. Special cooperation may be subjects, context setters and ‘the crowd’. appropriate in the case of the Clean Energy Due to the interesting possibilities Regulator, the agency which administers of small-scale RES in a smart grid, any the National Renewable Energy Target. Australian citizen is a potential player. The Furthermore, assistance during the ISA group of citizens can be represented in two process may be required from the ways. Stage II focusses on individual Southern Australian initiative called citizens from different parts of society, Renewables SA and an energy modelling whereas later stages only involve company called Roam Consulting. consumer interest groups. Taking an imperative approach, citizens are identified as actors who feel strongly enough about the issue to act on their feelings, whereas others may be guided by rational considerations such as economic

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III. Stage II. Public Thus, the interest of children and parents could be triggered. At the consultation meetings, three steps are made. Firstly an actor analysis is done. This includes At the start of the ISA, the researchers power-interest matrixes on the basis of reach out to the general population to resource inventories, subjective involve- brainstorm about drivers, actors and ement and interdependencies. Secondly, critical uncertainties with reference to the drivers, critical uncertainties and framework established in this proposal. indicators are identified in an interactive The initial focus is relatively local, with the manner, which may result in simple causal aim of mapping fears and expectations of models. In stage II, finally, the initial communities. This stage is important for problem as defined by the researchers is the creation of ambassadors and possible altered using the meeting’s findings. This buy-in. The research team accesses local step also functions as a partial baseline and specialized knowledge. Even though survey to explore the consequences of the formal power rests with the government, introduction of the MET in 2001 until the citizens elect the executives and select today. Experiences of the people living in energy providers. Commitments of civil the area affected by the RES are society can bring about major changes, in documented this way. This baseline survey which case citizens can be identified as functions as starting point for the research actors rather than subjects. In this case, it is team to update an existing Reference in the power of citizens to act by using Scenario from AEMO (AEMO, 2014). This rooftop solar power and solar hot water, reference scenario then forms the baseline for example. of the different scenarios developed in Public consultation meetings are later stages. hosted by local organizations contacted by In this public consultation stage, the researchers for collaboration and participation is used for mapping out promotion purposes. An open, friendly diversity and exploring tacit knowledge. and creative environment is necessary. The main aim is inspire, raise awareness This could be achieved for example by and equip dedicated citizens with the involving schools. The youngest children tools, knowledge and network to initiate could be asked to draw their further action. Empowerment and neighbourhood in 20 years; the results can involvement of energy users creates a be used for promotional material. Other common ground for possible changes, as educational projects could include small well as understanding of the final results modelling or scenario building exercises, of the ISA. It is important to include also possibly under the umbrella of a the next generations of citizens, sparking regional competition. An inclusive the curiosity of younger age groups or approach gives the project a human face. students. This aspect contributes to the

long-term ‘sustainability’ of the project as a These groups elect representatives for a whole. In this context, possibly one or two ‘citizen focus group’ in Stage IV. local experts are invited for a presentation with Q&A session. The domains of UNEP ‘GEO-3’ scenarios are introduced to the IV. Stage III. Modelling public in order to provide ideas, respectively: Socio-political frameworks The results of the statistical analysis in and institutions, demographics, markets Stage II are part of the subsequent study, and trade, value systems, and lastly both theoretical and practical, which scientific innovation. The approach of this prepares a basis of information for later stage is unique in the sense that the general focus groups. At this stage, the researchers public is given the opportunity to be part may refer to the reading list (see Appendix of the research, whereas oftentimes the IV) and explore both existing models and balance of representatives is on the side of case studies of other countries. Earlier economic interests. empirical work and data from current Outcomes can have all sorts of large-scale RE projects are searched for formats, varying according to the scope of data in all three domains. In case of each local meeting. The local organ- existing large-scale RES, effects on local izations then summarize the conclusions nature and wildlife are assessed by a by filling out a standardized online visiting team if such data is missing. questionnaire. The results are visualized in Expectations of this stage are now tables and graphs after statistical analysis. discussed to establish a framework. In the extraordinary case of crucial The potential of six categories of information lacking in the survey, this is renewables is assessed, respectively noted in the last question which provides biomass, hydroelectricity, solar-, marine-, room for comments. This format of wind-, and geothermal power. Existing simplification is necessary to process the empirical work is analysed to identify data efficiently in the research. generalized numbers with regard to Nevertheless, the most important results of material inputs and socio- environmental Stage II are ideas, visions, contacts and the implications per kilowatt hour of energy possible (educational, community etc.) produced. In the domain of environmental projects being set up. An executive impact, the focus is on air pollution, water summary of the ISA is handed out to pollution, water use, waste generation, all local organizations who hosted the greenhouse gas emission and land public consultation. During the requirement. Environmental degradation consultation progress, possibly groups and climate change are inputs. The could be formed who commit themselves economic variables are market prices, to communicating the final results in a national energy stability and security, parsimonious manner to the participants. stranded assets and overall economic

