Monthly Archives: December 2011

Participatory Budgeting in the Age of Fiscal Austerity

By Giulio Caperchi

A Crisis of Legitimacy

Following the financial crisis, the ensuing bailouts and the passing of austerity measures, American and European voters increasingly feel alienated by their political representatives. The Tea Party in the US rails against politicians they believe to be incompetent, far removed and corrupt. Similarly, the Occupy and Indignados movements see their elected representatives as catering to the corporate elite, lobbyists and the so-called 1%. A recent Gallup poll (12-2011) reports that the approval rating for the US congress is at an all time low: only 11% of Americans think it is doing a good job while a whopping 86% believe they are performing abysmally[1]

Both our elected representatives and our economic institutions are facing a serious crisis of legitimacy. Notwithstanding our politicians’ talk of balanced budgets, fiscal responsibility and austerity, most of us -on both sides of the aisle- are angry at how our political system has handled the “great recession” and its aftermath. Many feel betrayed by the so-called experts which head the Federal Reserve, the European Central Bank and other such financial institutions which for years have glorified the self-regulating virtues of unfettered markets.

This resentment highlights a fundamental flaw in our political systems, namely the lack of democratic control over the economic policies which affect our lives. As our politicians fail to stop Wall Street’s “irrational exuberance” from spilling into Main Street we cannot but ask ourselves: how may we, as citizens, control the excesses of twenty first century capitalism?

Participatory Budgeting

An initial answer is suggested by an increasingly popular idea practiced at the level of local governance. Participatory budgeting is a democratic instrument through which members of a community collectively decide on how to spend part or all of the community’s budget. It was first experimented in the city of Porto Alegre, Brazil in 1989 and now occurs in well over a thousand cities worldwide including New York and Chicago[3]. Participatory budgeting allows for ordinary citizens to engage in a deliberative process through which they may propose and debate projects on which to spend public money. In this way, discretionary power over the allocation of public resources is delegated from the elected representatives directly to citizens[4]. It is an instance of direct and participatory democracy through which the citizenry is empowered and rendered responsible for its own fiscal governance.

In most participatory budgeting processes neighborhood and thematic meetings are held monthly, where citizens along with elected officials propose ideas on how to spend public resources. For example, the citizens of the 49th Ward of Chicago decided to spend their $1.3 million budget on projects related to public safety, parks, the environment and transportation[5]. South of the equator, high in the Peruvian Andes the citizens of tiny Condebamba spent their town’s budget on micro-reservoirs for rural irrigation[6]. And still, on the other side of the Atlantic in the Tower Hamlets neighborhood of London, citizens used £2.4 million to improve local public services such as street lighting and education[7].

The positive effects that participatory budgeting engenders are worthy of notice. First of all it ensures transparency: the steps of project formulation, ratification and oversight occur in open and inclusive public assemblies. This reduces instances of corruption and clientelism afflicting local governments in many parts of the world. With transparency comes accountability: citizens know who is responsible for a given public project and who is responsible for its implementation[8].

Another positive effect of participatory budgeting is its ability to restore confidence in governmental institutions. Once citizens experience more control over their elected administration, public institutions are perceived as more trustworthy and accountable thereby garnering increased legitimacy. In fact, there are many cases in which tax revenues increase after participatory budgeting processes are implemented[9].

Above all however, participatory budgeting offers a deliberative space through which to democratize decision making processes. As such it allows for the inclusion of previously marginalized groups in the running of their towns and neighborhoods. Many participatory budgeting processes, particularly in Latin America, have empowered women, children, indigenous groups and the rural poor, thereby breaking negative cultural inertias such as machismo, paternalism and racism[10].

