New Book on 25 Years of Participatory Budgeting

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A little while ago I mentioned the launch of the Portuguese version of the book organized by Nelson Dias, “Hope for Democracy: 25 Years of Participatory Budgeting Worldwide”.

The good news is that the English version is finally out. Here’s an excerpt from the introduction:

This book represents the effort  of more than forty authors and many other direct and indirect contributions that spread across different continents seek to provide an overview on the Participatory Budgeting (PB) in the World. They do so from different backgrounds. Some are researchers, others are consultants, and others are activists connected to several groups and social movements. The texts reflect this diversity of approaches and perspectives well, and we do not try to influence that.

(….)

The pages that follow are an invitation to a fascinating journey on the path of democratic innovation in very diverse cultural, political, social and administrative settings. From North America to Asia, Oceania to Europe, from Latin America to Africa, the reader will find many reasons to closely follow the proposals of the different authors.

The book  can be downloaded here [PDF]. I had the pleasure of being one of the book’s contributors, co-authoring an article with Rafael Sampaio on the use of ICT in PB processes: “Electronic Participatory Budgeting: False Dilemmas and True Complexities” [PDF].

While my perception may be biased, I believe this book will be a major contribution for researchers and practitioners in the field of participatory budgeting and citizen engagement in general. Congratulations to Nelson Dias and all the others who contributed their time and energy.

Learning Deliberation with 12 Angry Men

Few movies have captured the imagination of scholars as well as 12 Angry Men, where a jury composed of 12 men has to deliberate on the fate of a Puerto Rican accused of murder. For instance, when I researched the literature about the movie a few years back, I found out that on the 50th anniversary of the movie, an entire edition of the Chicago-Kent Law Review was dedicated to the movie. In its opening article, Law Professor Nancy Marder explains why:

“The movie was, and remains, an anomaly in the annals of jury movies. Whereas most movies with a jury show the jurors a silent, brooding presence whose main job is to observe on the jurors and their deliberations (…). The jurors in  12 Angry Men are the focus of the movie, and they are a loud, active bunch of men whose deliberations are fraught with conflict. Indeed, the dynamic of this group deliberation constitutes the drama of this movie.”

I couldn’t agree more with Professor Marder. But it is not just the dimension of the jury, as a trial institution, that has led the movie to captivate so many scholars. A number of academics interested in group dynamics, deliberation and collective intelligence often use the movie as a reference when illustrating the peculiarities of deliberative processes. Cass Sunstein, for instance, wrote an article [PDF] looking at the issue of group polarization, arguing why – in accordance with his take on the issue – the movie seems to defy the logics of deliberation. Conversely, Hélène Landemore [PDF], building on previous work by Scott Page, uses 12 Angry Men to highlight how diversity enables groups to reach a better decision.

But I will not go into too much detail because, if you haven’t watched the movie yet (starring Henry Fonda as Juror #8), it is a must see.

Documentary: Participatory Budgeting in Belo Horizonte

Through the Facebook Participatory Budgeting group I came across a documentary about Belo Horizonte’s PB. The documentary, by Joao Ramos de Almeida, provides a unique view of the functioning of one of the oldest PBs in Brazil.

Among other things, the documentary shows how the process leads to a degree of civic empowerment and activism rarely seen in traditional governing models. It is particularly interesting to see how citizens contest, for instance, the cost estimates of public works made by the city administration. The documentary also shows how PB manages to engage citizens in an extremely time consuming process. It is also interesting to see that, while there is some degree of deliberation in the PB process, much of it is also about negotiation between the different communities involved.

Among other things, it shows that Belo Horizonte’s PB is far from perfect, and the suspicion of some degree of co-optation of some PB participants by the administration highlights difficulties that are inherent to many participatory processes. To some, it might come across as a sobering message. Yet, when looking at participatory initiatives, we should not only compare their functioning to an ideal vision of democracy. In this case, we should also compare it to the status quo, that is, how public budgeting takes place in the absence of public participation.

For those interested in citizen engagement this documentary (English subtitles, 55 mins) is worth watching.

