THE LAW OF PUBLIC CONSULTATION IN REGULATORY AND LEGISLATIVE PROCESSES IN THE UNITED STATES, UNITED KINGDOM AND THE REPUBLIC OF SOUTH AFRICA By Živilė Stubrytė Submitted to Central European University Department of Legal Studies In partial fulfillment of the requirements for the degree of CEU eTD Collection Doctor of Juridical Science Supervisor: Professor Michael Hamilton Budapest, Hungary 2014 The dissertation contains no materials accepted for any other degrees in any other institutions and no materials previously written and/or published by another person unless otherwise acknowledged. s/Živilė Stubrytė CEU eTD Collection 2 ABSTRACT The thesis seeks to determine the effects of the role of law when framing the opportunities for public consultation in government policy and decision-making. The focus is to examine how requirements for decision-makers to hold public consultation enable meaningful participation by interested individuals in decision-making processes leading to a more responsive, professional and less intrusive regulatory government. The first chapter provides a detailed account of theories of deliberative and participatory democracy, which advocate for transformation of representative institutions. It concludes with an observation that it is worth investigating the existing consultative opportunities in decision-making processes in order to determine whether such transformations are necessary. The second chapter investigates the developments of law of public consultation taking as a benchmark the criteria for ideal participation and deliberation. The results of the analysis reveal that the nature and scope of consultative obligations are predetermined on such factors as the subject matter and the impact of the decision on an individual or the public in general. In this respect the third and fourth chapters examine consultative processes in particular regulatory areas to determine the similarities and differences of enforcement of participatory rights as well as their impact on regulated industries. The fifth and final chapter determines how different legal structures recognize participatory rights, and under what conditions consultative obligations can remedy the flaws of representative democracy. CEU eTD Collection The thesis aims to contribute to the existing debates about transforming representative democracy through introduction of participatory and deliberative mechanisms. The dissertation suggests that in the US, the UK and South Africa the existing legal frameworks are capable of facilitating public participation and deliberation through consultative obligations which reinvigorate representative democracy. 3 ACKNOWLEDGMENTS Thanks to my beloved parents for their endless love, understanding, moral support and financial contributions. Thanks to my brothers for their acceptance even without understanding, for how much longer am I going to study. Thanks to my friends for their encouraging words, for their challenging thoughts, for just being there for me. I feel helplessly indebted to my supervisor Professor Michael Hamilton for his support from the very beginning of this journey, and guidance through what sometimes seemed as obstacles impossible to overcome, for keeping the bar high and pushing to excel. I owe my gratitude for Professor Jeff Lubbers who provided me with constructive criticism and set the right tone to the writing. Thanks to Central European University and its community, for all the opportunities to learn from the best, the diverse and the open. The journey was longer than I thought it would be, but I have learned more than I have expected. The process of getting to the finish line was a reward in itself. CEU eTD Collection 4 TABLE OF CONTENTS ABSTRACT ............................................................................................................................... 3 ACKNOWLEDGMENTS .......................................................................................................... 4 INTRODUCTION ...................................................................................................................... 7 Thesis Outline ........................................................................................................................ 7 Choice of Jurisdictions ........................................................................................................... 9 Methodology ........................................................................................................................ 12 Relevance of the Research and its Contribution .................................................................. 13 1. Public Deliberation and Participation as a Solution to the Challenges faced by Regulatory Government .............................................................................................................................. 15 1.1. From Representative to Regulatory Government ..................................................... 15 1.2. Revitalizing Representative Government through Participation and Deliberation ....... 26 1.3. The Ideals of Participation and Deliberation ................................................................. 29 1.4. Defining the Meaningfulness of Participation and Deliberation ................................... 34 1.4.1. Informed Debate ..................................................................................................... 35 1.4.2. Equality .................................................................................................................. 36 1.4.3. Inclusiveness and Representation ........................................................................... 37 1.4.4. Reasoned Debate .................................................................................................... 39 1.4.5. Influence and Respect ............................................................................................ 40 1.5. Why Representative Government Needs Participatory Rights ..................................... 43 1.5.1. Democracy and Procedural Fairness ...................................................................... 44 1.5.2. Unprofessionalism in Regulatory Government ...................................................... 46 1.5.3. Alienation of the Public from Politics and the Lack of Responsiveness by Decision-makers ............................................................................................................... 47 1.5.4. Over-regulation, Big Government and the Potential of Public Participation to Enhance Governmental Accountability ........................................................................... 52 1.5.5. Supplementing the Rights of Freedom of Expression and Freedom of Information .......................................................................................................................................... 56 1.6. Enhanced Opportunities for Public Participation and Deliberation: A Critique and its Rebuttal ................................................................................................................................ 58 Conclusions ...................................................................................................................... 65 2. The Emerging Law of Public Consultation .......................................................................... 67 2.1. Opportunities to Participate in Rulemaking in the United States of America .............. 67 2.2. ‘Obligation to facilitate participation’ under South Africa’s Constitution ................... 70 2.3. The Government’s Commitment to Consultation in the United Kingdom ................... 73 2.4. Opportunities for Public Participation at the International Level ................................. 77 2.5. The Law of Public Consultation: Different Contexts, Similar Requirements ............... 80 2.5.1. Opportunities to Comment on a Proposed Decision or Policy............................... 82 2.5.2. Disclosure as a Prerequisite of Proper Notification ............................................... 97 2.5.3. Consideration of the Inputs made by the Participants .......................................... 105 CEU eTD Collection Conclusions .................................................................................................................... 121 3. Public Consultations in Specific Regulatory Areas – Telecommunications ...................... 122 3.1. Regulation in Telecommunications: Protection of Consumer Interests and Promotion of Competition ........................................................................................................................ 123 3.2. Consultative Obligations of Telecommunications Regulatory Authorities ................ 128 3.3. Public Consultation as a Means for Furthering Telecommunications Regulatory Policies ............................................................................................................................... 131 3.4. Taming the Broad Discretion of the Telecommunications Regulatory Authorities with Procedural Fairness and the Strictness of the Rules ........................................................... 143 5 4. Public Consultations in Specific Regulatory Areas – Environmental Matters .................. 154 4.1. Public Participation as a Guiding Principle in Environmental Governance ............... 154 4.2. Public Participation as a Means of Exchanging Environmental Information between the Decision-makers and Interested Parties ............................................................................