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vitality. The institutional dimension covers should be further extended and deepened both regional and local policies regarding by the research team. In addition, data energy, ETS, carbon pricing, from the International Futures Model can environmental protection, RET etc. Social prove helpful (See Appendix III). This effects include health effects, possible online scenario development software undesired disturbances in surroundings of functions as example to translate the causal inhabited areas, employment and possible model into a simple, static, interactive (cultural) benefits for local communities. computer model. This can be categorized Inputs are lifestyle and consumer as ‘modelling for vision-building’, to behaviour. structure the problem and identify possible The researchers collaborate closely measures. When completed, the created with representatives from AEMO and program is peer-reviewed by a group of CEFC. AEMO annually publishes National modelling experts. The computer model Electricity Forecasting reports including embodies a scenario framework which the extensive analysis of input assumptions consequent ISA stages are building on. (AEMO, 2013) and a number of 2014 In order to assess the potential of scenarios (See Appendix II). However, RES, the focus of the model is determined these scenarios focus only on the economic three concepts, namely geographical domain. The outcomes were mainly potential, technical potential and economic limited to the rise and fall of GreenPower potential. De Vries et al. (2007) define sales, not including wider environmental geographical potential as the energy flux or societal impacts. The ISA partly builds that is theoretically extractable in areas on findings of these reports. It includes considered available and suitable. The assumptions regarding both large-scale formula of technical potential takes into renewable energy targets (LRET) and account also losses of the conversion, see small-scale renewable energy targets figure 2 (De Vries et al., 2007). This (SRET). The LRET is defined by AEMO as formula serves as guideline for input main policy driver, while the carbon price variables in the model. Furthermore, it can has less impact on investment (AEMO, be used to establish input numbers per 2014). Next to annual reports, findings RES which are run through the models in from AEMO’s public consultation program order to create scenarios. can be used (AEMO, 2012). The variables fi and Di include In a first attempt to model social and socio-geographical factors, interdependencies in the energy market, all respectively location, acceptability and four dimensions of uncertainty as social constraints, such as wind park identified by Rotmans and Van Asselt density. Moreover, physical- geographical (2001) are integrated, respectively social, parameters, such as terrain, habitation economic, environmental and institutional and biomass yields complement these uncertainties (See figure 1). This model factors. Thus, the interactive computer