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Also read

Participatory Budgeting and Digital Democracy: the Belo Horizonte Case

The Effects of Participatory Budgeting on Infant Mortality in Brazil

Participatory Budgeting: Seven Defining Characteristics

Participatory Budgeting and Technology: Innovations in Open Government

The Participatory Turn: Participatory Budgeting Comes to America

Organ Donation: the Facebook Effect

I just came across a fascinating paper published last June in the Journal of Transplation, Social Media and Organ Donation: the Facebook Effect. Unfortunately I could not find an ungated version of the paper, but the abstract is below:

Despite countless media campaigns, organ donation rates in the United States have remained static while need has risen dramatically. New efforts to increase organ donation through public education are necessary to address the waiting list of over 100,000 patients. On May 1, 2012, the online social network, Facebook, altered its platform to allow members to specify “Organ Donor” as part of their profile. Upon such choice, members were offered a link to their state registry to complete an official designation, and their “friends” in the network were made aware of the new status as a donor. Educational links regarding donation were offered to those considering the new organ donor status. On the first day of the Facebook organ donor initiative, there were 13 054 new online registrations, representing a 21.1-fold increase over the baseline average of 616 registrations. This first-day effect ranged from 6.9× (Michigan) to 108.9× (Georgia). Registration rates remained elevated in the following 12 days. During the same time period, no increase was seen in registrations from the DMV. Novel applications of social media may prove effective in increasing organ donation rates and likewise might be utilized in other refractory public health problems in which communication and education are essential.

The concept, as reported on the John Hopkins University website, was developed by two long–time friends, Facebook’s COO Sheryl Sandberg and JHU transplant surgeon Andrew Cameron:

When Harvard University friends Sheryl Sandberg and Andrew M. Cameron, M.D., Ph.D., met up at their 20th college reunion last spring, they got to talking. Sandberg knew that Cameron, a transplant surgeon at Johns Hopkins, was passionate about solving the perennial problem of transplantation: the critical shortage of donated organs in the United States. And he knew that Sandberg, as chief operating officer of Facebook, had a way of easily reaching hundreds of millions of people.

The findings of the study are fascinating and a reminder of the variety of ways in which social media, and particularly Facebook, can be used towards the public good. But when it comes to the issue of citizen engagement, I have reservations about seeing Facebook as a virtual public sphere. Rather than a public square, Facebook resembles the food court of a shopping mall: while it is a social space, it is still a private one and it is still about business. But despite that fact, there’s lots of amazing things that can be done, and we are just scraping the surface. Some of my thoughts on this are in a recent article at TechCrunch.

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Like this? Also read about  the foundations of motivation in the age of social media.

The Participatory Turn: Participatory Budgeting Comes to America

 

So here it is, finally, the much awaited PhD by Hollie Russon-Gilman (Ash Center – Harvard) on Participatory Budgeting in the United States.

Below is the abstract.

Participatory Budgeting (PB) has expanded to over 1,500 municipalities worldwide since
its inception in Porto Alege, Brazil in 1989 by the leftist Partido dos Trabalhadores
(Workers’ Party). While PB has been adopted throughout the world, it has yet to take
hold in the United States. This dissertation examines the introduction of PB to the United
States with the first project in Chicago in 2009, and proceeds with an in-depth case study
of the largest implementation of PB in the United States: Participatory Budgeting in New
York City. I assess the outputs of PB in the United States including deliberations,
governance, and participation.
I argue that PB produces better outcomes than the status quo budget process in New York
City, while also transforming how those who participate understand themselves as
citizens, constituents, Council members, civil society leaders and community
stakeholders. However, there are serious challenges to participation, including high costs
of engagement, process exhaustion, and perils of scalability. I devise a framework for
assessment called “citizenly politics,” focusing on: 1) designing participation 2)
deliberation 3) participation and 4) potential for institutionalization. I argue that while the
material results PB produces are relatively modest, including more innovative projects,
PB delivers more substantial non-material or existential results. Existential citizenly
rewards include: greater civic knowledge, strengthened relationships with elected
officials, and greater community inclusion. Overall, PB provides a viable and
informative democratic innovation for strengthening civic engagement within the United
States that can be streamlined and adopted to scale.

You can read the full dissertation here [PDF].

Like it?  You might also want to read this about who participates in NYC’s PB and this about the effects of PB on infant mortality in Brazil.

Crowdsourcing Off-Road Traffic Legislation in Finland

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A paper by Tanja Aitamurto (Tampere) and Hélène Landemore (Stanford) on an interesting crowdsourcing exercise in Finland.

