Table Of ContentChanging
Things
Moving People
Strategies for Promoting Sustainable
Development at the Local Level
Ruth Kaufmann-Hayoz
Heinz Gutscher
(Editors)
Birkhauser Verlag
Basel· Boston· Berlin
Prof. Dr. Ruth Kaufmann-Hayoz Prof. Dr. HeinzGutscher
UniversitatBern Psychologisches Institut
InterfakultareKoordinationstelle AbteilungSozialpsychologie
fOrAllgemeineOkologie(IKAO) UniversitatZOrich
Falkenplatz16 Plattenstrasse14
CH-3012 Bern CH-8032ZOrich
ACIPcataloguerecord forthis bookis availablefromthe LibraryofCongress, Washington D.C.,
USA
DeutscheBibliothekCataloging-in-Publication Data
Changingthings- movingpeople: strategiesfor promotingsustainabledevelopment
atthe local levelJRuth i'<aufmann-Hayoz;HeinzGutscher(Hrsg.)-Basel; Boston;
Berlin: Birkhauser, 2001
ISBN 3-7643-6252-9
Thepublisherandeditorcangive noguaranteeforthe informationondrugdosageand administra
tion contained inthis publication. The respective usermustcheckitsaccuracybyconsultingother
sourcesofreference ineach individualcase.
The useofregistered names,trademarksetc. inthis publication,even ifnotidentified asSUCh,
does notimplythattheyareexemptfromtherelevantprotectivelawsand regulations orfreefor
general use.
Thisworkissubjecttocopyright. All rights are reserved, whetherthewhole orpartofthematerial
isconcerned, specificallytherights oftranslation, reprinting, re-use ofillustrations, recitation, broa
dcasting, reproduction on microfilmsorinotherways, and storage in databanks. Foranykind of
use permissionofthecopyrightownermustbeobtained.
@ 2001 BirkhauserVerlag, PO Box133, CH-4010 Basel, Switzerland
Memberofthe BertelsmannSpringerPUblishingGroup
Camera-readycopyprepared byU. Wittwer
Coverillustration(largepicture): Luftbild Schweiz
Printed on acid-free paperproducedfrom chlorine-freepulp.TFC
00
ISBN 3-7643-6252-9
987654321 www.birkhauser.ch
Table of Contents
Foreword,byP.C. Stem . . . . . . . . . . . . . . . . IX
Reader'sGuideandAcknowledgements. . . . . . . . . . . . . . . . . . . . . . . XI
Introduction
R. Kaufmann-HayozandH. Gutscher
Transformation toward Sustainability: An Interdisciplinary, Actor-Oriented
Perspective . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
R. Kaufmann-HayozandU. Mauch
Switzerland'sEnvironmentalandSustainabilityPolicies. . . . . . . . . 27
TheoreticalFramework
R. Kaufmann-Hayoz, Ch. Biittig, S. Bruppacher, R. Deftla, A. Di Giulio, P.
Flury-Kleubler, U. Friederich, M. Garbely, H. Gutscher, Ch. Jiiggi, M.
Jegen, H.J. Mosler, A. Muller, N. North, S. Ulli-Beer, andJ. Wichtermann
ATypologyofToolsforBuildingSustainabilityStrategies. . . . . . . . . 33
I. Introduction . . . . . . . . . . . . . . . . . . 34
2. Overview ofthe typology, . . . . . . . . . . . . . . . . . . 36
3. Detaileddescription ofthe instruments. . . . . . . . . . . . . . 50
4. Comparison and preliminaryevaluation ofthe instrument types. . . 81
5. Relationships to othertypologiesand classifications. . . . . . . . . . 93
P. Flury-KleublerandH. Gutscher
PsychologicalPrinciplesofInducingBehaviour'Change. 109
VI
Empirical Studies on Selected Instruments and Instrument
Combinations
U. Mauch, N. North, andR. Pulli
Between Efficiency and Sufficiency. The Optimal Combination ofPolicy In-
strumentsintheMobilitySectortowardsSustainableDevelopment. . . . . . 133
H. Gutscher, H.-J. Mosler, andJ. Artho
VoluntaryCollectiveActioninNeighbourhoodSlow-Down - Using Commu-
nicationandDiffusionInstruments . . . . . . . . . . . . . . . . . . . . . . . . 151
M. GarbelyandA.McFarlane
TaxationofResidentialEnergyUse. . . . . . . . . . . . . . . . 171
M. Jegen
TheAcceptanceofInstrumentsamongEnergyPolicyKeyPlayers. . 191
S. GehrigandN. North
Solar and Alternative Power Supply: An Instrument towards Ecologically
SoundPowerConsumption? . . . . . . . . . . . . . . . . . . . . . . . . . . . 213
Ch. BiittigandA.Balthasar
Strategic Networking and Implementation of Communication and Diffusion
InstrumentstoDevelopLocalEnergyPolicies. . . . . . . . . . . . . . . . . . 239
A. MallerandD. Kramer
EconomicInstrumentsforWastewaterDisposal . . . . . . . . . . . . . . . . . . 255
A lawyer'sCommentonMallerandKramer, byU. Friederich. . . . . 275
S. BruppacherandS. Ulli-Beer
MobilisingResourcesforMore SustainableLifestyles: ViewsofHouseholds
andLocalAuthorities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 281
