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The term public engagement (PE) refers to processes that provide a distinct role for citizens or stakeholder groups in policymaking. Such engagement is distinctive because it aims to create opportunities for mutual learning among policymakers, scientists, stakeholders, and members of the public. In so doing, PE involves a particular type of voice in public debate and policymaking that is different from more established discourses, such as those expressed through official policymaking channels, scientific institutions, civil society activists, or the public media. By the early 1970s, PE had emerged in the context of an overall democratization movement in Western societies through such innovations as the “citizen jury” in the United States and “planning cells” in Germany. Today, it is often more pragmatically motivated, such as in the European Commission, where PE is seen as a tool for responsible research and innovation that helps to anticipate and assess potential implications and societal expectations of research and innovation, as well as to design more inclusive and sustainable research policies. The first global PE processes in history were created to incorporate citizen voices into United Nations (UN) conventions on biodiversity and climate change. Building on theories of deliberative democracy and tested PE practices, a new World Wide Views process was developed to provide informed and considered input from ordinary citizens to the 2009 UN climate summit. This and subsequent World Wide Views (WWViews) deliberations have demonstrated that PE may potentially open up policy discourses that are constricted and obfuscated by organized interests. A telling example is provided by the World Wide Views on Climate and Energy deliberation held on June 5, 2015, where nearly 10,000 ordinary citizens gathered in 76 countries to consider and express their views on the issues to be addressed at the UN climate summit in Paris later that year. In a noteworthy departure from prevailing media and policy discourses, two-thirds of the participating citizens saw measures to fight climate change as “mostly an opportunity to improve our quality of life,” while only a quarter saw them as “mostly a threat to our quality of life,” a result that was consistent across high-, middle-, and low-income countries. Recent research on PE has indicated that when effectively implemented, such processes can increase the legitimacy, quality, and capacity of decision-making. Earlier aspirations for broader impacts, such as the democratization of policymaking at all levels, are now less prominent but arguably indispensable for achieving both immediate and longer-range goals. The relatively new concept of a deliberative system captures this complexity by moving beyond the narrow focus on single PE events encountered in much research to date, recognizing that single events rarely affect the course of policymaking. The evolving prospects for PE in biodiversity and climate change policy, therefore, can be seen as requiring ongoing improvements in the capacities of the deliberative system.


Daniel Barben and Nils Matzner

“Anticipatory governance” has gained recognition as an approach dedicated to shaping research and development early on, that is, long before technological applications become available or societal impacts visible. It combines future-oriented technology assessment, interdisciplinary knowledge integration, and public engagement. This article places debates about the anticipatory governance of climate engineering (CE) into the context of earlier efforts to render the governance of science, emerging technologies, and society more forward-looking, inclusive, and deliberative. While each field of science and technology raises specific governance challenges—which may also differ across time and space—climate engineering seems rather unique because it relates to what many consider the most significant global challenge: climate change. The article discusses how and why CE has become subject to change in the aftermath of the Paris Agreement of 2015, leading to a more open and more fragmented situation. In the beginning, CE served as an umbrella term covering a broad range of approaches which differ in terms of risks, opportunities, and uncertainties. After Paris, carbon dioxide removal has been normalized as an approach that expands mitigation options and, thus, should no longer be attributed to CE, while solar radiation management has remained marginalized as a CE approach. The 1.5 °C special report by the Intergovernmental Panel on Climate Change is indicative for this shift. The governance of CE unfolds in a context where the assessment of climate change and its impacts provides the context for assessing the potentials and limitations of CE. Since one cannot clearly predict the future as it is nonlinear and multiple anticipation may mark a promising way of thinking about future realities in the contemporary. Due to its indeterminacy the future may also become subject to “politics of anticipation.” As uncertainty underlies not only ways of thinking the future but also ways of acting upon it, anticipatory governance may provide valuable guidance on how to approach challenging presents and futures in a reflexive way. In consequence, anticipatory governance is not only aware of risks, uncertainties, and forms of ignorance but is also ready to adjust and realign positions, following the changing knowledge and preferences in the worlds of science, policymaking and politics, or civil society. This article will discuss notions of anticipatory governance as developed in various institutional contexts concerned with assessing, funding, regulating, or conducting research and innovation. It will explore how notions of anticipatory governance have been transferred to the field of CE, in attempts at either shaping the course of CE-related research and innovation or at critically observing various CE-related governance endeavors by evaluating their capacities in anticipatorily governing research and technology development. By working in a double epistemic status, “anticipatory governance” exhibits useful characteristics in both practical and analytical ways. Considering the particular significance of climate change, approaches to anticipatory governance of CE need to be scaled up and reframed, from guiding research and innovation to meeting a global challenge, from creating capable ensembles in research and innovation to facilitating societal transformation toward carbon neutrality.