Abstract
This chapter provides methodological, theoretical and contextual background for the book’s case studies. It starts by defining the object of empirical inquiry (multi-level arenas of policy advice and consultation) in more detail and by explaining the case selection approach, research strategy, data base and choice of methods. It then develops a two-dimensional normative assessment framework of democratic legitimacy and epistemic authority, thereby conceptualising ‘democratic participation’ and ‘reliable expertise’ and developing criteria and indicators that operationalise these notions and guide the empirical case studies. The chapter finally discusses the status of participation and expertise in Norway and Germany and embeds the three environmental policy advisory processes into the framework of European multi-level governance.
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- 1.
Abbreviated generic forms are also sometimes used as alternatives (such as ‘advisory body’ or ‘consultation arena’).
- 2.
The term ‘minipublic’ these days often pertains quite specifically to randomly selected public deliberation fora, such as ‘consensus conferences’, ‘citizen juries’ or ‘planning cells’ in research (see Brown 2009, p. 251; Steiner 2012, p. 33), and this book follows this understanding. Yet, some authors also use the term in a more general sense for participatory settings that target the ‘the public’, and include town hall meetings and online debate fora that allow open access into the definition (see, e.g., Fung 2003, p. 338f.).
- 3.
There were many further organisational differences, but since their description is an aim of the study, this will not be elaborated on at this point.
- 4.
Despite many similarities of the two contexts, there are of course also a range of institutional and cultural differences, not only between the countries, but also between the climate policy field and the nuclear waste storage issue or between classic committee structures and more network-like advisory structures. If relevant, these differences will be taken into account and described in the case studies.
- 5.
Representation means to speak, act or be present for another person or group. Whether the representatives mirror those they stand for statistically, have been authorised to act or stand in accountability relationships, are important normative questions that denote the legitimacy of the representation. Accountability is the requirement of representatives to answer to the represented and accept some responsibility for failure to advocate the interests of the represented.
- 6.
While Goodin states that the principle of affected interests requires ‘giving virtually everyone everywhere a vote on virtually everything decided anywhere’ (Goodin 2007, p. 68), I contend that the principle actually limits the scope of involvement somewhat. Not everyone is in fact affected by virtually everything everywhere. Besides, whether everyone is to vote, i.e. decide directly on questions of concerns, is an issue that can be considered independently of the affectedness condition (and I do this here).
- 7.
Expert commission shall refer to the ideal type of an advisory body that is quite formalised, scholarly composed and mainly deals with scientific and technical issues.
- 8.
‘Local knowledge’ can be defined as the specialised insights that users of a locality, such as farmers or residents, hold. It is to a large degree ‘experiential’ or ‘experience-based’, i.e. obtained through practice, and not through training and research.
- 9.
It is interesting how in this way, two ideas interlink—and probably reinforce each other—that have been described as ‘quasi-religious’ (Hood 2006, p. 3) and ‘sacrosanct’ (Day 1997, p. 421) in contemporary debates about legitimacy and good governance, and that do not always receive the required nuanced assessment and reservation, but are sometimes idealised to some extent (see also Chapter 2.2 and Chapter 7).
- 10.
‘Aarhus convention’ refers to the UNECE convention on access to information, public participation in decision-making and access to justice in environmental matters, Aarhus, Denmark 25.06.1998, https://www.unece.org/fileadmin/DAM/env/pp/documents/cep43e.pdf.
- 11.
On the local level, 7503 citizen referenda were initiated between 1956 and 2017 and more than half of them between 2003 and 2017 alone (Mehr Demokratie e.V. 2018, p. 7). A similar tendency can be observed on the state level with the numbers of referenda rising from ca. 10 per decade from the 1940s to the 1980s, to 125 in the 1990s, 151 in the 2000s and 170 between 2010 and 2018 (Mehr Demokratie e.V. 2019, p. 15).
- 12.