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model includes all possible RES that have should be clearly communicated to the enough potential for scaling up by 2040. As various groups by the researchers. input, it is possible to select any Simpson and Clifton (2014) conclude that combination of RES percentages, always extensive consultation of agents in adding up to 100% RE. The abstract Australia regarding the MET may lead to consequences of different scenarios can be negative externalities such as a loss of explored in a strictly quantitative manner. investor confidence; this should be This is done in stage IV. The model can be reduced, primarily through transparency. considered a policy optimization model Since the government is currently (Rotmans & Van Asselt, 2001), as it reconsidering its plans regarding the explores different pathways to a set goal. It NRET, there may not be direct results in has hybrid characteristics in the sense that policymaking. This stage is aims at it combines biophysical models with social creating a shared understanding among models. The economic supply and demand stakeholders. system is not elaborated on. On the level of Upon finalisation of the model, it is individual RES, new insights from presented to several national focus groups modelling can be used for energy consisting of maximum twenty individuals transition planning projects in different representing an interest group. The world regions. The complex model that various focus groups arrive at a conference integrates the feedbacks between the together, but are split part of the time. different RES and other variables is During this full day program, experts are specific to Australia. asked to explain the key considerations of the region in a small presentation with Q&A possibility. Experiences from existing V. Stage IV. Stakeholder RE production methods are mentioned to Conference get an overview of specific effects on the local population, flora and fauna. If

research and development is currently in The ‘envisioning stage’ of the ISA starts in an early phase, then experts are asked to Stage IV, continuing in stage V. The summarise findings and explore the modelling exercises in the previous stage probability of opportunities. Although can be used to identify and analyse these insights are considered by possible pathways to achieve a 100% participants, the general model at the basis renewable energy target in Australia by of the program is stochastic. The main 2040. This stage brings together tacit and outcomes from the public consultation are explicit knowledge, powerful companies presented and evaluated. Definite critical and smaller interest groups, in order to uncertainties are defined per focus group, eliminate risks. The expectations of possibly including technology, energy stakeholder participation in this stage prices and policies.

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This stage develops narratives mixed groups. This forms the basis for the for different backcasting scenarios research team to build detailed versions using the knowledge presented during and thoroughly analyse the scenarios. In the conference as well as the interactive this stage, participation is used to a certain computer model developed in the previous extent to reach consensus regarding stage. The development of scenarios of medium-term regional scenarios. Australia’s RES by 2040 builds on a workshop prepared by the research team. In this ‘experimenting stage’, scenarios VI. Stage V. Scenario clarify the potential interactions between analysis the three pillars. The model and summary of assumptions serve as communication Modelling experts are consulted to tools in stakeholder dialogues. Participants integrate the scenario frameworks from can then try different combinations of Stage IV into more extensive quantitative scaled up renewables and discuss the backcasting scenarios. Scenarios are consequences of these pathways more necessary because of high uncertainties, elaborately in order to choose one scenario. such as behavioural variability, techno- Each focus group presents the logical development and policymaking scenario it has chosen and elaborations on decisions. Formal, complex decision the reasoning behind it. Clear instructions support scenarios are necessary for this are given on the content and format of this multidimensional, multi-scale tangled presentation. It should include a web of problems (Van Notten et al., 2003). comparison of the impact of the chosen The main task is to combine newly scenario versus the others. Why did the generated knowledge with already group believe the total impact of a certain existing models and the updated reference pathway was most convincingly positive model. In all cases, validation through and for whom? The primary concern is model performance tests is required. The that of direct, regional impacts such as NUSAP method is used for the biodiversity loss. In the later stage, management of uncertainty and quality scenario narratives are finalised by fitting of quantitative information. GAINS and the initial ‘complicated’ model into a more PROMETHEUS are used to simulate ‘complex’ and dynamic one, dealing with influences from the earth system impacting feedbacks in a local as well as a global the region Australia. At this point, context. scenarios should include both biophysical After the different groups have and socio-economic models, with a hybrid presented their chosen pathway, a debate result. The outcome is less comprehensible is organized to select with five to ten final for the wider public than the models and scenario frameworks. The participants will then write a concise report per scenario in

