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L A W A N D G L O B A L I Z A T I O N F R O M B E L O W

This book is an unprecedented attempt to analyze the role of the law in theglobal movement for social justice. Case studies in the book are written byleading scholars from both the global South and the global North, and

combine empirical research on the ground with innovative sociolegal theoryto shed new light on a wide array of topics. Among the issues examined are therole of law and politics in the World Social Forum; the struggle of the anti-

sweatshop movement for the protection of international labour rights; and thechallenge to neoliberal globalization and liberal human rights raised by grass-

roots movements in India and indigenous peoples around the world. Theseand other cases, the editors argue, signal the emergence of a subaltern cosmo-politan law and politics that calls for new social and legal theories capable of

capturing the potential and tensions of counter-hegemonic globalization.

B O A V E N T U R A D E S O U S A S A N T O S is Professor of Sociology at the University

of Coimbra, Portugal; he is also a Distinguished Legal Scholar at theUniversity of Wisconsin-Madison Law School.

C E S A R A . R O D R I G U E Z - G A R A V I T O is Assistant Professor of Law andSociology at the University of the Andes, Colombia, and Fellow of the

Institute for Legal Studies, University of Wisconsin, Madison.



C A M B R I D G E S T U D I E S I N L A W A N D S O C I E T Y

Cambridge Studies in Law and Society aims to publish the best scholarly

work on legal discourse and practice in its social and institutionalcontexts, combining theoretical insights and empirical research.

The fields that it covers are studies of law in action; the sociology of law; the anthropology of law; cultural studies of law, including the roleof legal discourses in social formations; law and economics; law andpolitics; and studies of governance. The books consider all forms of legal discourse across societies, rather than being limited to lawyers’discourses alone.

The series editors come from a range of disciplines: academic law;socio-legal studies; sociology; and anthropology. All have been activelyinvolved in teaching and writing about law in context.

Series Editors

Chris ArupVictoria University, Melbourne

Martin ChanockLa Trobe University, MelbournePat O’Malley

Carleton University, OttawaSally Engle MerryWellesley College, Massachusetts

Susan SilbeyMassachusetts Institute of Technology

Books in the Series

The Politics of Truth and Reconciliation in South AfricaLegitimizing the Post-Apartheid StateRichard A. Wilson0 521 80219 9 hardback0 521 00194 3 paperback

Modernism and the Grounds of Law

Peter Fitzpatrick0 521 80222 9 hardback

0 521 00253 2 paperback

Unemployment and GovernmentGenealogies of the SocialWilliam Walters



0 521 64333 3 hardback

Autonomy and Ethnicity

Negotiating Competing Claims in Multi–Ethnic States

Yash Ghai0 521 78112 4 hardback

0 521 78642 8 paperback

Constituting DemocracyLaw, Globalism and South Africa’s Political Reconstruction

Heinz Klug0 521 78113 2 hardback0 521 78643 6 paperback

The New World Trade Organization Agreements

Globalizing Law through Services and Intellectual PropertyChristopher Arup0 521 77355 5 hardback

The Ritual of Rights in JapanLaw, Society, and Health PolicyEric A. Feldman

0 521 77040 8 hardback0 521 77964 2 paperback

The Invention of the PassportSurveillance, Citizenship and the State

John Torpey0 521 63249 8 hardback

0 521 63493 8 paperback

Governing Morals A Social History of Moral Regulation

Alan Hunt0 521 64071 7 hardback0 521 64689 8 paperback

The Colonies of Law

Colonialism, Zionism and Law in Early Mandate PalestineRonen Shamir

0 521 63183 1 hardback

Law and NatureDavid Delaney0 521 83126 1

Social Citizenship and Workfare in the United States and Western Europe



The Paradox of Inclusion

Joel F. Handler0 521 83370 1 hardback0 521 54153 0 paperback

Law, Anthropology and the Constitution of the Social

Making Persons and ThingsEdited by Alain Pottage and Martha Mundy0 521 83178 4 hardback0 521 53945 5 paperback

Judicial Review and Bureaucratic ImpactInternational and Interdisciplinary Perspectives

Edited by Marc Hertogh and Simon Halliday0 521 83918 1 hardback

0 521 54786 5 paperback

Immigrants at the MarginsLaw, Race, and Exclusion in Southern EuropeKitty Calavita


Lawyers and Regulation

The Politics of the Administrative ProcessPatrick Schmidt0 521 84465 7 hardback

Law and Globalization from Below

Towards a Cosmopolitan LegalityEdited by Boaventura de Sousa Santos and Cesar A. Rodrıguez-Garavito




LAW AND GLOBALIZATION

FROM BELOW

Towards a Cosmopolitan Legality

Edited by

Boaventura de Sousa Santos University of Coimbra and University of Wisconsin-Madison

and

Ce ´ sar A. Rodrı guez-Garavito

University of the Andes and University of Wisconsin-Madison



cambridge university press

Cambridge, New York, Melbourne, Madrid, Cape Town, Singapore, São Paulo

Cambridge University Press

The Edinburgh Building, Cambridge cb2 2ru, UK

First published in print format

isbn-13 978-0-521-84540-3

isbn-13 978-0-521-60735-3

isbn-13 978-0-511-12926-1

© Cambridge University Press 2005

2005

Information on this title: www.cambridge.org/9780521845403

This publication is in copyright. Subject to statutory exception and to the provision of relevant collective licensing agreements, no reproduction of any part may take place

without the written permission of Cambridge University Press.

isbn-10 0-511-12926-2

isbn-10 0-521-84540-8

isbn-10 0-521-60735-3

Cambridge University Press has no responsibility for the persistence or accuracy of urlsfor external or third-party internet websites referred to in this publication, and does notguarantee that any content on such websites is, or will remain, accurate or appropriate.

Published in the United States of America by Cambridge University Press, New York

www.cambridge.org

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Contents

Notes on the contributors page xi

1 Law, politics, and the subaltern in counter-hegemonicglobalization 1

Boaventura de Sousa Santos and Cesar A. Rodrıguez-Garavito

P A R T O N E L A W A N D T H E C O N S T R U C T I O N O F

A G L O B A L E C O N O M Y O F S O L I D A R I T Y 2 7

2 Beyond neoliberal governance: the World Social Forumas subaltern cosmopolitan politics and legality 29

Boaventura de Sousa Santos

3 Nike’s law: the anti-sweatshop movement, transnationalcorporations, and the struggle over international laborrights in the Americas 64Cesar A. Rodrıguez-Garavito

4 Corporate social responsibility: a case of hegemony

and counter-hegemony 92Ronen Shamir

5 Campaigning for life: building a new transnationalsolidarity in the face of HIV/AIDS and TRIPS 118Heinz Klug

6 Negotiating informality within formality: land

and housing in the Texas colonias 140 Jane E. Larson

7 Local contact points at global divides: labor rightsand immigrant rights as sites for cosmopolitan legality 158Fran Ansley

ix



P A R T T W O T R A N S N A T I O N A L S O C I A L M O V E M E N T S A N D

T H E R E C O N S T R U C T I O N O F H U M A N R I G H T S 1 8 1

8 Limits of law in counter-hegemonic globalization: the IndianSupreme Court and the Narmada Valley struggle 183Balakrishnan Rajagopal

9 The Movement of the Landless (MST), juridical field,and legal change in Brazil 218Peter P. Houtzager

10 Indigenous rights, transnational activism, and legalmobilization: the struggle of the U’wa people in Colombia 241Cesar A. Rodrıguez-Garavito and Luis Carlos Arenas

11 Defensive and oppositional counter-hegemonic usesof international law: from the International CriminalCourt to the common heritage of humankind 267

Jose Manuel Pureza

P A R T T H R E E L A W A N D P A R T I C I P A T O R Y D E M O C R A C Y :

B E T W E E N T H E L O C A L A N D T H E G L O B A L 2 8 1

12 Political and legal struggles over resources and democracy:experiences with gender budgeting in Tanzania 283Mary Rusimbi and Marjorie Mbilinyi

13 Two democracies, two legalities: participatorybudgeting in Porto Alegre, Brazil 310Boaventura de Sousa Santos

14 Life, life world, and life chances: vulnerabilityand survival in Indian constitutional law 339Shiv Visvanathan and Chandrika Parmar

15 Bottom-up environmental law and democracy in the risksociety: Portuguese experiences in the European context 363

Joao Arriscado Nunes, Marisa Matias, and Susana Costa

Index 384

CONTENTS

x



Notes on the contributors

Fran Ansley is Distinguished Professor of Law at the University of Tennessee in Knoxville. Her goals are to study processes of globalization through local lenses in both the North and South,

and to collaborate with grassroots groups in ways that movetoward action in the world. Her work on globalization hasappeared in numerous US law reviews and she has contributedchapters to Laboring Below the Line; Women Working the NAFTAFood Chain; Neither Separate Nor Equal; and Hard Labor.

Luis Carlos Arenas earned a JD from the National University of Colombia and an LLM from the University of Wisconsin-

Madison. He worked for several years as a researcher and humanrights activist at the Latin American Institute for AlternativeLegal Services (ILSA). He is the Executive Director of theWisconsin Coordinating Council on Nicaragua (WCCN), a non-profit, membership-supported organization based in Madison,Wisconsin, promoting social and economic justice in Nicaraguathrough alternative models of development and activism.

Joao Arriscado Nunes is Associate Professor of Sociology at the Schoolof Economics, and researcher at the Center for Social Studies of the University of Coimbra, Portugal. His research interestsinclude the social studies of science, political sociology, sociologyof culture, globalization, and social theory. He is co-editor of Reinventing Democracy: Grassroots Movements in Portugal (special

xi



issue of South European Society and Politics, 2004), and Enteados deGalileu? A Semiperiferia no Sistema Mundial da Ciencia(Afrontamento, 2001).

Susana Costa is a sociologist and a researcher at the Center for SocialStudies of the University of Coimbra, Portugal. Her researchinterests include social studies of science, with a focus on thesociology of law and science and forensic medicine. She is theauthor of A Justica no Laboratorio (Coimbra, 2003), anethnography of DNA profiling in criminal investigation inPortugal.

Peter P. Houtzager is a Fellow at the Institute of Development Studies,University of Sussex. He has taught at Stanford and St. MaryCollege in the United States. His work on the institutional rootsof collective action has appeared in Theory and Society;Comparative Studies in Society and History; and the Journal of Development Studies. He is co-editor of Changing Paths:

International Development and the New Politics of Inclusion(University of Michigan Press, 2003).

Heinz Klug is Professor of Law at the University of Wisconsin LawSchool and Honorary Senior Research Fellow at theWitwatersrand. He is Director of the Global Legal StudiesInitiative at Wisconsin and formerly taught law at the Universityof the Witwatersrand. He served on the secretariat and was a staff

member of the African National Congress Land Commission. He isthe author of Constituting Democracy: Law, Globalism and South

Africa’s Political Reconstruction (Cambridge University Press, 2000).

Jane E. Larson is Voss-Bascom Professor of Law at the University of Wisconsin-Madison. She is the author of many articles on law andinformality, as well as works addressing sexual regulation and itshistory. She is co-author of Hard Bargains: The Politics of Sex

(Oxford University Press, 1998).

Marisa Matias is a sociologist and a researcher at the Center for SocialStudies of the University of Coimbra, Portugal. Her researchinterests include the sociology of environment and public health,social studies of science, and public policy and participation. She

N O T E S O N T H E C O N T R I B U T O R S

xii



has published on environmental conflicts and scientificcontroversies in Portugal and in Europe, especially in relation towaste management policies.

Marjorie Mbilinyi is a founding member of the Tanzania Gender Networking Programme (TGNP) and head of its Activism,Lobbying and Advocacy programme. She is a former Professorof Education at the University of Dar es Salaam, and is currentlyan activist and gender specialist, focusing on macro policy,agrarian and participatory democracy issues. She is co-editor of

Activist Voices and Against Neo-Liberalism and Food is Politics

(Institute of Development Studies, University of Dar es Salaam,2002).

Chandrika Parmar is Adjunct Professor at the Mudra Institute forCommunication in Ahmedabad, India. She was AssociateDirector of Programmes at the Centre for the Study of DevelopingSocieties in Delhi. Her research interests center on the sociology

of violence, cultures of knowledge, disasters, popular culture, andfutures. She has published several articles on constitutional lawand democracy, biotechnology, and environmental values. She iscurrently finishing a monograph on partition and a book ondisasters.

Jose Manuel Pureza is Professor of International Relations andresearcher at the Center for Social Studies at the University of

Coimbra, Portugal. He has published numerous scholarly articlesand book chapters on international law and human rights. He isthe author of Fogo sobre os media! Conhecimento, Informacao eCrıtica em Conflitos Armados (Afrontamento, 2003), andPatrimonio Comum da Humanidade: Rumo a um Direito Internacionalda Solidariedade? (Afrontamento, 1998).

Balakrishnan Rajagopal is the Ford International Assistant Professor of

Law and Development and Director of the Program on HumanRights and Justice at the Massachusetts Institute of Technology.He served with the United Nations in Cambodia for many years asa human rights lawyer and has been a legal and human rightsadvisor to international and non-governmental organizations. Hehas published articles in leading law journals and is the author of


xiii



International Law from Below: Development, Social Movements, andThird World Resistance (Cambridge University Press, 2003).

Cesar A. Rodrıguez-Garavito is Assistant Professor of Law and Sociologyat the University of the Andes (Colombia), and a Fellow at theInstitute for Legal Studies, University of Wisconsin-Madison. Heis a founding member of the Center for Law, Justice and Society(DJS), and editor of the journal Beyond Law, published by theLatin American Institute for Alternative Legal Services (ILSA).He has published scholarly articles and book chapters on law andsociety, political sociology, labor, development, and globalization.

He is the author of Globalization, Governance and Labor Rights(ILSA, 2005), and co-editor of Law and Society in Latin America(ILSA, 2003) and The New Latin American Left (Norma, 2004).

Mary Rusimbi is a founding member and Executive Director of theTanzania Gender Networking Programme (TGNP). She is anactivist, adult educator, and gender specialist, focusing on macro

policy issues, women’s rights, and gender budget analysis. Sheis co-editor of Activist Voices and author of several articles inthe same book and in Against Neo-Liberalism (TGNP and E&DLtd, 2003).

Boaventura de Sousa Santos is Professor of Sociology at the School of Economics, University of Coimbra (Portugal), and DistinguishedLegal Scholar at the University of Wisconsin-Madison Law

School. He has published widely on globalization, sociology of lawand the state, and epistemology. His books include Toward a NewCommon Sense: Law, Science and Politics in the ParadigmaticTransition (Routledge, 1995) and Toward a New Legal CommonSense: Law, Globalization, and Emancipation (Butterworths, 2002).He is the editor of Democratizing Democracy: Beyond the LiberalDemocratic Canon and Another Production is Possible: Beyond theCapitalist Canon (Verso, 2005).

Ronen Shamir is Associate Professor of Sociology at Tel-AvivUniversity, Israel. He has published articles on the legalprofession, legal history, legal pluralism, and corporate socialresponsibility and globalization, in leading sociolegal journals,including Law and Society Review; Law and Social Inquiry;and Social


xiv



and Legal Studies. He is the author of The Colonies of Law:Colonialism, Zionism and Law in Early Mandate Palestine(Cambridge University Press, 2000) and Managing Legal

Uncertainty: Elite Lawyers in the New Deal (Duke University Press,1995).

Shiv Visvanathan is Professor at the Dhirubhai Ambani Institute of Information and Communication Technology in Ahmedabad,India. He is a former Senior Fellow at the Centre for the Study of Developing Societies, Delhi. His research interests center oncultures of knowledge, sociology and philosophy of science,

history of technology, social movements, globalization, culture,and the politics of environmentalism. His books includeOrganizing for Science (Oxford University Press, 1985) andCarnival for Science (Oxford University Press, 1997).


xv



CHAPTER 1

LAW, POLITICS, AND THE SUBALTERN INCOUNTER-HEGEMONIC GLOBALIZATION

Boaventura de Sousa Santos and Ce sar A. Rodrı guez-Garavito

1 . 1 I N T R O D U C T I O N

T h i s b o o k a r o s e f r o m o u r p u z z l e m e n t a t t h e p a r a d o x i c a l s t a t e o f s o c i o -

legal k no w led ge o n glo b aliz at io n. T he b eginning o f t he new m illenniu mhas w it nes s ed a gr o u nd s w ell o f p r o p o s als fo r t he t r ans fo r m at io n o r r ep la-c em en t o f t he n at io na l a nd i nt er na ti on al l e ga l i ns ti tu ti on s u nd er pi nn in ghegemo nic, neoliber al glob aliz atio n. Pu t fo rt h b y v ariegat ed co unt er -hegemonic movements and organizations and articulated through trans-natio nal netw or k s, t hes e p r op os als challenge o u r s o ciolo gical and legali ma gi na ti on a nd b el ie t he f a ta li s ti c i de ol og y t ha t ‘‘ th er e i s n o a l te rn at iv e’’to neoliberal institutions.

T he i ni ti at iv es a re a s d iv er se a s t he o rg an iz at io ns a nd n et wo rk sad v o cat ing t hem , as t he cas e s t u d ies in t his b o o k lay b ar e. I m p o v er is hedw o m e n i n T a n z a n i a a s w e l l a s m a r g i n a l i z e d c o m m u n i t i e s a n d p r o g r e s -s i v e p a r t i e s i n B r a z i l m o b i l i z e t o c h a n g e a n d d e m o c r a t i z e t h e n a t i o n a la nd i nt er na ti on al r eg ul at or y f ra me wo rk s t ha t e ff ec ti ve ly e xc lu dethem from key political arenas such as the process of allocatingp ub li c b ud ge ts ( se e R us im bi a nd M bi li ny i’ s a nd S an to s’ c ha pt er s o np ar ti ci pa to ry b ud ge ti ng ). N GO s, u ni on s, c on su me rs , w or ke rs , a nd

o th er a ct or s i n t he g lo ba l N or th a nd S ou th o rg an iz e t o c ha ll en ge t hem ar ket - friend ly r egu lat io n o f lab o r co nd it io ns, co r po r at e acco unt ab il-i ty , i nt el le ct ua l p ro pe rt y r ig ht s, a nd t he e nv ir on me nt w hi ch f ue ls t hes pr ea d o f s we at sh op s i n t he A me ri ca s, t he A fr ic an A ID S p an de mi c,a nd e nv ir on me nt al d eg ra da ti on i n E ur op e ( se e R od rı guez-Garavito’s,S ham ir ’s, Kl ug ’s, an d Ar ri sc ado , M ati as , a nd C os ta’ s c ha pt er s) .

1



P r og r es s iv e a c ti v is t -r e se a rc h er s , p e op l e o f f a it h , a n d m e mb e rs o f m a r-g i n a l i z e d c o m m u n i t i e s i n t h e U S – t h e ‘ ‘ i n n e r T h i r d W o r l d ’ ’ o f l a i d - o f f i n d u s t r i a l w o r k e r s , m i g r a n t s , a n d i n f o r m a l l a b o r e r s – c o m e t o g e t h e r t o

co llect iv ely co nceiv e co s m o p o lit an id ent it ies and legal r u les in o p p o s i-t ion t o t he e xcl usi on ary i deo log ie s a nd l aw s of i mmi gr ati on ( se eA n s l e y ’ s a n d L a r s o n ’ s c h a p t e r s ) . S o c i a l m o v e m e n t s i n v o l v i n g s o m e o f t he m os t m ar gi na li ze d c la ss es i n t he g lo ba l S ou th – l an dl es s p ea sa nt s,s ub si st en ce f ar me rs , a nd i n di ge no us p eo pl es – s tr at eg ic al ly m ob il iz en a t i o n a l c o u r t s a n d t r a n s n a t i o n a l a d v o c a c y n e t w o r k s ( T A N s ) t o a s s e r ttheir rights to the land, their culture, and the environment (seeH o ut z ag e r’ s , R a ja g op a l’ s , V i sv a na t ha n a n d P a rm a r’ s , a n d R od r ıguez-

G a ra v it o a n d A r en a s’ c h ap t er s ). A r ti c ul a te d t h ro u gh n o w w e ll - es t ab -l i s h e d r e g i o n a l a n d g l o b a l m e c h a n i s m s s u c h a s t h e W o r l d S o c i a l F o r u m( se e S an to s’ c ha pt er ), t he se a nd m yr ia d o th er i ni ti at iv es h av e s ho wnn ot o nl y t ha t ‘‘ an ot he r w or ld i s p os si bl e, ’’ b ut h av e s pu rr ed a n u np re -c e de n te d e f fe r ve s ce n ce o f d e ba t e a n d e x pe r im e nt a ti o n i n b o tt o m- u pl e g a l r e f o r m a n d n e w i n t e r n a t i o n a l l e g a l r e g i m e s ( s e e P u r e z a ’ s c h a p t e r ) .

A g ai n st t h e b a ck g ro u nd o f s u ch f e rv e nt e x pe r im e nt a ti o n a n d i n st i -

t ut ion al cr ea ti vi ty a t th e g ra ssr oo ts l ev el , t he p ara do x l ie s i n t hatt h e o r i e s a n d e m p i r i c a l s t u d i e s o n l a w a n d g l o b a l i z a t i o n h a v e m u l t i p l i e da pa ce w hi le m is si ng a lm os t e nt ir el y t hi s m os t i nt el l ec tu al ly c ha ll en gi nga n d p o l i t i c a l l y c o m p e l l i n g a s p e c t o f g l o b a l i z a t i o n . I n d e e d , t h e e x i s t i n gl i t e r a t u r e d r a w s o n a r a t h e r c o n v e n t i o n a l a c c o u n t o f g l o b a l i z a t i o n a n dg l o b a l l e g a l t r a n s f o r m a t i o n s a s t o p - d o w n p r o c e s s e s o f d i f f u s i o n o f e c o -n om ic a nd l eg al m od el s f ro m t he g lo ba l N or th t o t he g lo ba l S ou th .T hu s, t he l it er at ur e o ve rw he lm in gl y f oc us es o n t he g lo ba li za ti on o f

l eg al f i el ds i nv ol vi ng t he m os t v is ib le , h eg em on ic a ct or s ( wh os e v is i-b i li t y i s t h er e by f u rt h er e n ha n ce d ) s u ch a s t r an s na t io n al c o rp o ra t io n s( TN Cs ) a nd N or th er n s ta te s. T he r es ul t i s a w id e a rr ay o f s tu di es o ns uc h t op ic s a s t he g lo ba l s pr ea d o f c or po ra ti on -m ad e lex mercatoria(Dez alay and G ar t h 1996; McB ar net t 2002; T eu b ner 1997) , t h e e x p a n -s io n o f t he i nt er st at e h um an r ig ht s r eg im e a nd i nt er na ti on al l aw a tl a rg e ( B ry s k 2002 ; F al k 1998; F al k, R ui z, a nd W al ke r 2002; L ik os ky2002) , t h e e x a c e r b a t i o n o f l e g a l p l u r a l i s m b r o u g h t a b o u t b y t h e g l o b a -

l i za t io n o f p r od u ct i on a n d n e w c o mm u ni c at i on t e ch n ol o gi e s ( S ny d er2002) , a nd th e e xpo rt a nd i mpor t of r ul e of l aw a nd j ud ic ial re fo rmp r og r am s ( C ar o th e rs 1998; Dezalay and Garth 2002a; Rodrı guez-Garavito 2001; S a n t o s 2002).

T h e r e f o r e , l a w a n d s o c i e t y s t u d i e s h a v e l a r g e l y f a i l e d t o r e g i s t e r t h eg r o w i n g g r a s s r o o t s c o n t e s t a t i o n o f t h e s p r e a d o f n e o l i b e r a l i n s t i t u t i o n s

S A N T O S A N D R O D R I G U E Z - G A R A V I T O

2



a n d t h e f o r m u l a t i o n o f a l t e r n a t i v e l e g a l f r a m e w o r k s b y T A N s a n d t h ep o p u l a t i o n s m o s t h a r m e d b y h e g e m o n i c g l o b a l i z a t i o n . T h u s , d e s p i t e as t r o n g t r a d i t i o n o f s t u d i e s o n t h e u s e o f l a w b y d o m e s t i c s o c i a l m o v e -

m ent s (H and ler 1978; M c C a n n 1994; Scheingo ld 1974 ) a n d a g r o w i n gl i te r at u re o n t r an s na t io n al s o ci a l m o ve m en t s ( E va n s 2000; K ec k a ndSikkink 1998; T ar ro w 2001) , t he r ol e o f l aw i n c ou nt er -h eg em on icg lo ba li za ti on a nd t he c ha ll en ge s t ha t t he l at te r p os es t o l eg al t he or y a ndp ra ct ic e h av e y et t o b e t ac kl ed .1

A w a r e t h a t t h e d i a g n o s i s o f t h e i n s u f f i c i e n c i e s o f t h i s a p p r o a c h w a ssh ar ed b y n ume rou s so ci al s ci en ti sts a nd l eg al s ch ol ars ba sed i n o rd ee pl y i nv ol ve d w it h t he S ou th ( ei th er t he g lo ba l S ou th o r t he ‘‘ i nn er

So u t h’’ in t he co r e co u nt r ies ), w ho hav e t hem s elv es b een p ar t icip ant s int he glo b al ju s t ice m o v em ent , in 2 0 0 0 w e d ecid ed t o lau nch a co llab o r a-t iv e r es ear ch net w o r k (CR N ) o n law and co u nt er - hegem o nic glo b aliz a-t i o n . T h e C R N w a s m e a n t t o s e r v e a s a m e e t i n g a n d d i s c u s s i o n s p a c e f o rs cho lar s and s cho lar s /act iv is t s fr o m ar o u nd t he w o r ld engaged in cr it icals o cio legal r esearch and legal ad vo cacy acro s s b o rd er s . Em phasiz ing t hep art ic ip at io n of re se ar ch er s a nd a cti vis ts f rom t he g lo ba l S out h, it

b ro ug ht t og et he r a c or e g ro up o f p ar ti c ip an ts ( in cl ud in g s ev er al o f t hec on tr ib ut or s t o t hi s v ol ume) i n m ee ti ng s i n M iam i ( 20 00 ), B uda pe st(2001), and Oxford (2001).2 T he gr o u p r ap id ly ex p and ed as w e t o o k t hep ro je ct t o t he s it es o f o ur o wn w or k i n L at in A me ri ca , A fr ic a, E ur op e,a nd t he U S. I t t hus b ec am e a br oa d, l oo se c ir cle t hat p ar ti al ly o ve rl app edw it h o th er n et wo rk s o f s oc io le ga l r es ea rc h a nd t ra ns na ti on al a dv oc ac y i nw hich t he CR N m em b er s w er e inv o lv ed .

The effort to bri dge the divides between South and North and

b et we en a ca de mi c w or k a nd p ol it ic al e ng ag em en t m ad e t he p ro ce sso f p ro du ci ng t hi s b oo k a n e xc ep ti on al ly c ha ll en gi ng a nd s ti mu la ti ngt ra ns na ti on al e nd ea vo r. F ur th er c on ve rs at io ns a nd d eb at es a mo ngc on tr ib ut or s t o t hi s v ol um e t oo k p la ce i n s uc h v en ue s a s t he W or ldS oc ia l F or um i n P or to A le gr e ( 20 03 , 2 00 5) a nd M um ba i ( 20 04 ), t heL at in A me ri ca n C on fe re nc e o n J us ti ce a nd S oc ie ty o rg an iz ed b y t heL at in A me ri ca n I ns ti tu te f or A lt er na ti ve L eg al S er vi ce s ( IL SA ) i nBogota (2003), the International Conference on Law and Justice at the

U nivers it y o f Coimb ra (20 03 ), and t he Conference o n G lo bal Dem ocracy

1 S o me e x ce p ti o ns t h at c o nf i rm t h e r u le a r e s t u d ie s o n l a w a n d ‘ ‘g l ob a li z at i on f r om b e lo w ’’ s u c h a sF a l k (1998) , R a j a g o p a l (2003 ) , a n d S a n t o s ( 1995 , 2002).

2 T h e L a w a n d S o ci e ty A s s oc i at i on s p on s or e d t h e M i am i a n d B u da p es t m e et i ng s . T h e O x fo r dm e et i ng t o ok p l ac e b y i n vi t at i on f r om t h e C e nt r e f o r S o ci o- L eg a l S t ud i es . W e a r e g r at e fu l t ob o t h f o r f i n a n c i a l a n d l o g i s t i c a l s u p p o r t t h a t m a d e t h e t a k e - o f f o f t h e C R N p o s s i b l e .

L A W , P O L I T I C S , A N D T H E S U B A L T E R N

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a nd the Se ar ch fo r Justi ce at th e Un iversi ty of Sh effi el d ( 20 03 ).M ore ov er , s ev er al o f t he c ase s tud ie s w er e wr it te n i n t he f ie ld a s t heau t ho r s w o r k ed clo s ely w it h t he m o v em ent s , s t at e agencies , and N G O s

t he y a na ly ze i n t he ir c ha pt er s. T hu s, l i ke t he m ov em en ts t he ms el ve s,the contributors combined local engagement with transnational dialogue.

W hi l e t he c om pl i ca ti on s a ss oc ia te d w it h t hi s t yp e o f e nt er pr is e –f r o m l a n g u a g e b a r r i e r s t o t h e h e c t i c p a c e o f g r a s s r o o t s a c t i v i s m – m a d et h e e d i t o r i a l p r o c e s s a l l t h e m o r e d i f f i c u l t , t h e y a l s o g i v e t h i s b o o k i t sd i s t i n c t i v e c h a r a c t e r . I n d e e d , i n o u r v i e w , t h e s p e c i f i c c o n t r i b u t i o n o f t hi s v ol um e a nd t he c om mo n t hr ea d r un ni ng t hr ou gh a ll i ts c ha pt er sl i es i n t h e p a rt i cu l ar , b o tt o m- u p p e rs p ec t iv e o n l a w a n d g l ob a li z at i on

t h at i t a d va n ce s a n d e m pi r ic a ll y i l lu s tr a te s . T h is p e rs p ec t iv e h a s b o tha n a na ly ti c a nd a p ol it ic al d im en si on . F ro m a n a na ly ti c v ie wp oi nt , i te nt ai ls t he d et ai le d e mp ir ic al s tu dy o f l eg al o rd er s a s t he y o pe ra te o n thegro und. T his includ es not o nly t he o fficial law o f cou rt s and legislatu resb ut a ls o t he m yr ia d l eg al r ul es c re at ed a nd e nf or ce d b y s uc h d is pa ra tesocial actors as civil society organizations, corporations, and marginalizedcommunities. This staple analytic strategy of sociolegal research tends to

e xh au st t he m ea ni ng o f t he ‘‘ bo tt om -u p’’ a pp ro ac h i n t he U S l aw a nds oc ie ty t ra di ti on ( se e, f or i ns ta nc e, M un ge r 1998). When appl ied toglob al s ocial and legal p ro cess es , t his r es earch s tr at egy calls for t he t yp eo f a pp ro ac h t ha t M ar cu s (1995) has dubbed ‘‘multi-sited ethnography’’:a c om bi na ti on o f q ua li ta ti ve m et ho ds a pp li ed t o t he s tu dy o f d if fe re ntlo cales t hat aim s t o ex am ine t he o p er at io n o f glo b al s o cio legal p r o ces s ess hap ing ev ent s in s u ch s it es .

To o ur mi nd , t he b ot tom -u p p ers pe cti ve i ll ust ra te d by t he c as e

s t u d i e s i n t h i s b o o k a l s o h a s a d i s t i n c t l y p o l i t i c a l d i m e n s i o n t h a t g o e sh an d i n h an d wi th i ts a na ly ti c c oun ter pa rt. A s we e xp la in i n mo red e t a i l b e l o w , t h e p u r p o s e d r i v i n g t h e a n a l y s i s i s t o e x p o s e t h e p o t e n t i a la n d t h e l i mi t at i on s o f l a w- c en t er e d s t ra t eg i es f o r t h e a d va n ce m en t o f c o un t er - he g em o ni c p ol i ti c al s t ru g gl e s i n t h e c o nt e xt o f g l ob a li z at i on .T h i s e n t a i l s a m p l i f y i n g t h e v o i c e o f t h o s e w h o h a v e b e e n v i c t i m i z e d b yneo lib er al glo b aliz at io n, b e t hey ind igeno u s p eo p les , land les s p eas ant s ,im p o v er is hed w o m en, s q u at t er s et t ler s , s w eat s ho p w o r k er s , o r u nd o cu -

m e n t e d i m m i g r a n t s . I n c l u d i n g t h o s e a t t h e b o t t o m , t h e r e f o r e , i s a k e yp ar t o f o ur b ot to m- up a pp ro ac h. T hi s i s i nd ee d h ow t hi s a pp ro ac h i so ve rw he lm in gl y u nd er st oo d i n t he g lo ba l S ou th , a s t he l on gs ta nd in g‘‘ al te rn at iv e l aw ’’ m ov em en t i n L at in A me ri ca ( IL SA 1986; L ou rd esSouza 2001; Santos 1991 ) a n d ‘ ‘ s o c i a l a c t i o n l i t i g a t i o n ’ ’ i n I n d i a ( B a x i1987 ) b e a r w i t n e s s .