On the local level in Norway, there have been about 20 initiatives per year since 1980 (mostly on alcohol restrictions, (official) language regulations and merging of municipalities), with a slightly falling tendency, except for an exceptional peak of 204 referenda in 2016 when municipalities voted on district merging, as opposed to 8, 5 and 7 in 2017, 2018 and 2019, respectively (https://www.ssb.no/folkavs_kostra).
- 13.
See for professional service providers in this field the list compiled by Netzwerk Demokratie e.V. (https://www.netzwerk-buergerbeteiligung.de/professionelle-anbieter-der-buergerbeteiligung/). The line between ‘research institutes’, think tanks, pressure groups and consultancies is a particularly fine one here.
- 14.
To date, each municipality yearly initiates 8 participation procedures on average in Germany, 91% state they have used non-compulsory, innovative forms of engagement and the majority sees citizens as sought-after informants or advisors for policy-making (Pollytix and NeulandQuartier 2018).
- 15.
In the regular polls on national parliament voting intention, support for the German AfD (Alternative für Deutschland) has fluctuated between 3% in 2013 and a short high of 16% in 2018, and has been between 8 and 13% during 2020 (https://www.wahlrecht.de/umfragen/forsa.htm). Support for the Norwegian FrP (Fremskrittspartiet) has sunk from a peak of over 30% in 2008 to between 10 and 13% in 2020 (http://www.pollofpolls.no/?cmd=Stortinget).
- 16.
Public opinion surveys conducted by the EU (Eurobarometer e.g.) are usually confined to the 28 member states, Germany tends to be compared to other big countries in Europe or the Americas (or to other German-speaking ones), while Norway is often part of intra-Nordic assessments.
- 17.
The statements and questions that respondents have to answer to range from ‘People should trust their beliefs more than science all in all’ and ‘Science harms more than it benefits societies’ (both Wissenschaftsbarometer 2014, p. 8), ‘Science has made our lives healthier, easier and more comfortable’ (European Commission 2011, p. 464) to ‘How much do you trust independent research institutions?’ (Wissenschaftsbarometer 2019, p. 5).
- 18.
This high trust in researchers as a social groups is for Germany confirmed by numbers from a 2001 Eurobarometer (European Commission 2001).
- 19.
The above cited Eurobarometer found 89% agreement in Germany and 91% agreement in Norway to the statement ‘what university scientists do has a positive effect on society’ (European Commission 2005, p. 49).
- 20.
- 21.
The document that comes closest to a public register are the reports required by the Federal Act on the Appointment to Bodies (FAAB; ‘Bundesgremienbesetzungsgesetz’). This report is published once in a legislative period. It primarily details the share of men and women on public advisory and monitoring bodies and lacks systematic information on such fundamental variables as professional background or names of committee members, start or end date of the committee. It is limited to those advisory committees that the responsible ministry considers ‘essential’—and this generally does not cover even the most formalised and influential ad hoc committees. Further scattered information on committees can be found in a handful of responses to parliamentary inquiries over the past 20 or 30 years.
- 22.
- 23.
For Germany, see BTPP 17/9266, 19/22400, 19/7066; for Norway see written inquiry (skriftlig spørsmål) 15:2147.
- 24.
For Germany, see Federal audit office (Bundesrechnungshof) BRH-Az: IV 1–2016 – 0490; BRH-Az: IV 3 – 2018 – 1018 / BU; for Norway see Audit office of Norway (Riksrevisjonen) doc no 3:6 (2016–2017)/ 3:6 (2016–2017) as well as the report by the foreign ministry’s main monitoring entity from 2017 (Sentral kontrollenhet 2017).
- 25.
The survey and its exact numbers are no longer publicly available, but Aftenposten’s entry is https://www.aftenposten.no/kultur/i/zaJaq/Ny-undersokelse-Nesten-halvparten-av-nordmenn-stoler-ikke-pa-forskning (10.10.2017).
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Krick, E. (2021). Methodology, Theory and Context. In: Expertise and Participation. Palgrave Studies in European Political Sociology. Palgrave Macmillan, Cham. https://doi.org/10.1007/978-3-030-75329-0_2
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