Abstract

This paper reports on a pioneering case study of a legislative process open to the direct online participation of the public. The empirical context of the study is a crowdsourced off-road traffic law in Finland. On the basis of our analysis of the user content generated to date and a series of interviews with key participants, we argue that the process qualifies as a promising case of deliberation on a mass-scale. This case study will make an important contribution to the understanding of online methods for participatory and deliberative democracy. The preliminary findings indicate that there is deliberation in the crowdsourcing process, which occurs organically (to a certain degree) among the participants, despite the lack of incentives for it. Second, the findings strongly indicate that there is a strong educative element in crowdsourced lawmaking process, as the participants share information and learn from each other. The peer-learning aspect could be made even stronger through the addition of design elements in the process and on the crowdsourcing software.

The first two things that come to mind when reading this, are:

  1. If there is a “strong educative element” in the crowdsourcing process, we have an argument for large-scale citizen participation. The more citizens take part in a process, the more citizens benefit from the educative element.
  2. If we consider point 1 to be true, there is still a major technical challenge in terms of having appropriate platforms to enable large-scale deliberative processes. For instance, I have some reservations about crowdsourcing efforts that use ideation systems like Ideascale (as is the case for this experience). In my opinion such systems are prone to information cascades and a series of other biases that compromise an exercise in terms of a) deliberative quality and b) final outcomes (i.e. quality of ideas).

There’s still lots to learn on that front, and there is a dire need for more research of this type. Kudos should also go to the proponents of the initiative, who involved the authors in the project from the start.

Read the full paper here [PDF].

Citizen Engagement Improves Access to Public Goods in Mexico

A paper recently published in World Development brings new and fascinating evidence from Mexico of the impact of participatory governance mechanisms on access to services.

Below are a few excerpts from the paper by Diaz-Cayeros, Malagoni, and Ruiz-Euler “Traditional Governance, Citizen Engagement, and Local Public Goods: Evidence from Mexico” (emphasis are mine):

The goal of this paper is to assess the effects of traditional governance on local public good provision. We ask whether poor indigenous communities are better off by choosing to govern themselves through “traditional” customary law and participatory democracy, versus delegating decisions concerning the provision of public goods to “modern” forms of representative government, structured through political parties. This is a crucial question for developing countries seeking to enhance accountability, and a central problem in the theory of participatory democracy.

Our research design takes advantage of an important institutional innovation in the state of Oaxaca, Mexico, that in 1995 allowed indigenous communities to choose their forms of governance. The reform gave full legal standing to a form of traditional indigenous governance called usos y costumbres (usos hereafter), which entails electing individuals to leadership positions through customary law in non-partisan elections, making decisions through participatory democracy, and monitoring compliance through a parallel (and often informal) system of law enforcement and community justice. If they did not choose usos, municipalities could opt instead for party governance, which entails the selection of municipal authorities through electoral competition among political parties and the adjudication of conflicts only through the formal institutional channels, namely the state and federal judiciary.

(…)

Our results show that electricity provision increased faster in those municipalities governed by usos. They also suggest that traditional governance may improve the provision of education and sewerage. With respect to citizen engagement and elite capture, contrary to existing scholarly work, we find no evidence of entrenchment of local bosses (caciques) associated with the former ruling party, the Institutional Revolutionary party (PRI) in places ruled by usos. Our findings suggest that traditional participatory forms of governance do not handicap democratic development. Furthermore, municipalities governed by usos are more likely to hold open council meetings allowing citizens to participate in decisionmaking processes. We attribute better public goods coverage to differences in local governance and collective decisionmaking practices. We suggest three specific channels through which traditional governance affects local public good provision: the social embeddedness of municipal presidents, broader civic engagement in collective-decision making, and credible social sanctions. We argue that traditional governance practices (which include in our setting decision-making through direct participatory practices, the obligation to provide services for the community, and the establishment of a parallel system of justice), allow poor communities to better hold their political leaders accountable, prevent elite capture, and monitor and sanction non-cooperative behavior.

(…)

Systems of governance based on electoral competition among political parties differ essentially from usos because decisions are taken by politicians without an ongoing process of consultation with the citizenry. The monitoring and sanctioning dynamics that come into play when citizens gather in public assemblies are usually absent in party-run municipalities, and thus the allocation of resources for public goods seems sub-optimal.

(…)

Differences between the two types of governance that we presented in the paper point to a broader discussion of the organization of democracy. The delegated format of decision-making in electoral democracies dominated by political parties seems to bear a higher risk of agency loss than deliberative decision-making of what is often referred to as participatory democracy. (…) there are lessons to be extracted from the fact that, with regard to the provision of some basic services, a non-partisan political arrangement presented some advantages over the widespread electoral and party-based democratic organization. Participation and collective monitoring of authority are hugely important to maximize collective well-being.

Read the full paper here [PDF].