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I n t he r em ai nd er o f t hi s i nt ro du ct or y c ha pt er , w e f ur th er c ha ra ct er iz et hi s a pp ro ac h i n t hr ee s te ps . F ir st , i n o rd er t o l oc at e t hi s b oo k i n t hec o n t e x t o f t h e l i t e r a t u r e o n l a w a n d g l o b a l i z a t i o n , w e l o o k m o r e c l o s e l y

i n to t h e d o mi n an t s o ci o le g al a p pr o ac h es a n d i n qu i re i n to t h e r e as o nsw hy t he y h av e r en de re d i n vi si bl e g ra ss ro ot s r es is ta nc e t o n eo li be ra li ns ti tu ti on s a nd i ni ti at iv es f or a lt er na ti ve l eg al f or ms . S ec on dl y, w ee l a b o r a t e o n t h e t e n e t s o f o u r b o t t o m - u p a p p r o a c h t o l a w a n d g l o b a l i -z at io n, w hi ch w e c al l s ub al te rn c os mo po li ta n l eg al it y. W e a rg ue t ha ts u b alt er n co s m o p o lit an legalit y is a m o d e o f s o cio legal t heo r y and p r ac-t ic e s ui ta bl e t o c om pr eh en d a nd f ur th er t he m od e o f p ol it i ca l t ho ug hta nd a ct io n e mb od ie d b y c ou nt er -h eg em on ic g lo ba li za ti on . F in al ly ,

w e e xp la in t he s el ect io n o f t opi cs a nd t he o rg an iz ati on o f t he b oo k.T hr ou gh out t he c ha pt er , w e d es cri be , a s w e g o a lon g, t he c as e s tu di esc o n t a i n e d i n t h e r e m a i n d e r o f t h e b o o k a n d p o i n t t o t h e w a y s i n w h i c h ,in o u r v iew , t hey illu s t r at e s u b alt er n co s m o p o lit an legalit y in act io n.

1.2 B E T W E E N G L O B A L G O V E R N A N C E A N D G L O B A L

H E G E M O N Y : T H E I N V I S I B I L I T Y O F C O U N T E R -

H E G E M O N Y I N S O C I O L E G A L S T U D I E S

T w o l i n e s o f r e s e a r c h s t a n d o u t a m o n g t h e g r o w i n g n u m b e r o f e m p i r i -c all y g ro un de d s tu di es o f l aw i n g lob al iz at io n. On t he o ne h an d, a c op io usliterature on ‘‘global governance’’ has developed which inquires into thet r a n s f o r m a t i o n o f l a w i n t h e f a c e o f e r o d i n g s t a t e p o w e r a n d t h e d e c e n -t r alizat io n o f econo mic activ it ies acro ss b o rd ers . Co ncerned w it h s o ciale ng in ee ri ng a nd i ns ti tu ti o na l d es ig n, t hi s a pp ro ac h f oc us es o n n on -s ta te -

c en te re d f or ms o f r egu la ti on a ll eg ed ly c ap ab le o f b es t g ove rn in g t heglob al econo my. O n t he o t her hand , a p o st - law -and- d ev elo pm ent gen-e ra ti on o f s tu de nt s o f i nt er na ti on al l eg al t ra ns pl an ts h as u nv ei le d t hep ow er s tr ug gl es a nd a ll ian ce s b et we en a nd w it hi n l ega l e lit es i n t he

North and the South through which the hegemony of transnationalc ap it al a n d N or th er n s ta te s i s r ep ro du ce d. C on tr ar y t o t he e mp ha si s o f t he go ver nance ap pr oach o n s ucces s fu l inst itu tio nal d es igns , hegemo nyth eor ist s f ocu s o n t he s tr uc tu ra l re aso ns t ha t e xp la in th e failure of

o s t e n s i b l y p r o g r e s s i v e g l o b a l l e g a l d e s i g n s ( e . g . t h e e x p o r t o f t h e r u l e o f la w an d h uman ri gh ts ) a nd t he re pr od uc ti on o f th e l ega l e lit es w hopromote them.

T he se a pp ro ac he s c an b e s ee n a s r ev er be ra ti on s o f t im e- ho no re dt ra di ti on s i n s oc io le ga l s ch ol ar sh ip . T he g ov er na nc e p er sp ec ti vee c h o e s t h e U S l e g a l r e a l i s t s ’ a n d s o c i a l p r a g m a t i s t s ’ c o n c e r n w i t h s o c i a l


5



e n g i n e e r i n g t h a t i n s p i r e d t h e f i r s t g e n e r a t i o n o f l a w a n d d e v e l o p m e n ts ch ol ar s a nd p ra ct it io ne rs i n t he 1 96 0s . H ow ev er , a s a rg ue d b el ow ,g o ve r na n ce s c ho l ar s h a ve c o ns i de r ab l y m o de r at e d ( i f n o t a b an d on e d)

t he r ef or mi st a nd o pp os it io na l p ol it ic al a ge nd a t ha t i ns pi re d t he irp re de ce ss or s. H eg em on y s ch ol ar s, i n t ur n, d ra w o n a r ic h t ra di ti on o f c r i t i c a l s o c i a l t h e o r y o f l a w – f r o m M a r x t o B o u r d i e u a n d F o u c a u l t – t os ho w t he c on tr ib ut io n o f l aw t o t he r es il ie nc e a nd p er va si ve ne ss o f d o m inat io n w it hin and acr o s s b o r d er s . N ev er t heles s , as ex p lained lat ero n, i n e mp ha si zi ng t he m om en t o f h eg em on y t he y s id el in e t he m om en to f c ou nt er -h eg em on y, w hi ch a t l ea st s in ce G ra ms ci h as b ee n a t t he c or eo f c r i t i c a l s o c i a l t h e o r y .

I n w ha t f ol lo ws w e b ri ef ly e xa mi ne t he se s ee mi ng ly o pp os it e a pp -r oa che s t o s et up th e b ac kg rou nd a ga in st w hi ch we a dv anc e o ur o wna ppr oa ch i n th e n ex t se ct ion . We a rg ue t ha t, d es pi te t he ir r adi ca ll yd iffer ent go als and t heo r et ical r o o t s , t hey s har e a t o p - d o w n v iew o f law ,g lo ba li za ti on , a nd po li ti cs t hat e xpl ai ns t hei r f ai lu re to c apt ure t hed yn am ic s o f b ot to m- up r es is ta nc e a nd l eg al i nn ov at io n t ak in g p la cearo und t he w or ld . W e fur ther argue t hat t hey p ro du ce t he invisibilit y o f

cou nt er -hegem onic p olitics and legalit y in d iffer ent w ays: w hile, in t hegov er nance p ar ad igm , o rganized b ot to m- up r es is tance b ecom es irr ele-v ant , in t he glo bal hegem ony lit er at ur e r es is tance is ineffectu al at b es tand cou nt er pr od uctive at w or st as it t ends t o fur ther r ep ro du ce hegem ony.

1.2.1 From regulation to governance: the irrelevance ofcounter-hegemonyA v as t l it er at ur e h as d ev el op ed o ve r t he l as t f ew y ea rs t ha t t he or iz es

a n d e m p i r i c a l l y s t u d i e s n o v e l f o r m s o f g o v e r n i n g t h e e c o n o m y t h a t r e l yo n c ol l ab or at io n a mo ng n on -s ta te a ct or s ( fi rm s, c iv ic o rg an iz at io ns ,

NGOs, unions, and so on) rather than on top-down state regulation.T he v ar ie ty o f l ab el s u nd er w hi ch s oc ia l s ci en ti st s a nd l eg al s ch ol ar sh a v e p u r s u e d t h i s a p p r o a c h i s i n d i c a t i v e o f b o t h i t s a s c e n d a n c y a n d i t sd iv er s it y: ‘‘r es p o ns iv e r egu lat io n’’ (A yr es and B r ait hw ait e 1992), ‘‘p o s t -r egu lat o ry law ’’ (T eu bner 1986) , ‘ ‘ s o f t l a w ’ ’ ( S n y d e r 1994; T r u b e k a n dMosher 2003) , ‘‘ d em o cr a ti c e x pe r im e nt a li s m’’ ( D or f a n d S a be l 1998;

Unger 1998), ‘‘co llab o r at iv e go v er nance’’ (F r eem an 1997), ‘‘o u t so u r cedregulation’’ (O’Rourke 2003), o r s im ply ‘‘go vernance’’ (MacN eil, Sar gent ,and Sw an 2000; N y e a n d D o n a h u e 2000).

D i ff e re n ce s i n l a be l in g a n d c o nt e nt n o tw i th s ta n di n g, t h es e s t ud i esb r o a d l y s h a r e a d i a g n o s i s a n d a p r o p o s a l f o r t h e s o l u t i o n o f t h e r e g u l a -t o r y d i l e m m a s p o s e d b y g l o b a l i z a t i o n . A c c o r d i n g t o t h e d i a g n o s i s , t h e


6



‘ ‘ r e g u l a t o r y f r a c t u r e ’ ’ o f t h e g l o b a l e c o n o m y s t e m s f r o m t h e d i v e r g e n c eb e t w e e n l a w a n d c u r r e n t e c o n o m i c p r o c e s s e s . S u c h d i v e r g e n c e r e s u l t sf ro m th e d if fe re nt s ca le s a t w hi ch g lo ba l e con omi c a cti vi ti es a nd

n at io na l s ta te s’ r eg ul at io ns o pe ra te , a nd f ro m t he d if fi cu lt ie s t ha tn at io na l s ta te s f ac e i n a pp ly in g t he ir t op -d ow n r eg ul at or y l og ic t oi nd us tr ie s w ho se h i gh ly g lo ba li ze d s ys te m o f p ro du ct io n i s b as ed o n ac o m b i n a t i o n o f m a r k e t a n d n e t w o r k o r g a n i z a t i o n a l l o g i c .

F r o m t h i s v i e w p o i n t , t h e s o l u t i o n l i e s n e i t h e r i n t h e s t a t e n o r i n t h em a r k e t , b u t r a t h e r i n a t h i r d t y p e o f o r g a n i z a t i o n a l f o r m – c o l l a b o r a t i v en et wo rk s i nv ol vi ng f i rm s a nd s ec on da ry a ss oc ia ti on s. B y f ol lo wi ng ar ef le xi ve l og ic t ha t f os te rs c on ti nu ou s d ia lo gu e a nd i nn ov at io n, n et -

wor ks , i t i s a rg ue d, h ave t he pot en ti al t o ov er com e th e re gu lat oryd i l e m m a s t h a t m a r k e t s ( w h i c h f o l l o w t h e l o g i c o f e x c h a n g e ) a n d s t a t e s( w h i c h f o l l o w t h e l o g i c o f c o m m a n d ) c a n n o t s o l v e o n t h e i r o w n .

D ra wi ng t o d if f er en t d eg re es o n p ra gm at is t s oc ia l t he or y, g ov er na nc es ch ol ar s h av e a pp li ed t hi s i ns ig ht t o t he a na ly si s o f i ns ti tu ti on s i n av ar ie ty o f f ie ld s a nd s ca le s. S om e e xa mp le s a re p ar ti ci pa to ry s ch oo lboards at the local level (Liebman and Sabel 2003), decentralized

env ir o nm ent al r egu lat io n (K ar k k ainen 2002) , m e c h a n i s m s o f r e g i o n a lr e gu l at o ry c o or d in a ti o n i n v ol v in g n o n- s ta t e a c to r s ( Z ei t li n a n d T r ub e k2003) , a n d c o r p o r a t e c o d e s o f c o n d u c t t o r e g u l a t e l a b o r c o n d i t i o n s i ng l o b a l f a c t o r i e s ( F u n g , O ’ R o u r k e , a n d S a b e l 2001).

T he g ov er na nc e a pp ro ac h t o l aw a nd s oc ie ty r es ts o n f ou r t he or et ic alc l a i m s d e r i v e d f r o m i t s p r a g m a t i s t r o o t s . F i r s t , i n t e r e s t s a r e d i s c u r s i v e l yf or me d r at he r t ha n d er iv ed f ro m a ct or s’ l oc at io ns i n t he s oc ia l f ie ld(Sabel 1994: 13 9) . A ct or s’ d ef i ni ti on o f i nt er es ts , g oa ls , a nd m ea ns t ak es

p l a c e d u r i n g t h e i r e n g a g e m e n t i n t h e d e l i b e r a t i v e p r o c e s s e s c h a r a c t e r -i s ti c o f p r ag m at i st i n st i tu t io n s o f g o ve r na n ce ( p ar t ic i pa t or y c o un c il s ,d ev el op me nt al a ss oc ia ti on s, a nd s o o n) ( Do rf a nd S ab el 1998:285).S e co n dl y , g a in s i n e c on o mi c a n d p o li t ic a l e f fi c ie n cy r e su l t f r om t h e u s eo f l o ca l k n ow l ed g e. T h us , d e ce n tr a li z in g a n d d e mo c ra t iz i ng i n st i tu t io n sa r e n e e d e d t o d e v o l v e d e c i s i o n - m a k i n g a u t h o r i t y t o t h e l o c a l s c a l e a n dt o i nv ol ve a ll t he r el ev an t ‘‘ st ak eh ol de rs .’’ T hi rd ly , a sy mm et ri es o f po we r a mo ng s oc ie ta l a ct ors a re n ot so p ro fou nd a s t o i mpe de th e

t y pe o f h o ri z on t al c o ll a bo r at i on e n vi s ag e d b y p r ag m at i st g o ve r na n ce( D o r f a n d S a b e l 1998:4 1 0 ) . T h e b a r g a i n i n g d i s a d v a n t a g e s o f t h e h a v e -n ot s a re n ot i n su rm ou nt ab le , p ol i ti cs i s a n u nc er ta in a nd o pe n- en de dg am e, a nd t he r es ul ts o f d el ib er at io n a re n ot p re de te rm in ed b y d if fe r-ences in r eso ur ces am ong p art icip ants . T her efo r e, against ‘‘lib eral legal-is m,’’ s o cio legal s cho lar s co nt rib ut ing t o t his ap pr o ach r eject s t ru ctu r alist


7



c o n c e p t i o n s o f p o w e r a s w e l l a s ‘ ‘ p o p u l i s t v i e w s ’ ’ o f l a w a n d s o c i e t y t h a td ra w a s ta rk c on tr as t b et we en p ow er fu l a ct or s ( e. g. c or po ra ti on s) a ndp ow er les s ‘‘vict im s’’ (e.g. u nions, t he p oo r, etc.) (Sim on 2003:5). Fourthly,

i n l in e w it h i ts c on ce pt io n o f i nt er es ts a nd p ow er , t hi s a pp ro ac h e xp li ci tl yshies away from any discussion of the preconditions – namely, redistribu-t io n o f r es ou rces t o cou nt er p ow er asymm et ries am ong ‘‘st ak eholders ’’ –t ha t w ou ld b e n ec es sa ry f or c ol la bo ra ti ve g ov er na nc e t o wo rk . G iv en t ha tt he limits o f ‘‘int er es ts , v alues o r ins titu tions . . . can alw ays b ecom e t hes tart ing p oint o f t heir r ed efinit io n’’ (Sabel 1994:158) through deliberativep ro cess es , t he condit io ns for t he s uccess o f gov er nance are contingentupon the particularities of each social context.

T h i s i s n o t t h e p l a c e t o u n d e r t a k e a d e t a i l e d c r i t i c a l a n a l y s i s o f t h egovernance approach as applied to the regulation of the global economy.3

I n l i g h t o f t h e s p e c i f i c p u r p o s e o f t h i s c h a p t e r , o u r c h i e f c o n c e r n i s w i t ht he co nt r ib u t io ns and failu r es o f t he ap p r o ach w it h r egar d t o t he t as k o f studying and valuing the potential of experiences in counter-hegemonicl eg al it y of th e t yp e d oc ume nte d i n t hi s boo k. I n t hi s se ns e, co nt ri bu tor s t ot he g ov er na nc e d eb at e w it hi n l eg al a ca de mi a m us t b e g iv en c re di t f or

h av in g s te er ed d is cu ss io ns a wa y f ro m t he o bs es si on o f l eg al d oc tr in ew it h e ve r m or e s op hi st ic at ed c ri te ri a f or s ep ar at in g l aw a nd p ol it ic s.I nd eed, t hey hav e cogently r econceived ‘‘legal analysis as ins titu tionalimagination’’ (Unger 1996:25 ), t hu s r econnect ing legal and s ocio legals ch ol ar sh ip w it h t he p ol it ic al d eb at es o f o ur t im e, i nc lu di ng t ho se o nglobalization.

H ow ev er , t he k in d o f p ol it ic al a ct io n e nv is ag ed b y t he g ov er na nc ea pp ro ac h i s a f ar c ry f ro m t ha t o f c ou nt er -h eg em on ic g lo ba li za ti on .

G iv en i ts c on ce pt io n o f p ow er a nd i ts f oc us o n p ro bl em s ol vi ng , t heg o v e r n a n c e a p p r o a c h t e n d s t o b r a c k e t d e e p p o w e r a s y m m e t r i e s a m o n ga c t o r s ( f o r i n s t a n c e , t h o s e b e t w e e n c a p i t a l a n d l a b o r i n g l o b a l c o d e o f c on du ct s ys te ms ) a nd t o v ie w t he p ub li c s ph er e a s a r at he r d ep ol it ic iz eda r en a o f c o ll a bo r at i on a m on g g e ne r ic ‘‘ s ta k eh o ld e rs ’’ ( s ee R od r ıguez-Garavito 2005) . I n c on tr as t t o c ri ti ca l t he or ie s o f l aw t ha t v ie w c on -t en ti ou s c ol le ct iv e a ct io n b y th e e xc lu de d as a p ol it ic al r eq ui si te f or t hea t ta i nm e nt o f m e an i ng f ul l e ga l t r an s fo r ma t io n s, ‘‘ t he P r ag m at i st . . .

r e li e s o n ‘ b oo t st r ap p in g ’ – t h e b r ac k et i ng o f s e lf - in t er e st a n d d i st r ib u -tive claims in order to focus attention on common interestsa nd v al ue s, ’’ t hu s e xp li ci tl y r ej ec ti ng t he ‘‘ vi ct im ’s p er sp ec ti ve ’’

3 S e e R o d r ı guez-Garavito (2005) a n d C h a p t e r 2 b y S a n t o s .


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(Simon 2003:2 6 ) t h a t i s c e n t r a l t o s u b a l t e r n c o s m o p o l i t a n p o l i t i c s a n dlegality.

A s a r e s u l t , t h e g o v e r n a n c e p e r s p e c t i v e ’ s t e l l i n g c a l l f o r p a r t i c i p a t o r y

e x e r c i s e s i n i n s t i t u t i o n a l i m a g i n a t i o n l a c k s a t h e o r y o f p o l i t i c a l a g e n c ysu ite d t o t he t ask . B y de fa ul t or b y de si gn , t hos e do in g th e i ma gi ni ng ar eth e e li te s o r me mbe rs o f t he mi ddl e- cl ass wi th th e e con omi c a ndc u l t u r a l c a p i t a l t o c o u n t a s ‘ ‘ s t a k e h o l d e r s . ’ ’ E i t h e r w a y , t h e p r o c e s s i s at op -d ow n o ne i n w hi ch t ho se a t t he b ot to m a re e it he r i nc or po ra te do n l y o n c e t h e i n s t i t u t i o n a l b l u e p r i n t h a s b e e n f u l l y l a i d o u t o r a r e n o ti nc or po ra te d a t a ll . T he p os t h oc i nc lu si on o f t he e xc lu de d i s i ll us tr at edb y U n g e r ’ s o t h e r w i s e p o w e r f u l t h e o r y o f d e m o c r a t i c e x p e r i m e n t a l i s m :

‘‘ if s oc ia l a ll ia nc es n ee d i ns ti tu ti on al i nn ov at io ns t o b e s us ta in ed ,i n st i tu t io n al i n no v at i on s d o n o t r e qu i re p r ee x is t in g s o ci a l a l li a nc e s.A l l t h e y d e m a n d a r e p a r t y - p o l i t i c a l a g e n t s a n d i n s t i t u t i o n a l p r o g r a m s ,h a v i n g t h o s e c l a s s o r g r o u p a l l i a n c e s a s a p r o j e c t – a s a p r o j e c t r a t h e rthan as a premise’’ (1996 :137) . The exclusion of those at the bottomf r om g o ve r na n ce s c he m es i s c a nd i dl y a c kn o wl e dg e d b y S i mo n : ‘‘ p ra g -m a t i s t i n i t i a t i v e s a r e l i k e l y t o b y - p a s s t h e m o s t d e s p e r a t e a n d t h e m o s t

d e vi a nt . P r ag m at i sm s u pp o se s a m e as u re o f m u tu a l a c co u nt a bi l it y a n de ng ag em en t t ha t m ay n ot b e a tt ra ct iv e t o o r p os si bl e f or e ve ry on e’’(2003:23).

A s i t t u r n s o u t , i n t h e c o n t e x t o f n e o l i b e r a l g l o b a l i z a t i o n , t h e m o s td es pe ra te a nd m ar gi na li ze d – t ho se l iv in g i n p ov er ty a nd e xc lu de df ro m t he b en ef it s o f s oc ia l c it iz en sh ip d ue t o c la ss , g en de r, r ac ia l, o re th ni c o pp re ss io n – a cc ou nt f or t he i mm en se m aj or it y o f t he w or ldp o p u lat io n. T he challenge o f ins t it u t io nal im aginat io n, t her efo r e, can-

n ot b e m et b ut b y p ri vi le gi ng t he e xc lu de d a s a ct or s a nd b en ef ic ia ri es o f n e w f o r m s o f g l o b a l p o l i t i c s a n d l e g a l i t y . T h i s i s t h e s t r a t e g y o f c o u n t e r -hegem o nic glo b aliz at io n and it s legal co u nt er p ar t , s u b alt er n co s m o p o -lit an legalit y.

1.2.2 Global hegemony and the law: the futility of resistanceW i t h t h e o r e t i c a l t o o l s a n d p r a c t i c a l g o a l s t h a t s t a n d i n s t a r k c o n t r a s tw i t h t h o s e o f t h e g o v e r n a n c e l i t e r a t u r e , s o c i o l e g a l a n a l y s t s o f t h e r o l e

o f l a w i n h e ge m on i c g l ob a li z at i on h a ve m a de a p r ov o ca t iv e c o nt r ib u -t io n t o t he d eb at e. T he m er it s o f t hi s a pp ro ac h a re t wo fo ld . F ir st , b yc om bi ni ng t he i ns ig ht s o f n eo -i ns ti tu ti on al a nd r ef le xi ve s oc io lo gy ,sc hol ar s i n t hi s t rad it ion h ave dug i nto th e or ig in s o f g loba l l eg ald es ig ns ( fr om i nt er na ti on al a rb it ra ti on t o t he r ul e o f l aw a nd j ud ic ia lr ef or m) t ha t p ro vi de n eo li be ra l g lo ba li za ti on w it h p ol it ic al a nd s ci en ti fi c


9



l eg it im ac y. T hi s g en ea lo gi ca l e xp ed it io n h as u ne ar th ed t he h i er ar -c hi es , p ow er s tr ug gl es , a nd t ac ti ca l m ov es t hr ou gh w hi ch h eg em on ici n st i tu t io n s a r e p ro d uc e d a n d r e pr o du c ed , a n d t hr o ug h w h ic h n o n- e li t e

act o r s ar e s ys t em at ically ex clu d ed .S e c o n d l y , a n a l y s t s o f g l o b a l h e g e m o n y h a v e m a d e a m e t h o d o l o g i c a l

c on tr ib ut io n b y f ol lo wi ng a cr os s b or de rs t he a ct or s o f t he p ro ce ss es o f ex p o r t at io n and im p o r t at io n o f legal m o d els . T he r es u lt s ar e em p ir icallygr ou nd ed acco unt s o f t he co mp lex t ransnatio nal m echanism s w her eb ye li te l aw ye rs a nd e con omi st s i n t he N or th a nd t he S ou th , N GO s, USf ou nd at io ns , s ta te o ff i ci al s, a nd t ra ns na ti on al e co no mi c e li te s h av ei nt er ac te d t o s pr ea d ‘‘ ne w l eg al o rt ho do xi es ’’ a ro un d t he w or ld – f ro m

t he i de ol og ie s o f m on et ar is m a nd l aw a nd e co no mi cs t o h um an r ig ht sa nd j ud ic ia l re for m p ro je ct s i n La ti n Am er ica ( De zal ay a nd Ga rth2002a) t o glo b al co m m er cial ar b it r at io n (Dez alay and G ar t h 1996).

F o r t h e p r e s e n t p u r p o s e s , w h a t i s p a r t i c u l a r l y r e l e v a n t a b o u t t h i s l i n eo f w o r k a r e i t s e p i s t e m o l o g i c a l t e n e t s a n d i t s c o n c e p t i o n o f h e g e m o n y ,w h i c h s t a n d i n e x p l i c i t c o n t r a s t w i t h t h o s e o f s u b a l t e r n c o s m o p o l i t a nl e g a l i t y . S t u d i e s o f g l o b a l l e g a l h e g e m o n y a i m a t a ‘ ‘ m o r e r e a l i s t u n d e r -

s ta nd in g o f t he p ro du ct io n o f t he n ew i nt er na ti on al e co no mi c a ndp o lit ical o r d er ’’ (Dez alay and G ar t h 2002b: 3 1 5 ) . S u c h a r e a l i s t p e r s p e c -t i v e i s e x p l i c i t l y b u i l t o n a t w o f o l d c r i t i q u e o f a p p r o a c h e s s u c h a s o u r st hat s eek t o ex p o s e and u nd er s co r e t he p o t ent ial o f co u nt er - hegem o nicf o r m s o f p o l i t i c a l a n d l e g a l a c t i o n . O n t h e o n e h a n d , i t d r a w s a s h a r p( a n d , a s w e w i l l s e e , p r o b l e m a t i c ) d i s t i n c t i o n b e t w e e n d e s c r i p t i o n a n dp re sc ri pt io n a nd c on fi ne s p ro pe r s ch ol ar sh ip t o t he f or me r. O n t heo th er h an d, i t i s k ee n o n h ig hl ig ht in g th e l in ks be tw ee n h eg emon ic

and cou nt er -hegem onic act or s – for ins tance, b et ween p hilant hr op icfo u nd at io ns in t he N o r t h and hu m an r ight s o r ganiz at io ns in t he So u t h –as well as tensions and contradictions within transnational activist coali-t io ns . F ro m t his v iewp oint , s uch links and t ensions r ev eal t hat, far fro m‘‘ ha pp il y c oe xi st in g i n t hi s e ff or t t o w or k t og et he r t o p ro du ce n ew a ndemancipatory global norms’’ (Dezalay and Garth 2002b:318), NGOs ando th er a ct or s o f c ou nt er -h eg em on ic g lo ba li za ti on a re p ar t a nd p ar ce l o f t heelites benefiting from neoliberal globalization and thus contribute to the

const ru ct io n o f new glob al o rt ho do xies t hr ou gh p ro gr am s t o exp or t U Slegal institutions and expertise.

We o ff er a r es po ns e t o t he se c ri ti ci sm s i n l ay in g o ut t he e pi st em o-l og ic al a nd p ol i ti ca l t en et s o f s ub al te rn c os mo po li ta n l eg al it y i n t hen ext se cti on . F or t he p ur pos es o f t hi s s ec ti on , a br ie f di sc us si on o f t he l im it at io ns a nd t en si on s o f t he h eg em on y a pp ro ac h i s i n o rd er .


10



F ir st , d es pi te i ts c a ll f or r e al is t d es cr ip ti on s, t h e r ea li ty g ra sp ed w it h i tsa na ly ti ca l l en se s i s a h ig hl y p ar ti al o ne . S in ce i ts en tr y p oi nt of c ho ic ei nto gl oba l l eg al pr oc es se s i s th e wor ld of t ra ns nat io na l e li te s, th e

d es cr ip ti on i t of fe rs i s as r ev ea li ng a s it i s li mi te d. M is si ng f ro m t hi st op -d ow n p ic tu re a re t he m yr ia d l o ca l, n on -E ng li sh -s pe ak in g a ct or s –f ro m g ra ss ro ot s o rg an iz at io ns t o c om mu ni ty l ea de rs – w ho , a lb ei to ft en ti me s w or ki ng i n a ll ia nc e w it h t ra ns na ti on al N GO s a nd p ro gr es -si ve el ite s, mo bi li ze p op ul ar re si st an ce to ne ol ibe ra l l eg al it y wh il er em ai ni ng a s lo ca l a s ev er . F ro m B ol iv ia n p ea sa nt s re si st in g t he p ri va -t iz at io n o f w at er s er vi ce s t o i nd ig en ou s p eo pl es a ro un d t he w or ldr es is ti ng c or po ra te b io pi ra cy , t he se s ub al te rn a ct or s a re a c ri ti ca l p ar t

of processes whereby global legal rules are defi ned, as the currentc on te st at io n o ve r t he r eg ul at io n o f w at er pr ov is io n a nd p ro pe rt y r ig ht so n t r ad i ti o na l k n ow l ed g e b e ar wi t ne s s ( R aj a go p al 2003).

S e co n dl y , t h e a n al y si s mi s se s di f fe r en c es a mo n g s e ct o rs o f t h e e l it e sth at ar e a s r ea l a s t he l in ks am on g t he m. Con fl at in g i nt ern at ion alh um an r ig ht s l aw ye rs r is ki ng t he ir l i ve s o n t he j ob w it h t ra ns na ti on alc or po ra te l aw ye rs m ak in g a f or tu ne a tt ai ns a na ly ti ca l b it e a t th e c os t of

d e sc r ip t iv e o v er s im p li f ic a ti o n. W h il e l a wy e rs an d a c ti v is t s p a rt i ci p at -i n g i n T A Ns be n ef i t f r om t r an s na t io n al c o nn e ct i on s a n d s u pp o rt , t h eya dv an ce a ge nd as t h at s t an d i n e xp li ci t c on tr as t w it h t ho se o f h eg em o-n i c a c to r s. As se v er a l o f t h e c h ap t er s i n t h is bo o k s h ow , t h is ma k es fo r ar ad ic al ly d if fe re nt t y pe o f l eg al p ra ct ic e a nd p o li ti ca l e ng ag em en t t ha nt ho se o f c or po ra te c on su lt an ts . W it ne ss , f or i ns ta nc e, th e h ar ds hi ps o f g r as s ro o ts l eg a l a d vo c ac y a g ai n st pa t ri a rc h al n e ol i be r al i n st i tu t io n s i nT a nz a ni a d e sc r ib e d i n R us i mb i a n d M b il i ny i ’s c ha p te r , o r th e p e ri l s of

straddling the line between legality and illegality in Houtzager’sc ha pt er o n t he l an dl es s pe as an ts ’ m ov em en t in B ra zi l. T hi s do es n otm ea n t ha t c ou nt er -h eg em on ic c oa li ti on s a re d ev oi d o f t en si on s, o r t ha ts u ba l te r n l e ga l s t ra t eg i es a r e a l wa y s p r od u ct i ve . I n de e d, s e ve r al c h ap -t e r s e x p l o r e t h e s e t e n s i o n s a n d l i m i t a t i o n s ( s e e , f o r i n s t a n c e , S h a m i r ’ sc o n t r i b u t i o n o n c o r p o r a t e c o o p t a t i o n o f s o m e N G O s , a n d R a j a g o p a l ’ schap t er o n t he lim it s o f law in co u nt er - hegem o nic glo b aliz at io n). Su chtensions, however, do not obliterate the distinction between hegemonic

and co unt er - hegem onic glob aliz at ion, w hich is clear t o p r actit io ner s ineither camp . T her efo r e, in ad dit ion t o a d escrip tio n o f glob al s t ru ctu r alc on st ra in ts a nd t he w or ki ng s o f h eg em on ic l eg al d is co ur se s a n d p ra ct ic es ,w e need an analys is o f s p aces fo r and s t r at egies o f co u nt er - hegem o ny.