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scenarios used and developed until this organizations hosting the public point in the ISA. consultation. It is left to them to spread this As with all ISA projects, difficulties knowledge, stimulating engagement in the arise with the transgression of time-scales, process of change that was triggered spatial scale- levels and domains. Scenarios during Stage II. It is in this way that the are not predictions. Models are mostly two ultimate aims of scenarios are deterministic. As for the scenarios, key achieved. expectations are discussed here. Renew- ables are expected to cover a larger surface area than the conventional energy sources VII. Stage VI. Evaluation and they replace, emit less greenhouse gases Monitoring and produce less waste. The least cost scenarios of Elliston et al. (2013) rely In this final stage, a framework for mostly on wind and solar power, as do monitoring is established, which can be AEMO scenarios (AEMO, 2014). Zahedi used to administer national planning and (2010) identifies a trend of fast growth of reliability. The baseline for this framework these RES in Australia. If technology is the Reference Scenario. Parsimonious furthers, Australia’s climate is particularly policy evaluation scenarios until 2040 are suited for algae production and solar defined. It is not the task of the research power, two highly efficient types of RES. team to regularly update these scenarios, Commercial-scale solar power plants are a only to establish the quantitative computer reality in Australia today, roof top PV is model. In essence, this is a simplified increasingly popular among the popu- version of the extensive model developed lation. In terms of consequences, algae are in Stage III, refined with the experiences interesting due to high yields and the that were shared during the stakeholder possible use of waste heat, waste fertilizers conference and expert scenario analysis. Its and wastewater, reducing use of water, format is similar to the International nutrients and energy. Futures Model, notwithstanding less The task of the research team is to comprehensive. It resembles a regional translate the quantitative scenarios into input-output model. The data has to be visually attractive narratives, while clearly updated by an agency with a grasp of addressing input assumptions. The nationwide trends, the most obvious being scenario analysis should be presented as AEMO, CEFC or a governmental appropriate to guide decisions of investors, department. The outcomes are to be made companies and eventually the government. public to ensure continued stakeholder This includes a report, an executive engagement. summary and an explainer video for all With regards to evaluation of the who participated in the conference. These ISA, the details of the process will have resources are also received by the regional

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been documented in every stage. This is of the meeting first, find out which tools used as a basis for a critical, reflective facilitate the group process and how to report which is then presented to the most effectively raise interest. In the hyper- clients. It includes an overview of all connected era it can be beneficial to take stages, evaluates the outcomes in advice from experienced social media comparison to expectations and provides managers in order to position the ISA recommendations for future research. online as national campaign, clearly communicating the mission and bigger picture. Utilise the public consultations to VIII. Conclusion and establish a baseline; a reference scenario recommendations incorporating the people’s experiences with renewable energy up until that point.

Next to this, the public consultation aims This case study has delved into the current to involve and empower stakeholders, thus status of Australia’s policy environment, creating a common ground for under- with a particular interest in initiatives standing the ISA results at a later stage. aiming to expand the country’s renewable The outcomes of this stage can be fed to energy production and use. The main goal the central agency carrying out the ISA by of the ISA was to raise awareness, means of standardised questionnaires. understanding between stakeholders and The modelling stage has a finally to catalyse action. Recom- theoretical focus, mostly consisting of mendations for conducting an ISA are now research and complementing existing summarised. First, establish the main knowledge by possible field visits. This drivers, actors and critical uncertainties in paper gave an overview of environmental, the case. This stage can lay the foundation economic and social variables to take into of expectation management in local account in this stage. In the process of communities. Classify all relevant ‘modeling for vision-building’, integrate stakeholders in five categories: Scientific social, economic, environmental and experts, businesses, interest groups, institutional uncertainties. The theoretical citizens and government. Map the actors in framework used in this paper works with a power-interest matrix. the three concepts geographical potential, In the public consultation stage, the technical potential and economic potential. research team can save time and effort by This policy optimisation model can be collaborating with existing local organi- used to explore several backcasting sations - or national organisations with scenarios. local branches - who take it upon The subsequent two stages are part themselves to host a meeting. The key to of an ‘envisioning’ process. Firstly, the success of a spread out large-scale public stakeholder conference gathers national consultation is preparation. Test the format focus groups. It is the aim of the