A lesson to be learned

Participatory budgeting is ultimately a democratic instrument which works best at the local level. It requires the active participation of citizens and time for lengthy deliberative assemblies. However, does it not highlight major problems within our national and international governance institutions? The lack of public oversight over financial decisions taken by unaccountable supranational institutions is a major source of contemporary popular discontent. The lack of transparency over incomprehensible financial instruments such as “collateralized debt obligations” and the unfathomable ramifications  of the derivatives market is another undeniable problem. The trends towards unelected technical governments such as Italy’s and Greece’s highlight the same issue: increasingly citizens are losing democratic control and oversight over vital economic and financial decisions.

However small and local, participatory budgeting teaches us that public oversight over fiscal policy is necessary. It restores legitimacy to those institutions which many feel have betrayed their trust as citizens. Participatory budgeting shows us that transparency and accountability are sacrosanct attributes and absolute prerequisites for any functioning democracy. And yet, increasingly we have neither: deals are still being made behind the closed doors of G8 summits.

Participatory budgeting’s fundamental lesson is that when the “experts” guiding our financial institutions -along with the politicians who appointed them- fail, we must ultimately rely on our own capabilities as citizens to set our nations’ priorities straight once more. Its renowned success as a democratizing practice teaches us that, at least locally, citizens are capable of fiscal self-determination. Only increased democratic participation in our economic and political institutions will restore the legitimacy which they dangerously lack today. Continuing on the path our politicians are presently following will increasingly alienate citizens from the political process and drastically reduce confidence in our democratic institutions. And this is a dangerous path indeed.

Bibliography


[3] Participatory Budgeting Project

[4] UN Habitat 2004

[5] Moore 2010

[6] Lindemann & Llambí 2010

[7] Participatory Budgeting Unit UK 2009

[8] Wampler 2000

[9] UN Habitat 2004

[10] Cabannes 2004

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Filed under democracy, Participatory Democracy

Founding Fathers and Ethnosymbols: Re-interpreting the Founding heritage according to Occupy

Intro

The Founding Father legacy is without a doubt the primary source of American nationalism. The American Revolution, George Washington, the Declaration of Independence and the Liberty Bell are symbols which inspire pride and passion within the hearts of American citizens. The narrative of the emancipation of the thirteen united colonies and the subsequent establishment of the first modern republic is indeed the beating heart of American nationalistic sentiment.

An interesting field of study is the way in which these national symbols are re-interpreted politically. Although they may all point towards an idea of “Americanness” they are used to convey different messages by different social actors. In the past year, we have witnessed how the Tea Party has employed them, accusing Obama’s administration of straying off the sacred path set by our Founding principles; namely small government, individual freedom and free trade. And yet, very recently, even the Occupy movement has begun re-articulating the Founding legacy in progressive terms, invoking a new American Revolution to emancipate the nation from the stranglehold that corporations and financial institutions impose on the democratic process.

This re-articulation of Founding Father symbols is an act of liberation from the conservative interpretation they have traditionally been imbued with. It distances them from the domain of the political right. Moreover, it breaks the ideological chains which confine the Founding heritage to a narrow set of conservative, individualistic and capitalism-justifying principles, thereby allowing us to fully appreciate the emancipatory potential found within its political discourse.

Theories of Nationalism

Within the study of nationalism, national symbols are referred to as ethnosymbols: myths, customs, traditions, and memories which pertain to dominant ethnic groups. According to the ethnosymbolist school of thought, modern nations emerge out of the cultural traits and traditions of dominant ethnic cores[1]. In the case of the US, these would be the cultural values highlighted for example by Max Weber in “The Protestant Ethic and the Spirit of Capitalism” belonging to the descendants of the Plymouth Rock pilgrims. Contrarily, the school of thought referred to as modernism asserts that ethnosymbols are not necessarily genuine products of a homogeneous ethnic core but are rather symbols which elites manipulate -or deliberately “invent”- for the purposes of nation-building[2].