T hi rd ly , t hi s p ar ti al p ic tu re , f ar f ro m b ei ng a n on -p re sc ri pt iv e d es -c ri pt io n, h as a n or ma ti ve c on no ta ti on . C ol la ps in g h ig hl y d iv er se a ct or s


11



a nd o rg an iz at io ns i nt o a g en er ic c at eg or y o f e li te s a nd v er y d if fe re nta ge nd as i nt o a c at ch -a ll c at eg or y o f g lo ba l o rt ho do xi es y ie ld s a p ol it i ca ll yd em ob ilizing p ictu re o f law and glo baliz at io n. I f hegem onic s tr uctu res and

d is co ur ses are s o p er vasive as t o abs or b and d ilut e cou nt er -hegem onics tr at egies (which r enders t he latt er u nd is tinguishab le fro m w hat t heyoppose), we are left with a de terministi c i mag e of globaliz ation inw hi ch t he re i s v ir tu al ly n o s pa ce f or r es is ta nc e a nd c ha ng e. R es is ta nc eg oe s o n h ap pe ni ng a nd a lt er na ti ve s c on ti nu e t o a ri se n on et he le ss . T o t ak esome examples from the following chapters, corporate dominance of theglob al r egulat io n o f int ellectu al p ro pert y r ight s and labo r have not p re-v ented act iv is ts , hum an r ight s law yers , w or kers , and m ar ginalized com -

munities in South Africa and the Americas from successfully pushing fornew legal framewo rk s allow ing t he p ro du ct io n o f affor dable ant ir et ro virald ru gs f or A ID S p at ie nt s a nd f ig ht in g s we at sh op c on di ti on s i n g lo ba lf actori es (see Klug’s and Rodrıg ue z- Ga ra vi to ’s c ha pt er s) . T he f ac tthat these counter-hegemonic coalitions aim to substitute such solidar-istic, cosmopolitan legal frameworks for the existing corporate-friendlyl aw s m ea ns t hat t he y i nde ed s ee k t o e st abl is h a n ew l eg al h eg em on y

(in the Gramscian sense of a new common sense) or ‘‘global legalo rt ho do xy .’’ B ut i t h ar dl y n ee ds e xp la in in g t ha t t he e ff ec ts o f t hi s n ewhegem ony o n t he lives and livelihoo ds o f t he m ar ginalized m ajor it ies o f t he w or ld w ou ld b e r ad ically d ifferent fro m t ho se o f cur rent ly d om inantregulations.

I n s um , i n a dd it io n t o h eg em on y t he or ie s t ha t e xp la in w hy g lo ba ll e g a l s t r u c t u r e s a r e a s t h e y a r e , w e n e e d s o c i o l e g a l a p p r o a c h e s c a p a b l eo f t e l l i n g w h y a n d h o w t h e y c h a n g e . T h i s e n t a i l s t u r n i n g o u r a n a l y t i c

g az e t o p lu ra l f or ms o f r es is ta nc e a nd e mb ry on ic l eg al a lt er na ti ve sa ri si ng f ro m t he b ot to m t he w or ld o ve r. T hi s i s t he g oa l o f s ub al te rnc o s m o p o l i t a n l e g a l i t y , t o w h i c h w e n o w t u r n .

1.3 S U B A L T E R N C O S M O P O L I T A N L E G A L I T Y

I n c r it i ca l ly e n ga g in g w i th s o ci o le g al r e se a rc h o n g l ob a li z at i on i n t h ep re vi ou s s ec ti on , w e t ou ch ed u po n t he c or e e le me nt s o f s ub al te rn

co s m o p o lit an legalit y, t he p er s p ect iv e t hat info r m ed t he d ialo gu e lead -i n g t o t h i s v o l u m e . I n t h i s s e c t i o n w e g a t h e r t o g e t h e r a n d elab o r at e o nt ho se e le me nt s t o l ay o ut t he c la im s o f o ur a pp ro ac h.4 We sp eak o f

4 F or a d e ta i le d d i sc u ss i on o f t h e c o nc e pt o f s u ba l te r n c o sm o po l it a n l e ga l it y , w h ic h s e rv e d a s ac om mo n r ef er en ce p oi nt i n t he d ia lo gu e a mo ng c on tr ib ut or s t o t hi s v ol um e, s ee S an t os(2002:Chapter 9).


12



s u b a l t e r n c o s m o p o l i t a n l e g a l i t y a s a p e r s p e c t i v e o r a n a p p r o a c h r a t h e rt h a n a s a t h e o r y f o r s e v e r a l r e a s o n s . T o o u r m i n d , t h e p l u r a l i t y o f e f f o r t sa t c ou nt er -h eg em on ic g lo ba li za ti on c an no t b e e nc om pa ss ed b y a n

o ve ra rc hi ng t he or y. R at he r, t he s ch ol ar ly t as k c on si st s i n p ro vi di nga n a l y t i c a l c l a r i t y a n d t r a n s l a t i o n d e v i c e s t o m a k e s u c h e f f o r t s m u t u a l l yi n t e l l i g i b l e . F u r t h e r , t h e p o t e n t i a l c o n t r i b u t i o n o f o u r a p p r o a c h l i e s i ni ts d is ti nc ti ve b ot to m- up p er sp ec ti ve a s e xp la in ed a bo ve , r at he r t ha n i na s e t o f f i x e d s u b s t a n t i v e c l a i m s . F i n a l l y , t h e c h a p t e r s i n t h i s v o l u m e –w hi ch a re i ns pi re d b y d if fe re nt t he or et ic al p er sp ec ti ve s a nd t ac kl edi ver se to pi cs – c an not be s ub su me d i n a r ig id g en er al f ra me wor k.S ti ll , s in ce t he y o ri gi na te d f ro m a c ol la bo ra ti ve r es ea rc h p ro je ct t ha t

ex p licit ly engaged w it h s u b alt er n co s m o p o lit an legalit y, a fu r t her char -a ct er iz at io n o f t hi s a pp ro ac h i s i n o rd er t o l ay b ar e s om e o f t he t ra it sthat we believe are shared by the case studi es in this volume. Weu nd er ta ke t hi s t as k b y f ir st l oo ki ng i nt o t he m ea ni ng a nd v ie wp oi nto f s u ba l te r n c o sm o po l it a n l e ga l it y a n d t h en s p el l in g o u t i t s e p is t em o -lo gical t enet s and analyt ical ins t r u m ent s .

1.3.1 The subaltern, the cosmopolitan, and the legalC o s m o p o l i t a n p r o j e c t s h a v e a l o n g a n d a m b i g u o u s h i s t o r y a n c h o r e d i nW es te rn m od er ni ty . I n o pp os it io n t o g lo ba l d es ig ns a im ed t o m an ag eth e wo rl d – f rom c ol on ia l Ch ri st ia ni ty i n t he si xte en th ce nt ur y t onineteent h- centu r y im p erialis m t o co nt em p o rar y neo lib er al/m ilit ar yg l ob a li z at i on – c o sm o po l it a ni s m h a s v i nd i ca t ed t h e b a si c m o ra l c l ai mt ha t ‘‘ ne it he r n at io na li ty n or s ta te b ou nd ar ie s, a s s uc h, h av e m or als ta nd in g w it h r es pe ct t o q ue st io ns o f j us ti ce ’’ ( Sa tz 1999: 6 7) . T h us ,

c os mo po li ta ni sm – b e i t i n t he f or m o f t he E nl ig ht en me nt ’s h um anr i gh t s d o ct r in e s, a n ti - co l on i al i sm , o r c o nt e mp o ra r y t r an s na t io n al s o ci a lm o ve m en t s – e n ta i ls c o un t er - he g em o ni c p r oj e ct s s e ek i ng t o s u bv e rti n te r st a te h i er a rc h ie s a n d b o rd e rs ( S an t os 1995: 2 6 3 ) . A s M i g n o l o h a sp u t i t , c o s m o p o l i t a n i s m ‘ ‘ i s a s e t o f p r o j e c t s t o w a r d p l a n e t a r y c o n v i v i -a li ty ’’ (2002: 15 7) . S uc h c on vi vi al s oc ia bi li ty f oc us es o n c on ve rs at io nsa mo ng p la ce s w he re by p eo pl e i n d is pa ra te g eo gr ap hi c a nd c ul tu ra ll oc at io ns u nd er st an d a nd w el co me t he ir d if fe re nc es w hi l e s tr iv in g t o

p u r s u e jo int end eav o r s (A p p iah 2003 ; S a n t o s 2002:460).M or e o ft en t ha n n ot , h ow ev er , c os mo po li ta n p ol it ic al a nd l eg al

p r oj e ct s h a ve b e en a s W e st e rn - o r N o rt h er n -c e nt r ic a n d e x cl u si o na r ya s t he g lo ba l d es ig ns t he y o pp os e. F or i ns ta nc e, h um an r ig ht s i ns ti tu -t io ns a nd d oc tr in es , w it h t he ir W es te rn r oo ts a nd l ib er al b en t, h av eo f te n ti m es b e en b l in d t o n o n- We s te r n c o nc e pt i on s o f h u ma n d i gn i ty


13



a nd co ll ec ti ve ri gh ts th at h ol d out t he pr os pe ct f or an e xpa nde d,c os mo po li ta n c on ce pt io n o f r ig ht s ( Mu tu a 1996; R aj ag op al 2003).T hi s i s t he c as e, f or i ns ta nc e, o f i nd ig en ou s p eo pl es ’ o pp os it io na l u nd er -

s t an d in g o f p r op e rt y r i gh t s a s c o ll e ct i ve e n ti t le m en t s s u bo r di n at e d t ot he i mp era ti ve o f e nvi ro nm en ta l a nd c ul tur al pr ese rva ti on ( se eRodrı gu ez - G ar av it o and A r enas ’ chap t er ).

I ns te ad o f d is ca rd in g c os mo po li ta ni sm a s j us t o ne m or e v ar ie ty o f g lo ba l h eg em on y, w e p ro po se t o r ev is e t he c on ce pt b y s hi ft in g t he f oc uso f a t t e n t i o n t o t h o s e w h o c u r r e n t l y n e e d i t . W h o n e e d s c o s m o p o l i t a n -i s m ? T h e a n s w e r i s s t r a i g h t f o r w a r d : w h o e v e r i s a v i c t i m o f l o c a l i n t o l -e r an c e a n d d i sc r im i na t io n n e ed s c r os s -b or d er t o le r an c e a n d s u pp o rt ;

wh oe ve r l ive s i n m is er y i n a w or ld o f we al th n ee ds co sm op ol ita ns ol id ar it y; w ho ev er i s a n on - o r s ec on d- cl as s c it iz en o f a c ou nt ry o rt he wor ld n ee ds a n al te rn at ive c on ce pt io n o f n at ion al a nd g lob alc it ize ns hi p. In s hor t, th e l arg e m aj or ity of th e wo rl d’ s pop ul ac e,e x c l u d e d f r o m t o p - d o w n c o s m o p o l i t a n p r o j e c t s , n e e d s a d i f f e r e n t t y p eo f c o sm o po l it a ni s m. S u ba l te r n c o sm o po l it a ni s m, w i th i t s e m ph a si s o ns oc ia l i ncl us ion , i s th er ef or e o f a n op po si ti ona l v ari et y ( Sa nto s

2002:460).Pr o v id ing t he int ellect u al and ex p er ient ial fo u nd at io ns o f t his o p p o -s i t i o n a l s t a n c e i s a s h i f t o f p e r s p e c t i v e f r o m w h i c h g l o b a l p r o c e s s e s a r eanalyzed and ev aluat ed. Po s t -co lo nial s cho lars hav e v ar io us ly t heo r izedt h i s m o v e a s a s h i f t t o a v i e w f r o m t h e e x p e r i e n c e o f t h e v i c t i m s , i n t h et er ms p ro po se d b y D us se l (1998) ; a n ew pe rs pe ct ive f rom t he e xte ri or o f W e s t e r n m o d e r n i t y , i n t h e t e r m s o f M i g n o l o ( 2002) ; o r a v i e w f r o m t h er e a l i t y o f c o l o n i a l i t y o f p o w e r , i n Q u i j a n o ’ s ( 2000) . I n o u r o w n t e r m s ,

we c on ce ive t hi s ch an ge o f p er spe cti ve a s on e th at s hi ft s f rom th e North to the South, with the South expressing not a geographicall oc at io n b ut a ll f or ms o f s ub or di na ti on ( ec on om ic e xp lo it at io n; g en de r,r ac ia l, a nd e th ic o pp re ss io n; a nd s o o n) a ss oc ia te d w it h n eo li be ra lg lo ba li za ti on . T he S ou th , i n s ho rt , d en ot es t he f or ms o f s uf fe ri ng c au se dby global capitalism. In thi s sense, the South i s unevenly spreadt hro ug hou t th e w or ld, i nc lud in g t he No rt h a nd t he We st ( Sa nto s1995 : 50 7) . I n i nq ui ri ng i nt o g lo ba li za ti on f ro m t he p oi nt o f v ie w o f

t h e l i v e d e x p e r i e n c e s o f t h e S o u t h , t h e r e f o r e , s u b a l t e r n c o s m o p o l i t a n -i sm t ak es t he p er sp ec ti ve o f w ha t D us se l (1998) h a s a p t l y c a l l e d ‘ ‘ t h ec o m m u n i t y o f t h e v i c t i m s . ’ ’

T he v ic ti ms i n t hi s t ra ns na ti on al c om mu ni ty o f s uf fe ri ng , h ow -e ve r, ar e n ot pa ssi ve , n or i s t he se pa ra ti on b etwe en t he S ou th a ndt he N or th a s ta ti c o ne . T he p er sp ec ti ve o f s ub al te rn c os mo po li ta n


14



s tu di es o f g lo ba li za ti on a im s t o e mp ir ic al ly d oc um en t e xp er ie nc es o f r e s i s t a n c e , a s s e s s t h e i r p o t e n t i a l t o s u b v e r t h e g e m o n i c i n s t i t u t i o n s a n di de ol og ie s, a nd l ea rn f ro m t he ir c ap ac it y t o o ff er a lt er na ti ve s t o t he

latter.I n t he s pe ci fi c r ea lm o f l eg al k no wl ed ge a nd p ra ct ic e, s ub al te rn

c o sm o po l it a ni s m t r an s la t es i n to t h e b o tt o m- u p a p pr o ac h t o t h e s t ud yo f l a w i n g l o b a l i z a t i o n d e s c r i b e d a b o v e . I n l i n e w i t h i t s a n a l y t i c a l f o c u so n d e t a i l e d c a s e s t u d i e s o f c o u n t e r - h e g e m o n i c l e g a l f o r m s a n d i t s g o a lo f f ur th er in g t he p ot en ti al o f t he l at te r, s ub al te rn c os mo po li ta ni sm c al lsf or a c on ce pt io n o f t he l eg al f ie ld s ui ta bl e f or r ec on ne ct in g l aw a ndp ol it ic s a nd r ei ma gi ni ng l eg al i ns ti tu ti on s f ro m b el ow . T hi s i nv ol ve s

se ver al ta sks th at st and i n c on tra st to th ose p ri vi le ge d by e xi sti nga pp ro ac he s t o t he s tu dy o f l aw i n g lo ba li za ti on . F ir st , i t e nt ai ls i nq ui ri ngi n t o t h e c o m b i n a t i o n o f l e g a l a n d i l l e g a l ( a s w e l l a s n o n - l e g a l ) s t r a t e -g i es t h ro u gh w h ic h t r an s na t io n al a n d l o ca l m o ve m en t s a d va n ce t h ei rc au se s. R al li es , s tr ik es , c on su me r b oy co tt s, c iv il d is ob ed ie nc e, a ndo t h e r f o r m s o f ( o f t e n t i m e s i l l e g a l ) d i r e c t a c t i o n a r e p a r t a n d p a r c e l o f c o un t er - he g em o ni c m o ve m en t s t h at s i mu l ta n eo u sl y p u rs u e i n st i tu -

t io na l a ve nu es s uc h a s l it ig at io n a nd l ob by in g. T hi s i s c le ar , f or i ns -t a n c e , i n L a r s o n ’ s c h a p t e r o n s q u a t t e r s e t t l e m e n t s (colonias) i n T e x a s ,w he re m ar gi na li ze d i mm ig ra nt c om mu ni ti es h av e i ma gi na ti ve lys tr ad dl ed t he b or de r b et we en l eg al it y a nd i ll eg al i ty a nd c ha ll en ge dt he s ta te t o c on ce iv e a h yb ri d a pp ro ac h t o r eg ul at io n t ha t i mp li es ag ra du al e nf or ce me nt o f t he l aw s ui te d t o t he ir r ea li ti es a nd h ou si ngn e ed s . A n ot h er e l oq u en t e x am p le o f t h e r e la t io n b e tw e en l e ga l , i l le g al ,a nd n on -l eg al s tr at eg ie s i s t he c om bi na ti on o f l an d o cc up at io n a nd

l it ig at io n b y t he l an dl es s p ea sa nt s’ m ov em en t ( MS T) i n B ra zi l a na ly ze di n H o u t z a g e r ’ s c h a p t e r , w h i c h g o e s a l o n g w a y t o e x p l a i n i n g t h e s u c c e s sa nd e ndu ra nc e of t he m ov eme nt i n t he f ac e of s ti ff re si st an ce f rom l ar gel an do wn er s. S im il ar ly , t he p ar ti ci pa to ry b ud ge ti ng p ro ce ss o f P or toA l e g r e ( B r a z i l ) , w h i c h h a s b e c o m e a n i c o n o f p r o g r e s s i v e i n s t i t u t i o n a lr e f o r m , r e m a i n s a n i n f o r m a l a r r a n g e m e n t n o t c o d i f i e d b y s t a t e l a w . A sd is cu ss ed i n S an to s’ c ha pt er o n t he m at te r, t hi s n on -l eg al c ha ra ct er ,t o ge t he r w i th c o nt i nu o us p o li t ic a l s u pp o rt , h e lp s e x pl a in t h e s u cc e ss

a n d f l e x i b i l i t y o f t h i s m e c h a n i s m o f p a r t i c i p a t o r y d e m o c r a c y .S e c o n d l y , w i t h r e g a r d t o t h e l o n g - s t a n d i n g s o c i o l e g a l d e b a t e o n t h e

p o lit ics o f r ight s (R o s enb er g 1991; Scheingo ld 1974 ), s u b alt er n co s m o -p ol it an l eg al it y s ee ks t o e xp an d t he l eg al c an on b ey on d i nd iv id ua lr ig ht s a nd f oc us es o n t he i mp or ta nc e o f p ol it ic al m ob il iz at io n f or t hes u c c e s s o f r i g h t s - c e n t e r e d s t r a t e g i e s . T h e e m p h a s i s o n t h e e x p a n s i o n o f


15



t he r an ge o f r ig ht s d oe s n ot m ea n t he a ba nd on me nt o f i nd iv id ua l r ig ht s.I nd ee d, i nd iv id ua l r ig ht s a re a c en tr al p ar t o f s ub al te rn c os mo po li ta nl eg al it y i n t he c ur re nt c on te xt o f u ni la te ra l m il it ar is m a t t he g lo ba l

s ca le a nd r ep re ss iv e n eo li be ra li sm ( wi th i ts a tt en da nt t re nd s t ow ar dc o e r c i v e c o n t r o l o f m a r g i n a l i z e d p o p u l a t i o n s ) a t t h e n a t i o n a l a n d l o c a ls cales (W acq u ant 2004). H o w ev er , ex p er im ent s in s u b alt er n co s m o p o -l it an l eg al it y a ls o s ee k t o a rt ic ul at e n ew n ot io ns o f r ig ht s t ha t g o b ey on dt he l ib er al i de al o f i nd iv id ua l a ut on om y, a nd i nc or po ra te s ol id ar is ti cu n d e r s t a n d i n g s o f e n t i t l e m e n t s g r o u n d e d o n a l t e r n a t i v e f o r m s o f l e g a lk n o w l e d g e . T h i s i s e v i d e n t , f o r i n s t a n c e , i n t h e m u l t i f a r i o u s g r a s s r o o t ss tr ug gl es f or t he c ol le ct iv e r ig ht s t o t he c om mo ns , c ul tu re , l an d, a nd

t r ad i ti o na l k n ow l ed g e i n I n di a t h at V i sv a na t ha n a n d P a rm a r s t ud y i nt heir chap t er .

F u r t h e r , r e g a r d l e s s o f t h e t y p e o f r i g h t s i n q u e s t i o n , s u b a l t e r n c o s m o -p o li t an l e ga l it y h i gh l ig h ts t h e c e nt r al i ty o f s u st a in e d p o li t ic a l m o bi l iz a -t i o n f o r t h e s u c c e s s o f g r a s s r o o t s l e g a l s t r a t e g i e s . G i v e n t h e d e e p p o w e ra s ym m et r ie s b e tw e en h e ge m on i c a n d c o un t er - he g em o ni c a c to r s, o n lyt hr ou gh c ol le ct iv e a ct io n c an t he l at te r m us te r t he t yp e o f c ou nt er -

v ai l in g p ow er n ec es sa ry t o b ri ng a bo ut s us ta in ed l eg al c ha ng e. T hu s,c o n t r a r y t o t h e d e p o l i t i c i z e d v i e w o f l a w o f t h e g o v e r n a n c e a p p r o a c h ,s ub al te rn c os mo po li ta n l eg al it y v ie ws l aw a nd r ig ht s a s e le me nt s o f s tr ug gl es t ha t n ee d t o b e p ol it ic iz ed b ef or e t he y a re l eg al iz ed . T hi srelation between politics and law i s at work, for instance, in thep o l i t i c a l m o v e m e n t f o r a f f o r d a b l e a n t i r e t r o v i r a l d r u g s i n S o u t h A f r i c aw h i c h e v e n t u a l l y w a s t a k e n t o t h e n a t i o n a l c o u r t s ( s e e K l u g ’ s c h a p t e r ) ,a s w el l a s i n t he n at io na l a nd t ra ns na ti on al m ov em en t a ga in st t he

construction of the Narmada dam in India, which only at a laterp h a s e a n d a f t e r m u c h d e b a t e w i t h i n t h e m o v e m e n t w a s b r o u g h t b e f o r et h e I n d i a n S u p r e m e C o u r t ( s e e R a j a g o p a l ’ s c h a p t e r ) .

T hi rd ly , s ub al te rn c os mo po li ta n l eg al it y o pe ra te s b y d ef in it io na c ro s s s c al e s. S o ci a l m o ve m en t s a n d T AN s e m bo d yi n g t h is a p pr o ac hp r a g m a t i c a l l y r e s o r t t o p o l i t i c a l a n d l e g a l t o o l s a t e v e r y s c a l e . A l s o , b ym ob il iz in g s ta te a nd n on -s ta te l eg al o rd er s, t he y e xp lo it t he o pp or tu -n it ie s o ff er ed b y a n i nc re as in gl y p lu ra l l eg al l an ds ca pe . F or i ns ta nc e,

A rr is ca do , M at ia s a nd C os ta ’s c ha pt er d is cu ss es t he c om bi na ti on o f l o c a l , n a t i o n a l , a n d r e g i o n a l l e g a l s t r a t e g i e s t h r o u g h w h i c h P o r t u g u e s ec o m m u n i t i e s h a v e s o u g h t t o p r o t e c t t h e i r r i g h t t o a c l e a n e n v i r o n m e n tb y c re at iv el y e xp lo it in g t he t en si on s b et we en P or tu gu es e l aw s a ndE ur op ea n d ir ec ti ve s a nd r eg ul at io ns . A ls o, i n t he s tr ug gl e a ga in ste xp lo it at iv e c on di ti on s a t t he K uk do ng f ac to ry i n M ex ic o s tu di ed


16



i n R od rıg u ez - Ga r av i to ’ s c h ap t er , m e mb e rs o f t h e t r an s na t io n al a n ti -s w eat s ho p co alit io n s im u lt aneou s ly m o b iliz ed lo cal co u r ts , t hr eat enedt o b ri ng t he c as e b ef or e t he N AF TA p an el o n l ab or r ig ht s, a nd t ar ge te d,

on a global scale, the image of the brands for which the factoryp r o d u ced co llegiat e ap p ar el.

1.3.2 The epistemology of subaltern cosmopolitanlegality: the sociology of emergenceF or a ll t he ir a cc om pl is hm en ts , t he e xp er ie nc es a na ly ze d i n t hi s b oo ka re a dm it te dl y f ra gi le . G oi ng a ga in st e nt re nc he d a nd p ow er fu l i nt er -e s ts , i d eo l og i es , a n d i n st i tu t io n s t h at a r e h e ge m on i c p r ec i se l y b e ca u se

t h ey a r e s e en a s c o mm o ns e ns i ca l , e x pe r im e nt s i n c o un t er - he g em o ni cus es o f l aw ar e i n co nst an t d an ge r o f c oop ta ti on a nd ob li ter ati on .C on tr ar y t o w ha t t he c ri ti ci sm s o f t he or is ts o f g lo ba l l eg al h eg em on yw ou ld s ug ge st , a ct or s a nd a na ly st s o f s ub al te rn c os mo po li ta n l eg al it ya r e o n l y t o o a w a r e o f t h e s e t e n s i o n s .

W it h f ul l c on sc io us ne ss o f s uc h l im it at io ns – a nd p re ci se ly b ec au se o f t he m – t he or is ts a nd p ra ct it io ne rs o f s ub al te rn c os mo po li ta n l eg al it y

t a k e i t u p o n t h e m s e l v e s t o i n t e r p r e t t h e s e e m b r y o n i c e x p e r i e n c e s i n ap ro sp ec ti ve s pi ri t t ha t c an b e c al le d t he s oc io lo gy o f e me rg en ce ( Sa nt os2002:465; 2004) . T hi s e nt ai ls i nt er pr et in g i n a n e xp an si ve w ay t heinit iat iv es , m o v em ent s , and o r ganiz at io ns t hat r es is t neo lib er al glo b al-i za ti on a nd o ff er a lt ern ati ve s t o i t. T he t ra it s o f t he st rug gl es ar ea mp li fi ed s o a s t o r en de r v is ib le a nd c re di bl e t he p ot en ti al t ha t l ie si m p l i c i t o r r e m a i n s e m b r y o n i c i n t h e e x p e r i e n c e s u n d e r e x a m i n a t i o n .T hi s s ym bo li c b lo w- up s ee ks t o e xp os e a nd u nd er sc or e t he s ig na ls ,

c lu es , o r t ra ce s o f f ut ur e p os si bi li ti es e mb ed de d i n n as ce nt o r m ar gi n-a l i z e d l e g a l p r a c t i c e s o r k n o w l e d g e . T h e c o n t r i b u t i o n o f t h i s a p p r o a c hi s t o a l l o w u s t o i d e n t i f y e m e r g i n g q u a l i t i e s a n d e n t i t i e s a t a m o m e n t i nwhich they can be easi ly discarded (and are indeed discarded byh eg em on ic a ct or s a nd m ai ns tr ea m s oc ia l s ci en ce ) a s i de al is ti c, h op e-les s , ins ignificant , o r p as t - o r ient ed .

T h e s o c i o l o g y o f e m e r g e n c e , a s w i t h a l l c r i t i c a l t h e o r i e s , i s r o o t e d i na n e nr ic he d c on ce pt io n o f r ea li ty a nd r ea li sm . T he p oi nt o f d ep ar tu re o f

c r i t i c a l t h e o r y i s t h e s t a t e m e n t t h a t r e a l i t y c a n n o t b e r e d u c e d t o w h a tex is ts . Fr om t hi s poi nt of vi ew, a re al is t a na ly si s i s o ne th at o ff ers ,t og et he r w it h a n e xp lo ra ti on o f w ha t i s r ea l a nd w ha t i s n ec es sa ry , ap ro sp ec ti ve a cc ou nt o f w ha t i s p os si bl e. T he s oc io lo gy o f e me rg en ceth us a voi ds th e di sc re di ti ng o f bu ddi ng op ti on s br oug ht a bo ut bys tr uc tu ra li st c on ce pt io ns o f g lo ba l l eg al h eg em on y a s w el l a s b y t he


17



d i se n ch a nt e d a n d c e le b ra t or y v i ew s o f h y pe r -d e co n st r uc t iv e p o st m o-d e r n l e g a l a n a l y s i s .

I n s t a r t i n g ‘ ‘ f r o m w h e r e w e a r e ’ ’ – i . e . f r o m t h e a v a i l a b l e o p t i o n s , n o

m at te r h ow i nc ip ie nt t he y m ay b e – s ub al te rn c os mo po li ta n l eg al i tyf ol lo ws t he p at h o f c ou nt er -h eg em on ic s tr ug gl es f ir st t he or iz ed b yG r am s ci (1971 ) . A s i n G ra ms ci , c ou nt er -h eg em on ic p ol it ic s a nd l eg -a li ty a im t o e ro de t he i de ol og y a nd c oe rc iv e i ns ti tu ti on s t ha t s us ta ina n d n at u ra l iz e t h e h e ge m on y o f d o mi n an t c l as s es a n d g r ou p s (1971:12).T h i s v i t a l d e c o n s t r u c t i v e t a s k i s i l l u s t r a t e d b y t h e t r e n c h a n t c r i t i q u e o f r e gu l at i on s a n d d i sc o ur s es o f c o rp o ra t e s o ci a l r e sp o ns i bi l it y o f fe r ed b yS h a m i r i n h i s c h a p t e r , a s w e l l a s i n V i s v a n a t h a n a n d P a r m a r ’ s c r i t i q u e

o f d o mi n an t u n de r st a nd i ng s o f e c on o mi c d e ve l op m en t a n d c o ns t it u -t i on a l r i gh t s i n I n di a . C o un t er - he g em o ni c p o li t ic s a n d s u ba l te r n c o s-m op ol it an l eg al it y, h ow ev er , g o b ey on d t hi s d ec on st ru ct iv e p ha se .I n d e e d , t h e y u l t i m a t e l y s e e k t o o f f e r n e w u n d e r s t a n d i n g s a n d p r a c t i c e sc apa bl e o f r epl ac in g t he do mi na nt o nes a nd th us o f o ff eri ng a n ewc o mm o n s e ns e ( H un t 1993) . D r iv i ng t h e u n do c um e nt e d i m mi g ra n ts ’s tr ug gl es a nal yz ed i n A nsl ey ’s c ha pt er, f or i ns ta nc e, i s n ot on ly a

c ri ti que o f x en oph obi c vi ew s o f i mm ig ra ti on i n th e US , b ut a lso an a sc e nt c o nc e pt i on a n d i n st i tu t io n al f r am e wo r k o f g l ob a l c i ti z en s hi p .S im il ar ly , b eh in d t he r is e o f i nt er na ti on al l eg al r eg im es o f c ri me sa ga in st h um an it y a nd t he c om mo n h er it ag e o f h um an ki nd s tu di ed b yP ur ez a i n h is c ha pt er l ie s a r ad ic al ly r ec on ce iv ed , s ol i da ri st ic u nd er -s ta nd in g o f i nt er na ti on al r el at io ns a nd i nt er na ti on al l aw . F in al ly ,b eh in d t he e xp er ie nc e o f p ar ti ci pa to ry b ud ge ti ng i n T an za ni a a ndB r a z i l d o c u m e n t e d b y M b i l i n y i , R u s i m b i , a n d S a n t o s i s b o t h a c r i t i q u e

o f d om i na n t c o nc e pt i on s o f l o w- i nt e ns i ty , r e pr e se n ta t iv e d e mo c ra c ya nd a n am bi ti ous p ro po sa l f or t he r adi ca li zat io n of p ol it ic al an deco no m ic d em o cr acy.

1.4 T O P I C S A N D O R G A N I Z A T I O N O F T H E B O O K

O u t o f t h e i m m e n s e v a r i e t y o f m o v e m e n t s a n d e x p e r i e n c e s i n c o u n t e r -h e g e m o n i c g l o b a l i z a t i o n , w e c h o s e t o f o c u s o n t h r e e t h e m a t i c a r e a s i n

w h ic h t h e c o nf r on t at i on b e tw e en h e ge m on i c a n d c o un t er - he g em o ni ca cto rs o ve r th e c on ten t a nd th e sc al e of l aw i s p ar ti cul ar ly a cu te : ( 1) t hec on st ru ct io n o f a gl oba l e con omy of s ol id ar it y; ( 2) t he st rug gl e tor ef or m t he i nt ern at ion al h uma n ri gh ts r eg im e i n a c os mo po li ta n,b ot to m- up , a nd m ul ti cu lt ur al d ir ec ti on ; a nd ( 3) t he r ad ic al i za ti on o f d em oc ra ti c p ol it ic s t hr ou gh n ew f or ms o f p ar ti ci pa to ry d em oc ra cy .


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W e c lo se t hi s i nt ro du ct or y c ha pt er b y b ri ef ly p re se nt in g t he se t op ic sa n d t h e c a s e s t u d i e s o n e a c h o f t h e m .

1.4.1 Law and the construction of a global economy of solidarityO v e r t h e l a s t f e w y e a r s , l e g a l s c h o l a r s , a c t i v i s t s , g o v e r n m e n t r e p r e s e n -t at iv es , a nd o th er a ct or s h av e b ee n d eb at in g i nn ov at iv e w ay s o f r eg -ul at in g t he g lo ba l ec on om y ba se d on p ri nc ip le s of s ol id ari ty a ndenv iro nm ent al s u s t ainab ilit y r at her t han p r o fit m ax imiz at io n. A m o ngt h e s i g n s o f t h e e m e r g e n c e o f a ‘ ‘ s o l i d a r i t y e c o n o m y ’ ’ a n d a c o s m o p o l i -t an e co no mi c l aw a re m yr ia d p ro po sa ls t o p ro te ct l ab or r ig ht s i n t hef a ce o f c h an g in g e c on o mi c c o nd i ti o ns a s so c ia t ed w i th g l ob a li z at i on –

f ro m i ni ti at iv es t o i nc lu de s oc ia l c la us es i n f re e t ra de a gr ee me nt s t oe x pe r im e nt s i n m o ni t or i ng t h e i m pl e me n ta t io n o f c o rp o ra t e c o de s o f c o n d u c t c o n c e r n i n g l a b o r i n f a c t o r i e s p r o d u c i n g f o r T N C s – t h e r i s e o f a s y s t e m o f ‘ ‘ f a i r t r a d e ’ ’ s u p p o r t e d b y l e g a l a g r e e m e n t s b e t w e e n c o r p o r a -t i o n s i n t h e N o r t h a n d g o v e r n m e n t s a n d l o c a l p r o d u c e r s i n t h e S o u t h ,t h e i n c l u s i o n o f e f f e c t i v e c l a u s e s f o r t h e p r o t e c t i o n o f t h e e n v i r o n m e n ti n t ra de a gr ee me nt s, i ni ti at iv es a im ed a t e ro di ng t he e xc lu si on ar y

e co no mi c a nd s oc ia l r eg ul at io ns t ha t p re ve nt u ns ki ll ed w or ke rs f ro mg ai ni ng t he s ta tu s o f l eg al i mm ig ra nt s, a nd r ec en t l eg al c ha ll en ge s b ys t a t e s i n t h e S o u t h ( e . g . S o u t h A f r i c a , B r a z i l , a n d I n d i a ) a g a i n s t g l o b a li nt el le ct ua l p ro pe rt y r ig ht s s ys te ms t ha t d ep ri ve m os t o f t he w or ld ’sp o p u l a t i o n o f a c c e s s t o b a s i c m e d i c i n e s .