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conference to develop narratives for the conference are used to create complex, different backcasting scenarios presented. dynamic, highly quantitative models In other words, participants ask which will have a status of authority for themselves which changes would have to investors, companies and government take place for a certain scenario to become institutions. Moreover, it is vital to reality? What are the likelihood and communicate the resulting conclusions consequences of these changes? The and actions to all participants. presence of experts is vital to ensure that The extensive process described in the conversation does not reach a deadlock this paper can be scaled-down and used as due to a ‘technical’ question in a focus a guide for ISA’s in any region. Future group. In contrast to the broad focus of the research into other case studies is public consultation, this conference recommended. narrows down the focus of the ISA in a democratic process. The outcomes of the

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References

AEMO (2014, February 11). 2014 Scenarios description. Evrendilek, F., & Ertekin, C. (2003). Assessing the potential Planning & forecasting scenarios.Retrieved from: of renewable energy sources in Turkey. Renewable http://www.aemo.com.au/Electricity/Planning/F Energy, 28(15), 2303-2315. orecasting Grosskurth, J., J. Rotmans (2005). The scene model: getting a AEMO (2012). AEMO report on 100% renewable energy grip on sustainable development in policy scenarios. Retrieved from: making. In: Environment, Development and http://www.climatechange.gov.au/reducing- Sustainability, Vol. 7, pp. 135-145. carbon/aemo-report-100-renewable electricity- Pimentel, D., Rodrigues, G., Wang, T., Abrams, R., scenarios Goldberg, K., Staecker, & Boerke, S.(1994). AEMO (2010, March 2). Stakeholder Survey Report. Renewable energy: economic and Retrieved from: environmental issues. BioScience, 536-547. http://www.aemo.com.au/About- Rotmans, J., M.B.A.V. Asselt (2001). Uncertainty AEMO/Services/StakeholderEngagement/AEMO management in integrated assessment modeling : Stakeholder-Survey-Report towards a pluralistic approach. In: Environmental AEMO (2013, December 12). Executive Summary. Monitoring and Assessment, Vol. 69, pp. 101-115 & National Transition Network Development 123-130. Plan For the National Electricity Market. Retrieved Saddler, H., Diesendorf, M., & Denniss, R. (2007). Clean from http://www.aemo.com.au/ energy scenarios for Australia. Energy Policy, Electricity/Planning/National-Transmission- 35(2), 1245-1256. Network Development-Plan Simpson, G., & Clifton, J. (2014). Consultation, Participation Australian Government Department of the Environment and Policy-Making: Evaluating Australia's and Energy (n.d.). The Renewable Energy Target Renewable Energy Target. Australian Journal of (RET) scheme. Retrieved from: Public Administration, 73(1), 29-33. http://www.environment.gov.au/climatechange/ Su, R. (2014, May 26). Scrapping Renewable Energy Target renewable-energy-target-scheme Will Cost Australia's Economy Billions. Curran, G. (2012). Contested energy futures: Shaping International Business Times Australia. Retrieved renewable energy narratives in Australia. Global fromhttp://au.ibtimes.com/articles/553675/20140 Environmental Change, 22(1), 236-244. 526/australia-renewable-energy-clean De Vries, B. J., van Vuuren, D. P., & Hoogwijk, M. M. (2007). investments.htm#.U4Wr6fmSwvw Renewable energy sources: Their global The Greens (n.d.). Clean energy roadmap. Retrieved potential for the first-half of the 21st century at a from: global level: An integrated approach. Energy http://greensmps.org.au/sites/default/files/clea Policy, 35(4), 2590-2610. n_energy_roadmap_long.pdf Elliston, B., Macgill, I., & Diesendorf, M. (2013). Least cost Van Notten, P. W., Rotmans, J., van Asselt, M., & Rothman, 100% renewable electricity scenarios in the D. S. (2003). An updated scenario typology. Australian National Electricity Market. Energy Futures, 35(5), 423-443. Policy, 59, 270-282. Yusaf, T., Goh, S., & Borserio, J. A. (2011). Potential of Elliston, B., Diesendorf, M., & MacGill, I. (2012). Simulations renewable energy alternatives in Australia. of scenarios with 100% renewable electricity in Renewable and sustainable energy reviews, 15(5), the Australian National Electricity Market. Energy 2214-2221. Policy, 45, 606-613. Zahedi, A. (2010). Australian renewable energy progress. Enserink, B., L. Hermans, et al (2010) Actor Analysis. In: Renewable and Sustainable Energy Reviews, 14(8), Enserink, B., L. Hermans, et al. Policy Analysis of 2208-2213. Multi-Actor Systems (Chapter 4)