However, a third school of thought attempts to reconcile these two opposite approaches. The ideas of theorists such as Oliver Zimmer and Eric Kaufmann reject the notion that ethnosymbols are mere constructs. Nonetheless, they believe that they may be re-interpreted in different ways depending on who is articulating them. Zimmer suggests that social actors may access a “stock” of deposited symbolic resources (national myths, memories, traditions) and employ them to advance their own particular idea of the nation’s culture, politics or society[3]. Similarly, Kaufmann asserts that different social actors view symbolic resources through different “ideological lenses”: what looks like a symbol signifying conservative values for some, might stand for progressive values for others[4].

This third approach allows us to recognize that the Founding Father symbols do not point towards a single set of values, traditions or political ideas, but that they may be employed to grant historical legitimacy to alternative ideological dispositions and demands.

Re-Articulating the Founding

A brief look at the rhetoric employed by Tea Party movement websites reveals a particular understanding of the values attributed to the Founding Father legacy. For them, the Founders believed primarily in individual liberty, limited government and free markets, and abhorred ideas regarding the common good, collectivity or redistribution.

“The Tea Party Patriots’ mission is to restore America’s founding principles of Fiscal Responsibility, Constitutionally Limited Government and Free Markets.”[5]

“The Tea Party Patriots stand with our founders, as heirs to the republic, to claim our rights and duties which preserve their legacy and our own. We hold, as did the founders, that there exists an inherent benefit to our country when private property and prosperity are secured by natural law and the rights of the individual.”[6]

Such statements re-interpret the Founding legacy as being based primarily on the tenets of possessive individualism and laissez fair capitalism. Moreover, the Tea Party claims this heritage for itself:

“From our founding, the Tea Party is the voice of the true owners of the United States, WE THE PEOPLE.” [7]

Of course, this interpretation is historically inaccurate. The research of Quentin Skinner and J.G.A. Pocock has revealed that the Founding Fathers were not cut-throat capitalists but rather civic republicans. In fact, they were concerned with the common good, the primacy of the collective over the individual and nurtured a profound distrust of private interests[8].

More recently however, we are witnessing the use of Founding Father symbols by the Occupy movements as well. The most visible example is the Declaration of Occupation drafted Sept. 29 at the New York City General Assembly[9]. The vocabulary used to express OWS grievances is deliberately similar to that in the Declaration of Independence. “Let these facts be known” (“let Facts be submitted to a candid world” in the DoI) followed by a list of grievances, basically replaces George III with the 1% as the source of injustice and inequality.

A similar example is the re-interpretation of the Boston Tea Party of 1773. For the Tea Party movement it is a paradigmatic example of resistance against government taxation. For many in OWS it represents the first act of resistance against a transnational corporation: the East India Company. In a brilliant essay published on the Occupied Wall Street Journal, Rebecca Manski writes:

“The biggest act of sabotage against a multinational corporation in American history began with a gathering at the Liberty Tree. That act was the Boston Tea Party.”[10]

Similarly, a disgruntled citizen venting his grievances on wearethe99percent.tumbler.com states:

“That is not the America our Founding Fathers built. People forget that the original Tea Party was against a corporation and its influence on our government. Our Founding Fathers feared just what is happening today. I AM THE 99% AND I WANT MY COUNTRY BACK!”[11]

Occupy History!

The model presented by Zimmer and Kaufmann suggests that national symbols are never totally pre-determined and that they may be invested with different meanings and used for alternative purposes. This “liberates” such symbols from the traditionally conservative interpretation they have long been invested with. Once they are available for use, we may fully recognize the emancipatory potential found within them and the radical dimension of their politics.

The American Founding Fathers ignited a democratic revolution which turned the feudal and aristocratic world on its head. They fought a democratic revolution for political participation, liberty, equality, free constitutions and bills of rights. Of course, they owned slaves and most of them were wealthy aristocrats. They were not free of faults, vices or contradictions. And yet, this does not mean that their radical political discourses should be absorbed within the ideological hegemony of neoliberalism -which has neutered their radical character and used them as symbols to grant itself historical legitimacy.