T he ch ap te rs i n th e f ir st pa rt of t he boo k ta ckl e s ev era l o f t he sei s s u e s . B a s e d o n a n e x a m i n a t i o n o f t h e W o r l d S o c i a l F o r u m ( W S F ) a st h e m o s t p r o m i n e n t s i t e o f a r t i c u l a t i o n o f p r o p o s a l s f o r a g l o b a l e c o n -

o my o f s ol id ar it y, B oa ve nt ur a d e S ou sa S an to s c on tr as ts t he c ou nt er -h eg em on ic l eg al it y e mb od ie d b y t he W SF ( su ba lt er n c os mo po li ta nl e ga l it y ) w i th t h at o f n e ol i be r al g l ob a li z at i on ( ‘‘ g lo b al g o ve r na n ce ’’ ) .Cesar A. Rodrı gu e z- G ar a vi t o a n al y ze s t h e s t ru g gl e o v er i n te r na t io n all a bo r r i gh t s p i tt i ng T N Cs a g ai n st c r os s -b o rd e r a n ti - sw e at s ho p c o al i -t io ns . F oc us in g o n t he A me ri ca s, h e i l lu st ra te s s uc h a s tr ug gl e w it h ac a s e s t u d y o f t h e c a m p a i g n f o r t h e u n i o n i z a t i o n o f w o r k e r s a t K u k d o n g ,a g l o b a l a p p a r e l f a c t o r y i n M e x i c o . T h e c h a p t e r b y R o n e n S h a m i r a l s o

e x a m i n e s t h e i s s u e o f t h e r e g u l a t i o n o f T N C s , b u t l o o k s m o r e b r o a d l yi nt o t he c on st ru ct io n o f t he f ie ld o f ‘‘ c or po ra te s oc ia l r es po ns ib il it y. ’’ B yc ar ef ul ly d is se ct in g s oc ia l r es po ns ib il it y d is co ur se a nd p ra ct ic e, h eo ff er s a c ri ti ca l v ie w o f s tr at eg ie s a im ed t o c re at e c or po ra te -f ri en dl yr e g i m e s o f v o l u n t a r y r e g u l a t i o n . H e i n z K l u g a n a l y z e s t h e c l a s h b e t w e e nt h e n e o l i b e r a l i n t e l l e c t u a l p r o p e r t y r i g h t s r e g i m e ( a s e m b o d i e d b y t h e


19



W TO ’s T RI PS a gr ee me nt ) a nd t he r ig ht t o a ff or da bl e m ed ic in es . H ei l l u s t r a t e s t h e l e g a l a n d p o l i t i c a l i s s u e s i n v o l v e d i n t h i s s t r u g g l e w i t h av i v i d a c c o u n t o f t h e e f f o r t b y S o u t h A f r i c a n s o c i a l m o v e m e n t s a n d t h e

s ta te t o g ua ra nt ee a cc es s t o a nt ir et ro vi ra l m ed ic in es t o t he v ic ti ms o f t he p an de mi c i n t ha t c ou nt ry . M ov in g f ro m t he g lo ba l S ou th t o t he‘‘ in ne r S out h’’ i n th e N or th, J an e L ar so n l ook s i nt o t he g ray z on e,b et we en l eg al it y a nd i ll eg al it y, t ha t n ew mi gr an ts i n t he US h avee x p l o i t e d t o b u i l d i n f o r m a l h o u s i n g s e t t l e m e n t s a s a n e c o n o m i c s u r v i -v a l s t r a t e g y . B a s e d o n h e r w o r k i n s u c h colonias i n T e x a s , s h e o f f e r s ap ro po sa l f or a re gul at or y st rat eg y t ha t i mag in at ive ly pr ot ec ts th em ig ra nt s’ ri gh t t o h ou si ng . I n c los in g t hi s p art of th e v ol ume , Fr an

A ns le y e xa mi ne s g ra ss ro ot s e ff or ts t o p ut i n c on ta ct t he g lo ba l S ou tha n d t h e N o r t h ’ s i n n e r S o u t h . S h e o f f e r s f i r s t - h a n d a c c o u n t s o f w o r k e re xc ha ng es b et we en t he U S a nd M ex ic o, a nt i- NA FT A a ct iv is m, a ndsolidarity campaigns f or migrants’ ri ght to a driver’s l icense inT e n n e s s e e w h i c h a p t l y i l l u s t r a t e b o t h t h e p o t e n t i a l a n d t h e d i f f i c u l t i e sa nd t en si on s o f s ub al te rn c oa li ti on s s ee ki ng t o e st ab li sh s ol id ar is ti cl e g a l f r a m e w o r k s a n d f o r m s o f e c o n o m i c e x c h a n g e .

1.4.2 Transnational social movements and the reconstructionof human rightsA lb ei t a q ui nt es se nt ia l c os mo po li ta n l eg al a nd p ol it ic al p ro je ct , t hec on st ru ct io n of a n i nte rn ati ona l sy ste m o f h uma n r ig hts h as be enw ea ke ne d b y i ts a fo re me nt io ne d W es te rn - a nd s ta te -c en tr ic b ia se s.T hu s, w hi le a ck no wl ed gi ng t he i mp or ta nc e o f t he e xi st in g i nt er na -t io na l l eg al f ra me wo rk f or t he p ro te ct io n o f c iv il , p ol it ic al , s oc io ec o-

n o m i c , a n d c o l l e c t i v e r i g h t s , t h e g l o b a l m o v e m e n t f o r s o c i a l j u s t i c e h a sc h a l l e n g e d s o m e o f i t s s u b s t a n t i v e a n d p r o c e d u r a l t e n e t s . T h e i n d i g e n -o u s m o ve m en t h a s c a ll e d f o r a m u lt i cu l tu r al r e co n st r uc t io n o f h u ma nr i g h t s s o a s t o c o u n t e r t h e l i b e r a l a n d i n d i v i d u a l i s t b i a s o f t h e l a t t e r a n di nc or po ra te a lt er na ti ve u nd er st an di ng s o f r ig ht s b as ed o n c ol le ct iv eentitlements and the inclusion of nature as a subject of rights.G r as s ro o ts m o ve m en t s a n d c i vi l s o ci e ty o r ga n iz a ti o ns h a ve c o nt e st e dthe traditional status of the state as the sole actor i n processes of

c o ns t ru c ti o n a n d e n fo r ce m en t o f i n te r na t io n al h u ma n r i gh t s r e gi m es .T h e i n te r na t io n al f e mi n is t m o ve m en t h a s e f fe c ti v el y d e no u nc e d t h ep a t r i a r c h a l c h a r a c t e r o f t h e h u m a n r i g h t s t r a d i t i o n a n d p u s h e d f o r w a r dn ew l eg al i ns tr um en ts a nd c on ce pt io ns o f r ig ht s e mb od yi ng g en de rj u st i ce . O t he r o r ga n iz a ti o ns a n d m o ve m en t s h a ve c o nt i nu e d t o c h al -l en ge t he s ep ar at io n b et we en ‘‘ g en er at io ns ’’ o f h um an r ig ht s a nd s tr iv ed


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t o a rt ic ul at e s tr ug gl es f or c iv il a nd p ol it ic al r ig ht s, o n t he o ne h an d,w it h e ff or ts t o p ro te ct s oc io ec on om ic a nd c ol le ct iv e r ig ht s, o n t heot her . T hes e an d ot he r p re ssu re s l arg el y ac co un t f or t he on goi ng

r ec on fi gu ra ti on o f h um an r ig ht s i n t he d ir ec ti on o f g en de r, e th ni c,r a c i a l , a n d e c o n o m i c j u s t i c e .

T he c ha pt er s i n t he s ec on d p ar t o f t he v ol um e d oc um en t s ev er als u c h c h a l l e n g e s i n d i f f e r e n t p a r t s o f t h e w o r l d . B a l a k r i s h n a n R a j a g o p a la n a l y z e s t h e r o l e o f l a w i n t h e w e l l - k n o w n n a t i o n a l a n d t r a n s n a t i o n a lmo ve me nt t o p ro tec t th e ri gh ts of f ami li es a ff ect ed b y th e I ndi ang ove rn me nt ’s p la n t o c on str uct da ms al on g t he Na rma da Ri ver .Fo cu si ng on t he r ol e o f t he In di an S up re me Co ur t, h e o ff ers a ri ch

a s s e s s m e n t o f t h e p o t e n t i a l a n d t h e l i m i t s o f l a w a n d h u m a n r i g h t s f o rt h e N a rm a da V a ll e y s t ru g gl e a n d f o r t r an s na t io n al s o ci a l m o ve m en t sw r i t l a r g e . P e t e r H o u t z a g e r a d d r e s s e s v e r y s i m i l a r q u e s t i o n s i n h i s s t u d yo f t h e w a y i n w h i c h t h e B r a z i l i a n m o v e m e n t o f t h e l a n d l e s s ( M S T ) h a sc om bi ne d l an d o cc up at io n w it h t he m ob il iz at io n o f l oc al c ou rt s a ndi nt er na ti on al p ol it ic al p re ss ur e t o c ha ll en ge p ro pe rt y r ig ht s s ys te msthat keep most of the land in Brazil in the hands of a small elite.

T h r o u g h a c o m p a r a t i v e a n a l y s i s o f c a s e s i n w h i c h t h e M S T h a s a s k e dB ra zi l ia n c ou rt s t o r eg ul ar iz e i ts p os se ss io n o f o cc up ie d l an ds , h e d is -c u s s e s t h e g r a d u a l s h i f t t h a t t h e m o v e m e n t h a s p r o m o t e d i n t h e s t a t e ’ sc o nc e pt i on a n d i n st i tu t io n s o f p r op e rt y r i gh t s. C o nt i nu i ng w i th L a ti nAmerica, Cesar A. Rodrı g u e z - G a r a v i t o a n d L u i s C a r l o s A r e n a s o f f e r ac a s e s t u d y o f t h e p r o m i n e n t s t r u g g l e o f t h e U ’ W a p e o p l e i n C o l o m b i aa g a i n s t o i l d r i l l i n g i n t h e i r a n c e s t r a l l a n d . V i n d i c a t i n g c o l l e c t i v e r i g h t st o t e r r i t o r y , n a t u r e , a n d c u l t u r a l d i f f e r e n c e , t h e U ’ w a , i n a l l i a n c e w i t h

t r an s na t io n al i n di g en o us r i gh t s a n d e n vi r on m en t al i st o r ga n iz a ti o ns ,h a v e c o m b i n e d d i r e c t a c t i o n a n d l e g a l s t r a t e g i e s t o f e n d o f f o i l e x p l o r a -t io n, t hu s i ll us tr at in g t he p ow er fu l c ha ll en ge r ai se d b y i nd ig en ou sp eo pl e a ro un d t he w or ld t o T NC s, g ov er nm en ts , a nd c on ve nt io na lh um an r ig ht s c on ce pt io ns a nd i ns tr um en ts . F in al ly , J os e M an ue lP ur ez a t ake s t he di sc us si on of h um an r ig hts to t he g lob al s ca le byi n qu i ri n g i n to t h e c o un t er - he g em o ni c p ot e nt i al o f t w o n a sc e nt i n te r -n a ti o na l l e ga l i n st i tu t io n s: t h e I n te r na t io n al C r im i na l C o ur t a n d t h e

c o mm o n h e ri t ag e o f h u ma n ki n d r e gi m e. B y c a re f ul l y e x am i ni n g t h ei ro r i g i n s a n d c h a r a c t e r i s t i c s , h e a r g u e s t h a t , w h i l e t h e f o r m e r e m b o d i e s a‘‘d efens iv e’’ t yp e o f co u nter - hegem o nic int ernat ional legal fr am ew o r k,t he l at te r s ta nd s a s a n i ns ta nc e o f ‘‘ op po si ti on al ’’ i nt er na ti on al l awh o l d i n g o u t t h e p r o m i s e o f a p r o f o u n d r e c o n s t r u c t i o n o f t h e t e n e t s o f i n t e r n a t i o n a l l a w a n d h u m a n r i g h t s .


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1.4.3 Law and participatory democracy: between the localand the globalA t t h e s a m e t i m e t h a t l i b e r a l d e m o c r a c y h a s s p r e a d a r o u n d t h e w o r l d ,

t he g lo ba l j us ti ce m ov em en t h as f or ce fu ll y a rg ue d t ha t n at io na l a ndt ra ns na ti on al i ns ti tu ti on s s uf fe r f ro m a d ef ic it o f d em oc ra cy . T hu s,l i b e r a l d e m o c r a c y a n d l a w h a v e b e c o m e l e s s a n d l e s s c r e d i b l e i n b o t ht h e N o r t h a n d t h e S o u t h . T h e t w i n c r i s e s o f r e p r e s e n t a t i o n a n d p a r t i -c ip at io n a re t he m os t v is ib le s ym pt om s o f s uc h a d ef i ci t o f c re di bi li tya nd l eg it im ac y. I n t he f ac e o f t hi s, t wo c lu st er s o f p ra ct ic es a re e me rg in gt ha t a im t o r ad ic al iz e d em oc ra cy a t t he l oc al , n at io na l, a nd g lo ba ls c a l e s . O n t h e o n e h a n d , T A N s h a v e l a u n c h e d c a m p a i g n s a n d d r a f t e d

alt er nat iv e char t er s t o d em o cr at iz e int er nat io nal ins t it u t io ns , fr o m t heWTO a nd th e Wor ld B an k t o th e pr op os ed Fr ee Tr ad e Ar ea o f th eA me ri ca s. O n t he o th er h an d, c om mu ni ti es a nd g ov er nm en ts i n d if -f e r e n t p a r t s o f t h e w o r l d a r e u n d e r t a k i n g d e m o c r a t i c e x p e r i m e n t s a n dinit iat iv es – fr o m p ar t icipat o ry b u d get ing t o p ar ticip ato r y env ir o nm en-t al po li cy – ba se d o n l eg al f ra me wo rks a nd m od el s of de mo cra cy i nw hi ch t he t en si on b et we en c ap it al is m a nd d em oc ra cy i s r eb or n a s a

p o s i t i v e e n e r g y b e h i n d n e w , m o r e i n c l u s i v e , a n d m o r e j u s t s o c i a l c o n -t r a c t s . A l b e i t g e n e r a l l y t a k i n g p l a c e a t t h e l o c a l l e v e l , t h e s e i n i t i a t i v e shave quickly spread throughout the world and thus constitute ad y n a m i c s o u r c e o f c o u n t e r - h e g e m o n i c p o l i t i c s a n d l a w .

T h e c o n t r i b u t i o n s t o t h e t h i r d p a r t o f t h e v o l u m e f o c u s o n t h e l a t t e rt yp e o f i ni ti at iv e b y d is cu ss in g c as e s tu di es o f l oc al e xp er im en ts i np a rt i ci p at o ry d e mo c ra c y a n d l a w- m ak i ng t h at i l l us t ra t e s i mi l ar e f fo r tsg oi ng o n i n d if fe re nt p ar ts o f t he g lo be . M ar y R us im bi a nd M ar jo ri e

M b i l i n y i o f f e r a d e t a i l e d a c c o u n t o f t h e i r w o r k i n a f a s c i n a t i n g e x p e r i -e nc e i n p ar ti ci pa to ry d em oc ra cy – ‘‘ ge nd er b ud ge ti ng ’’ i n T an za ni a.G en de r b ud ge ti ng , p ro mo te d b y t he T an za ni an f em in is t m ov em en t,h a s n o t o n l y r e c l a i m e d f o r t h e c i t i z e n r y t h e d e c i s i o n - m a k i n g p o w e r o ne c o n o m i c d e c i s i o n s n o r m a l l y r e s e r v e d f o r g l o b a l a n d n a t i o n a l t e c h n o -e li te s, b ut h as a ls o i nf us ed b ud ge t a ll oc at io n a nd l eg is la ti on w it h g en de rj us ti ce . A tt es ti ng t o t he g lo ba l s pr ea d o f c ou nt er -h eg em on ic l oc ali n it i at i ve s , B o av e nt u ra d e S o us a S a nt o s s t ud i es a n ot h er e x pe r ie n ce i n

p ar ti ci pa to ry b ud ge ti ng – t he p io ne er in g i ni ti at iv e o f t he W or ke rs ’P ar ty i n P or to A le gr e ( Br az il ) t o i nv ol ve t he c it iz en ry i n t he p ro ce sso f b ud ge t a ll oc at io n. B as ed o n a n a na ly si s o f t he p ol it ic al a nd l eg ald et ai ls o f t he s yst em, h e d isc us ses th e f act ors t ha t a cc oun t f or i tss uc ce ss , a s w el l a s t he t en si on s a nd c on tr ad ic ti on s w it hi n i t. M ov in gt o t h e o p p o s i t e c o r n e r o f t h e w o r l d , S h i v V i s v a n a t h a n a n d C h a n d r i k a


22



P ar ma r t ak e u s i nt o a n e xp er im en t i n d em oc ra ti c i nt er pr et at io n a ndp ra ct ic e o f l aw t hr ou gh a n e xa mi na ti on o f t he w ay i n w hi ch I nd ia ns o ci a l m o ve m en t s h a ve a r ti c ul a te d p r og r es s iv e u n de r st a nd i ng s o f t h e

D ir ec ti ve P ri nc ip le s o f S ta te P ol ic y o f t he I nd ia n c on st it ut io n. T hec on ce pt io n a nd p ra ct ic e o f r ig ht s t hu s e me rg in g f ro m t he b ot to m u p,t h e a u t h o r s s h o w , s t a n d i n s t a r k c o n t r a s t w i t h t h o s e o f s t a t e a u t h o r i t i e sand t he co u ntr y’s elit es. F inally, J o ao A r r iscad o N u nes, Mar isa Mat ias ,and Susana Costa study the struggle over environmental law inP or tu ga l. G ro un di ng t he ir a na ly si s o n a c as e s tu dy o f a h ig h- pr of il ed i s p u t e o v e r w a s t e m a n a g e m e n t , t h e y c o n t r a s t t h e l i m i t e d d e m o c r a t i cp o t ent ial o f t he d o m inant u nd er s t and ing o f ‘‘co m m u nit y co ns u lt at io n’’

i n e n vi r on m en t al l a w w i th t h e d e mo c ra t ic p r oc e ss o f g r as s ro o ts p a rt i -c ip at io n, l eg al m ob il iz at io n, a nd p ro du ct io n o f ‘‘ ex pe rt k no wl ed ge ’’e mp lo ye d b y t he a ff ec te d c om mu ni ty t o c on te st t he g ov er nm en t’ sd e c i s i o n t o d u m p h a z a r d o u s i n d u s t r i a l w a s t e i n i t s t e r r i t o r y .

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PART ONE

LAW AND THE CONSTRUCTION OF

A GLOBAL ECONOMY OF SOLIDARITY



CHAPTER 2

BEYOND NEOLIBERAL GOVERNANCE: THEWORLD SOCIAL FORUM AS SUBALTERN

COSMOPOLITAN POLITICS AND LEGALITY

Boaventura de Sousa Santos *

2.1 I N T R O D U C T I O N

E ls ew he re , I h av e a rg ue d t ha t t he re a re t wo f or ms o f g lo ba li za ti on :

n e ol i be r al g l ob a li z at i on a n d w h at I c a ll c o un t er - he g em o ni c g l ob a li z a-t io n, w hi ch h as b ee n c ha ll en gi ng t he f or me r f or s om e t im e ( Sa nt os2002: C h ap te rs 5 , 9 ). C ou nt er -h eg em on ic g lo ba li za ti on I d e fi ne a s t hev as t s et o f n et wo rk s, i ni ti at iv es , o rg an iz at io ns , a nd m ov em en ts t ha tf ig ht a ga in st t he e co no mi c, s oc ia l, a nd p ol i ti ca l o ut co me s o f h eg em on icg l o b a l i z a t i o n , c h a l l e n g e t h e c o n c e p t i o n s o f w o r l d d e v e l o p m e n t u n d e r -l y i n g t h e l a t t e r , a n d p r o p o s e a l t e r n a t i v e c o n c e p t i o n s .

Co u nt er - hegem o nic glo b aliz at io n is fo cu s ed o n t he s t r u ggles agains t

s oc ia l e xc lu si on . S in ce s oc ia l e xc lu si on i s a lw ay s t he p ro du ct o f u ne qu alp ow er r el at io ns , c ou nt er -h eg em on ic g lo ba li za ti on i s a ni ma te d b y ar ed is tr ib ut iv e e th os i n i ts b ro ad es t s en se , i nv ol vi ng r ed is tr ib ut io n o f m at er ia l, s oc ia l, p ol it ic al , c ul tu ra l, a nd s ym bo li c r es ou rc es . I n t hi ss e n s e , r e d i s t r i b u t i o n i s b a s e d b o t h o n t h e p r i n c i p l e o f e q u a l i t y a n d o nt he p ri nc ip le o f r ec og ni ti on o f d if fe re nc e. A t s ta ke i s t he s tr ug gl e f ore q u a l e x c h a n g e s a n d a u t h o r i t y ( r a t h e r t h a n p o w e r ) r e l a t i o n s . B e c a u s eu n e q u a l e x c h a n g e s a n d p o w e r r e l a t i o n s a r e c r y s t a l l i z e d i n p o l i t i c s a n d

* I t h an k C e le s te B e ns o n, A r tu r o E s co b ar , M a rc G a la n te r , C an d id o G r zy b ow s zk i, J o el H a nd l er ,A n to n io M a rt i ns , P a ul a M e ne s es , M o em a M i ra n da , W a lt e r M i gn o lo , N e ls o n M a ld on a do -T o rr e s, C es a r R o dr ı gu e z- G ar a vi t o, J o rg e R o ma n o, P e dr o S a nt a na , J a i S e n, R o ne n S h am i r,D a vi d S u ga r ma n , T e iv o T e iv o na n , V i rg i ni a V ar g as , P e te r W a te r ma n , F r an c is c o W h it a ke r ,L u ci e W h it e , a n d B i ll W h it f or d f o r t h e i r c o m m en t s o n a n e a rl i er v e rs i on o f t h is c h ap t er . M yv e r y s p e c i a l t h a n k s t o M a r i a I r e n e R a m a l h o , w h o p r e p a r e d t h e E n g l i s h l a n g u a g e v e r s i o n .

29



l aw , c ou nt er -h eg em on ic g lo ba li za ti on u nf ol ds a s p ol it ic al a nd l eg als tr ug gl es g ui de d b y t he i de a t ha t h eg em on ic l eg al a nd p ol it ic al s tr uc -t ur es a nd p ra ct ic es c an b e c ha ll en ge d b y a lt er na ti ve p ri nc ip le s o f l aw

a nd p ol it ic s. T he se a lt er na ti ve p ri nc ip le s a nd t he s tr ug gl es f or t he m Ihav e called s u b alt er n co s m o p o lit an p o lit ics and legalit y (Sant o s 2002).T h e y c o m p r i s e a v a s t s o c i a l f i e l d o f c o n f r o n t a t i o n a l p o l i t i c s a n d l a w i nw h i c h I d i s t i n g u i s h t w o b a s i c p r o c e s s e s o f c o u n t e r - h e g e m o n i c g l o b a l i -z a ti o n: g l ob a l c o ll e ct i ve a c ti o n t h ro u gh t r an s na t io n al n e tw o rk i ng o f l o ca l /n a ti o na l /g l ob a l l i nk a ge s ; a n d l o ca l o r n a ti o na l s t ru g gl e s, w h os es uc ce ss p ro mp ts r ep ro du ct io n i n o th er l oc al es o r n et wo rk in g w it hp a r a l l e l s t r u g g l e s e l s e w h e r e . I n t h i s c h a p t e r I d e a l w i t h t h e f i r s t p r o c e s s

b y a na ly zi ng t he p ol it ic s a nd l eg al it y e mb od ie d b y t he W or ld S oc ia lF o ru m ( W SF ) a n d c o nt r as t in g i t w i th n e ol i be r al p o li t ic s a n d l e ga l it y .T o t hi s e nd , I d iv id e t he c ha pt er i nt o t hr ee s ec ti on s. F ir st , I f oc us o ns o me o f t h e l e ga l i n no v at i on s u n de r n e ol i be r al g l ob a li z at i on , s p ec i fi -c a l l y o n g o v e r n a n c e a s a n a l l e g e d m o d e o f p o s t - s t a t e s o c i a l r e g u l a t i o n .Th en , I a na ly ze th e WS F a s a n e xpr ess ion of c ou nte r-h eg emo ni cg l ob a li z at i on w i th i n w h ic h a s u ba l te r n c o sm o po l it a n p o li t ic s a n d l e g-

a l i t y i s b e i n g f o r g e d . F i n a l l y , I d r a w a n e x p l i c i t c o n t r a s t b e t w e e n t h e s ef o r m s o f h e g e m o n i c a n d c o u n t e r - h e g e m o n i c p o l i t i c s a n d l e g a l i t y .B e f o r e p r o c e e d i n g , g i v e n t h e n a r r o w v i e w o f l a w a n d p o l i t i c s d o m i -

n a n t i n l e g a l s c h o l a r s h i p , i t i s n e c e s s a r y t o c l a r i f y t h e c o n c e p t i o n o f l a wa nd p ol it ic s t ha t I u se t hr ou gh ou t t he c ha pt er . U nd er ly in g n eo li be ra lg l ob a li z at i on a n d c o un t er - he g em o ni c g l ob a li z at i on a r e d i ff e re n t c o n-c e p t i o n s o f l e g a l i t y a n d o f p o l i t i c s o f l e g a l i t y . B o t h , h o w e v e r , d e m a n d ar ad ic al e xp an si on o f t he c on ve nt io na l u nd er st an di ng o f l eg al i ty a nd t he

p o li t ic s o f l e ga l it y . T o m y m i nd , f o ur c o nc e pt u al e x pa n si o ns a r e n e e d edt o c ap tu re t he p ol it ic s o f l eg al it y u nd er g lo ba li za ti on . T he f i rs t c on ce rn st h e b r e a d t h o f l e g a l a c t i o n s , s t r u g g l e s , o r d i s p u t e s . U n d e r c o n d i t i o n s o f c o nf l i ct i ng g l ob a li z at i on s , c o ll e ct i ve l e ga l p r ac t ic e s c o mb i ne p o li t ic a lm ob il iz at io n w it h l eg al m ob il iz at io n, a nd t he l at te r m ay i nv ol ve l eg al a sw el l a s i l le ga l a nd n on -l eg al a ct io ns . T he s ec on d e xp an si on c on ce rn ss cal e. Th e p ol it ic s of l ega li ty n eed s to be c on ce pt ua li ze d at t hre edifferent scales – the local, the national, and the global . In most

c a s e s , a l l t h e s c a l e s i n v o l v e d i n t e r p e n e t r a t e e a c h o t h e r . P o w e r s t r u g g l e so ve r t he r el ev an t s ca le o f l aw a re t od ay f ou gh t i n t he c on te xt o f t heg r o w i n g p r e v a l e n c e o f t h e g l o b a l s c a l e . T h e t h i r d e x p a n s i o n c o n c e r n sl eg al k no wl ed ge a nd l eg al e xp er ti se . T he p ol it ic s o f l aw i nv ol ve s av ar ie ty o f l eg al k no wl ed ge s a nd e xp er ti se a mo ng w hi ch t he p ro fe ss io na ll e g a l k n o w l e d g e i s o n l y o n e c o m p o n e n t . I n a n i n c r e a s i n g l y f r a g m e n t e d

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a nd t ra ns ca la r l eg al f ie ld , r iv al l eg al k no wl ed ge s ( l oc al o r n at io na l v .t ra ns na ti on al ; p ro fe ss io na l v . l ay ; o ld l eg al d oc tr in e v . e me rg en t c on -c ep ti on s) o ft en c ol li de i n a c on te xt o f i nc re as in g d om in an ce o f n eo -

l i b e r a l e c o n o m i c k n o w l e d g e . F i n a l l y , t h e f o u r t h a s p e c t o f a n e x p a n s i v ec on ce pt io n o f t he p ol it ic s o f l aw c on ce rn s t he t em po ra l d im en si on .T h i s c o n c e p t u a l e x p a n s i o n i s t w o f o l d . M o d e r n s t a t e l a w i s s u b j e c t e d t oth e t ime f ram e of s tat e a ct ion ( e. g. t hat of t he j udi ci al pr oc es s, th ee le ct or al c yc le , t he l eg is la ti ve p ro ce ss , a nd b ur ea uc ra cy ). H ow ev er ,l e g a l m o b i l i z a t i o n o f t e n i n v o l v e s c o n t r a s t i n g t i m e f r a m e s . O n t h e o n eh an d, w e f in d t he i ns ta nt an eo us t im e o f f in an ci al c ap it al ( fo r w hi ch t hel on g t erm i s th e n ex t te n mi nu te s) . On th e ot her h an d, we f in d th e

longue duree o f c a p i t a l i s m a n d c o l o n i a l i s m , o r e v e n t h e l o n g e s t d u r a t i o n( g la c ia l t i me ) o f t h e e c ol o gi c al d e te r io r at i on o r e x ha u st i on o f n a tu r alr e so u rc e s ( e .g . i n l e ga l c o nf l i ct s i n vo l vi n g i n di g en o us p e op l es f i gh t in ga ga in st o il c om pa ni es o pe ra ti ng i n t he ir t er ri to ri es ; s ee R od rı guez-G ar av it o a nd A re na s’ c ha pt er i n t hi s v ol um e) . R ad ic al ly d if fe re ntc on ce pt io ns o f t im e a re o ft en p re se nt i n l eg al s tr ug gl es a nd t he c on fl ic tsa r e f o u g h t i n a c o n t e x t i n w h i c h t h e d o m i n a n t t i m e f r a m e s e e m s t o g e t

c lo se r a nd c lo se r t o t he i ns ta nt an eo us t im e o f f i na nc ia l c ap it al . T hes e co n d d i me n si o n c o nc e rn s t h e c o nt r as t b e tw e en t h e l i ne a r t i me p r e-s id in g o ve r t he W es te rn l og ic o f d ev el op me nt – b as ed o n a u ni li ne arc on ce pt io n o f d ev el op me nt , a cc or di ng t o w hi ch d if fe re nt p as ts c on -v e r g e i n a s i n g l e f u t u r e – a n d a p l u r a l i s t i c c o n c e p t i o n o f t i m e b a s e d o nt h e i d e a t h a t t h e r e a r e a l t e r n a t i v e d e v e l o p m e n t p a t h s , a n d t h a t t h e r e -f o r e d i f f e r e n t p a s t s u n d e r l i e d i f f e r e n t p r e s e n t s a n d m a y l e a d t o d i f f e r e n tfutures.

W it h s uc h a r ec on ce pt ua li za ti on i n m in d, i t b ec om es p os si bl e t oa n a l y z e t h e c o n t o u r s o f t h e r o l e o f p o l i t i c s a n d t h e l a w i n h e g e m o n i ca n d c o u n t e r - h e g e m o n i c g l o b a l i z a t i o n . T o t h i s t a s k I n o w t u r n .

2.2 G O V E R N A N C E A S N E O L I B E R A L L E G A L I T Y

F ro m t he b eg in ni ng o f r ec or de d t im e u nt il 1 97 5, t he B ri ti sh L ib ra ryc at al og ue r eg is te re d f or ty -s ev en t it le s w it h t he w or d ‘‘ go ve rn an ce .’’

