The Governance of Large-Scale Projects

Transcription

1 Kommunikation in Politik und Wirtschaft 5 Andrea Römmele Henrik Schober [Eds.] The Governance of Large-Scale Projects Linking Citizens and the State Nomos

2 Schriftenreihe Kommunikation in Politik und Wirtschaft edited by Prof. Dr. Andrea Römmele Prof. Dr. Sabine Einwiller Volume 5

3 Andrea Römmele Henrik Schober [Eds.] The Governance of Large-Scale Projects Linking Citizens and the State Nomos

4 Coverpicture: istockphoto.com Die Deutsche Nationalbibliothek lists this publication in the Deutsche Nationalbibliografie; detailed bibliographic data is available in the Internet at ISBN Edition 2013 Nomos Verlagsgesellschaft, Baden-Baden Printed in Germany. This work is subject to copyright. All rights are reserved, whether the whole or part of the material is concerned, specifically those of translation, reprinting, re-use of illustrations, broadcasting, reproduction by photocopying machine or similar means, and storage in data banks. Under 54 of the German Copyright Law where copies are made for other than private use a fee is payable to»verwertungsgesellschaft Wort«, Munich.

5 Preface Andrea Römmele, Henrik Schober Kathmandu, the capital city of Nepal, is chronically short of drinking water. In order to improve this situation, plans were made to divert water from three rivers and lead it to the city. The so called Melamchi Water Supply Project would affect 17 villages inhabited by indigenous people, the Hyolmo, forcing them to relocate. Moreover, a number of sacred sites alongside these rivers might be destroyed. A truly large-scale infrastructure project of about half a billion US Dollars, the planning process took more than four decades. In all these years, however, the government of Nepal did not care to discuss impacts of the project with the Hyolmo people who constantly raised concerns, especially since Things began to change in 2007, when the government of Nepal ratified the International Labor Organization s convention 169 which states that indigenous people shall participate in the formulation, implementation and evaluation of plans and programmes for national and regional development which may affect them directly. At this point, the Hyolmo people started a campaign to make the government live up to the standards of the ILO convention. By summer 2009, agreements were made between the government of Nepal and representatives of the indigenous people, but the Hyolmo claimed that the government was falling short in terms of implementation. They still were not part of the process and no government official consulted with them. Because of that, they turned to the Asian Development Bank (ADB) which is the main donor of the project along with the government of Nepal. The Hyolmo wrote a letter and asked for help. Two months later, they decided to make a film about their situation and just like the letter they addressed it to the ADB. This film was put up on the internet, and it soon went viral. Since then, millions of viewers around the world watched the half hour clip Dear Asian Development Bank (see The basic message of this film is not fundamental opposition but a demand for participation. It gives insights to the story of the Hyolmo and their struggle for recognition and is, thus, a blueprint for popular demands all over the world. Many people are willing to contribute to huge endeavors like the water supply project at stake. The Hyolmo are well aware that people in Kathmandu need drinking water. They just do not accept sacrifices without even being asked first. In this respect, the story of the Hyolmo people is both, a warning sign and an encouragement to politicians, managers, planners and citizens around the world. It shifts the discourse as it brings in new perspectives on government and governance. It points out that huge infrastructure projects can and will face similar challenges everywhere 5

6 in the world no matter if the country is big or small, rich or poor, developing or developed. It claims that there are many stakeholders involved some of which you probably do not even notice when you get started, and that all of them must be recognized and treated fairly. It calls for participation and for adequate measures to ensure it. All these messages are universal, and they show why we need to think about the governance of large-scale projects. This being said, the governance of large-scale projects of course is a topic too big to be discussed in one book. However, many issues raised in the case of the Hyolmo people struggeling for recognition are relevant for all sorts of large-scale projects. Thus, they can be applied to the concepts and cases presented in this book although most of them are situated in the OECD world. Basically, just like the case of the Hyolmo campaign, the present volume is not about definite answers but about new perspectives on the issue. It brings together scholars and practicioners of various fields and disciplines who each have a unique view on the topic and offer fascinating insights into the theory and practice of the governance of large-scale projects. In the first section entitled Framing participatory governance, the editors offer a concept of participation and inclusion of citizens within the planning and implementation of large-scale projects. They argue that modern democratic systems might have difficulties to implement new binding procedures, but they are open to public consultation which, in turn, will develop certain dynamics decision-makers cannot ignore. Christopher Gohl goes on to describe a pragmatistic theory of democracy which recognizes informal political participation as a valuable resource and seeks to overcome certain dilemmas of traditional modes of participation. Gunnar Folke Schuppert reminds us that communication is crucial to any kind of governance and calls for a new way of local democracy that includes communicative provisions by which citizens may shape and contribute to decision-making at an early stage. Paul Webb argues that participatory procedures have an effect on people s attitudes towards the state and, thus, may help to tackle the issue of democratic disenchantment. Key messages of this section are: 1. Public participation aiming to deliver policy advice is a joint endeavor of politicians, administrative staff, interest groups, and citizens. Thus, there must be transparency, cooperation and equal rights among all participants. 2. Process design is crucial to the success of participatory arrangements. Their functionality and fairness must be a priority all those involved agree on. Facilitators such as moderators need to pay close attention so as to make sure that communication within such arrangements meets the these criteria. 3. Citizens ask for both, participation and representation. Accordingly, political parties and institutions should take participatory processes as an additional, valuable source of advice rather than regarding them as threats. 6