The re-articulation of these symbols demonstrates one of the greatest strengths of the Occupy movement: the ability to reclaim the social, political, cultural and economic discourses from fields of thought which were previously saturated with neoliberal ideology. The reclaiming of history sends out a clear message: our Founding Fathers were not devoted to unfettered markets and laissez fair capitalism. Far from it. Our founding fathers provided the foundations for the democratic revolution which We the People, as their heirs, are still fighting today.

Bibliography

  • Smith, A. 1994 “The Origin of Nations” in Nationalism ed Hutchinson, J. & Smith, A. Oxford University Press: Oxford
  • Hobsbawm, E. 1994 “The Nation as Invented Tradition” in Nationalism ed Hutchinson, J. & Smith, A. Oxford University Press: Oxford
  • Zimmer, O. 2003. ‘Boundary mechanisms and symbolic resources: towards a process- oriented approach to national identity’, Nations and nationalism, Apr 2003, Vol.9, No.2, pp.173-193
  • Kaufmann, E. 2008 “The Lenses of Nationhood: an optical model of identity”, Nations and Nationalism, Volume 14, Number 3, July 2008 , pp. 449-477(29)


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Filed under Nationalism, Occupy Wall Street, political philosophy, political theory, Tea Party

“Real Democracy”: Negotiating Difference within Consensus

Caught Between Habermas and Mouffe

From Syntagma Square to Zuccotti Park many protesters claim to be exercising a novel idea of democratic politics, one which breaks away from the worn-out paradigms of representative democracy by presenting itself as genuinely inclusive, direct and participatory. One of the most visible slogans amongst the European Indignados movements is that of “democracia real”, meaning “real democracy”. Similarly, in the US Occupy movements many speak of new kind of democracy called “consensus democracy”[1].

This new type of politics is exercised in the hundreds of open assemblies occurring worldwide in various occupied squares. It is referred to as “real democracy” because decisions are not taken by majority vote but rather through extensive deliberation over decisions which all consent to.

And yet we may ask, what is actually “new” about consensus democracy? And is it bringing any significant contribution to democratic theory? It is useful to compare consensus democracy with other democratic theories which claim to be just as participatory, direct and inclusive. Consensus democracy in fact shares many traits with Jürgen Habermas’s idea of “deliberative democracy” and Chantal Mouffe’s theory of “agonistic democracy”. From this brief analysis, we will see that the major challenge faced by these theories is the accommodation of social plurality within the process of achieving a collective consensus.

How does Consensus Decision Making Work?

Consensus decision-making offers a procedure through which participants of an assembly may take decisions collaboratively through deliberation. The decisions taken through this process are not necessarily ones that all individuals support wholeheartedly, but ones that everyone can live with[2]. As such, its goal is the facilitation of a deliberative procedure in which proposals may be reworked so as to accommodate as many interests as possible.

Consensus decision-making is an inclusive, participatory, collaborative, agreement-seeking and cooperative method of deliberation. It therefore attempts to remedy the exclusionary byproducts of majority vote and top-down approaches towards decision making[3]. However, it is not a process limiting itself to the achievement of compromise; rather, it attempts to construct new proposals from the confrontation of different ideas[4].

Participants in the assembly are helped by facilitators, which aid the smooth running of the discussion. An impartial moderator keeps the discussion on track and makes sure that anyone wanting to speak is allowed to do so. Other facilitators keep time and take down the minutes (this guarantees transparency). In order not to interrupt the discussion with applause, jeers or boos, sign language signals are practiced: the waving of open palms (twinkling) expresses consent, the crossing of the arms signifies dissent[5].