S in ce t he n t hi s t er m h as e xp lo de d i n a ll t he d is ci pl in es o f t he s oc ia ls c i e n c e s . T h i s s u d d e n a n d o v e r w h e l m i n g p r e s e n c e h a s o n l y o n e p a r a l -l el , i n t he s am e p er io d, i n t he t er m ‘‘ gl ob al iz at io n. ’’ T hi s c on ve rg en tt r a j e c t o r y i s n o c o i n c i d e n c e . A s I w i l l t r y t o s h o w , s i n c e t h e m i d - 1 9 9 0 s ,g o ve r na n ce h a s b e co m e t h e p ol i ti c al m a t ri x o f n e ol i be r al g l ob a li z at i on .I c a l l i t a m a t r i x b e c a u s e i t i s b o t h a n e m b e d d i n g o r g r o u n d i n g s t r u c t u r e

B E Y O N D N E O L I B E R A L G O V E R N A N C E : T H E W O R L D S O C I A L F O R U M

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a n d a g e n e r a t i v e e n v i r o n m e n t f o r a n i n t e r c o n n e c t e d n e t w o r k o f p r a g -m a t i c i d e a s a n d c o o p e r a t i v e p a t t e r n s o f b e h a v i o r , s h a r e d b y a g r o u p o f s e l e c t e d a c t o r s a n d t h e i r i n t e r e s t s , a s e l f - a c t i v a t e d n e t w o r k t o d e a l w i t h

c h a o s i n a c o n t e x t i n w h i c h b o t h o u t s i d e - g e n e r a t e d t o p - d o w n n o r m a -t i ve o r de r a n d a u to n om o us b o tt o m- u p n o n- p re - se l ec t ed p a rt i ci p at o ryo rd er in g a re u na va il ab le o r, i f a va il ab le , u nd es ir ab le . C ru ci al t o t hi sm a t r i x i s t h e i d e a t h a t i t s e e s i t s e l f a s c o o p e r a t i v e l y s e l f - g e n e r a t e d a n d ,t h e r e f o r e , a s i n c l u s i v e a s i t c a n p o s s i b l y b e . A s w i t h a n y o t h e r m a t r i x , i ti s, i n f ac t, b as ed o n a p ri nc ip le o f s el ec ti on , a nd , t hu s, o n t he b in ar yi n cl u si o n/ e xc l us i on . H o we v er , i n t h is c a se , t h e e x cl u de d , r a th e r t h anb e i n g p r e s e n t a s e x c l u d e d , a r e u t t e r l y a b s e n t . G o v e r n a n c e i s t h e r e f o r e a

m a t r i x t h a t c o m b i n e s h o r i z o n t a l i t y a n d v e r t i c a l i t y i n a n e w w a y : b o t ha r e s e l f - g e n e r a t e d , t h e f o r m e r a s a l l - e x i s t i n g , t h e l a t t e r a s n o n - e x i s t i n g .I t o p e r a t e s t h r o u g h a f a l s e d i a l e c t i c o f g o v e r n a n c e a n d d i s g o v e r n a n c e ,o ne i n w hi ch t he s ec on d t er m, r at he r t ha n d is co nf ir mi ng g ov er na nc eb y c o n f r o n t i n g i t , r a t i f i e s i t b y l a c k i n g e i t h e r o b j e c t o r a g e n c y .

Jessop (1998) c al ls t hi s i de ol og ic al a nd p ol it ic al p he no me no n t he‘‘ g ov e rn a nc e p a ra d ig m .’’ P a ra d ig m i s p r ob a bl y t o o s t ro n g a c o nc e pt t o

c ha ra ct er iz e t hi s p he no me no n, p ar ti cu la rl y i f w e t ak e i t i n K uh n’ s(1970) o ri gi na l f or mu la ti on o f p ar ad ig ms a s u ni ve rs al ly r ec og ni ze ds ci en ti fi c a ch ie ve me nt s t ha t f or a t im e p ro vi de m od el p ro bl em s a nds ol ut io ns t o a c om mu ni ty o f p ra ct it io ne rs . B ec au se d if fe re nt c on ce p-tions of gov ern an ce a bou nd, l oc at ed di ff er en tl y i n t he p ol it ic alspectrum,1 I p r e f e r t o u s e a w e a k e r a n d n a r r o w e r t e r m – t h e g o v e r n a n c em a t r i x . B o t h a g o v e r n a n c e m a t r i x a n d a g o v e r n a n c e c r o w d a r e t h e r e -f ore di sc ern ib le . A n e lu si ve i deo log y a nd b y a nd l ar ge a n un tes ted

p ra cti ce f un cti on as a va gue ca ll t ha t m an age s to m ob il iz e s oc ia ls c i e n t i s t s , p o l i c y - m a k e r s , a n d l a w y e r s f r o m d i f f e r e n t i n t e l l e c t u a l b a c k -gr o u nd s and p o lit ical lo yalt ies .

I d is ti ng ui sh t he g ov er na nc e m at ri x f ro m t he g ov er na nc e c ro wdb ec au se , h ow ev er v ag ue , t he m at ri x i s l es s h et er og en eo us t ha n t hegroups that claim it. We are at a stage of the development of t h e c o n c e p t o f g o v e r n a n c e v e r y s i m i l a r t o t h a t o f g l o b a l i z a t i o n i n t h em id- 19 90 s, wh en th e so ci al pr ac ti ce s h ad n ot a ll owe d o ne f ul ly to

d is ce rn t he c le av ag es a nd c on tr ad ic ti on s b ei ng e ng en de re d b y t hep ro ce ss es o f g lo ba li za ti on t he ms el ve s. I n t he f ol lo wi ng I w il l t ry t oanswer three questions: (1) How and why has governance come

1 S i n c e C h a p t e r 1 d i s c u s s e s t h e c o n c e p t a n d t h e l i t e r a t u r e o n g o v e r n a n c e , I w i l l n o t d w e l l f u r t h e ro n t h e m h e r e .

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a b o u t ? ( 2 ) W h a t i s i t s p o l i t i c a l m e a n i n g ? ( 3 ) A r e t h e r e o t h e r s t o r i e s o f governance?

2.2.1 The genealogy of governanceI n o rd er t o u nd er st an d t he e me rg en ce o f t he g ov er na nc e m at ri x w eh av e t o g o b ack t o t he e ar ly 1 970 s, t he s tude nt m ove me nt, a nd th ec r i s i s o f l e g i t i m a c y i t g a v e r i s e t o . A s O f f e ( 1985) a n d H a b e r m a s (1982)h a v e s h o w n , t h e c r i s i s d e r i v e d f r o m t h e r a d i c a l q u e s t i o n i n g o f b o t h t h es o c i a l a n d t h e d e m o c r a t i c c o n t e n t o f t h e s o c i a l c o n t r a c t t h a t u n d e r l a ys oc ia l d em oc ra ti c s ta te s s in ce t he e nd o f t he S ec on d W or ld W ar . F orth e st ud ent mo ve me nt , so on to be j oi ne d by t he f emi ni st a nd th e

e co lo gi ca l m ov em en ts , t he a pp ar en tl y i nc lu si ve s oc ia l c on tr ac t w asi n d e e d e x c l u s i o n a r y . I t c o m p l e t e l y e x c l u d e d l a r g e s o c i a l g r o u p s ( m i n o -r i ti e s, i m mi g ra n ts ) a n d i m po r ta n t s o ci a l i s su e s ( s uc h a s c u lt u ra l d i ve r -s it y a nd e nv ir on me nt ), a nd i nc lu de d o th er g ro up s b y s ub or di na ti ngth em t o di se mp ow er in g f or ms o f i nc lus ion – a s wa s th e c as e, mo stn ot ab ly , o f wo me n. On t he o th er h an d, a ll th is h ad be en po ss ibl eb e c a u s e d e m o c r a c y h a d f a i l e d t o f u l f i l l i t s p r o m i s e o f b u i l d i n g f r e e a n d

e q u a l s o c i e t i e s . T h e i d e a s o f p o p u l a r s o v e r e i g n t y a n d p o p u l a r p a r t i c i p a -t io n h ad b ee n h ij ac ke d b y e li ti st f or ms o f d em oc ra ti c r ul e w it h t hec o m p l i c i t y o f t h e t w o s o c i a l a c t o r s h i s t o r i c a l l y c h a r g e d w i t h t h e t a s k o f d ee pe ni ng d em oc ra cy a nd b ri ng in g a bo ut s oc ia l e ma nc ip at io n: t hew o r k i n g - c l a s s p a r t i e s a n d t h e l a b o r u n i o n s . I t w a s a c r i s i s o f l e g i t i m a c ybe ca us e i t wa s a c ri si s of g ov ern me nt b y c on sen t. I t d om in ate d th epolitical contestation in the North in the f irst half of the 1970s(Monedero 2003).

T he t ur ni ng p oi nt o cc ur re d i n 1 97 5 w he n t he T ri la te ra l C om mi ss io np ub li sh ed i ts r ep or t o n t he c ri si s o f d em oc ra cy a ut ho re d b y C ro zi er ,H un ti ng to n, a nd W at an uk i (1975) . A cco rd in g to t he m, t he re w asindeed a crisis of democracy but not because there was too l ittled e mo c ra c y, b u t b e ca u se t h er e w a s t o o m u ch d e mo c ra c y. D e mo c ra c ie sw er e i n c ri si s b ec au se t he y w er e o ve rl oa de d w it h r ig ht s a nd c la im s,b ec au se t he s oc ia l c on tr ac t r at he r t ha n b ei ng e xc lu si on ar y w as t ooi n c l u s i v e , p r e c i s e l y d u e t o t h e p r e s s u r e s b r o u g h t u p o n i t b y t h e h i s t o r -

i c a l s o c i a l a c t o r s d e c r i e d b y t h e s t u d e n t s ( t h e w o r k i n g - c l a s s p a r t i e s a n dt he l ab or u ni on s) . T he c ri si s o f g ov er nm en t b y c on se nt w as t he re byt ra ns fo rm ed i nt o a c ri si s o f g ov er nm en t tout court, and the crisis of l e g i t i m a c y b e c a m e a c r i s i s o f g o v e r n a b i l i t y .

T he n at ur e o f p ol it ic al c on te st at io n w as t he re by p ro fo un dl y c ha n-g e d . T h e f o c u s s h i f t e d f r o m t h e i n c a p a c i t y o f t h e s t a t e t o d o j u s t i c e t o


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t he n ew s oc ia l m ov em en ts a nd t he ir d em an ds t o t he n ee d t o c on ta ina nd c on tr ol s oc ie ty ’s c la im s o n t he s ta te . S oo n t he d ia gn os ti c o f t hec ri si s a s a c ri si s o f g ove rn ab il it y be ca me do mi na nt , a nd s o d id t he

political therapy proposed by the Trilateral Commission: fromt h e c e nt r al s t at e t o d e vo l ut i on / de c en t ra l iz a ti o n; f r om t h e p o li t ic a l t ot he t ec hn ic al ; f ro m p op ul ar p ar ti ci pa ti on t o t he e xp er t s ys te m; f ro m t hep ub li c to t he p ri va te ; f rom t he s ta te to t he m ar ket ( Cr oz ie r et al.1975) .T he s ub se qu en t d ec ad e s aw t he c on st ru ct io n o f a n ew s oc ia la n d p o l i t i c a l r e g i m e b a s e d o n t h e s e i d e a s , a r e g i m e s o o n t o b e i m p o s e dg l o b a l l y u n d e r t h e n a m e o f W a s h i n g t o n C o n s e n s u s . I t w a s a d e c a d e o f p r o f o u n d p o l i t i c a l a n d i d e o l o g i c a l t r a n s f o r m a t i o n s t h a t p a v e d t h e w a y

f or t he r is e o f t he a ll -e nc om pa ss in g s ol ut io n t o t he c ri si s o f g ov er n-a b i l i t y : t h e m a r k e t r u l e .

W hi l e t he c ri si s o f l eg it im ac y p er sp ec ti ve s aw t he s ol ut io n i n s ta tet r an s fo r ma t io n a n d e n ha n ce d p o pu l ar p a rt i ci p at i on t h ro u gh a u to n o-m o u s n e w s o c i a l m o v e m e n t s , t h e c r i s i s o f g o v e r n a b i l i t y s t a n c e s a w t h es o l u t i o n i n t h e s h r i n k i n g o f t h e s t a t e ( t h r o u g h t h e l a t t e r ’ s w i t h d r a w a lf ro m t he e co no mi c s ph er e a nd s oc ia l s er vi ce s) , a nd i n t he t am in g o f

p o p u lar p ar t icip at io n (t hr o u gh p o licies co ns t r aining p o p u lar p ar t icip a-t i o n , b a s e d o n a n i n d i v i d u a l i s t i c c o n c e p t i o n o f c i v i l s o c i e t y d o m i n a t e db y b u s i n e s s o r g a n i z a t i o n s ) . T h e l a t t e r , w h o s e b e l o n g i n g t o c i v i l s o c i e t yh a d b e e n m a d e p r o b l e m a t i c b y t h e i n c r e a s i n g a u t o n o m y o f r e p u b l i c a nc i vi l s o ci e ty v i s- a- v i s t h e m a rk e t, w e re s m ug g le d i n to c i vi l s o ci e ty b y ap ro ce ss o f d ou bl e i de nt if ic at io n, a s b ot h m ar ke t a ge nt s a nd s oc ia lactors.

B y 1 98 6, i t w as e vi de nt t ha t a ll t he o th er r ec om me nd at io ns o f t he

T ri la te ra l C om mi ss io n w er e t o b e a cc ep te d a s ‘‘ na tu ra l, ’’ o nc e t hr eeg r o u n d r u l e s w e r e p u t i n p l a c e : p r i v a t i z a t i o n , m a r k e t i z a t i o n , a n d l i b e r -a li za ti on . T he se t hr ee g ro un d r ul es b ec am e t he t hr ee p il la rs o f n eo li -beralism and neoliberal globalization. The following decade( 19 86 –1 99 6) w as t he h ig h t im e o f n eo li be ra li sm : w it hd ra wa l o f t hes ta te f ro m t he s oc ia l s ec to r a nd e co no mi c r eg ul at io n; m ar ke t r ul e a sb ot h e co no mi c a nd s oc ia l r eg ul at io n; p ro li fe ra ti on o f c iv il s oc ie tyo r ga n iz a ti o ns , a g gr e ga t ed u n de r t h e g e ne r al d e si g na t io n o f ‘‘ t hi r d s e c-

t o r , ’ ’ w h o s e g o a l i s t o f u l f i l l t h e h u m a n n e e d s t h a t t h e m a r k e t c a n n o tf u l f i l l a n d t h e s t a t e i s n o l o n g e r i n a c o n d i t i o n t o f u l f i l l ( S a n t o s 2002:4 3 9– 49 5 ; S a nt o s a n d J e ns o n 2000) . I t i s a l s o t h e p e r i o d i n w h i c h t h ef ai lu re s o f t he ma rk et, as t he m aj or pr in ci pl e of so ci al re gul at io n,b e c o m e e v i d e n t . T h e d r a m a t i c i n c r e a s e i n i n c o m e a n d w e a l t h p o l a r i z a -t io n, a nd i ts d ev as ta ti ng e ff ec t o n t he r ep ro du ct io n o f t he l iv el ih oo ds o f

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l ar ge b od ie s o f p op ul at io ns , t he g en er al iz ed r is e o f c or ru pt io n, t hepe rve rs e e ff ec ts o f th e m ix o f ma rke t r ul e a nd n on -r edi str ib ut ived em oc ra cy l ea di ng t o t he i mp lo si on o f s om e s ta te s a nd i nt er -e th ni c

c ivi l wa rs – a ll th es e f ac ts be ca me t oo pe rva si ve to b e di sc ard ed asa n o m a l o u s d e v i a t i o n s . I t w a s a t t h i s j u n c t u r e t h a t g o v e r n a n c e e m e r g e da s a n e w p o l i t i c a l a n d s o c i a l m a t r i x .

T he l as t t hi rty y ea rs ca n t hus be su mm ari ze d i n t hi s s equ en ce of c o n c e p t s : f r o m l e g i t i m a c y t o g o v e r n a b i l i t y ; f r o m g o v e r n a b i l i t y t o g o v -e rn an ce . T o p ut i t i n H eg el ia n t er ms , w e c an t hi nk o f g ov er na nc e a sb e i n g t h e s y n t h e s i s t h a t s u p e r s e d e s b o t h t h e t h e s i s ( l e g i t i m a c y ) a n d t h ea n ti t he s is ( g ov e rn a bi l it y ). G o ve r na n ce s e ek s , i n de e d, t o c o mb i ne t h e

d em an d f or p ar ti ci pa ti on a nd i nc lu si on c al le d f or b y t he l eg it im ac yr ea di ng o f t he s oc ia l c ri si s w it h t he d em an d f or a ut on om y a nd s el f-r e g u l a t i o n c a l l e d f o r b y t h e g o v e r n a b i l i t y r e a d i n g . H o w e v e r , i t i s a f a l s es yn th es is , s in ce i t o pe ra te s e nt ir el y w it hi n t he g ov er na bi li ty f ra me wo rk .R a t h e r t h a n r e s u s c i t a t i n g t h e l e g i t i m a c y q u e s t o f t h e 1 9 7 0 s , i t s e e k s t or e c o n s t r u c t g o v e r n a b i l i t y i n s u c h a w a y a s t o t u r n i t i n t o a n a l t e r n a t i v eco ncep t io n o f legit im acy.

2.2.2 The political meaning of neoliberal governanceI n o r d e r t o i d e n t i f y t h e p o l i t i c a l m e a n i n g o f n e o l i b e r a l g o v e r n a n c e w em u s t p a y a t t e n t i o n n o t o n l y t o w h a t i t s a y s b u t a l s o t o w h a t i t s i l e n c e s .Th e m os t i mp or ta nt s il en ces i n th e g ove rn an ce ma tri x a re : s oc ia lt r an s fo r ma t io n , p o pu l ar p a rt i ci p at i on , s o ci a l c o nt r ac t , s o ci a l j u st i ce ,p ow er r el at io ns , a nd s oc ia l c on fl ic t. T he se w er e t he c on ce pt s w it hw hi ch t he l eg it im ac y c ri si s w as f or mu la te d i n t he 1 97 0s . T he y w er e

a ls o t he c on ce pt s t ha t g ro un de d m od er n c ri ti ca l t he or y. B y s il en ci ngt h e m a n d o f f e r i n g n o p o s i t i v e a l t e r n a t i v e t o t h e m , g o v e r n a n c e s i g n a l st h e d e f e a t o f c r i t i c a l t h e o r y i n b o t h s o c i a l a n d p o l i t i c a l a f f a i r s . I n d e e d ,t h e a l t e r n a t i v e s o f f e r e d b y g o v e r n a n c e t o t h e s i l e n c e d c o n c e p t s a r e a l lo f t he m n eg at iv e i n t he s en se t ha t t he y d ef in e t he ms el ve s b y o pp os it io nt o t he legit im acy co ncep t s : r at her t han s o cial t r ans fo r m at io n, p r o b lem -s o lv i ng ; r a th e r t h an p o pu l ar p a rt i ci p at i on , s e le c te d -i n s t ak e ho l de r s’p a rt i ci p at i on ; r a th e r t h an s o ci a l c o nt r ac t , s e lf - re g ul a ti o n; r a th e r t h an

s oc ia l j us ti ce , p os it iv e s um g am es a nd c om pe ns at or y p ol ic ie s; r at he rt h a n p o w e r r e l a t i o n s , c o o r d i n a t i o n a n d p a r t n e r s h i p ; r a t h e r t h a n s o c i a lc o n f l i c t , s o c i a l c o h e s i o n a n d s t a b i l i t y o f f l o w s .

T h e s e a l t e r n a t i v e c o n c e p t s a r e n o t u n e q u i v o c a l l y n e g a t i v e . I n d e e d ,s om e o f t he m e ch o s om e o f t he a sp ir at io na l f ea tu re s o f d ee p d em oc ra cy .T h e y a r e n e g a t i v e i n s o f a r a s t h e y a r e u s e d i n o p p o s i t i o n t o t h e o t h e r


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s il en ce d c on ce pt s, r at he r t ha n a s c om pl em en ta ry p ar ts o f t he s am ep ol it ic al c on st el la ti on . T he re by , r at he r t ha n b ei ng a t t he s er vi ce o f ap ro je ct o f s oc ia l i nc lu si on a nd s oc ia l r ed is tr ib ut io n, t he y a re a t t he

s e r v i c e o f s o c i a l e x c l u s i o n a n d e c o n o m i c p o l a r i z a t i o n .A t t he co r e o f t he legit im acy cr is is w as t he id ea o f p o p u lar s o v er eignt y

and popular participation, which grounded the basic equation of enablings ocial t rans fo rm at io n: t here is no b enefit w it ho ut p ar ticipation; t here is noparticipation without benefit. This equation was based on the followingp remises: t he r ight t o d et er mine b enefit is v es ted in t ho se w ho p ar ticipate;t he condition for s uch s elf- determ inat io n is t he s elf- determ inat io n o f participation. The governance matrix deals with this equation in a com-

plex way. It acc epts the equation on the conditi on of replac in g se lf -determined participation with participation based on a principle of selec-t io n accor ding t o w hich s om e act or s, int er es ts , o r v oices are s elected inw hile o ther s are s elected o ut . Par ticipation m ay b e aut onom ou s b ut nott he criteria b y w hich p ar ticipant s are cho sen. T ho se w ho are s elected inm ay b en ef it , b ut a lwa ys a t th e c os t of t ho se w ho a re s el ec te d o ut . T heequation is thereby deradicalized and instrumentalized. If the principle of

selection is questioned and the selected out enter the picture, they may beconceded some benefits, but on the condition of not participating. If thenat ur e o r r ange o f t he b enefit s is q uest io ned b y t he s elected- in p ar ticipant s,t he se m ay b e g ra nt ed th e po ss ib il it y o f c on ti nu in g pa rt ic ip at in g b ut o n t hecondition o f not ins is ting in t he s elf- determ inat io n o f t heir b enefit s. I nex t r em e cas es , t he b enefit w ill b e s aid t o r es id e in p ar t icip at io n p er s e.

Ap plyin g th e sociology o f abse nce s (see Sa nto s a nd Ro drıguez-G ar av it o’ s c h ap te r i n t hi s v ol um e) t o g ov er na nc e, t wo n on -e xi st in g

a ct or s c an b e de te ct ed : th e s ta te a nd th e ex clu de d. T he y ar e m aden o n - e x i s t e n t i n d i f f e r e n t w a y s . T h e s t a t e p e r s e i s n o t a b s e n t , b u t r a t h e rt h e p r i n c i p l e o f s o v e r e i g n t y a n d t h e p o w e r o f c o e r c i o n t h a t g o e s w i t h i t .T he s tat e i s t he re fo re a l egi tim at e p ar tn er o f g ov er na nc e, p rov id ed t hat i tp ar ti ci pa te s i n a n on -s tat e c ap ac it y, i dea ll y o n a n e qua l f oo ti ng w it ho th er p art ne rs . Bu t t hi s i s o nl y p ar t o f t he s tor y. T he m ov eme nt f romlegit imacy t o go ver nabilit y w as b ro ught ab ou t b y t he incap acitat io n o f t h e s t a t e a s a s o c i a l r e g u l a t o r . B u t t h e s t a t e w a s n o t d e p r i v e d o f i t s r o l e a s

m eta -r eg ul at or , t ha t i s, a s t he e nti ty r es po ns ib le f or c re at in g t he s pac e f orl eg it im at e n on -s ta te r eg ul at or s. N ee dl es s t o s ay , t hi s i s a v er y d if fe re ntt yp e o f s tat e i nt er ve nt io n w he n c om pa re d wi th t he on e t hat p re si dedo v er t he s o cial d em o cr at ic co nt r act . I n t he lat t er cas e, t he s t at e s elect edt w o v er y w ell- d efined s o cial act o r s (cap it al and lab o r ) and b r o u ght t hemt o t he n eg oti ati ng t abl e, w hi ch w as c on tr oll ed b y t he s ta te , a nd s ou gh t t o

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r eac h a gre em en ts t hat c ou ld b e v er if ie d a nd e nf orc ed t hr ou gh s ta teco er cio n if necess ary. T he p olitical fo rm at ion b eing t her eby gener at edw as o ne o f i ns ti tut io na li ze d c onf li cts r at he r t ha n o f s ta bl e f lo ws ; o f

p eacefu l co ex is t ence r at her t han o f co m m o n go als .T he e xc lu de d a re m ad e n on ex is te nt i n a v er y d if fe re nt w ay . T he y

c a n n o t b e s i m p l y k e p t o u t s i d e a s t h e y w e r e i n t h e s o c i a l c o n t r a c t a n dt h e w e l f a r e s t a t e b e c a u s e , c o n t r a r y t o t h e l a t t e r , t h e g o v e r n a n c e m a t r i xd oe s n ot a cc ep t t he b in ar y i ns id e/ ou ts id e. W ha te ve r i s o ut si de i s n otc on ce iv ed a s a s ou rc e o f a n e na bl in g p ow er t ha t c an t ur n e xc lu si on i nt oi n cl u si o n. I n cl u si o n a n d e x cl u si o n a r e t h er e by d e po l it i ci z ed . T h ey a r et ec hn ic al d im en si on s o f c oo rd in at io n. I n t he a bs en ce o f a s ov er ei gn

c om ma nd , e xc lu si on o nl y e xi st s a s t he d il em ma o f e xc lu si on : h ow t o g etp ow er t o f ig ht f or i nc lu si on i n t he g ov er na nc e c ir cl e i f a ll t he p ow ert h e r e i s d e r i v e s f r o m b e l o n g i n g t o t h e g o v e r n a n c e c i r c l e .

Cr it ical t heo r is t s o f law , m ys elf inclu d ed , hav e w r it t en t hat t he m o d -e rn j ur idi fi c at io n o f s oc ia l l i fe – t ha t i s, t he c on ce pt io n o f s oc ia l t ra ns -f or ma ti on a s s tr ug gl e f or r ig h ts r eg ul at ed b y l ib er al d em oc ra cy a nd t her u l e o f l a w – h a s m e a n t t h e r e c e d i n g o f p o l i t i c s a s t h e p r o t e c t i o n o f m o r e

and m o r e s o cial int er es t s b ecam e a fu nct io n o f t echnically m ind ed legale xp er ts r at he r t ha n o f p ol it ic al m ob il iz at ion a nd po li ti cal l ev er ag e(Santos 1995, 2002). I n a r etr os p ect iv e com p ar iso n, t he ju rid ical p ara-d igm a pp ea rs as mu ch mor e p ol iti ca l th an th e g ove rn an ce m at ri x.C ri ti ca l t he or is ts h av e a rg ue d t ha t t he d ep ol it ic iz at io n b ro ug ht a bo utb y l a w w a s a h i g h l y p o l i t i c a l o p t i o n . T h e s a m e i s t r u e o f g o v e r n a n c e .

T he c on ce pt io n o f g ov er na nc e a s n eo li be ra l g ov er na nc e m ay b ed is pu te d b ec au se , a ft er a ll , t he i de ol og ic al a nd t ec hn ic al c on ce pt ua l

a p p a r a t u s o f g o v e r n a n c e i s a t o d d s w i t h t h e o n e t h a t u n d e r l i e s m a r k e tr u le . I n st e ad o f c o mp e ti t io n , c o or d in a ti o n a n d p a rt n er s hi p ; i n st e ad o f c re at iv e d es tr uc ti on , s oc ia l p ro bl em s; i ns te ad o f p ro fi ta bi li ty , s oc ia lc oh es io n; i ns te ad o f u ni nt en de d c on se qu en ce s, c on se qu en ce s t o b ed e a l t w i t h a s i f t h e y w e r e i n t e n d e d ; i n s t e a d o f m a r k e t , c i v i l s o c i e t y . I ns um , t he g ov er na nc e m at ri x h as e me rg ed t o c or re ct m ar ke t f ai lu re si m p e l l e d b y a s o c i a l r a t h e r t h a n a n e c o n o m i c l o g i c . T h e h i g h p e r i o d o f n e o l i b e r a l i s m s a w i n d e e d t h e e x p o n e n t i a l g r o w t h o f c i v i l s o c i e t y o r g a -

n i z a t i o n s , a n d N G O s , m a n y o f t h e m w i t h t h e p u r p o s e o f o f f e r i n g s o m er e l i e f t o p o p u l a t i o n s c a u g h t b y t h e p h a s i n g o u t o f t h e s a f e t y n e t s o n c ep r o v i d e d b y t h e w e l f a r e s t a t e a n d u n a b l e t o b u y w e l f a r e i n t h e m a r k e t .

T h e r e s u r g e n c e o f c i v i l s o c i e t y i n t h e 1 9 8 0 s a n d 1 9 9 0 s i s a c o m p l e xp heno m eno n no n- s u s cep t ib le o f m o no cau s al ex p lanat io n. I d is t ingu is ht hr ee d if fe re nt p ro ce ss es . T he f ir st p ro ce ss i s c om pr is ed b y t he c iv il


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s oc ie ty o rg an iz at io ns ( CS Os ) t ha t e me rg ed i n C en tr al a nd E as te rnE u r o p e t o r e c l a i m a n a u t o n o m o u s n o n - s t a t e p u b l i c s p h e r e f r o m w h e r et o f ig ht a ga in st t he a ut ho ri ta ri an s ta te s oc ia li st r eg im es . T he y w er e v er y

i nf lu en ti al i n t he p er io d o f d em oc ra ti c t ra ns it io n t ha t f ol lo we d t hed e m i s e o f t h e s o c i a l i s t r e g i m e s . A s i m i l a r t y p e o f c i v i l s o c i e t y e m e r g e di n m an y L at in A me ri ca n c ou nt ri es d ur in g t he p er io d o f d em oc ra ti ct ra ns it io n t ha t f ol lo we d t he d em is e o f t he m il it ar y d ic ta to rs hi ps t ha th a d r u l e d f r o m t h e m i d - 1 9 6 0 s o r m i d - 1 9 7 0 s t o t h e m i d - 1 9 9 0 s . W h i l e i nC en tr al a nd E as te rn E ur op e C SO s q ue st io ne d b ot h t he p ol it ic al a ndt he e con omi c re gi me , i n L at in Am eri ca th e C SO s qu es ti on ed t hea ut hor it ari an p ol it ic al r eg ime b ut , i n ge ne ral , n ot t he e con omi c

m o d e l b e i n g p u t i n p l a c e c o n c o m i t a n t l y w i t h d e m o c r a c y , i . e . n e o l i b e r -a l i s m . W h e n t h e d e m o c r a t i c t r a n s i t i o n s w e r e c o m p l e t e d , m o s t o f t h e s eC SO s d is ap pe ar ed , t ur ne d i nt o p ol it ic al p ar ti es o r c on su lt an cy o rl ob by in g f ir ms , o r r ec on st ru ct ed t he ms el ve s s o a s t o f it t he t hi rd t yp eo f C S O s m e n t i o n e d b e l o w .

T he s ec on d p ro ce ss i s t he m os t c lo se ly r el at ed t o t he g ov er na bi li tyc r i s i s a n d c o n s i s t s o f C S O s t h a t q u e s t i o n e d n e i t h e r t h e p o l i t i c a l r e g i m e

( l ib e ra l d e mo c ra c y) n o r t h e e c on o mi c m o de l ( n eo l ib e ra l c a pi t al i sm )b ut r at he r s aw t he ms el ve s a s s ol id ar it y o rg an iz at io ns f ul fi ll in g t heh u ma n n e ed s o f v i ct i ms o f e c on o mi c r e st r uc t ur i ng , d i sp o ss e ss i on , d i s-c r im i na t io n , e n vi r on m en t al d e gr a da t io n , w a rf a re , m a ss i ve v i ol a ti o ns o f h u m a n r i g h t s , a n d s o o n . T h e y a r e t h e b u l k o f t h e t h i r d s e c t o r o r t h e

NGOs field. Their focus is on the private, not on the public; on thes oc ia l, n ot o n t he p ol it ic al ; o n t he m ic ro , n ot o n t he m ac ro ( li be ra ld em o cr acy, neo lib er al cap it alis m ).

F in al ly , t he re i s a t hi rd p ro ce ss u nd er ly in g t he r es ur ge nc e o f c iv ils o c i e t y . I t c o m p r i s e s t h e C S O s , m a n y o f t h e m o r i g i n a t i n g i n n e w s o c i a lm ov em en ts , bo th i n t he S out h a nd i n th e No rt h, t ha t f igh t a gai nstn eo li be ra l g lo ba li za ti on . A lt ho ug h m an y o f t he m p ro vi de s er vi ce ss imi lar to t hos e of th e CS Os of t he se con d t ype , th ey f ra me t he ir a cti on si n a b r o a d e r c o n c e p t o f p o l i t i c a l a c t i v i s m . T h e y q u e s t i o n t h e h e g e m o -n i c m o d e l o f d e m o c r a c y a n d a d v o c a t e p a r t i c i p a t o r y g r a s s r o o t s d e m o c -r ac y. T he y r ef us e t he i de a t ha t t he re i s n o a lt er na ti ve t o n eo li be ra l

g l ob a li z at i on , c o ns i de r t h em s el v es a n ti - ca p it a li s ti c , a n d a d vo c at e a l te r -n a ti v e e c on o mi e s, a l te r na t iv e m o de l s o f d e ve l op m en t , o r a l te r na t iv e st o d ev el op me nt . A lt ho ug h m os t o f t he m a re l oc al ly b as ed , t he y n et -w o r k w i t h s i m i l a r o r g a n i z a t i o n s i n o t h e r l o c a l e s a n d w i t h g l o b a l o r g a -n iz at io ns . T he se l oc al /g lo ba l l in ka ge s a nd n et wo rk in g c on st it ut ecounter-hegemonic globalization.