 

Technology and Citizen Participation in Lawmaking: What’s the Impact?

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In times of open government one can come across many initiatives that claim to enable citizens to participate in the lawmaking process, but much less evidence is available about how effective that participation is. 

This is one of the reasons why I believe the e-Democracia project by the Brazilian House of Representatives is an extremely important experience for those interested in online participatory lawmaking. Besides taking place in one of the worlds’ largest democracies, e-Democracia is one of the few experiences to have shown evidence of actual impact – albeit sometimes limited – of citizens’ participation in the lawmaking process  (full disclosure, I advised the project in its early stages of implementation).

A new paper by Patricia Rossini (UFMG – Brazil) looks at a particular case of e-Democracia, in which citizens provided input for the drafting of the Brazilian Internet Bill of Rights. Below is the abstract of the paper - Is political participation online effective? A case study of the Brazilian Federal Chamber of  Representatives’ e-democracy initiative.

Abstract:

In Brazil, the Federal Chamber of Representatives conducts an e-democracy initiative that enables people to participate in political decisions regarding legislation. There are forums in which people can discuss and propose amendments to draft bills, vote for surveys to decide on the most important issues and speak their minds regarding legislative activities. The goal of this paper is to analyze the effectiveness of citizens’ engagement in the e-democracy initiative through the case study of the discussion of the Internet Civilian Landmark – a bill to regulate Internet use in Brazil. After a brief review of literature on e-democracy, we intend to measure if the platform guaranteed citizens an opportunity to affect decision-making by evaluating if the amendments suggested by users through the initiative were effectively taken into account by the legislative committee.

And a small excerpt from the conclusion:

Even though there are many barriers (social, economical and cultural, to cite some) that need to be transposed in order to reach a greater level of citizenship and deliberation on online public spheres, our case study shows that those who were engaged in the Internet Civilian Landmark’s discussion were able to reach decision-makers and to effectively make amendments to this bill. Although the final decision was top-down, as the representatives had the power to decide on what suggestions they would take into account, they were clearly open to accept amendments proposed.

Download the full paper here [PDF].

Public participation in community and regional planning

picture by jczart on flickr.

Paper by Nicole Peterson, AICP.

Public participation in community and regional planning is both imperative and problematic. The purpose of this paper is to draw attention to the importance of public participation in planning, explain the barriers to implementation, and provide recommendations to improve public involvement in community and regional planning.

Interesting description of how participation in planning processes evolved in the US:

The American civil rights movement of the 1960s and 1970s brought citizen involvement to the forefront of  planning and politics. The combination of political scandals (e.g. assassinations, Vietnam, Watergate), environmental degradation (e.g. Cleveland’s Cuyahoga River fire in 1969) and the sweeping urban renewal of the  early 1900’s sparked citizen engagement in this period. Diane Day writes, “Significant interest [in citizen participation] began in the 1960s and 1970s as North America was in the midst of what appeared to be a countercultural revolution.” (Day, 1997, p. 421) The ‘countercultural revolution’ as Day calls it is a symbol of the unrest and distrust in government that led to citizens exercising their rights to engage in planning and democracy in America.

Read more here [PDF].

Lawrence Lessig on Sortition and Citizen Participation

 

When designing citizen engagement mechanisms I always consider sortition (or randomization) as a mechanism of participant selection. Nevertheless, and particularly in the #opengov space, my experience is that this idea does not resonate a lot: it sounds less sexy than crowdsourcing and more complicated than over-simplistic mechanisms of “civil society engagement”.

This is why it is always great to see someone like Lawrence Lessig putting forward a system of  “Citizen Conventions” for proposing amendments to the Constitution based upon sortition. In this video below, at a hearing at the U.S. Senate’s Commission of Justice, Lessig explains in a few seconds how such a system would work:

With his unique eloquence, Lessig also makes the best case for ordinary citizens to engage with the Constitution and reforms:

I think to the surprise of many people, you would see that ordinary people deliberating about what the Constitution needs and how the reforms should go forward, would far surpass ninety eight percent of what is commonly discussed in this particular context. And that’s because, frankly, politics is the one sport where the amateur is better for the nation than the professional.

Lessig’s remark on the amateur’s role in politics reminds me of something I read a while ago from the apologue of Protagoras. When charged with taking to humans the art of politics, Mercury asks Jupiter whether it should be distributed like the other arts, to the competent ones only. Jupiter replies that the art of politics should be distributed to all. Otherwise, says Jupiter, the city would not exist.