Assembly discussions produce proposals which are tested for consent. Participants have four choices when faced with a proposal. Firstly, they may express consent. Secondly, they may stand aside, signaling that they don’t fully support the proposal but that they are not against it. Thirdly, they may raise concerns and ask that it be modified. Lastly, they may block it, thereby effectively vetoing it. If this occurs, the proposal returns to assembly discussion, where it is modified/amended and re-tested for consensus until all consent to it. Blocking a proposal is a serious matter. It means that a participant deeply disagrees with it and that she/he will leave the assembly if it passes[6].

This type of democratic politics has been adopted by the Occupy and Indignados movements as an alternative to the “politics as usual” paradigm which has crippled our democratic institutions. Its leaderless and non-hierarchical mode of organization -which finds its only legitimate voice in the open, egalitarian and transparent popular assembly- provides an alternative to both traditional party-politics as well as vanguard-driven political struggle. Consensus democracy is more than anything a procedure: a process which allows for a more inclusive, direct and participatory exercise of democracy.

Habermas and Deliberative Democracy

In a similar way Jürgen Habermas’s democratic theory aims at creating a type of consensus based on extensive deliberation.  Habermas asserts that there exists a type rationality implicit in the act of communication between individuals. Communicative rationality grants legitimacy to deliberation in virtue of its intelligibility, correctness, sincerity and truth. If two individuals feel that the discussion they are having is characterized by these attributes the outcome of their deliberation will be perceived by both as rational and therefore legitimate[7].

Habermas then develops the concept of the “ideal speech situation”, an ideal space in which perfect and balanced deliberation occurs: where there is full participation, where all are equal, all have a voice, and where there are no asymmetrical power relationships. These conditions allow for the maximization of communicative rationality. If we were to re-model our political institutions on the ideal speech situation the decisions reached through such a process would be endowed with a rational consensus, and thus garner increased legitimacy. Decisions taken through this process are legitimate and enjoy a rational consensus when they are determined by the quality of the better argument rather than power[8].

He is therefore arguing that increased democratic deliberation and participation grant legitimacy to the decision making process . Introducing something akin to the ideal speech situation within our political institutions (and in civil society) would begin to restore the democratic legitimacy which they currently lack[9]. Deliberative democracy therefore attempts to produce a rational consensus between rational participants, achieved through a deliberative procedure which ensures inclusion, participation and communicative equality.

Mouffe and Agonistic Democracy

Chantal Mouffe wholeheartedly rejects the possibility of a consensus reached through the procedures of deliberative democracy. For her, Habermas fails to recognize the true nature of the political, which is not underlined by rationalism but rather by political antagonism. Mouffe believes that society is irreducibly plural, in the sense that there exist a multiplicity of different identities and ideologies which often possess irreconcilable and diametrically opposed positions. The idea that all identities may deliberate on the basis of a shared communicative rationality is therefore implausible. Also, the idea that an unadulterated and unbiased ideal speech situation should serve as a model is unrealistic[10]. Mouffe’s main critique is that Habermas understands of a rational consensus specifically in Eurocentric and liberal terms, a consensus founded primarily on individual rights and the rule of law. This excludes, a priori, individuals and collective identities who do not fully identify with liberal tenets. Such groups are therefore perceived as irrational or premodern (aboriginal peoples or Islamist movements for example) whom often react antagonistically towards impositions of liberal consensus. As such, a rational consensus may perversely exclude difference as it would not allow irrational ideas into the deliberative process[11].

For Mouffe, the future of democratic politics lies in the transformation of antagonistic social conflict into agonistic political confrontation. Instead of absorbing social plurality into a universal liberal-democratic framework we must erect the democratic institutions and discourses which allow for increased political confrontation between different ideas and identities. The sharing of the symbolic spaces and participatory democratic institutions in which to exercise our democratic rights attempts to defuse antagonism by transforming it into “agonistic” confrontation. This implies a confrontation not between enemies but between political adversaries[12]. Mouffe concludes that the “stuff” of democracy is political confrontation. Attempting to reach a final rational consensus spells the death of democracy because it puts an end to political confrontation which is the life-blood of democratic politics[13]. The type of consensus emerging from such a Mouffe’s theory is therefore not a universally shared consensus but one emerging from democratic confrontation:

“This is how I envisage the agonistic struggle, a struggle between different interpretations of shared principles, a conflictual consensus: consensus on the principles, disagreement about their interpretation”[14]

Occupy: deliberative or agonistic?