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T he l an ds ca pe o f C SO s i s t hu s v er y r ic h a nd di ve rs e. Th e d if fe re ntp ro ce ss es t ha t ac co un te d fo r th e r es ur ge nc e o f C SO s in t he 1 98 0s a nd1 99 0s l ed to tw o m ai n t yp es of c iv il s oc ie ty . Th e f ir st on e i s th e l ib er al

c i vi l s o ci e ty , c o ns t it u te d b y t h e C S Os o f t h e f i rs t k i nd d e sc r ib e d a b ov e .The second t ype is t he subaltern, counter-hegemoni c civi l soci ety,c on si st in g of t he s oc ia l m ov eme nt s a nd CS Os th at ke ep i n un sta bl eb al an ce t he m ac ro an d t he m ic ro , t he p ub li c a nd t he p ri va te , t he s oc ia land the political, by focusing on the deeper causes of the humansuffering they seek to minimize. They are involved in the creation of s ub al te rn n on -s ta te p ub li c s ph er es a t th e l oc al , na ti on al , an d g lo ba lscale.

T hi s cl ea va ge b et we en t wo m aj or t yp es o f c iv il s oc ie ty e xp la in s th ec en tra li ty of th e pr in ci pl e o f se le ct ion i n th e g ove rn an ce m at ri x. T heselected-in civil society is the liberal civil society because only itso r ganiz atio ns s har e t he v alu es t hat u nd er lie s elf-r egu lat ed co o rd inatio na n d p a rt n er s hi p . P r ob l em s o lv i ng a n d s o ci a l c o he s io n a r e b e st a c hi e ve dw he n p ol it ic s o r i de ol og y d oe s n ot in te rf er e w it h t he c on st ru ct io n o f c om mo n g oa ls a n d c o mm on i nt er es ts . O nl y o pe n- en de d, f r a gm en te d,

p r ag m at i c c o nc e pt i on s o f i n te r es t s a nd b e n e fi t s c a n b e m a de i n te l li g ib l et o a nd ha ve a n i mp ac t o n t he m ar ke t, t he m os t f le xi bl e a nd i nd et er mi -n at e i ns ti tu ti on o f a ll , t he re by h el pi ng t he m ar ke ts t o f l ou ri sh u ni m-p e d e d b y t h e i r a l l t o o e v i d e n t f a i l u r e s .

I n l ig ht o f t hi s, n eo li be ra l g ov er na nc e o pe ra te s w ha t D e A ng el is c al ls‘‘Po lanyi’s inv ers io n’’ (2003: 23 ). Wh il e P ol an yi a rg ue d t ha t t he e co n-o my i s e mb ed de d i n s oc ie ty , t he g ov er na nc e m at ri x i s p re mi se d u po nt h e n e e d t o e m b e d s o c i e t y i n t h e e c o n o m y . A s t h e U N g l o b a l c o m p a c t

s ta te s, ‘‘ th e r at io na le i s t ha t a c om mi tm en t t o c or po ra te c it iz en sh ips h o u l d b e g i n w i t h t h e o r g a n i z a t i o n i t s e l f b y e m b e d d i n g u n i v e r s a l p r i n -c ip le s a nd v al ue s i nt o t he s tr at eg ic b us in es s v is io n, o rg an iz at io na lc u l t u r a l a n d d a i l y o p e r a t i o n s ’ ’ ( U N 2 0 0 0 : 3 ) .

I n o th er w or ds , t he ‘‘ un iv er sa l v al ue s’’ a re g oo d f or b us in es s a nd o nt h i s p r e m i s e l i e s t h e v o l u n t a r y c h a r a c t e r o f t h e c o m p a c t ( s e e S h a m i r ’ schapter in this volume). There is no possi bility of such values orp ri nc ip le s e nd an ge ri ng t he p ro fi ta bi li ty t ha t g ro un ds t he f l ou ri sh in g

o f e c o n o m i c o r g a n i z a t i o n s – a s w a s t h e c a s e , f o r i n s t a n c e , w i t h t a x a t i o nw h e n i t w a s f i r s t i m p o s e d . B e c a u s e i t w a s i m p o s e d , t h e p u b l i c p o l i c y o f t ax at io n e nd ed u p s el ec ti ng t he b us in es se s t ha t c ou ld s ur vi ve u nd ert ax at io n. O n t he c on tr ar y, i n t he g ov er na nc e m at ri x i t i s u p t o b us i-n es se s t o s el ec t t he v al ue s a nd p ri nc ip le s t he y c an l iv e w it h. E ve n w he n,u n de r p r es s ur e f r om a c ti v is t s p u rs u in g n e ga t iv e p ub l ic i ty c a mp a ig n s,


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b u s i n e s s e s a g r e e t o a b i d e b y b a s i c c o d e s o f c o n d u c t , t h e y d o s o b a s e d o neco no m ic (r at her t han s o cial) calcu lat io ns .

In light of this, I would suggest that governa nce is a genetically

m od ified for m o f law and gov er nm ent t hat s eeks t o m ak e its elf r es is tantt o t wo d angero us p lagu es : o n o ne s id e, b ot to m- up , p ot entially chaot icp re ss ur es ; o n t he o th er s id e, u np re di ct ab le c ha ng es i n t he r ul es o f t he g am eof capital accumulation brought about by state or inter-state regulation.

2.2.3 Social struggles within the governance frameT h e h i s t o r i c a l r e l a t i o n s h i p b e t w e e n d e m o c r a c y a n d c a p i t a l i s m i s n o n -l in ea r, i f f or n o o th er r ea so n be ca us e i n th e l ast tw o h un dr ed y ea rs

d iffer ent m o d els o f d em o cr acy (Macp her s o n 1966, 1977; H e l d 1987) asw e l l a s d i f f e r e n t m o d e l s o f c a p i t a l i s m h a v e b e e n i n p l a c e ( B o y e r 1986;B oy er a nd D ra ch e 1996; S an tos 2001) . T hr ou gh ou t t he t we nt ie thc en tu ry t he t en si on b et we en d em oc ra cy a nd c ap it al i sm i n t he g lo ba l

North centered around the question of social redistribution. This waso ne of t he c ore que sti on s un de rl yi ng th e cr is is of l eg iti ma cy i n th e1 97 0s . Th e c on ve rs ion o f th e c ri si s of l egi ti ma cy i nt o t he c ri si s o f

g ov er na bi li ty w as t he c ap it al is t r es po ns e t o t he p re ss ur es f or w id era n d d e ep e r s o ci a l r e di s tr i bu t io n . N e ol i be r al i sm n e ut r al i ze d o r s t ro n gl yw e ak e ne d t h e d e mo c ra t ic m e ch a ni s ms o f s o ci a l r e di s tr i bu t io n : s o ci a la nd e co no mi c r ig ht s a nd t he w el fa re s ta te . D ep ri ve d o f i ts r ed is tr ib ut iv ep o t e n t i a l , d e m o c r a c y b e c a m e f u l l y c o m p a t i b l e w i t h c a p i t a l i s m , a n d t os u c h a n e x t e n t t h a t t h e y b e c a m e t h e t w i n c o n c e p t s p r e s i d i n g o v e r t h en ew g lo ba l m od el o f s oc ia l a nd p ol i ti ca l a ff ai rs , b ei ng i mp os ed w or ld -w id e b y n eo li be ra l g lo ba li za ti on , s tr uc tu ra l a dj us tm en t p ol i ci es a nd ,

l a t e l y , b y n e o c o l o n i a l w a r f a r e a s w e l l .T h i r t y y e a r s l a t e r , t h e q u e s t i o n o f r e d i s t r i b u t i o n i s m o r e s e r i o u s t h a n

e v e r . T h e r a t e s o f e x p l o i t a t i o n h a v e r e a c h e d s u c h h i g h l e v e l s i n s o m es e c t o r s o f p r o d u c t i o n a n d s o m e r e g i o n s o f t h e w o r l d t h a t , t o g e t h e r w i t ht h e m e c h a n i s m s u s e d t o o b t a i n t h e m , t h e y s u g g e s t t h a t w e a r e e n t e r i n ga new period of primitive capital accumulation. Moreover, theu ne xp lo it ed o r u ne xp lo it ab le p op ul at io ns a re in a n e ve n m or e d ra ma ti cs it ua ti on a s t he c on di ti on s o f r ep ro du ct io n o f t he ir l iv el ih oo ds h av e

d e te r io r at e d d u e t o e c on o mi c r e st r uc t ur i ng a n d e n vi r on m en t al d e gr a -d a ti o n. T h ey h a ve b e en d e cl a re d d i sc a rd a bl e p o pu l at i on s . F i na l ly , t h et ri ad ic r ec ip e o f p ri va ti za ti on , m ar ke ti za ti on a nd l ib er al iz at io n h aseroded the state-sponsored commons and transformed it into an e w g e n e r a t i o n o f e n c l o s u r e s . A n e w f o r m o f i n d i r e c t r u l e h a s e m e r g e din which powerful economic actors hold an immense amount of

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u n ac c ou n ta b le p o we r o f c o nt r ol o v er t h e b a s ic l i ve l ih o od s o f p e op l e, b et h e y w a t e r , e n e r g y , s e e d s , s e c u r i t y , o r h e a l t h .

S oc ia l r ed is tr ib ut io n i s t he m os t s er io us i ss ue c on fr on ti ng u s a t t he

b eg in ni ng o f t he t we nt y- fi rs t c en tu ry . B ut i t i s n ot t he o nl y o ne . S in cet he 1 9 8 0 s , t he is s u e o f s o cial r ed is t r ib u t io n has b een co m p o u nd ed b y t heis s u e o f t he r eco gnit io n o f d iffer ence. T o d ay w e liv e in s o ciet ies t r em en-d ou sl y u ne qu al , bu t e qu al it y i s n ot t he o nl y va lu e w e c he ri sh . We a lsocher is h d iffer ence, eq u al d iffer ence, an as p ir at io n w hich w as no t p r o m i-n e n t l y p r e s e n t i n t h e c o n c e p t i o n o f t h e c r i s i s o f l e g i t i m a c y o f t h e 1 9 7 0 s .

T he l it mu s t est f or g ove rn an ce i s t he re fo re th e e xte nt t o wh ic h i t c anc o n f r o n t b o t h t h e q u e s t i o n o f s o c i a l r e d i s t r i b u t i o n a n d t h e q u e s t i o n o f

t h e r e c o g n i t i o n o f d i f f e r e n c e . I n l i g h t o f w h a t I s a i d a b o v e , I d o n o t s e ea ny p ot en ti al f or m ea ni ng fu l s oc ia l r ed is tr ib ut io n b ei ng g en er at ed i nt h e g o v e r n a n c e m a t r i x . G o v e r n a n c e m a y b e t t e r a d d r e s s t h e q u e s t i o n o f r e c o g n i t i o n o f d i f f e r e n c e t h a n t h e q u e s t i o n o f s o c i a l r e d i s t r i b u t i o n , b u te v e n h e r e t h e s t r u c t u r a l l i m i t a t i o n s o f g o v e r n a n c e w i l l s u r f a c e .

T hi s d oe s n ot m ea n t ha t g ov er na nc e a rr an ge me nt s w il l n ot b ri ngs om e b en ef it s t o t he m or e d is ad va nt ag ed g ro up s w it hi n t he c ir cl e o f

p ar tn er sh ip . S uc h b en ef it s m ay e ve n s pi ll o ve r t o t he e xc lu de d. B ut t hi sd oe s n ot e nt ai l a ny p ot en ti al f or e na bl in g p op ul ar p ar ti ci pa ti on o r f orsocial redistribution as a matter of right. In other words, what isb en ef ic ia l d oe s n ot d et er mi ne , b y i ts el f, w ha t i s e ma nc ip at or y. I f t hep o p u l a t i o n o f t h e h o m e l e s s i s g r o w i n g e x p o n e n t i a l l y , i t i s a g o o d t h i n gt ha t h om eo wn er s a ll ow t he m t o t ak e s he lt er i n t he p or ch es o f t he irh ou se s. I t i s b et te r t ha n n ot hi ng . B ut , b ec au se o f i ts v ol un ta ry c ha r-a c t e r , r e d i s t r i b u t i o n i s a c h i e v e d u n d e r t h e l o g i c o f p h i l a n t h r o p y . T h a t

i s , i t d o e s n o t o c c u r i n a n e n a b l i n g w a y , i n r e c o g n i t i o n o f b o t h t h e r i g h tt o t he b en ef it a nd t he r ig ht t o r ec la im t he e ff ec ti ve ne ss o f t he e co no mi cr i g h t i n a n a u t o n o m o u s , p a r t i c i p a t o r y w a y .

I t m ay b e a rg ue d t ha t, u nd er c er ta in c ir cu ms ta nc es , t he v ol un ta ryc ha ra ct er o f c om pl i an ce i s m or e v ir tu al t ha n r ea l, g iv en t he p re ss ur ese xe rt ed u po n t he g ov er na nc e c ir cl e, o ft en t im es f ro m t he o ut si de . I nt hi s c as e, d if fe re nt s oc ia l p ro ce ss es m ay b e a t w or k a nd t he y m us t b edi sti ng ui sh ed . I n or de r to i ll ust ra te th is I r ef er v ery br ie fl y t o tw o

e xa mp le s o f o ut si de p re ssu re b ro ug ht a bo ut b y t he s ta te . I t ake th ef i rs t e x am p le f r om C es a r R od r ıgu ez -G ar avit o ’s (2005) study on theo p e r a t i o n o f c o d e s o f c o n d u c t i n a p p a r e l s w e a t s h o p s i n G u a t e m a l a . I nthe process of negotiation of the Central America Free TradeA gr ee me nt ( CA FT A) , t he G ua te ma la n s ta te w as p re ss ur ed b y t heU S g ov er nm en t t o b e m or e a ct iv e i n t he r ep re ss io n o f h um an r ig ht s


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v i o l a t i o n s i n t h e w o r k p l a c e . R i s k i n g b e i n g e x c l u d e d f r o m C A F T A , t h eG ua tem al an s tat e, i n t urn , p ut p re ssu re on t he a pp ar el br an d ( Li zC la ib or ne ) a nd i ts s up pl i er f ac to ry t o c om pl y w it h t he f or me r’ s c od e

o f c on du ct , w hi ch e ve nt ua ll y a ll ow ed f or t he u ni on iz at io n o f w or ke rs a tt he f ac tor y. I n t he se co nd c as e, a s a na ly zed by He in z K lug i n h is c ha pt eri n t hi s v ol um e, t he S ou th A fr ic an s ta te , p re ss ur ed b y a s tr on g s oc ia lm ov em en t c al l in g f or f re e o r a ff or da bl e a nt ir et ro vi ra l m ed ic in es f orH I V/AI DS p at ient s , s u cces s fully p r ess u r es t he p har maceu tical co m p a-n ie s t o w it hd ra w t he ir s ui t a ga in st c om pu ls or y l i ce ns in g a nd t he p ro -d u c t i o n o f g e n e r i c s a n d t o l o w e r t h e p r i c e s o f t h e i r b r a n d p r o d u c t s .

I t i s i mp or ta nt t o n ot e t ha t i n b ot h c as es t h e s ta te , w hi ch h a d e je ct ed

i ts el f f ro m s oc ia l r eg ul at io n, i nt er ve ne s s up po se dl y f ro m t he o ut si de ,u si ng i ts s ov er ei gn p re ro ga ti ve , i f n ot f or ma ll y a t l ea st i nf or ma ll y, t o p utp re ss ur e o n t he g ov er na nc e c ir cl e a nd o bt ai n a g iv en o ut co me , c on -s id er ed p ol it ic al ly i mp or ta nt . B ut w hi le i n t he G ua te ma la n c as e t hes t at e i n te r ve n es u n de r p r es s ur e f r om a b ov e a n d t h e b e ne f it e d w or k er sa r e n o t c a l l e d u p o n t o p a r t i c i p a t e i n t h e d e l i b e r a t i o n o v e r t h e b e n e f i t s ,i n t he S ou th Af ri ca n c as e th e s ta te i s p re ssu red f ro m be lo w a nd y ie ld s to

t h e p r e s s u r e o f t h e s o c i a l m o v e m e n t . I n d e e d , t h e s t a t e j o i n s f o r c e s w i t ht h e s o c i a l m o v e m e n t f o r t h a t p a r t i c u l a r p u r p o s e . I n t h e f i r s t c a s e , i f t h eb e n e f i t s a r e t a k e n a w a y f r o m t h e w o r k e r s , t h e y w i l l b e a s p o w e r l e s s a sb e f o r e t o r e c l a i m t h e m . I n t h e s e c o n d c a s e , t h e s t a t e a c t i o n c o n t r i b u t e st o e mp ow er t he s oc ia l m ov em en t, t o e nh an ce i ts l ev er ag e i n s oc ia lc on te st at io n i n a p ar ti cu la r c as e a nd p os si bl y i n o th er f ut ur e c as es ,e ve nt ua ll y e ve n a ga in st t he s ta te . I n s um , t he se t wo c as es s ho w t ha tt h e s t a t e i s t h e p r e s e n t – a b s e n t s t r u c t u r e o f t h e g o v e r n a n c e m a t r i x – a

f ac t t ha t i s b es t r ev ea le d i n c on di ti on s o f i ns ti tu ti on al s tr es s – w hi chm eans t hat t he go ver nance m atr ix o per at es insid e t he ‘‘s elf-o ut s id ed nes s’’of the state. The cases also show that, notwithstanding theu nf av or ab le c on di ti on s o f t he p re se nt , t he e na bl in g s tr ug gl e f or t her ig ht t o s oc ia l r ed is tr ib ut io n – t he r ig ht t o h av e r ig ht s, i n A re nd t’ sf or mu la ti on (1968: 177) – may have some success, not because of g o v e r n a n c e , b u t i n s p i t e o f g o v e r n a n c e .

B ef or e c on cl ud in g t he e xa mi na ti on o f t he g ov er na nc e m at ri x, i t i s

i mp or ta nt t o s tr es s t ha t, w hi le I q ue st io n t he s el f- ch ar ac te ri za ti on o f g ov er na nc e a s ‘‘ po st -s ta te ,’’ i t i s n ot m y p ur po se t o d ef en d a r et ur n t o t heo l d f o r m s o f s t a t e - c e n t e r e d r e g u l a t i o n – w h i c h i n a n y c a s e w e r e a l w a y sr e l a t i v e l y u n d e r d e v e l o p e d i n t h e U S ( a t l e a s t w h e n c o m p a r e d w i t h t h eE u r o p e a n f o r m s o f r e g u l a t i o n ) . M y p u r p o s e i s r a t h e r t o a d v a n c e a n e wf or m o f r eg ul at io n t ha t, w it ho ut d is pe ns in g w it h t he e ne rg y o f c iv il

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s o c i e t y ( b o t h i n i t s l i b e r a l a n d c o u n t e r - h e g e m o n i c f o r m s ) a t t r i b u t e s t ot h e n a t i o n a l s t a t e o r t o s u p r a n a t i o n a l d e m o c r a t i c p o l i t i c a l i n s t i t u t i o n sth e s tr ate gi c r ol e o f de fi ni ng t he i ne qu al iti es o f po we r wi th in th e

g ov er na nc e c ir cl e a s p ol it ic al p ro bl em s t o b e d ea lt w it h i n p ol it ic alt e r m s . T o t h i s t y p e o f l e g a l i t y a n d g o v e r n a n c e I n o w t u r n .

2.2.4 Are there other stories of governance?I n t h i s s e c t i o n I h a v e s o f a r d e a l t w i t h n e o l i b e r a l g o v e r n a n c e . I t m a ya p p e a r t o b e ‘ ‘ t h e o n l y g a m e i n t o w n . ’ ’ B u t i t i s n o t . A s a r g u e d a b o v e ,i n r e c e n t y e a r s n e o l i b e r a l g l o b a l i z a t i o n , a l b e i t s t i l l t h e d o m i n a n t f o r mo f g lo ba li za ti on , h as b ee n c on fr on te d w it h a no th er f or m – c ou nt er -

h eg em on ic g lo ba li za ti on . I n t he l as t t en y ea rs , a nd m os t c le ar ly s in cet h e S e a t t l e p r o t e s t s a t t h e 1 9 9 9 W T O m e e t i n g , a n o t h e r f o r m o f g l o b a l -i z a t i o n h a s b e e n e m e r g i n g b y f o r c e o f t h e s o c i a l m o v e m e n t s a n d c i v i ls o ci e ty o r ga n iz a ti o ns t h at , t h ro u gh l o ca l /g l ob a l l i nk a ge s , a r e c o nd uc t -i n g a g l o b a l s t r u g g l e a g a i n s t a l l t h e f o r m s o f o p p r e s s i o n b r o u g h t a b o u to r i nt en si fi ed b y n eo li be ra l g lo ba li za ti on . I n t he n ex t s ec ti on I w il le l a b o r a t e o n t h e p o l i t i c a l c o n d i t i o n s f o r t h e e m e r g e n c e o f a s u b a l t e r n

c o s m o p o l i t a n l e g a l i t y a s d e r i v e d f r o m t h e p r a c t i c e s o f t h e s o c i a l m o v e -me nt s an d N GOs c om in g t og eth er at t he WS F. I ar gue t ha t, i n th ew om b o f t hi s a lt er na ti ve c ou nt er -h eg em on ic g lo ba li za ti on , a no th ergo ver nance m atr ix is b eing gener at ed, an insu r gent co unter -hegem onicgovernance. It entails articulation and coordination among an immensev ar iet y of s oc ia l mo ve me nt s a nd c ivi l s oc ie ty o rg an iz at io ns w it h t hep ur po se o f c om bin in g s tr at eg ie s a nd t ac ti cs , d efi ni ng a gen da s, a ndp lanning and car r ying o u t co llect iv e act io ns .

S t ri k in g ly , t h e m a in f e at u re s o f t h e n e ol i be r al g o ve r na n ce m a tr i x a r ea l so p r es e nt i n t h e i n su r ge n t g o ve r na n ce m a tr i x: v o lu n ta r y p ar ti c ip a-tion, horizontality, autonomy, coordination, partnership, self-regulation,e t c . D i f f e r e n t h i s t o r i c a l t r a j e c t o r i e s h a v e l e d t o t h i s s u r p r i s i n g c o n v e r -g en ce . O n t he s id e o f n eo li be ra l g ov er na nc e, t he d ri vi ng i mp ul se h asbe en th e r ej ec ti on of s ta te ce nt ra li sm a nd s ta te c oe rci on a nd t hef o r m u l a t i o n o f a n e w m o d e l o f s o c i a l r e g u l a t i o n b a s e d o n t h e i n t e r e s t sa nd v ol un ta ry p ar ti ci pa ti on o f t he s ta ke ho ld er s. O n t he s id e o f c ou nt er -

h eg em on ic g ov er na nc e, a s s ho wn i n t he n ex t s ec ti on , t he o ri gi na ti ngi mp ul se h as b ee n t he r ej ec ti on o f t he w or ki ng c la ss p ar ti es a nd l ab oru n i o n s a s t h e p r i v i l e g e d h i s t o r i c a l a g e n t s a n d m o d e s o f o r g a n i z a t i o n o f p ro gr es si ve s oc ia l t ra ns fo rm at io n a nd t he f or mu la ti on o f a n ew m od el o f s o c i a l e m a n c i p a t i o n b a s e d o n t h e r e c o g n i t i o n o f t h e p l u r a l i t y o f e m a n -c i p a t o r y a g e n c y a n d s o c i a l t r a n s f o r m a t i v e g o a l s .


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E v en m o re s t ri k in g i s t h e f a ct t h at c o un t er - he g em o ni c g o ve r na n cef ac es s om e o f t he c ha ll en ge s a nd d il em ma s t ha t c on fr on t n eo li be ra lg ov er na nc e. F or i ns ta nc e, i n b ot h c as es a p ri nc ip le o f s el ec ti on i s a t

w or k. I n t he c as e o f c ou nt er -h eg em on ic g ov er na nc e, t he m os t e xc lu de ds oc ia l g ro up s, t ho se t ha t w ou ld c on ce iv ab ly b en ef it m os t f ro m a s uc -c e s s f u l s t r u g g l e a g a i n s t n e o l i b e r a l g l o b a l i z a t i o n , d o n o t p a r t i c i p a t e a n da re u nl ik el y t o s ee t he ir i nt er es ts a nd a sp ir at io ns t ak en i nt o a cc ou nt .T he n eg at iv e u to pi a t ha t a gg re ga te s a ll t he m ov em en ts a nd N GO s –the refusal of the idea that there is no alternati ve to the currentc a p i t a l i s t g l o b a l d i s o r d e r – c o e x i s t s w i t h t h e d i f f e r e n t a n d e v e n c o n t r a -d i c t o r y i n t e r e s t s , s t r a t e g i e s , a n d a g e n d a s t h a t d i v i d e t h e m . T h e s t r u g g l e

t o e xp an d t he c ir cl e o f c ou nt er -h eg em on ic g ov er na nc e g oe s o n, a nds o m e o f t h e m o v e m e n t s a n d N G O s t h a t p a r t i c i p a t e i n i t a r e t h e s a m eones that struggle for the expansion of the circle of neoliberalgovernance.

W il l n eo li be ra l g ov er na nc e a nd c ou nt er -h eg em on ic g ov er na nc ee ve r m ee t i n a d ia le ct ic al s yn th es is o f g lo ba l g ov er na nc e? A s I a rg ueb e l o w , t h i s i s v e r y i m p r o b a b l e . A r e t h e y g o i n g t o i n f l u e n c e e a c h o t h e r ?

T h i s i s p o s s i b l e a n d , i n d e e d , i t i s a l r e a d y o c c u r r i n g , a s t h e e x a m i n a t i o no f t h e W S F i n t h e n e x t s e c t i o n w i l l l a y b a r e .

2.3 T H E W O R L D S O C I A L F O R U M A S A S U B A L T E R N

C O S M O P O L I T A N P O L I T I C S A N D L E G A L I T Y O F T H E

G L O B A L S O U T H

2.3.1 The WSF as subaltern cosmopolitan politics and legality

T h e W S F r e p r e s e n t s o n e o f t h e m o s t s u s t a i n a b l e m a n i f e s t a t i o n s o f a ne me rg en t s ub al te rn , c ou nt er -h eg em on ic g lo ba l c iv il s oc ie ty . I n i tsb ro ad es t d ef in it io n, t he W SF i s t he s et o f i ni ti at iv es o f t ra ns na ti on ale xc ha ng e a mo ng s oc ia l m ov em en ts a nd N GO s, a rt ic ul at in g l oc al ,n a t i o n a l , o r g l o b a l s o c i a l s t r u g g l e s c o n d u c t e d ( i n a c c o r d a n c e w i t h t h eP o r t o A l e g r e C h a r t e r o f P r i n c i p l e s ) a g a i n s t a l l t h e f o r m s o f o p p r e s s i o nb r o u g h t a b o u t o r m a d e p o s s i b l e b y n e o l i b e r a l g l o b a l i z a t i o n .

I n p r a c t i c e , t h e W S F i s t h e s e t o f f o r u m s ( g l o b a l , r e g i o n a l t h e m a t i c ,

a nd l oc al ) t ha t a re o rg an iz ed a cc or di ng t o t he C ha rt er o f P ri nc ip le s.T h e W S F i s n o t c o n f i n e d t o t h e f i v e m e e t i n g s t h a t h a v e t a k e n p l a c e i nP or to A le gr e ( Br az il ) i n 2 00 1, 2 00 2, 2 00 3, a nd 2 00 5, a nd i n M um ba i( In di a) i n 2 00 4. I t a ls o i nc lu de s a ll t he o th er f or um s t ha t h av e b ee nm ee ti ng p ar al le l t o t he W SF : t he s ev er al e di ti on s o f t he ma ti c f or um ss uc h a s th e F or um o f L oc al Au th ori ti es , th e Wo rl d P ar li ame nt ar y

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F or um , t he W or ld E du ca ti on F or um , t he W or ld F or um o f J ud ge s, t heWor ld Tr ade Un io ns Fo ru m, t he Wo rl d Wa te r Fo ru m, t he Wor ldCh ora l Fo ru m, th e Wo rl d Ju ni or Fo ru m, an d th e F or um of S ex ua l

Di ve rs it y. It i nc lud es a lso al l t he f or um s th at h av e ta ke n p la ce ont h e i r i n i t i a t i v e f o r t h e p a s t f e w y e a r s – n a t i o n a l , r e g i o n a l , a n d t h e m a t i cf o r u m s . T h e s e a r e t o o n u m e r o u s t o l i s t f u l l y . A m o n g t h e r e g i o n a l o n e sa re t he s ev er al e di ti on s o f t he P an -A ma zo ni c F or um , t he E ur op ea nS oc ia l F or um , t he A fr ic a S oc ia l F or um , a nd t he S oc ia l F or um o f t heA me ri ca s. A mo ng t he t he ma ti c f or um s, s pe ci al m en ti on s ho ul d b ema de of th e f ir st t he ma ti c f or um , h el d i n Ar gen ti na i n S ept emb er2 0 0 2 , o n t h e C r i s i s o f N e o l i b e r a l i s m i n A r g e n t i n a a n d t h e C h a l l e n g e s

f or t he Gl oba l Mo ve me nt , a nd th e Fo ru m o n D emo cr ac y, Hu ma nR ig ht s, W ar a nd D ru g T ra de h el d i n C ar ta ge na ( Co lo mb ia ) i n J un e2 00 3. A ls o, t he n at io na l o r i nt er na ti on al m ee ti ng s o f m ov em en ts o ror gan iz ati on s t o pr epa re t he af ore me nti one d f oru ms m us t a ls o b ei nc lu de d i n t he W SF . F in al ly , e ve n t ho ug h t he C ha rt er o f P ri nc ip le sp r e v e n t s t h e W S F f r o m o r g a n i z i n g c o l l e c t i v e a c t i o n s i n i t s o w n n a m e ,r e g i o n a l a n d g l o b a l a c t i o n s c a r r i e d o u t b y t h e n e t w o r k s o f m o v e m e n t s

a n d o r g a n i z a t i o n s t h a t a r e p a r t o f t h e W S F m u s t b e c o n s i d e r e d p a r t o f t h e W S F p r o c e s s , a s l o n g a s t h e y a b i d e b y t h e C h a r t e r o f P r i n c i p l e s . F o ri ns ta nc e, a ct io ns a gr ee d u po n b y t he a ss em bl y o f t he G lo ba l N et wo rk o f S oc ia l M ov em en ts , w hi ch m ee ts p ar al le l t o t he W SF , a re p ar t o f t heW SF p ro ce ss . I n t he a ss em bl y t ha t t oo k p la ce d ur in g t he t hi rd WS F, t hed e c i s i o n w a s t a k e n t o c o n v e n e a g l o b a l m a r c h a g a i n s t t h e w a r a n d f o rp ea ce o n F eb ru ar y 1 5, 2 00 3. T he s am e h ap pe ne d d ur in g t he f ou rt hW S F , t h e d a t e s e t f o r t h e r a l l y b e i n g t h i s t i m e M a r c h 2 0 , 2 0 0 4 , t h e f i r s t

a n n i v e r s a r y o f t h e i n v a s i o n o f I r a q . A l t h o u g h t h e y a r e n o t c a r r i e d o u tf or ma ll y i n th e n am e of th e WS F, t hes e c ol le cti ve a cti on s m us t bec o n s i d e r e d p a r t o f t h e W S F p r o c e s s .2

T h e W S F i s a n e w p o l i t i c a l p h e n o m e n o n . I t i s n o t a n e v e n t , n o r i s i ta m er e s uc ce ss io n o f e ve nt s, a lt ho ug h i t d oe s t ry t o d ra ma ti ze t he f or ma lm ee ti ng s i t p ro mo te s. I t i s n ot a s ch ol ar ly c on fe re nc e, a lt ho ug h t hec o n t r i b u t i o n s o f m a n y s c h o l a r s c o n v e r g e i n t o i t . I t i s n o t a p a r t y o r a ni nt er na ti on al o f p ar ti es , a lt ho ug h m il it an ts a nd a ct iv is ts o f m an y p ar ti es

2 T h e i n cl u si o n o f t h es e a c ti o ns i n t h e W S F p r oc e ss i s n o t u n co n tr o ve r si a l. T h e I n t er n at i on alC o un c il o f t h e W S F i n cl u de s o r ga n iz a t io ns w h os e r e pr e s en t at i ve s d e ny a n y o r ga n ic r e la t io nb e t w e e n t h e W S F a n d t h e a c t i o n s d e c i d e d b y t h e G l o b a l N e t w o r k o f S o c i a l M o v e m e n t s , o r a n yo t h e r n e t w o r k o f m o v e m e n t s o r o r g a n i z a t i o n s . A c c o r d i n g t o t h e m , t h e c o m p r e h e n s i v e n e s s a n di n cl u si v en e ss o f t h e W S F c a n o n ly b e p r es e rv e d i f n o s p ec i fi c c o ll e ct i ve a c ti o n c a n b e s a id t or e p r e s e n t t h e W S F a s a w h o l e .