A lawyer'sCommentonBruppacherandUlli-Beer, byJ. Wichtermann 300
M. Vatter, W. Gessner, andU. Wittwer
Possibilities and Limits ofEnvironmentally Responsible Action as Perceived
byParticipantsintheHouseholdEcoTeamProgramme . . . . . . . . . . . . 303
VII
Conclusions
R. Kaufmann-Hayoz, S. Ulli-Beer, M. Garbely, andH. Gutscher
SuggestionsforDesigningPolicyStrategiesforSustainableDevelopment. . . 325
R. DefilaandA.ViGiulio
InterandTransdisciplinaryProcesses- ExperienceandLessonsLearnt. . . 337
Annex
ListofAuthors. . . . . . . . . . 359
ListofProjects. . . . . 362
Index . 364
Foreword
This book results from a pioneering effort to organize a productive interdisciplinary research
program on sustainable development policy in a small country not previously recognized as a
worldleaderinenvironmentalsocialscience.The results are verypromising, considering the short
timeframe and the high barriers to success for such an enterprise- differences in concepts and
terminology,disciplinary myopia, and the inherentdifficulty ofthe problem. In the USA, where I
work, these barriers continueto pose majorchallenges aftersome 30 years ofeffort. Switzerland
has made noteworthy progress in only five. Ihope this book represents the beginning ofa long
termeffort at problem-oriented interdisciplinary collaboration among Swiss researchers and prac
titioners.
TheSwissgrouphassucceededindevelopingaunifyingframework that makes a majorcontri
bution to environmental policy analysis. The framework broadens policy thinking by giving se
rious treatment to underutilized strategies that rely on communication and informal influence as
well as to well-studied ones that rely on technological change, regulation, and economic forces.
Thisbroadtypologymakesiteasier for an analyst to escapethe tendency to presumethatthe po
licyinstrumentcurrentlyinfashion,whetheritbemarket-basedinstruments,voluntarymeasures, or
whatever, is the right strategy for all problems. It also encourages discipline-based analysts to
considerhowtheirfavoredstrategiesmightbecombinedwithotherstrategies less familiar to them,
andthus to craft strategies that can take advantageofthe strengths of various policy instruments.
Theconcludingchapterofferssomereasonablesuggestions about how bestto combine the policy
instruments.
Thesubstantivechaptersinthebookexaminemostofthe maincategories in the typology, thus
illustratingways that afull set ofpolicy options mightbe implemented in the Swiss context. The
caseexamplesindicatehighlyvarieddegreesofsuccess,asmightbeexpected with whatare essen
tially pilot projects. In addition, the coordination ofpolicy instruments thatthe conceptual frame
worksuggestshasonlybegunto be evidenced in the pilotprojects. This sort ofdevelopment ine
vitablytakesmorethanafewyears' time.Itdepends on collaboration involvingresearchersexpert
in different intervention types and willing to work together on particular environment-behavior
problemsinparticularsettings.It also depends on establishing good working partnerships among
researchers,policyanalysts,anddecisionmakersintheaffectedcommunities.
x P.C. Stern
Thisinitialreportshowsthepotentialforthesecollaborationsandpartnerships and the growing
realizationofwhatisneededto develop them. Progress toward the Swiss sustainable development
goalsdependsoncontinuedsustenance for the new relationships and continueddevelopment,ela
boration,andfieldtestingofthekindofconceptualframeworkthatthisbooksetsforth.
PaulC.Stern
U.S.NationalResearchCouncil
Washington,D.C.,U.S.A.
Reader's Guide and Acknowledgements
Ruth Kaufmann-Hayoz and HeinzGutscher
This book is the product of inter and transdisciplinary co-operation among academic scientists,
researchers in privateconsultancy firms, and potential beneficiaries of the research, i.e., decision
makersinpolitics,publicadministration,andnon-governmentalorganisations.Itstargetaudience is
equally heterogeneous, as we expect scholars from different disciplines as well as educated lay
persons interested in policy making toward sustainability to be among its readers. As different
readerswillbringinverydifferentbackgroundsofknowledge,experience,andinterest,notall parts
ofthebookmayappealequallytoallofthem. As an aid, we willexplainthe structure ofthe book
andwhatistobefoundwhere.