While Habermas justifies his democratic theory on the possibility of an universal rational consensus, Mouffe founds hers directly on political confrontation. The first seeks the absorption of political confrontation within consensus, the second makes political confrontation its raison d’être. But where does consensus decision-making enter this debate?

Deliberative and consensus democracy share the fact that they both offer a procedure through which to democratize decision making. However the main difference between them is that underlining deliberative democracy is the assumption that all participants share some understanding of what constitutes rationality. Yet, Mouffe has revealed that the understanding of this alleged universal rationality is specifically a liberal one, and hence is capable of excluding individuals whom do not identify with it. Contrarily, consensus decision-making makes no such assumptions. Its primary goal is to create the space and process in which egalitarian deliberation and decision-making between different political identities may occur.

In respect to the accommodation of social plurality, consensus democracy as practiced by the Occupy and Indignados movements is closer to Mouffe’s agonistic democracy. It does not seek to absorb different political identities into a rational consensus but attempts to accommodate difference temporarily precisely through deliberative confrontation. The assemblies in the Occupy movements are very confrontational as their participants hail from disparate political positions on the ideological spectrum, from the liberal to the anarchist. Discussions are both lively and intense. And yet, consensus is more than often reached precisely because they are allowed to confront each other politically and forced to reach temporary collective decisions – which may always be improved and modified in the future. This allows the assemblies to recognize what Mouffe calls the irreducible plurality of the social; they understand that we are all different politically, culturally and socially, and that difference cannot be absorbed by any idea of universal consensus.

Moreover, the ability of any participant to block a proposal forces the assembly to recognize and negotiate with minority views, an issue which most democratic orders systematically ignore and overrule. The consensus reached in the Occupy movements is therefore a contingent one: the product of temporary and negotiated discursive articulations and the child of an open, egalitarian and participatory democratic procedure. And these few facts alone, are truly breaking new ground within the field of political theory.

Bibliography

Habermas, J. 1996, Between Facts and Norms. Polity Press: Cambridge, UK

Hartnett, T. The Basics of Consensus Decision Making [online] Group Facilitation, available at http://www.groupfacilitation.net/Articles%20for%20Facilitators/The%20Basics%20of%20Consensus%20Decision%20Making.html

Mouffe, C. 2000, The Democratic Paradox. Verso:  Essex, UK

Mouffe, C. 2005, On The Political. Routledge: Abingdon, UK

Mouffe, C. 2005, Articulated Power Relations – Markus Miessen in conversation with Chantal Mouffe [online] available at: http://roundtable.kein.org/node/545

Seeds for Change, 2010 Consensus Decision Making. Seedsforchange.org.uk, available at: http://seedsforchange.org.uk/free/consensus

Seeds for Change, Making Decisions by Consensus. Seedsforchange.org.uk, available at: http://seedsforchange.org.uk/free/practicalconsensus.pdf


[2] Making decisions by consensus

[3] Hartnett, Tim. The Basics of Consensus Decision Making, http://www.grouopfacilitation.net

[4] Consensus decision Making seedsforchange.org.uk

[6] Consensus Decision Making, seedsforchange.org.uk p6

[7] Habermas 1996,  p119

[8] Habermas 1996,  p226

[9] Habermas 1996,  p304

[10] Mouffe 2000, 49

[11] Mouffe 2000, p46

[12] Mouffe 2005, p16

[13] Mouffe 2005, p31

[14] Mouffe interview

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Filed under Chantal Mouffe, democracy, Democratic Theory, Habermas, Indignados, Occupy Wall Street, Participatory Democracy, social movements