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a ll o ve r t h e w or ld t ak e p a rt i n i t . I t i s n o t a n N GO o r a c on fe de ra ti on o f NGOs, even though its conception and organization owe a great deal to NGOs. It is not a social movement, even though many participants

d e si g na t e i t a s t h e m o ve m en t o f m o v e me n ts . A l th o ug h i t p r es e nt s i t s e lf a s a n ag en t o f s oc ia l c ha ng e, t he WSF r ej ect s th e c on ce pt o f a pr ivi le ge dh is to ri ca l s ub je ct , t ha t i s, i t c on fe rs n o p ri or it y o n a ny s pe ci fi c s oc ia lactor in this process of social change. It holds no clearly definedi d e o l o g y , i n d e t e r m i n i n g e i t h e r w h a t i t r e j e c t s o r w h a t i t a s s e r t s .

Th e s oc ia l s tru gg le s t ha t f in d e xp re ss io n i n t he W SF do n ot a de qu at el yf it e it he r a ve nu e o f s oc ia l c ha ng e s an ct ion ed b y W es te rn m od er ni ty :r ef or m a nd r ev ol ut io n. A si de f r om t he c on se ns us o n n on vi ol en ce , i ts

mo de s o f str ug gl e ar e e xt re me ly d iv er se an d ap pea r s pr ea d ou t i n ac on ti nuu m b et wee n t he po le s o f l eg ali ty /i nst it ut io na li ty a nd d ir ec ta ct io n/ in su rg en cy . E ve n t he c on ce pt o f n on vi ol en ce i s o pe n t o w id el yd is pa ra te i n te rp re ta ti on s. F in al ly , t he W SF i s n ot s tr uc tu re d a cc or di ng t oany o f t he m o dels o f m o der n p o lit ical o r ganiz at ion, b e t hey d emo crat icc en tr al is m, r ep re se nt at iv e d em oc ra cy , o r p ar ti ci pa to ry d em oc ra cy .

Nobody represents it or is allowed to speak in its name, let alone make

d ec is io ns , e ve n t hou gh i t se es it se lf as a f or um t ha t f ac il ita tes thed e c i s i o n s o f t h e m o v e m e n t s a n d o r g a n i z a t i o n s t h a t t a k e p a r t i n i t .3

I n w h a t f o l l o w s , I b e g i n b y s t a t i n g w h a t t h e p o l i t i c a l n o v e l t y o f t h eW S F i s . I t h e n p r o c e e d t o a n a l y z e t h e p r o b l e m s a n d t e n s i o n s t h a t t h i sn ov el ty c re at es p ar ti cu la rl y i n w ha t c on ce rn s p ol i ti ca l s tr at eg y a ndp o l i t i c a l a c t i o n , a n d t h e i r r e l a t i o n t o i n s t i t u t i o n a l a c t i o n a n d l a w .

2.3.2 The political novelty of the World Social Forum

T h e p o l i t i c a l i n n o v a t i o n s o f t h e W S F c a n b e f o r m u l a t e d i n t h e f o l l o w -i n g w a y :

2.3.2.1 A new critical utopiaT h e W S F e n t a i l s t h e r e e m e r g e n c e o f a c r i t i c a l u t o p i a , t h a t i s t o s a y , t h er ad ic al c ri ti qu e o f p re se nt -d ay r ea li ty a nd t he a sp ir at io n t o a b et te rs oc ie ty . I t h as a ri se n a s a n a lt er na ti ve t o t he d om in an ce o f t he c on -s e rv a ti v e u t op i a o f n e ol i be r al i sm – t he u t op i an b e li e f i n t h e u n re g ul a te d

m a r k e t a s t h e s o u r c e o f e c o n o m i c a n d s o c i a l w e l l - b e i n g a n d t h e s t a n -d ar d b y w hi ch a ll o th er a lt er na ti ve s a re t o b e m ea su re d ( or , r at he r,

3 F or a b et t er u nd er st an di ng o f t he p ol it ic al c ha ra ct er a nd g oa ls o f t h e W SF , s ee S en , A na nd ,Escobar, and Waterman (2004). See also t he Charter of Principles (h ttp://www.forumsocialmundial.org.br).

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d is ca rd ed ). A s a ll c on se rv at iv e u to pi as , n eo li be ra li sm d is ti ng ui sh esi ts el f f ro m c ri ti ca l ut op ia s b y t he f ac t th at i t i de nti fi es i ts el f w ithp r es e nt - da y r e al i ty , s o t h at i t s u t op i an d i me n si o n i s t h e r a di c al i za t io n

o r c o m p l e t e f u l f i l l m e n t o f t h e p r e s e n t ( H i n k e l a m m e r t 2002:278).T h e u t o p i a n d i m e n s i o n o f t h e W S F c o n s i s t s i n a f f i r m i n g t h e p o s s i -

b il it y o f a c ou nt er -h eg em on ic g lo ba li za ti on . T hu s, t he u to pi a o f t heW SF a ss er ts i ts el f m or e i n n eg at iv e t er ms ( th e d ef in it io n o f w ha t i tc ri ti qu es ) t ha n i n p os it iv e t er ms ( th e d ef in it io n o f t ha t t o w hi ch i ta sp ir es ). A s t he f ir st c ri ti ca l u to pi a o f t he t we nt y- fi rs t c en tu ry , t he W SFai ms to br eak wi th t he t ra di ti on of t he c ri ti ca l u to pi as of We st ernm o d e r n i t y , m a n y o f w h i c h t u r n e d i n t o c o n s e r v a t i v e u t o p i a s . T h e o p e n -

n e s s o f t h e u t o p i a n d i m e n s i o n o f t h e W S F i s r o o t e d i n i t s a t t e m p t t oe s c a p e t h i s p e r v e r s i o n . F o r t h e W S F , t h e c l a i m o f a l t e r n a t i v e s i s p l u r a l .T h e a f f i r m a t i o n o f a l t e r n a t i v e s g o e s h a n d i n h a n d w i t h t h e a f f i r m a t i o nt h a t t h e r e a r e a l t e r n a t i v e s t o t h e a l t e r n a t i v e s .

M o r e o v e r , t h e u t o p i a o f t h e W S F i s a r a d i c a l l y d e m o c r a t i c o n e . T h eW SF ’s f oc us o n t he p ro ce ss es o f i nt er co ur se a mo ng t he m ov em en ts( r a t h e r t h a n o n a n a s s e s s m e n t o f t h e m o v e m e n t s ’ p o l i t i c a l a g e n d a s ) i s

t he m ai n r ea so n f or i ts i nt er na l c oh es io n. I t h el ps t o m ax im iz e w ha tu n i t e s a n d m i n i m i z e w h a t d i v i d e s . T h i s u t o p i a n d e s i g n , w h i c h i s c l e a ri n t h e W S F ’ s C h a r t e r o f P r i n c i p l e s , i s a i m e d a t p r o m o t i n g c o n s e n s u s e sb e y o n d t h e i d e o l o g i c a l a n d p o l i t i c a l c l e a v a g e s a m o n g t h e p a r t i c i p a t i n gm o v em ent s and o r ganiz at io ns .

2.3.2.2 A very broad conception of power and oppression Neoliberal globalization did not limit itself to submitting ever more

inter act io ns t o t he m ark et, no r t o r ais ing t he w or k er s ’ ex plo it ation r ateb y t ransfo rm ing t he labo r fo rce into a glob al r eso u rce w hile p rev ent ingt he em er gence o f a glob al labo r m ark et. N eoliber al glob aliz at io n s how edt ha t e xpl oi ta ti on i s l in ke d w it h m any o th er f or ms of o ppr es si on t hata ff ect w om en , e thn ic m in or it ies , i nd ig en ou s pe op le s, p eas an ts , t heu ne mp lo ye d, w or ke rs o f t he i nf or ma l s ec to r, l eg al a nd i ll eg al i mm ig ra nt s,g he tt o s ub cl as se s, g ay s a nd l es bi an s, a nd c hi ld re n a nd t he y oun g. A llt h e s e f o r m s o f p o w e r c r e a t e e x c l u s i o n . O n e c a n n o t a s c r i b e t o a n y o n e o f

t h e m , i n a b s t r a c t , n o r t o t h e p r a c t i c e s t h a t r e s i s t t h e m , a n y p r i o r i t y a s t ot he claim t hat ‘‘ano t her w o r ld is p o s s ib le.’’ Po lit ical p r io r it ies ar e alw ayss it ua te d a nd c on ju nc tu ra l. T he y d ep en d o n t he c on cr et e c on di t io ns o f e ac h c ou nt ry a t a g i ve n h is to ri ca l m om en t. T o r es po nd t o s uc h c on di -t io ns and t heir flu ct u at io ns , t he m o v em ent s and o r ganiz at io ns m u s t giv ep ri or it y t o t he a rt ic ul at io ns a mo ng t he m. T hi s u lt im at el y e xp la in s t he


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o rg an iz at io na l n ove lty o f a WS F wi th n o l ea de rs , i ts r ej ec ti on o f hier-ar chies , and it s em p has is o n net w o r k s m ad e p o s s ib le b y t he int er net .4

2.3.2.3 Equivalence between the principles of equality and of recognition of differenceW e l iv e i n s oc ie ti es t ha t a re o bs ce ne ly u ne qu al , a nd y et e qu al it y i sl ac ki ng a s a n e ma nc ip at or y i de al . E qu al it y, u nd er st oo d a s t he e qu iv a-l e n c e a m o n g t h e s a m e , e n d s u p e x c l u d i n g w h a t i s d i f f e r e n t . H e r e i n l i e st he g ro un di ng o f t he a fo re me nt io ne d p ol it ic al a nd o rg an iz at io na ln o v e l t y , a s w e l l a s t h e g r o u n d i n g o f t h e W S F ’ s o p t i o n f o r p a r t i c i p a t o r yd e m o c r a c y a s r u l i n g p r i n c i p l e o f s o c i a l e m a n c i p a t i o n , t o t h e d e t r i m e n t

o f c l o s e d m o d e l s s u c h a s t h a t o f s t a t e s o c i a l i s m .

2.3.2.4 Privileging rebellion and nonconformity to the detriment of revolutionT he re i s n o u ni qu e t he or y t o g ui de t he m ov em en ts s tr at eg ic al ly , b ec au set h e a i m i s n o t s o m u c h t o s e i z e p o w e r b u t r a t h e r t o c h a n g e t h e m a n yf ac es o f p ow er a s t he y p re se nt t he ms el ve s i n t he i ns ti tu ti on s a nd s oc i-

a bi l it i es . F ur t he rm or e , e ve n t ho se f or w h om s ei z in g p ow er i s a p ri or i tya re d iv id ed a s t o t he s tra te gy . S ome w it hi n t he W SF p ref er d ra st ic b re ak st o b ri ng a bo ut a n ew o rd er ( re vo lu ti on ), w hi l e o th er s p re fe r g ra du alc han ges b y mea ns of an eng age ment a nd d ial ogue with t he ene my( ref orm) . A t t hi s l eve l, t he n ove lty c on si sts i n the c el ebr ati on of d iv e rs i ty a n d p lu r al i sm , e x pe ri m en ta l is m, a n d r a di c al d e mo cr ac y a s w el l .

2.3.3 The issue of strategy and political action

G i v e n i t s p o l i t i c a l n o v e l t i e s , t h e t r a n s l a t i o n o f t h e W S F ’ s u t o p i a i n t os tr at eg ic p la nn in g a nd p ol it ic al a ct io n c an no t b ut b e d if fi cu lt . T hi s t as ki s m ar ke d b y t he h is to ri ca l t ra je ct or y o f t he p ol it ic al l ef t t hr ou gh ou t t het we nt ie th c en tu ry . T he r ea li ty o f t he d iv er ge nc es i s o ft en a g ho st ly o ne ,i n w h i c h d i s a g r e e m e n t s a b o u t c o n c r e t e p o l i t i c a l o p t i o n s g e t m i x e d u pw it h d is ag re em en ts a bo ut c od es a nd l an gu ag es i n w hi ch s uc h o pt io nsar e ar t icu lat ed .

T he WS F h as m an ag ed s o f ar t o o ve rc om e p ol it ic al d iv er ge nc es .

C o n t r a r y t o w h a t h a p p e n e d i n t h e t h i n k i n g a n d p r a c t i c e o f t h e l e f t i nWe st er n c ap it al ist m od er ni ty, th e WS F h as c re at ed a s tyl e an d a na t m o s p h e r e o f i n c l u s i o n o f a n d r e s p e c t f o r d i s a g r e e m e n t s t h a t m a d e i tvery difficult for the different politi cal f actions to self -exclude

4 O n t h i s s u b j e c t , s e e W a t e r m a n ( 2003a, 2003b) a n d E s c o b a r ( 2003).

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t h e m s e l v e s a t t h e s t a r t u n d e r t h e e x c u s e t h a t t h e y w e r e b e i n g e x c l u d e d .A d ec is iv e c on tr ib ut io n t o t hi s w as t he W SF ’s ‘‘ mi ni ma li st ’’ p ro gr ams ta te d i n i ts C ha rt er o f P ri nc ip le s: e mp ha ti c a ss er ti on o f r es pe ct f or

d iv er si ty ; a cc es s h ar dl y c on di ti on ed ( on ly m ov em en ts o r g ro up s t ha ta dv oc at e v io le nc e a re e xc lu de d) ; n o v ot in g o r d el ib er at io ns a t t heF o r u m a s s u c h ; n o r e p r e s e n t a t i v e e n t i t y t o s p e a k f o r t h e F o r u m .

A ll t hi s h as c on tr ib ut ed t o m ak in g t he W SF ’s p ow er o f a tt ra ct io ng re at er t ha n i ts c ap ac it y t o r ep el . E ve n t he m ov em en ts t ha t a re m os tse ver el y c ri ti ca l o f t he WS F, su ch a s t he a nar ch ist s, h ave n ot b eena b s e n t . T h e r e i s d e f i n i t e l y s o m e t h i n g n e w i n t h e a i r , s o m e t h i n g t h a t i sc h a o t i c , m e s s y , a m b i g u o u s , a n d i n d e f i n i t e e n o u g h t o d e s e r v e t h e b e n -

e f i t o f t h e d o u b t o r b e s u s c e p t i b l e t o m a n i p u l a t i o n . F e w w o u l d w a n t t om i s s t h i s t r a i n , p a r t i c u l a r l y a t a t i m e i n h i s t o r y w h e n t r a i n s h a d c e a s e dt o r un . F or a ll t he se r ea so ns , t he d es ir e t o h ig hl ig ht w ha t t he m ov e-m en ts a nd o rg an iz at io ns h av e i n c om mo n h as p re va il ed u po n t he d es ir et o u nd er sc or e w ha t s ep ar at es t he m. T he m an if es ta ti on o f t en si on s o rc le av ag es h as b ee n r e la ti ve ly t en uo us a nd , a b ov e a ll , h as n ot r es ul te d i nmutual excl usions. It remains to be seen for how long this will to

c o n v e r g e n c e a n d t h i s c h a o t i c s h a r i n g o f d i f f e r e n c e s w i l l l a s t . Neither the kinds of cleavages nor the way the movements relate tot h e m a r e r a n d o m l y d i s t r i b u t e d i n s i d e t h e W S F . O n t h e c o n t r a r y , t h e yr e fl e ct a m e ta - cl e av a ge b e tw e en W e st e rn a n d n o n- W es t er n p o li t ic a lc ul tu re s. U p t o a p oi nt , t hi s m et a- cl ea va ge a ls o e xi st s b et we en t he

North and the South. Thus, given the strong presence of movementsa n d o r g a n i z a t i o n s o f t h e N o r t h A t l a n t i c a n d w h i t e L a t i n A m e r i c a , i t i sn o w o n d e r t h a t t h e m o s t s a l i e n t c l e a v a g e s r e f l e c t t h e p o l i t i c a l c u l t u r e

a nd h is to ri ca l tr aj ec to ry of t he l ef t i n th is p art of t he wo rl d. Th is m ea ns,o n t h e o n e h a n d , t h a t m a n y m o v e m e n t s a n d o r g a n i z a t i o n s f r o m A f r i c a ,A si a, t he i nd ig en ou s a nd b la ck A me ri ca s, a nd t he E ur op e o f i mm i-g ra nt s d o n ot r ec og ni ze t he ms el ve s i n t he se c le av ag es ; o n t he o th erh a nd , t h at a l te r na t iv e c l ea v ag e s t h at t h es e m o ve m en t s a n d o r ga n iz a -ti on s mi gh t wa nt to m ake e xpl ic it a re pe rh aps be in g c on ce al ed orm i n i m i z e d b y t h e p r e v a i l i n g o n e s .

B ea ri ng t hi s c av ea t i n m in d, l et us e xa mi ne br ie fl y th e ma in m an if est

c le av ag es . T ak en t og et he r, t he y r ep re se nt t he h or iz on w it hi n w hi ch t hep o s s ib ilit ies and lim it at io ns o f s u b alt er n co s m o p o lit an legalit y u nfo ld .

2.3.3.1 Reform or revolutionT h i s c l e a v a g e c a r r i e s t h e w e i g h t o f t h e t r a d i t i o n o f t h e W e s t e r n l e f t . I ti s t h e c l e a v a g e b e t w e e n t h o s e w h o t h i n k t h a t a n o t h e r w o r l d i s p o s s i b l e


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t hr ou gh t he g ra du al t ra nsf or ma ti on o f t he u nj us t w or ld i n wh ic h w e l iv e –through legal reform and mechanisms of representative democracy – andt ho s e w ho b eliev e t hat t he w o r ld w e liv e in is fu nd am ent ally a cap it alis t

o ne t ha t w il l n ev er t ol er at e r ef or ms t ha t p ut i t i n q ue st io n, a nd t ha t i tm us t t he re fo re b e o ve rt hr ow n a nd r ep la ce d b y a s oc ia li st w or ld . T hi s i salso r egar ded as a cleavage b et ween m od er at es and r ad icals. Either fieldcom pr is es a w id e v ar iet y o f p os it ions. F or inst ance, amo ng r evo lut ion-ar ies , t her e is a clear cleav age b et w een t he o ld left as p ir ing t o a v ar iet y o f s tat e s ocialism , t he r ad ically anti-s t at is t anar chist s, and s om e newer leftrath er ambival ent about the role of the state i n a socia li st soci ety.Although the y amount to a very min or pro portion of the WSF, the

anar chist s are amo ng t he fier cest cr it ics o f r efo rm is m, w hich t hey claimcontrols the WSF’s leadership.

T h is c l ea v ag e r e ve r be r at e s, a l be i t n o t l i ne a rl y , i n s t ra t eg i c o p ti o nsand options for legal and political action. As to legal action, ther ef or mi st s a re m or e w il l in g t o i nc lu de l eg al a nd j ud ic ia l m ob il iz at io ni n t h e i r p o l i t i c a l s t r u g g l e s , p r o v i d e d t h a t p o l i t i c a l m o b i l i z a t i o n d e f i n e st he f ra me wo rk f or l eg al m ob il iz at io n a nd n ot t he o pp os it e, w hi le t he

r ev ol ut io na ri es a re h ig hl y s us pi ci ou s o f l aw , e ve n o f b ot to m- up i nf or ma llaw or international human rights. In their view, there is a deep(s t r at egic b u t als o id eo lo gical) fau lt line b et w een p o lit ical m o b iliz at io na nd l eg al m ob il iz at io n t ha t m ak es t he a rt ic ul at io n b et we en t he t wov ir tu al ly i mp os si bl e. L eg al a ct io n t en ds t o i nd iv id ua li ze t he c on fl i ct s, t op ri or it iz e l eg al p ro fe ss io na l k no wl ed ge , t o t ak e a wa y f ro m t he m ov e-m en ts t he r hy th m o f t he s tr ug gl e, t o i nf la te s ma ll r ev er si bl e a ch ie ve -m ent s i nt o ma jo r i rr eve rsi bl e vi ct or ie s – i n s um , i t te nd s to h av e a

d e m o b i l i z i n g e f f e c t . C o n c e r n i n g m o r e s p e c i f i c p o l i t i c a l c h o i c e s , o n e o f t he m os t s al ie nt i s t he s tr at eg ic c ho ic e b et we en r ef or mi ng a nd e ng ag in gt h e i n s t i t u t i o n s o f n e o l i b e r a l g l o b a l i z a t i o n ( t h e W T O a n d t h e i n t e r n a -t io na l f in an ci al i ns ti tu ti on s) , a nd c on fr on ti ng t he m a nd f ig ht in g f ort heir elim inat io n o r r ep lacem ent .

W h a t i s n e w a b o u t t h e W S F a s a p o l i t i c a l e n t i t y i s t h a t t h e m a j o r i t yo f t he mo ve me nt s a nd or ga ni za ti on s th at p art ic ipa te i n i t d o n otr eco gn ize t hem sel ve s i n t he se c le av ag es a nd r ef us e t o t ake pa rt i n

t he m. T he re i s g re at r es is ta nc e t o r ig id ly a ss um in g a s ta nc e a nd e ve ng r e a t e r t o l a b e l i n g i t a c c o r d i n g t o t h e c l a s s i f i c a t o r y o r t h o d o x i e s o f t h ep as t. T he m aj or it y o f m ov em en ts a nd o rg an iz at io ns h av e p ol it ic ale x p e r i e n c e s i n w h i c h m o m e n t s o f c o n f r o n t a t i o n a l t e r n a t e o r c o m b i n ewi th m om en ts of d ia log ue an d e ng age me nt, i n w hi ch l on g- ra ng ev is io ns o f s oc ia l c ha ng e c oh ab it w it h t he t ac ti ca l p os si bi l it ie s o f t he

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p ol it ic al a nd s oc ia l c on ju nc tu re i n w hi ch t he s tr ug gl es t ak e p la ce , i nw hi ch r ad ic al d en un ci at io ns o f c ap it al is m d o n ot p ar al yz e t he e ne rg yf or s ma ll c han ge s wh en t he b ig c ha ng es a re n ot po ss ibl e, i n wh ich

r e s o r t i n g t o c o u r t s i s n o w c o n s i d e r e d u s e f u l a n d n o w d e t r i m e n t a l .A bo ve a ll , f or m an y m ov em en ts a nd o rg an iz at io ns , t he c le av ag e

r e fo r m/ r ev o lu t io n i s W e st e rn - o r N o rt h er n -c e nt r ic , a n d i s m o re u s ef u lf or u nd er st an di ng t he p as t o f t he l ef t t ha n i ts f ut ur e. I nd ee d, m an ym ov em en ts a nd o rg an iz at io ns d o n ot r ec og ni ze t he ms el ve s, f or t hes a m e r e a s o n s , i n t h e d i c h o t o m y b e t w e e n l e f t a n d r i g h t .

P re ci se ly b ec au se f or m an y m ov em en ts a nd o rg an iz at io ns t he p ri or it yis not to seize power but rather to change the power relations in

o pp re ss io n’ s m an y f ac es , t he p ol it ic al t as ks , h ow ev er r ad ic al , m us t b ec ar ri ed o ut h er e a nd n ow , i n t he s oc ie ty i n w hi ch w e l iv e. G ra ms ci ’s( 19 71 ) c on ce pt o f h eg em on y i s u se fu l t o u nd er st an d t he m ov em en ts ’p ol it ic al a ct io ns . W ha t i s n ec es sa ry i s t o c re at e a lt er na ti ve , c ou nt er -h e ge m on i c v i si o ns , c a pa b le o f s u st a in i ng t h e d a il y p r ac t ic e s a n d s o ci -a bi li ti es o f c it iz en s a nd s oc ia l g ro up s. T he w or k o f t he m ov em en ts’l e a d e r s h i p s i s o f c o u r s e i m p o r t a n t , b u t i t i s n o t c o n c e i v e d o f a s t h e w o r k

o f a n e nl ig ht en ed v an gu ar d t ha t b re ak s t he p at h f or t he m as se s, e ve r t hev ic ti ms o f m ys ti fi ca ti on a nd f al se c on sc io us ne ss . O n t he c on tr ar y, a sS u bc o ma n da n te M a rc o s h a s s u gg e st e d, i t b e ho ov e s t h e l e ad e rs h ip s t o‘‘ wa lk w it h t ho se w ho g o m or e s lo wl y. ’’ I t i s n ot a q ue st io n o f e it he rr e v o l u t i o n o r r e f o r m . I t i s , f o r s o m e , a q u e s t i o n o f r e b e l l i o n a n d t r a n s -g re ss io n; f or o th er s, a q ue st io n o f r ev ol ut io n i n a n on -L en in is t s en se ,o n e a b o u t c i v i l i z a t i o n a l c h a n g e o c c u r r i n g o v e r a l o n g p e r i o d o f t i m e .

2.3.3.2 Socialism or social emancipationTh is c le ava ge i s re la te d t o t he p rev iou s o ne b ut t her e i s n o p er fe cto v erlap b et ween t he t w o . R egard les s o f t he p o s itio n t ak en v is -a- v is t hep r e v i o u s c l e a v a g e , o r t h e r e f u s a l t o t a k e a p o s i t i o n , t h e m o v e m e n t s a n do r g a n i z a t i o n s d i v e r g e a s t o t h e p o l i t i c a l d e f i n i t i o n o f t h e o t h e r p o s s i b l ew or ld . F or s om e, s oc ia li sm i s s ti l l a n a de qu at e d es ig na ti on , h ow ev era bu nd an t a nd d is pa ra te t he c on ce pt io ns o f s oc ia li sm m ay b e. F or t hem a j o r i t y , h o w e v e r , s o c i a l i s m c a r r i e s i n i t s e l f t h e i d e a o f a c l o s e d m o d e l

o f a f u t u r e s o c i e t y , a n d m u s t , t h e r e f o r e , b e r e j e c t e d . T h e y p r e f e r o t h e r ,l es s p ol it ic al ly c ha rg ed d es ig na ti on s, s ug ge st in g o pe nn es s a nd a c on -s ta nt s ea rc h f or a lt er na ti ve s. F or e xa mp le , s oc ia l e ma nc ip at io n a s t hea sp ira ti on t o a so ci ety i n wh ic h t he di ff ere nt po we r r el ati on s a rer e p l a c e d b y r e l a t i o n s o f s h a r e d a u t h o r i t y . T h i s i s a n i n c l u s i v e d e s i g n a -t i o n f o c u s i n g m o r e o n p r o c e s s e s t h a n o n f i n a l s t a g e s o f s o c i a l c h a n g e .


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T ho se f ra mi ng t he ir s tr ug gl es i n t er ms o f s oc ia l e ma nc ip at io n t en d t oh a v e a m o r e p o s i t i v e v i e w o f s u b a l t e r n c o s m o p o l i t a n l e g a l i t y b a s e d o nt he h is to ri ca l r ec or d o f s uc ce ss fu l l eg al a nd j ud ic ia l s tr ug gl es t ha t

b e c a m e k n o w n a s l a n d m a r k s o f s o c i a l e m a n c i p a t i o n .B u t m a n y m o v e m e n t s o f t h e S o u t h t h i n k t h a t n o g e n e r a l l a b e l s n e e d

b e a t t a c h e d t o t h e g o a l s o f t h e s t r u g g l e s . L a b e l s r u n t h e r i s k o f t a k i n g o f f f ro m t he p ra ct ic es t ha t o ri gin at ed t he m, a cqu ir in g a l if e o f t he ir o wn , a ndgiv ing r is e t o p er v er s e r es u lt s . A s a m at t er o f fact , acco r d ing t o s o m e, t heco ncep t o f s o cialis m is W est ern- centr ic and N o rt her n-cent r ic, w hile t hec o n c e p t o f e m a n c i p a t i o n i s e q u a l l y a p r e y o f t h e W e s t e r n b i a s t o c r e a t efalse u niv er s alism s . H ence m any d o no t r eco gnize t hem s elv es in either

t e r m o f t h i s d i c h o t o m y , a n d a r e w a r y o f p r o p o s i n g a n a l t e r n a t i v e o n e .

2.3.3.3 The state as an enemy or as a potential allyT hi s i s a ls o a c le av ag e i n w hi ch m ov em en ts o f t he N or th r ec og ni zet he ms el ve s mo re e as il y th an m ov eme nt s of th e S out h. On t he o neh a n d , t h e r e a r e t h o s e w h o t h i n k t h a t t h e s t a t e – a l t h o u g h a n i m p o r t a n ta r e n a o f s t r u g g l e i n t h e p a s t – f o r t h e p a s t t w e n t y - f i v e y e a r s h a s b e e n

t r a n s n a t i o n a l i z e d a n d t u r n e d i n t o a n a g e n t o f n e o l i b e r a l g l o b a l i z a t i o n .E it he r t he s ta te h as b ec om e i rr el ev an t o r i s t od ay w ha t i t h as a lw ay sb e en – t h e e x pr e ss i on o f c a pi t al i sm ’ s g e ne r al i n te r es t s. T h e p r iv i le g edt a rg e t o f c o un t er - he g em o ni c s t ru g gl e s m u st , t h er e fo r e, b e t h e s t at e – o r ,a t a m in im um , s uc h s tr ug gl es m us t b e f ou gh t w it h t ot al a ut on om y v is -a-v is t he s ta te . O n t he o th er h an d, t he re a re t ho se w ho t hi nk t ha t t hes t a t e i s a s o c i a l r e l a t i o n a n d , a s s u c h , i s c o n t r a d i c t o r y a n d c o n t i n u e s t ob e a n i m p o r t a n t a r e n a o f s t r u g g l e . N e o l i b e r a l g l o b a l i z a t i o n d i d n o t r o b

t he st ate of i ts c en tr al ity ; r ath er i t re ori en ted i t b ett er t o s er ve th ei nt er es ts o f g lo ba l c ap it al . D er eg ul at io n i s a s oc ia l r eg ul at io n l ik e a nyo t h e r , h e n c e a p o l i t i c a l f i e l d w h e r e o n e m u s t a c t i f t h e r e a r e c o n d i t i o n sf o r a c t i n g .

T he m aj or it y o f t he m ov em en ts , e ve n t ho se t ha t a ck no wl ed ge t hee xi st en ce o f a c le av ag e i n t hi s r eg ar d, r ef us e t o t ak e a r ig id a nd p ri n-c ip le d p os it io n o n t hi s i ss ue . T he ir e xp er ie nc es o f s tr ug gl e s ho w t ha tt he s ta te , w hi le s ome tim es t he e nem y, c an o fte n b e a p rec io us a lly i n t he

s tr ug gl e a ga in st t ra ns na ti on al i mp os it io ns . I n t he se c ir cu ms ta nc es ,t he p ri vi le ge d s ta nc e w it h t he W SF i s, a ga in , p ra gm at is m. I f i n s om es it ua ti on s c on fr on ta ti on i s i n o rd er , i n o th er s c ol l ab or at io n i s r at he ra dv is ed . I n o th er s s ti ll a c om bi na ti on o f b ot h i s a pp ro pr ia te . W ha t i sh i g h l i g h t e d i n t h e d i s c u s s i o n s o n t h i s i s s u e w i t h i n t h e W S F i s t h a t , a te ve ry m om en t o r i n e ve ry s tr ug gl e, t he m ov em en t o r o rg an iz at io n i n

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q u e s t i o n b e c l e a r a n d t r a n s p a r e n t r e g a r d i n g t h e r e a s o n s f o r t h e a d o p t e do p t i o n , s o a s t o s a f e g u a r d t h e a u t o n o m y o f t h e a c t i o n .

H ere a ls o th e cl ea vag e pr ol on gs i ts el f i n t he w ay s i n w hi ch l ega l

m ob il iz at io n c an o r c an no t b e p ar t o f c ou nt er -h eg em on ic s tr ug gl es .T h e p r ag m at i c p o si t io n v i s- a- v is t h e s t at e t e nd s t o g o t o ge t he r w i th am o r e p o s i t i v e v i e w a b o u t t h e p r o g r e s s i v e p o t e n t i a l o f l e g a l a n d j u d i c i a la c t i o n . W h i l e n e v e r c o n s i d e r i n g t h e s t a t e a s a n u n c o n d i t i o n a l a l l y , t h i ss t a n c e i s o p e n t o t h e p o s s i b i l i t y t h a t i n s p e c i f i c c a s e s t h e i n s t i t u t i o n a l -i za ti on o f a rr an ge me nt s e mb od yi ng t he c on ve rg en ce o f s ta te a ct io nw i t h c o u n t e r - h e g e m o n i c m o v e m e n t s c a n b e b e n e f i c i a l f o r t h e l a t t e r .