7 The book then goes on to describe Modes of inclusion and deliberation. Claudia Ritzi opens this section with a discussion on deliberative forums as a deliberative extension of the representative democratic process, and presents the case of a German city network. Wolfgang König and Mathias König also focus on city and local policy when introducing the concept of deliberative governance arenas which bring together an entire system of decision-making in one room. Sarah Bastgen and Katrin Winkler compare online-based liquid democracy to other modes of direct participation and sketch out the potential of internet democracy. Henning Banthien, Andrea Versteyl and Martina Richwien suggest how a current legal framework of formal participation could be interlinked with informal dialogue processes. Johannes Staemmler explores ways to include civil society in local decision-making and argues that city governments may enable new ways of cooperation by framing policy issues accordingly. Among others, this section offers the following takeaways: 4. Large-scale projects require modes of governance that reflect their inherent challenges and characteristics. In addition to focusing on fair and just decision-making, procedural legitimacy must be established and maintained throughout the process. 5. The voices of the citizens are crucial for participatory arrangements and need to be heard. In order to be able to successfully participate, however, citizens also need to be well informed about the opportunities and limits of modes of participation. 6. Participation is not necessarily a matter of institutional arrangements. Along with formalized procedures, informal modes of participation may offer valuable insights and advice. The third section presents a variety of Cases of participation in large-scale projects. Thamy Pogrebinschi and Fabiano Santos report from the homeland of participatory democracy and show how national public policy conferences can drive legislative activity in the Brazilian Congress. Carmen Sirianni discusses how an agency of the federal administrative state, the US Environmental Protection Agency (EPA), can enable collaborative civic action. Emanuela Saporito and Daniela Ciaffi look into the dynamics that may unfold in the course of a cross-border infrastructure project, a section of the Pan-European Corridor V railway connecting Turin and Lyon. Kjetil Holgeid and Mark Thompson focus on the IT dimension and explain why some large-scale projects succeed while others fail. Arne Spieker and Marko Bachl discuss the German infrastructure project Stuttgart 21 and analyze public arbitration discussions as a new measure for alternative dispute resolution. A variety of recommendations derives from the cases presented in this section: 7. Public broadcasts on participation may leave most recipients focusing on arguments which support their opinion, but they also raise a project s legitimacy by fostering mutual understanding for competing positions. 7

8 8. There is not one recipe for successful participation since specific political and institutional environments frame the conditions of success. This notwithstanding, every public agency or institution has the opportunity to open up to new modes of public dialogue. 9. Clashes of cultures regarding modes of participation e.g. in cases where two or more political or administrative systems are involved are difficult to handle. At the same time, they offer great chances of mutual learning and democratic improvement. Finally, the last section offers food for thought and ways to get involved. Stefan Schaible describes the democratic challenges ahead, and Andreas Hoffelder gives examples of participation in large-scale projects from around the world. One key message of this section is this: 10. Politics and public administration need to improve their provisions for strategic, holistic planning. This includes modes of mediation and arbitration as well as a general openness towards public dialogue. The editors of this volume are indebted to a variety of people and institutions without whom this book would not exist. First of all, we would like to thank the authors who are a great inspiration and wonderful colleagues. We are also very grateful to the Volkswagen Foundation for funding a symposium on the governance of large-scale projects held at the Hertie School of Governance in Fall The people at Nomos Publishers were most helpful in the process of designing and producing the book. Samantha Ferrell and Kate Fanale did a tremendous job proof reading the chapters. Andreas Hoffelder and Johannes Staemmler were a great support in both, the organization of the symposium and the preparation of the book. All of these people and many more contributed to this book in an invaluable way. The responsibility for any errors or flaws, of course, remains with us. We hope you enjoy reading this book, and would be more than happy to see more works tackling the vague but fascinating topic of The Governance of Large-Scale Projects. 8

9 Table of Contents I Framing participatory governance How To Link Citizens And The State: Reasons for and First Steps Towards a Participatory Mode of Governance 13 Andrea Römmele and Henrik Schober Beyond Deliberation: Towards a Pragmatistic Theory of Collaborative Democracy 25 Christopher Gohl Zum Leitbild einer kommunikativen lokalen Demokratie 45 Gunnar Folke Schuppert The Changing Nature of Citizen's Attitudes Towards the State: Causes and Solutions 65 Paul Webb II Modes of inclusion and deliberation A Second Stage: The Revitalization of Democratic Legitimacy with the Help of Deliberative Forums 77 Claudia Ritzi Deliberative Governance Arenas as a Model for the Governance of Communal and Administrative Reforms 98 Wolfgang König, Mathias König Liquid Democracy Participation Model of the 21st century? 111 Sarah Bastgen, Katrin Winkler Infrastructure and Participation: How Formal and Informal Participation Methods Can Be Interlinked 132 Henning Banthien, Andrea Versteyl, Martina Richwien Declining Cities as Large-scale Projects: Why it Matters how City Government Sees its Citizens 151 Johannes Staemmler 9

10 III Cases of participation in large-scale projects Where Participation Matters: The Impact of a National Level Democratic Innovation on Policymaking in Brazil 173 Thamy Pogrebinschi, Fabiano Santos The Administrative State and Collaborative Governance 195 Carmen Sirianni Two Democracies Work Better Together: French and Italian Decision- Making Processes for the Turin-Lyon Railway Project 201 Emanuela Saporito, Daniela Ciaffi A Reflection on Why Large Public Projects Fail 219 Kjetil Holgeid, Mark Thompson Sonderfall statt Prototyp: Eine prozedurale und empirische Analyse der Schlichtung zu Stuttgart Arne Spieker, Marko Bachl IV What s next? Large-Scale Projects and Democratic Legitimacy: Problems, Challenges and Some Solutions 273 Stefan Schaible Participation in Large-Scale Projects From Porto Alegre to Stuttgart and Beyond 279 Andreas Hoffelder About the Contributors