Due to the review and decision processes within the Swiss Priority Programme "Environ
ment", which setthe institutional framework for the research co-operation,the specific goals and
researchquestionsofthe individual projects were worked out more or less independently. Howe
ver, the terms ofthis programme demanded proposals ofproject groups, in which the individual
projectsalsowereto make acontribution to the objectivesofthe projectgroup. During a process
oflivelyexchangeandcommunicationamongtheresearchparticipantsanumberofcommon goals
and questions that go beyond the goals and questions ofthe individual projects and to which the
researchersofallprojectswereable to contributeweredeveloped. Thesecontributions were based
notonlyonthe results ofthe researcher's ongoing projects, butalso on earlierresearch and their
entireintellectual and disciplinary backgrounds. Therefore, the resulting synthesis should not pri
marilybeviewedasan integrationofthe individual projects' results with respect to the resolution
ofacommonproblem.Itis insteadthejointdevelopmentofa theoretical framework that incorpo
rates more than one disciplinary perspective, relates the sub-projects' results to each other, and
allowscommonconclusionstobedrawn.
The book presents those results of the research co-operation that pertain to the questions of
how the still quite vaguecategory of"new" policy instruments can be differentiated, described,
and explained more precisely; how they relate to traditional instruments of environmental policy;
andhowmultipleinstrumentscanbestbecombinedfor designing strategies towardsustainability.
Thematerialisorganisedinthefollowingway:
XII R. Kaufmann-Hayoz and H. Gutscher
TheintroductorychapterbyKAUFMANN-HAYOZANDGUTSCHERt sets the stage by introducing
thetopic,goals,andquestionstobetreated.Italsooutlinesthe general model ofhuman action that
we use as the basic theoretical approach. To all those who are familiar with sophisticated
disciplinary theories ofhuman action (forexample, psychologists, philosophers, or sociologists),
this model will seem verycrude. In fact, itpurposely does without elaborate features because its
aimistomakevisiblethebasicstructureofhuman-environmentinteraction.
Theshortchapter by KAUFMANN-HAYOZANDMAUCHprovides some elementary information on
theSwisspoliticalsystemanditsenvironmental and sustainability policies. Although webelieve
thatthe relevance ofour findings is not restricted to this country, the information given may help
thereaderunfamiliarwithSwitzerlandtobetterunderstandsomedetailsoftheempiricalstudies.
Readers who are interested in the praxis ofinter- and transdisciplinary research should take a
close look on the chapter by DEFILAANDDIGIULIO in the Conclusions section. It describes and
discusses the methods that have been used for supporting the inter and transdiciplinary
processesinthe integrated project. These are the methods and procedures applied for developing
integrated research results as well as for organising co-operation and communication with non
academicprojectpartners.Thechapterreports the experience gained and makes recommendations
forthemanagementofcomparableintegratedprojects.
Theresultsofthesynthesisworkaretobefound in theTheoretical Framework section and in
the Conclusions section (chapters by KAUFMANN-HAYOZEfAL.). A comprehensive typology of
instrumentsavailabletoavarietyofactors to promote sustainable developmentis presented. The
typology contains - in addition to the well-known conventional command-and-eontrol and eco
nomicinstruments- service and infrastructure instruments, collaborative agreements, and commu
nicationanddiffusioninstruments.The latterthree types are an attempt to orderand elaboratethe
heterogeneousclassof"new"policyinstrumentsthatare often mentioned in this context. Special
emphasisisgiventoinstrumentsthatarebasedonprinciplesofsocialand behavioural psychology,
becausetheseapproachesarerelatively new and have barely been discussed in relation to conven
tional instruments.Thedifferenttypesofinstrumentsaredescribedindetail from an actor-oriented
perspective. Readers familiar with aspecific disciplinary approach to some instruments will per
hapsfindthetypologycrude or inadequate as compared to whatthey know about these particular
instruments. However, they will be rewarded by finding detailed descriptions of less familiar in
struments.
The synthesis chapterthat presents the typology iscomplementedby a theoretical paper by
FLURY-KLEuBLER AND GUTSCHER. These authors describe the basic possibilities of changing the
behaviourofothers from a psychological point of view, and they discuss psychological mecha
nismsthathelpusto understand andclarify the acceptanceand effectiveness ofdifferent types of
environmentalpolicyinstruments.
Throughoutthebook,wewill referto chapterswithin this volume by printing the authors' namesin the font
SMALLCAPITALS.
