Citizen Participation in Technical Decision-Making for Sustainable Development
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TOWARDS DEMOCRATISATION OF EXPERTISE FOR SUSTAINABILITY A CASE STUDY OF FIVE INITIATIVES IN SWEDEN AND THE UK Åsa Gerger Swartling PhD Thesis 2002 ABSTRACT This PhD thesis consists of an empirical study of three housing initiatives and two transport initiatives in urban regions: in Stockholm, Sweden and Yorkshire, UK. Common to all investigated cases is that their instigators have sought, in rhetoric and to a varying degree in reality, a participatory dimension regarding technical assessment and decision-making in local environmental policy formation and implementation. By considering the realities of how the commitments to participation have been pursued and achieved in the selected cases, this study explores the potential for citizen participation in relatively technical aspects of environmental policy in the wake of Agenda 21. The thesis concludes that there are tentatively poor conditions for effective involvement of citizens in technical matters of local environmental policy in Sweden and UK, despite the fact that both countries have enthusiastically endorsed participation in the sustainable development process. The main reasons appear to be the adoption of inappropriate participatory techniques and lack of managerial skills in, as well as inadequate policy and institutional practices for, pursuing meaningful public participation in the technical- environmental policy realm. Moreover, although there are opportunities for local assessment of expert knowledge in all the cases, there appears to be limits to the degree of policy impact that can be ascribed to the participatory exercise. Nevertheless, the study suggests that, if given the opportunity and inclined to take it, in using their local knowledges, values and preferences, lay publics are capable of validating relatively technical facets of environmental housing and transport policy. This further suggests that there is good potential for democratisation of expertise in the process towards global environmental management given the existence of effective participatory practices and a genuine will to co-operate. 2 ACKNOWLEDGEMENTS I wish to thank Steve Yearley, Professor and Head of Department of Sociology at the University of York, for his excellent supervision, support and tireless work in reading drafts of this thesis. I would also like to acknowledge Professor Roger Kasperson, Executive Director of the Stockholm Environment Institute (SEI) for his review of a previous version of the thesis, as well as for his understanding of the demands of an unfinished PhD. Thanks are also due to some other colleagues and friends at the SEI in York, in particular John Forrester for providing early comments on some theoretical chapters, and Eric Willis for his help with the final production of the PhD thesis. I am also grateful to a former SEI colleague of mine, Gordon McGranahan (IIED, London) for his early comments and general support during the formulation of the PhD outline and contents. I also wish to acknowledge and thank the Swedish Research Council for its financial support of my doctoral research. The empirical study would not have been possible without all interviewed people in the Stockholm and Yorkshire regions, who were kind enough to give their time and information for my research. Thanks are due in particular to those persons who reviewed the previous version of the respective empirical chapters. Last but not least, my appreciation goes to Peter and Lina who have helped me keep my feet on the ground throughout the process of carrying out this research. 3 ABBREVIATIONS A21 Agenda 21 AQMA Air Quality Management Area AQMT Air Quality Management Team CIA Central Intelligence Agency CIT Community Involvement Team CO2 Carbon dioxide CSD United Nations Commission on Sustainable Development DETR Department of the Environment, Transport and the Regions DEFRA Department of Environment, Food and Rural Affairs DTI Department of Trade and Industries EEAC Energy Efficiency Advice Centre EFIEA European Forum for Integrated Environmental Assessment ESCR Economic and Social Research Council EU The European Union GIS Geographic Information System HECA Home Energy Conservation Act 1995 HEES Home Energy Efficiency Scheme HSB Hyresgästernas Sparkasse och Byggnadsförening HSMO Her Majesty’s Stationery Office IA Integrated Assessment ICIS International Centre for Integrative Studies ICLEI The International Council for Local Government Initiatives IISD International Institute for Sustainable Development IPCC Intergovernmental Panel on Climate Change IUCN International Union for Conservation of Nature and Natural Resources KFTRA Kirklees Federation of Tenants and Residents Associations LA21 Local Agenda 21 LAQM Local Air Quality Management LEAP Local Energy Action Plan LGA Local Government Association LGMB Local Government Management Board 4 MFO Materialförsörjningsorganisationen NGO Non-governmental Organisation NHER National Home Energy Ratings OAS Organisation of American States OECD Organisation for Economic and Social Co-operation and Development PUS Public Understanding of Science SB Svenska Bostäder SEI Stockholm Environment Institute SEK Swedish kronor SSK Sociology of Scientific Knowledge TRA Tenants and Residents Association ULYSSES Urban Lifestyles, Sustainability and Integrated Environmental Assessment UK United Kingdom UNDP United Nations Development Programme UNECE United Nations Economic Commission for Europe UNEP United Nations Environment Programme UNCED United Nations Conference on Environment and Development UNDESA United Nations Department of Economic and Social Affairs UNFCCC United Nations Framework Convention on Climate Change WSSD World Summit on Sustainable Development 5 TABLE OF CONTENTS ABSTRACT........................................................................................................................................................... 2 ACKNOWLEDGEMENTS.................................................................................................................................. 3 ABBREVIATIONS ............................................................................................................................................... 4 TABLE OF CONTENTS...................................................................................................................................... 6 1. INTRODUCTION......................................................................................................................................... 10 1.1. BACKGROUND............................................................................................................................................ 10 1.2. PURPOSE AND METHODOLOGY ................................................................................................................... 12 1.3. OUTLINE OF THE THESIS ........................................................................................................................... 13 1.4. REFERENCES .............................................................................................................................................. 14 2. THE EMERGENCE OF PARTICIPATORY APPROACHES IN POLICY DOMAINS...................... 15 2.1 PARTICIPATION AND CITIZENSHIP: HISTORY AND DEVELOPMENT............................................................... 15 2.2 THE MULTIPLE MEANINGS OF PARTICIPATION ............................................................................................ 18 2.3. REFERENCES .............................................................................................................................................. 23 3. THEORIES OF PARTICIPATION IN DECISION-MAKING: THREE PERSPECTIVES .................. 25 3.1. PARTICIPATION AS A DEMOCRATIC GOAL................................................................................................... 25 3.1.1. Participatory democracy theories...................................................................................................... 25 3.1.2. Citizen participation in technical matters .......................................................................................... 27 3.2. QUALITY ASSURANCE THROUGH EXTENDED PEER REVIEW PROCESSES ...................................................... 37 3.3. PARTICIPATION FOR THE SAKE OF KNOWLEDGE GENERATION IN SCIENCE AND POLICY DOMAINS .............. 41 3.4. REFERENCES .............................................................................................................................................. 45 4. CITIZEN PARTICIPATION IN THE SUSTAINABLE DEVELOPMENT PROCESS ........................ 48 4.1. THE EMERGENCE OF THE SUSTAINABLE DEVELOPMENT APPROACH .......................................................... 48 4.2. PUBLIC PARTICIPATION FOR GOVERNANCE OF SUSTAINABLE DEVELOPMENT............................................ 51 4.3. PARTICIPATION IN SCIENCE AND TECHNOLOGY POLICY............................................................................. 54 4.4. REFERENCES ............................................................................................................................................. 58 5. EMPIRICAL INTRODUCTION AND METHODOLOGY ...................................................................... 63 5.1. RESEARCH METHOD ................................................................................................................................... 63 5.2. SELECTION OF CASE STUDIES ....................................................................................................................