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Appendix

Environmental variables Economic variables Social variables Outputs Air pollution Market prices Health effects Water pollution National energy Disturbances stability and security Water use Stranded assets Employment Waste generation Cultural Greenhouse gas emissions Land requirements Inputs Environmental Economic vitality Lifestyle degradation Climage change Consumer behaviour Table 1. Overview of environmental, economic and social variables in the modelling stage.

Figure 1. Model of key inputs and outputs in the energy market

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Figure 2. Formula for technical potential by De Vries et al. (2007).

Appendix I. AEMO Scenarios

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Appendix II. International Futures Model scenario Australia example

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Appendix III. Stakeholder list

1. Government Australian Energy Market Commission Australian Council of Social Services Australian Government Treasury Clean Energy Council Clean Energy Regulator Department of Climate Change and Energy Efficiency Department of Manufacturing, Innovation, Trade, Resources and Energy Department of Sustainability, Environment, Water, Population and Communities Economic Development Board

2. Citizens Energy Users Association of Australia; Consumer Advocacy Panel#

3. Interest groups Australian Student Environment Network Australian Youth Climate Coalition Banksia Environmental Foundation Northern Alliance for Greenhouse Action Townsville Enterprise Total Environment Centre World Wildlife Fund South Australia Farmers Federation

4. Business Production Australian Geothermal Energy Association Australian Sugar Milling Council CSR Sugar ElectraNet Energy Networks Association Energy Retailer’s Association of Australia Energy Supply Association of Australia EnergyAustralia Grid Australia Independent Market Operator WA Intergen Major Energy Users National Generators Forum Origin Energy PowerCor Powerlink Private Generators Group Queensland Generators Group Southern Generators Coalition Sucrogen; Transpower NZ; Transend; and Western Power InvestorAEMO CEFC Renewables SA Synergies Economic Consulting

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5. Scientiﬁc experts Australian Photovoltaic Institute ddAustralian Solar Institute Academy of Technological Sciences and Engineering Commonwealth Scientific and Industrial Research Organisation (CSIRO) Roam consulting The Bureau of Resources and Energy Economics

Appendix IV. Reading list

• AEMO public consultation results (AEMO, 2012) • Potential of renewable energy alternatives in Australia (Yusaf, Goh, & Borserio, 2011) • AEMO Stakeholder Survey Report, (AEMO, 2010) • Least cost 100% renewable electricity scenarios in the Australian National Electricity Market (Elliston, Macgill, & Diesendorf 2013) • Clean Energy Roadmap (The Greens) • Executive Summary National Transition Network Development Plan For the National • Electricity Market (AEMO, 2013) • Case study: Assessing the potential of renewable energy sources in Turkey. (Evrendilek, & Ertekin, 2003) • Case study: Renewable energy: economic and environmental issues. (Pimentel et al., 1994). • Comparing least cost scenarios for 100% renewable electricity with low emission fossil fuel scenarios in the Australian National Electricity Market (Elliston et al., 2013) • Simulations of scenarios with 100% renewable electricity in the Australian National Electricity Market (Elliston, et al., 2012) • Contested energy futures: Shaping renewable energy narratives in Australia. (Curran, 2012) • AEMO report on 100% renewable electricity scenarios (AEMO, 2014)

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