2.3.3.4 National or global strugglesT hi s i s t he m os t e ve nl y d is tr ib ut ed c le av ag e a mo ng t he m ov em en ts a ndor gan iz ati on s t ha t c om pr is e th e WSF . On on e si de , th er e ar e th em ov em en ts t ha t, w hi le p ar ti ci pa ti ng i n t he W SF , b el ie ve t ha t t he l at te ri s n o m or e th an a me et in g po in t a nd a c ul tur al e ve nt, s in ce t he st ru gg lest h a t a r e t r u l y i m p o r t a n t f o r t h e w e l f a r e o f m a r g i n a l i z e d p o p u l a t i o n s a r ef o u g h t a t t h e n a t i o n a l l e v e l a g a i n s t t h e s t a t e o r t h e d o m i n a n t n a t i o n a l

c i v i l s o c i e t y . F o r i n s t a n c e , a c c o r d i n g t o a r e p o r t o n t h e W S F p r e p a r e db y t he M ov em en t f or N at io na l D em oc ra cy i n t he P hi li pp in es t ha tp r i v i l e g e s t h e n a t i o n a l s c a l e :

t he W or ld S oc ia l F or um s ti ll f lo at s s om ewh er e a bo ve, s ee in g a nd t ry in g y et

r e al ly u na b le t o a d dr e ss a c tu al c o nd i ti o ns o f p ov e rt y a nd p o we r le ss ne s sb r ou gh t a b ou t b y I mp er ia l is t g l ob a li za t io n i n m a ny c ou nt r ie s . U n le ss i tf in d s d e f in i te w ay s o f t r an sl a ti n g o r e v en t r an s ce nd i ng i ts ‘‘ g lo ba l ne s s’’ i nt o

m o re p ra c ti c al i nt e rv en t io ns t ha t a d dr e ss t he se c o nd it i on s, i t j u st m ig h tr em ai n a h ug e b ut e mp ty f or um t ha t i s m or e a c ul tu ra l a ff ai r t ha n a ny th in g

else . . . [N]ational struggles against globalization are and should providethe anchor to any anti-globalization initiative at the international level

(Gobrin-Morante 2002: 19)

O n t h e o t h e r s i d e , t h e r e a r e t h e m o v e m e n t s a c c o r d i n g t o w h i c h t h est ate i s n ow t ra ns na ti on al iz ed a nd t hus i s n o l on ge r t he p ri vi le gedc e nt e r o f p o li t ic a l d e ci s io n -m a ki n g. T h is d e ce n te r in g o f t h e s t at e a l so

b ro ug ht a bo ut t he d ec en te ri ng o f t he c iv il s oc ie ty , w hi ch i s s ub je ct edtoday to many processes of cultural and social globalization.Fu rt he rm or e, i n s om e s itu ati on s, th e ob je ct of t he st rug gl e ( be i t ade ci si on o f t he WT O, a Wor ld B an k po li cy , o r a TN C’ s de ci si on t oe x p l o r e f o r o i l i n i n d i g e n o u s t e r r i t o r y ) i s o u t s i d e t h e n a t i o n a l s p a c e a n di n cl u de s a p l ur a li t y o f c o un t ri e s s i mu l ta n eo u sl y . T h is i s w h y t h e s c a l e o f


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t he s tr ug gl e, f ro m t hi s v ie wp oi nt , m us t b e i nc re as in gl y g lo ba l, a f ac tt h a t h i g h l i g h t s t h e r e l e v a n c e o f t h e W S F .

A cc or di ng t o t he l ar ge m aj or it y o f t he m ov em en ts , t hi s i s a ga in a

c le av ag e t ha t d oe s n ot d o j us ti ce t o t he c on cr et e n ee ds o f c on cr et es tr ug gl es . W ha t i s n ew a bo ut c on te mp or ar y s oc ie ti es i s t ha t t he s ca le s o f s oc ia bi l it y – t he l oc al , t he n at io na l, a nd t he g lo ba l – a re i nc re as in gl yi n t e r c o n n e c t e d . I n t h e m o s t r e m o t e v i l l a g e o f t h e A m a z o n o r I n d i a t h ee f f e c t s o f h e g e m o n i c g l o b a l i z a t i o n a n d t h e w a y s i n w h i c h t h e n a t i o n a ls ta te e nga ge s wi th i t ar e c le arl y f el t. Th is a pp li es a ls o t o c oun ter -h eg emo ni c s tr ug gl es. Fo r m ov eme nt s p art ic ipa ti ng i n th e WS F,a l th o ug h e v er y p o li t ic a l o r s o ci a l s t ru g gl e p r iv i le g es a p a rt i cu l ar s c al e ,

i t s s u c c e s s l i e s i n t h e c o m b i n a t i o n o f d i f f e r e n t s c a l e s . T h e d e c i s i o n o nw h i c h s c a l e t o p r i v i l e g e i s a p o l i t i c a l o n e t h a t i s m a d e o n a c a s e - b y - c a s ebasis.

T h e i m p a c t o f t h i s c l e a v a g e o n t h e p o l i t i c s o f l e g a l i t y i s s h o w n i n t h er e l a t i v e w e i g h t g i v e n t o i n t e r n a t i o n a l l a w , i n t e r n a t i o n a l h u m a n r i g h t s ,and transnational legal advocacy in framing politi cal actions.W he ne ve r t he m ov em en ts o r N GO s r eg ar d l eg al m ob il iz at io n a s a n

i nt egr al p ar t of po li ti cal m ob il iz ati on , th ey te nd to re sor t t o l eg als tr at eg ie s a t d if fe re nt s ca le s. S uc h ‘‘ tr an sc al ar ’’ c ha ra ct er i s p ar t a ndp ar ce l o f s ub al te rn c os mo po li ta n l eg al i ty – t he t yp e o f l eg al m ob il iz a-t ion t hat , b y ta rge ti ng th e g lob al i n th e l oc al a nd th e l oc al i n t he g lob al ,ad v ances co u nter - hegem o nic glo b aliz atio n (Santo s , 2002:468).

2.3.3.5 Direct or institutional actionTh is i s t he c le ava ge wi th th e mo st d ire ct i mpa ct o n th e po li ti cs o f

l e g a l i t y . I t i s c l e a r l y l i n k e d t o t h e a b o v e - m e n t i o n e d c l e a v a g e s c o n c e r n -i n g r e f o r m / r e v o l u t i o n a n d t h e r o l e o f t h e s t a t e . I t i s a l s o a c l e a v a g e w i t ha l on g t ra di ti on i n t he We ste rn l ef t. T ho se f or wh om t hi s c le ava gec o n t i n u e s t o h a v e a g r e a t d e a l o f i m p o r t a n c e a r e t h e s a m e t h a t s l i g h tt he n ew ne ss o f n eo li be ra l g lo ba li za ti on i n t he h is to ri ca l p ro ce ss o f cap it alis t d o m inat io n.

O n t h e o n e s i d e , t h e r e a r e m o v e m e n t s t h a t b e l i e v e t h a t l e g a l s t r u g -g le s, ba se d o n di al og ue a nd e ng ag eme nt wi th st ate i ns ti tu ti on s or

i n te r na t io n al a g en c ie s , a r e i n ef f ec t ua l b e ca u se t h e p o li t ic a l a n d l e ga ls y s t e m o f t h e s t a t e a n d t h e i n s t i t u t i o n s o f c a p i t a l i s m a r e i m p e r v i o u s t oa ny l eg al o r i ns ti tu ti on al m ea su re s c ap ab le o f r ea ll y i mp ro vi ng t hel i vi n g c o nd i ti o ns o f t h e p o pu l ar c l as s es . I n st i tu t io n al s t ru g gl e s c a ll f o rt h e i n t e r m e d i a t i o n o f p a r t i e s , a n d p a r t i e s t e n d t o p u t t h o s e s t r u g g l e s a tt h e s e r v i c e o f t h e i r p a r t y i n t e r e s t s a n d c o n s t i t u e n c i e s . T h e s u c c e s s o f a n

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i ns ti tu ti on al s tr ug gl e h as , t he re fo re , a v er y h ig h p ri ce – t he p ri ce o f c oo pt at io n, d en at ur al iz at io n, a nd b an al iz at io n. B ut e ve n i n t he r ar ec as e i n w hi ch a n i ns ti tu ti on al s tr ug gl e l ea ds t o l eg al m ea su re s t ha t

c o r r e s p o n d t o t h e m o v e m e n t s ’ o b j e c t i v e s , i t i s a l m o s t c e r t a i n t h a t t h ec on cr et e a pp li ca ti on o f s uc h m ea su re s w il l e nd u p b ei ng s ub je ct ed t ot h e l e g a l - b u r e a u c r a t i c l o g i c o f t h e s t a t e , t h e r e b y f r u s t r a t i n g t h e m o v e -m e n t s ’ e x p e c t a t i o n s . T h i s i s w h y o n l y d i r e c t a c t i o n , m a s s p r o t e s t , a n ds t r i k e s w i l l y i e l d t h e s u c c e s s o f t h e s t r u g g l e s . T h e p o p u l a r c l a s s e s h a v en o w e a p o n b u t e x t e r n a l p r e s s u r e o n t h e s y s t e m . I f t h e y v e n t u r e i n t o i t ,t h e y a r e d e f e a t e d f r o m t h e s t a r t .

I n c on tr as t, t he s up po rt er s o f i ns ti tu ti on al s tr ug gl es a ss um e t ha t t he

‘‘ sys te m’’ i s c on tr ad ic to ry , a p ol iti ca l a nd s oc ia l r el ati on w he re i t i sp os si bl e t o f ig ht a nd w he re f ai lu re i s n ot t he o nl y p os si bl e o ut co me . I nm od er nit y, t he s ta te a nd s pec if ic al ly s ta te l aw wa s t he c en te r o f t hiss ys te m. I n t he c ou rs e o f t he t we nt ie th c en tu ry t he p opu la r c la ss es c on -q ue re d i mp or ta nt i ns ti tu ti on al a nd l eg al s pa ce s, o f w hi c h t he w el fa resy st em i s a cle ar e xa mpl e. T he f ac t t hat th e w el far e sy st em i s n ow inc r i s i s , a n d t h e ‘ ‘ o p e n i n g ’ ’ t h a t i t o f f e r e d t h e p o p u l a r c l a s s e s i s n o w b e i n g

c los ed up , d oe s n ot m ea n t ha t t he pr oc es s i s i rr ev er si bl e. I nd ee d, f rom t hi sp oi nt o f v ie w, i t m ay b e r ev er se d i f t he m ove me nts a nd o rg an iz at io nsco nt inu e t o s t r u ggle ins id e t he ins t it u t io ns and t he legal s ys t em .

I n g e n e r a l , t h e s t r o n g e r m o v e m e n t s a n d o r g a n i z a t i o n s a r e t h o s e t h a tm or e f re qu en tl y p ri vi l eg e i ns ti tu ti on al s tr ug gl es , w he re as t he l es s s tr on ga r e t h o s e t h a t m o r e f r e q u e n t l y p r i v i l e g e d i r e c t a c t i o n . T h i s c l e a v a g e i sm uc h m or e l iv el y a mo ng m ov em en ts a nd o rg an iz at io ns o f t he N or tht ha n o f t he S ou th . T he l ar ge m aj or it y o f t he m ov em en ts, h ow ev er ,

r e f u s e t o t a k e s i d e s i n t h i s c l e a v a g e . A c c o r d i n g t o t h e m , t h e c o n c r e t el eg al a nd p ol it ic al c on di ti on s m us t d ic ta te t he k in d o f s tr ug gl e t o b ep ri vi le ge d. C on di ti on s m ay a ct ua ll y r ec om me nd t he s eq ue nt ia l o rs im ul ta ne ou s u se o f t he t wo k in ds o f s tr ug gl e. H is to ri ca ll y, d ir ec t a ct io nw as a t t he g en es is o f p ro gr es si ve i ns ti tu ti on al c ha ng es , a nd i t w as a lw ay sn e c e s s a r y t o c o m b a t t h e c o o p t a t i o n o r e v e n s u b v e r s i o n o f s u c h c h a n g e st hr o u gh d ir ect act io n.

I n sp ite o f th e d if fe ren ce s, a ll t he mo ve me nts a nd NG Os te nd t o

a gr ee t ha t l eg al m ob il iz at io n d em an ds a d ou bl e i nv es tm en t t ha t m os tm o v e m e n t s a n d N G O s c a n n o t a f f o r d . O n e t h e o n e s i d e , t h e c h o i c e o f t he m os t a de qu at e l eg al f or um o ft en ti me s d em an ds p ro hi bi ti ve l eg ala n d f i n a n c i a l r e s o u r c e s . O n t h e o t h e r , t h e k i n d o f l e g a l a c t i v i s m c a l l e dfor – in whi ch a high level of l egal expertise must combine with ap ro gr es si ve p ol it ic al s ta nc e p ro vi di ng t he s ti mu lu s t o s ee k b ey on d


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c on ve nt io na l l eg al i nt er pr et at io n a nd a dj ud ic at io n – i s r ar el y f ou nd .T hi s e xp la in s w hy t he s tr on ge r m ov em en ts o r N GO s, w hi ch o ft en h av ea l e g a l d e p a r t m e n t o f t h e i r o w n , t e n d t o h a v e a m o r e p o s i t i v e v i e w o f

legal, ins t it u t io nal act io n.

2.3.3.6 The principle of equality or the principle of respect for differenceA s n o t e d a b o v e , o n e o f t h e n o v e l t i e s o f t h e W S F i s t h e f a c t t h a t t h el ar ge m aj or it y o f i ts m ov em en ts a nd o rg an iz at io ns b el ie ve t ha t s oc ia le ma nc ip at io n m us t b e g ro un de d o n t wo p ri nc ip le s – t he p ri nc ip le o f e qu al it y a nd t he p ri nc ip le o f r es pe ct f or d if fe re nc e. T he s tr ug gl e f or

e i t h e r o f t h e m m u s t b e a r t i c u l a t e d w i t h t h e o t h e r , f o r t h e f u l f i l l m e n t o f e i t h e r i s a c o n d i t i o n o f t h e f u l f i l l m e n t o f t h e o t h e r . N o n e t h e l e s s , t h e r ei s a c le av ag e a mo ng t he m ov em en ts a nd e ve n, s om et im es , i ns id e t hes am e m ov em en t o n w he th er p ri or it y s ho ul d b e g iv en t o o ne o f t he sep ri nc ip le s, a nd i n t h a t c a se t o w h i ch o ne . A m o ng t ho se t ha t a n s we r t h ef i rs t q u e s ti o n i n t h e a f f i rm a ti v e, t h e c l ea v ag e i s b e tw e en t h os e t h at g i vep r i o r i t y t o t h e p r i n c i p l e o f e q u a l i t y ( f o r e q u a l i t y a l o n e m a y c r e a t e r e a lo pp or tu ni ti es f or t he r ec og ni ti on o f d if fe re nc e) a nd t ho se t ha t g iv e

p ri or it y t o t he p ri nc ip le o f t he r ec og ni ti on o f d if fe re nc e, f or w it ho uts u c h r e c o g n i t i o n e q u a l i t y c o n c e a l s t h e e x c l u s i o n s a n d m a r g i n a l i t i e s o nw hi ch i t l ie s, t hu s b ec om in g d ou bl y o pp re ss iv e ( fo r w ha t i t c on ce al s a ndf o r w h a t i t s h o w s ) .

T hi s c le av ag e o cc ur s a mo ng a nd w it hi n m ov em en ts . I t c ut s a cr os s,a m o n g o t h e r s , t h e w o r k e r s ’ , t h e f e m i n i s t , t h e i n d i g e n o u s , a n d t h e b l a c km ov em en ts . F or i ns ta nc e, w he re as t he w or ke rs ’ m ov em en t h as p ri vi -l e g e d t h e p r i n c i p l e o f e q u a l i t y t o t h e d e t r i m e n t o f t h e p r i n c i p l e o f t h er ec og ni ti on o f d if fe re nc e, t he f em in is t m ov em en t h as , i n g en er al ,p ri vi le ge d t he l at te r i n d et ri me nt t o t he f or me r. B ut t he m os t w id e-s pr ea d p os it io n – m os t f or ce fu ll y a dv an ce d b y t he i nd ig en ou s m ov e-m ent – i s th at b ot h pr in ci pl es h av e pr ior it y, an d t ha t n o pr in ci pl es h o u l d b e p r i v i l e g e d i n t h e a b s t r a c t . A c c o r d i n g t o t h i s v i e w , c o n c r e t ep ol it ic al c on di ti on s w il l d ic ta te t o e ac h m ov em en t w hi ch o ne o f t hep r i n c i p l e s i s t o b e p r i v i l e g e d i n a g i v e n c o n c r e t e s t r u g g l e . A n y s t r u g g l e

conceived under the aegis of one of these two principles must beo r g a n i z e d s o a s t o o p e n s p a c e f o r t h e o t h e r p r i n c i p l e .

I n t he f em in is t m ov em en t o f t he W SF , t hi s p os it io n i s n ow d om i-n a n t . V i r g i n i a V a r g a s ( s / d ) p u t s t h i s p o s i t i o n i n t h e f o l l o w i n g t e r m s :

A t t he W or ld S oc ia l F or um , f em in is ts h av e b eg un . . . nourishing pro-

c es se s t ha t i n te g ra te g en de r j us ti ce w it h e co no mi c j u st ic e , w hi le r ec ov e ri ng

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c ul t ur al s ub v er si on a nd s ub je c ti vi ty a s a l on ge r t er m s t ra te gy f o r t ra ns f or -

mation. This confronts two broad expressions of injustice: socio-economicinjustice, rooted in societal political and economic structures, and culturaland symbolic injustice, rooted in societal patterns of representation, inter-pretation and communication. Both injustices affect women, along withmany other racial, ethnic, sexual and geographical dimensions.

V a rg a s a s k s f o r n e w f e mi n is m s c o n st i tu t in g a h e te r og e ne o us a n d e x p an -s i v e p a n o r a m a , g e n e r a t i n g p o l y c e n t r i c f i e l d s o f a c t i o n t h a t s p r e a d o v e ra range of civil society organi zations and are not constrained tow om en ’s a ff ai rs , a lt ho ug h w om en u nd ou bt ed ly m ai nt ai n t he m i nm an y w ay s. A nd s he c on cl ud es : ‘‘ Ou r p re se nc e i n t he WS F, a sk in g

t h e s e v e r y q u e s t i o n s , i s a l s o a n e x p r e s s i o n o f t h i s c h a n g e . ’ ’T h e d y n a m i c c o e x i s t e n c e o f t h e p r i n c i p l e o f e q u a l i t y a n d t h e p r i n -

c i pl e o f r e co g ni t io n o f d i ff e re n ce c a rr i es e n or m ou s w e ig h t i n d e fi n in gt h e p o s i t i o n o f t h e p o l i t i c s o f l e g a l i t y i n s u b a l t e r n c o s m o p o l i t a n s t r u g -g l e s . T h e c r i s i s o f b o t h d e m o - l i b e r a l a n d d e m o - s o c i a l i s t r e f o r m i s m h a di ts m os t d ir ec t i mp ac t o n t he p ri nc ip le o f e qu al it y, w hi ch i nd ee d h adp ro vi de d t he r at io na le f or t he p ro gr es si ve r ef or mi st s tr ug gl es o f t he

t we n ti e th c e nt u ry ( S an t os 2002: 441 ). Th e c ri si s d id n ot a ff ec t th ep r i n c i p l e o f r e c o g n i t i o n o f d i f f e r e n c e i n t h e s a m e w a y a n d i t c a n e v e nb e s ai d t ha t, s im ul ta ne ou sl y w it h t he d ee pe ni ng o f t he c ri si s o f t hep r i n c i p l e o f e q u a l i t y , i m p o r t a n t v i c t o r i e s w e r e o b t a i n e d a s r e g a r d s t h es o c i a l v a l i d a t i o n o f t h e p r i n c i p l e o f r e c o g n i t i o n o f d i f f e r e n c e , a s s h o w nm o s t n o t a b l y b o t h b y t h e f e m i n i s t m o v e m e n t s f r o m t h e 1 9 7 0 s o n w a r d sa nd b y t he i nd ig en ou s m ov em en ts f ro m t he 1 98 0s o nw ar ds . T he sev i c t o r i e s i n j e c t e d a n e w c r e d i b i l i t y i n t o t h e p o l i t i c s o f l e g a l i t y b o t h i n

t h e N o r t h a n d i n t h e S o u t h , a c r e d i b i l i t y l i k e l y t o s p i l l o v e r i n t o o t h e ra r e a s o f p o l i t i c a l s t r u g g l e .

2.3.3.7 Trans-conflictualityM an y o f t he t en si on s a nd c le av ag es m en ti on ed a bo ve a re n ot s pe ci fi c t oth e WS F. Th ey i n f ac t b el on g t o t he h ist or ic al l eg ac y of t he so ci al f or ce st ha t f or t he p as t t wo h un dr ed y ea rs h av e s tr ug gl ed a ga in st t he s ta tu s q uof o r a b e t t e r s o c i e t y . T h e s p e c i f i c i t y o f t h e W S F r e s i d e s i n t h e f a c t t h a t

a l l t h e s e c l e a v a g e s c o e x i s t i n i t s b o s o m w i t h o u t u p s e t t i n g i t s a g g r e g a t -i ng po we r. T o my m in d, th re e f ac tor s c on tr ibu te t o t hi s. F irs t, th ed if fe re nt c le av ag es a re i mp or ta nt i n d if fe re nt w ay s f or t he d if fe re ntmo ve me nt s an d or ga ni za ti on s, a nd n on e of th em i s pr ese nt i n th ep ra ct ic es o r d is co ur se s o f a ll t he m ov em en ts a nd o rg an iz at io ns . T hu s,al l of t he m, a t t he s am e ti me th at t hey t en d to wa rd f ac ti on al is m,


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l i b e r a t e t h e p o t e n t i a l f o r c o n s e n s u s . T h a t i s t o s a y , a l l t h e m o v e m e n t sa n d o r g a n i z a t i o n s h a v e r o o m f o r a c t i o n a n d d i s c o u r s e i n w h i c h t o a g r e ew i t h a l l t h e o t h e r m o v e m e n t s o r o r g a n i z a t i o n s , w h a t e v e r t h e c l e a v a g e s

a mo ng t he m. S ec on dl y, t he re h as s o f ar b ee n n o t ac ti ca l o r s tr at eg icd em an d t ha t w ou ld i nt en si fy t he c le av ag es b y r ad ic al iz in g p os it io ns . O nt he c on tr ar y, c le av ag es h av e b ee n f ai rl y l ow i nt en si ty . F or t he m ov e-m e n t s a n d o r g a n i z a t i o n s i n g e n e r a l , w h a t u n i t e s h a s b e e n m o r e i m p o r -tant than what divides. Thirdly, even when cleavages area c kn o wl e dg e d, t h e d i ff e re n t m o ve m en t s a n d o r ga n iz a ti o ns d i st r ib u tet he ms el ve s a mo ng st t he m i n a n on li ne ar w ay . I f a g iv en m ov em en to p p o s e s a n o t h e r i n a g i v e n c l e a v a g e , i t m a y w e l l b e o n t h e s a m e s i d e i n

a no th er c le av ag e. T hu s, t he d if fe re nt s tr at eg ic a ll ia nc es o r c om mo na c t i o n s f e a t u r e d b y e a c h m o v e m e n t t e n d t o h a v e d i f f e r e n t p a r t n e r s . I nt hi s w ay a re p re cl ud ed t he a cc um ul at io n a nd s tr en gt he ni ng o f d iv er -g en ces th at c oul d r esu lt f ro m th e a li gn me nt of th e mo ve me nts i nm u l t i p l e c l e a v a g e s . O n t h e c o n t r a r y , t h e c l e a v a g e s e n d u p n e u t r a l i z i n go ne a no th er . I n s uc h t ra ns -c on fl i ct ua li ty , t o m y m in d, l i es t he W SF ’saggr egat ing p o w er .

2.4 T H E P O L I T I C S O F L E G A L I T Y I N A C O N T E X T O F

C O N F L I C T I N G G L O B A L I Z A T I O N S

I h a v e d e s c r i b e d t h e W S F a s a c r i t i c a l r e a l i s t u t o p i a . A t t h i s p o i n t i ts h o u l d b e a s k e d w h a t k i n d o f r e l a t i o n o f l a w a n d p o l i t i c s ( w h a t I c a l lp ol it ic s o f l eg al it y) i s c on gr ue nt w it h t hi s u to pi a a nd w ha t p ol it ic als tr at eg ie s i t h as b ee n g iv in g r is e t o. D oe s i t c om pr is e a l eg al u to pi a?

H ow d oe s i t c om pa re t o n eo li be ra l g ov er na nc e, t he p ri vi le ge d l eg alfo r m o f hegem o nic glo b aliz at io n?

I h av e a rg ue d e ls ew he re t ha t t he t ra ns fo rm at io n, i n t he n in et ee nt hc e n t u r y , o f t h e m o d e r n i d e a o f p r o g r e s s i n t o t h e i d e a o f i n f i n i t e a n d e v e re xp an di ng r ep et it io n o f b ou rg eo is s oc ie ty e nt ru st ed b ot h m od er n s ci en ce(and , s p ecifically, t he s o cial s ciences ) and law w it h t he t as k o f d is co v er -ing and gu ar ant eeing t he r egu lar it ies o f s o cial life and s o cial t r ans fo r m a-t ion t hat m ade p os s ib le ‘‘nor m al change’’ (Santo s 2002:7 1 – 8 2 ). Law , in

t h e m e a n t i m e r e d u c e d t o s t a t e l a w , w a s a v a i l a b l e b o t h a s a n i n s t r u m e n tt o fu lfill t he im p er at iv es o f s o cial r egu lat io n and as a p r e- u nd er s t and ingo f t he s cient ific k no w led ge o f s o ciet y s t ill t o b e d ev elo p ed .

T h i s u n l i m i t e d a v a i l a b i l i t y o f t h e l a w o f t h e s t a t e f o r s o c i a l e n g i n e e r -i n g w a s a t t h e r o o t s o f i t s c o n v e r s i o n i n t o a u t o p i a o f i t s o w n – a l e g a lu t o p i a . T h i s l e g a l u t o p i a w a s t h e e n g i n e b e h i n d n o r m a l c h a n g e – t h e

S A N T O S

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i de a t ha t, t hr ou gh a d ia le ct ic s o f a me li or at io n a nd r ep et it io n, s oc ia lc h a n g e w a s a c o n t i n u o u s p r o c e s s p r o c e e d i n g t h r o u g h g r a d u a l t r a n s f o r -m a t i o n s s a n c t i o n e d b y t h e s t a t e l a w , i t s e l f c h a n g i n g c o n t i n u o u s l y a n d

gradually.T h i s p a t t e r n o f n o r m a l c h a n g e i s b a s e d o n t h e f o l l o w i n g p r e s u p p o s i -

t io ns . F ir st , n o m at te r h ow d iv er se i ts a pp li ca ti on f ro m s ta te t o s ta te , t hep at te rn o f n or ma l c ha ng e i s t he t ra ns na ti on al p ol it ic al l og ic o f t hei n t e r - s t a t e s y s t e m . S e c o n d l y , t h e n a t i o n a l s t e e r i n g m e c h a n i s m s d e v e l -oped and deployed by the state are available and are efficaci oust hr ou gh ou t t he n at io na l t er ri to ry , w ho se b ou nd ar ie s a re a ls o g ua ra n-t e e d b y t h e s t a t e . T h i r d l y , t h e f i n a n c i a l c a p a c i t y o f t h e s t a t e t o i m p l e -

me nt al l of i ts st rat eg ie s d ep en ds a bov e a ll on t he s ust ai nab il it y of e co nom ic gr ow th , a nd h en ce on th e su cc es s of t he a cc um ul at ions tr at eg ie s. F ou rt hl y, h um an a sp ir at io ns a nd t he w el l -b ei n g o f t he p eo pl ec a n b e f u l f i l l e d o r g u a r a n t e e d b y m a s s - p r o d u c e d s e r v i c e s a n d p r o d u c t sd es ig ne d a cc or di ng t o a c om mo di ty f or m, e ve n i f n ot d is tr ib ut ed b yc om mo di ty m ar ke ts . F if th ly , t he r is ks a nd d an ge rs t ha t t he s ta te i s a sk edt o p r o t e c t i t s c i t i z e n s f r o m o c c u r r a r e l y , a n d a r e p r e d o m i n a n t l y s m a l l -

s cale o r m ed iu m - s cale.T hi s l eg al u to pi a i s u nd er go in g a d ee p ( fi na l? ) c ri si s t ha t s ta rt ed i nt h e e a r l y 1 9 7 0 s a n d c o n t i n u e s t o d a y ( S a n t o s 2002:7 1 – 8 2 , 4 4 7 – 4 5 8 ). I ti s i n t h e s h a d o w ( i f n o t i n t h e r u i n s ) o f t h i s l e g a l u t o p i a a n d i t s c r i s i st h at b o th n e ol i be r al g o ve r na n ce a n d s u ba l te r n c o sm o po l it a n l e ga l it ym u s t b e u n d e r s t o o d . T h e y r e p r e s e n t t w o c o n t r a s t i n g i n t e r p r e t a t i o n s o f t he c on di ti on s d er iv in g f ro m t he c ri si s o f m od er n l eg al u to pi a a nd ,c o ns e qu e nt l y, o f fe r t w o c o nt r as t in g p r os p ec t iv e r e ad i ng s o f o u r t i me .

Neoliberal governance sees the crisis of the legal utopia not as ap r o b l e m b u t a s a s o l u t i o n . A c c o r d i n g t o t h e g o v e r n a n c e m a t r i x , m o d -e rn l eg al u to pi a i s p ar t a nd p ar ce l o f a c om ma nd -a nd -c on tr ol b ur ea u-c ra ti c r ul e, c en te re d o n t he s ta te a nd t he j ud ic ia ry , w hi ch , b es id es b ei nga u th o ri t ar i an , r i gi d , a n d n o n- p ar t ic i pa to r y, i s r i dd e n b y i n ef f ic i en c ie sa nd h au nt ed b y t he e na ct me nt /e nf or ce me nt g ap ( S im on 2003 ) . Th ea b o v e - m e n t i o n e d f e a t u r e s o f g o v e r n a n c e a r e t h u s d e s i g n e d t o o f f e r t h es ol ut io n t o t he p ro bl em s c re at ed b y m od er n l eg al u to pi a, n ot b y i ts

crisis.F o r s u b a l t e r n c o s m o p o l i t a n l e g a l i t y , m o d e r n l e g a l u t o p i a w a s a f a l s e

s ol ut io n t o t he v er y r ea l p ro bl em o f m an ag in g t he t en si on s b et we end e m o c r a c y a n d c a p i t a l i s m . O n o n e s i d e , d e m o c r a t i c s t r u g g l e s f o r i n c l u -s io n i n t he s oc ia l c on tr ac t, w hi ch r es ul te d i n e xp an di ng r ig ht s, s om em ea su re o f s oc ia l r ed is tr ib ut io n, a nd t he g ro wt h o f n on -m er ca nt il e


59



i nt er ac ti on s a mo ng c it iz en s, w er e m ad e p os si bl e b y t he w el f ar e s ta te .O n t he o t her s id e, p r o fit - d r iv en cap it alis m v iew ed s o cial r ed is t r ib u t io na s a f o r m o f e x p r o p r i a t i o n . T h e m o d e r n l e g a l u t o p i a n e v e r m a n a g e d t o

s o lv e t he co nt r ad ict io n b et w een r ed is t r ib u t iv e d em o cr acy and cap it al-i s m , b u t k e p t i t w i t h i n m a n a g e a b l e b o u n d a r i e s , t h u s l a y i n g t h e f o u n d a -t io n f or t he c on se ns us p ol it ic s t ha t r ul ed t he c or e c ou nt ri es f ro m t hes e c o n d p o s t - w a r p e r i o d t o t h e e n d o f t h e 1 9 6 0 s . T h e c r i s i s o f t h e l e g a lu to pi a h as w or se ne d t he p ro bl em o f s oc ia l d is tr ib ut io n. P ar ad ox ic al l y, i th a s d o n e s o i n s u c h a w a y t h a t t h e c o n t r a d i c t i o n s b e t w e e n d e m o c r a c ya nd c ap it al is m s ee m t o h av e v an is he d. D ep ri ve d o f i ts r ed is tr ib ut iv ep o t e n t i a l , d e m o c r a c y i s t o d a y g l o b a l l y p r o m o t e d b y t h e s a m e a g e n c i e s

t ha t p ro mo te c ap it al is m a ro un d t he w or ld . T he t en si on h as d is so lv ed i ncomplementarity.

Th is, h owe ver , i s on ly pa rt o f t he s tor y. Th e ot he r p art i s a d ee pd is ju nc tu re b et we en p ol it ic al r eg im e a nd s oc ia l r eg im e, w hi ch I h av ed es cr ib ed a s t he r is e o f s oc ia l f as ci sm ( Sa nt os 2002 : 4 5 3 ) . I t i s a n e ws oc io -p ol it ic al c on st el la ti on c ha ra ct er iz ed b y t he c on fi ne me nt o f democracy to an ever more narrowly defined politi cal field that

c oe xi st s ( ra th er t ha n i nt er fe re s) w it h f or ms o f s oc ia bi li ty , i n w hi cht he m or e p ow er fu l n on -s ta te a ct or s a ss um e v et o p ow er o ve r t he l if eand well-being of less powerful or powerless ones. It is a highlyu ns ta bl e p ol it ic al c on st el la ti on , r ep ro du ce d i n t he c or e c ou nt ri es b ya h it he rt o e ff ic ac io us t ra ns fo rm at io n o f c on se ns us p ol i ti cs i nt o r es -i gn at io n p ol it ic s, a nd i n t he p er ip he ra l c ou nt ri es b y t he i mp os it io no f s tr uc tu ra l a dj us tm en t p ol ic ie s o ft en c ou pl ed w it h t he c ol la bo ra -tion of corrupt l ocal elites. Social fascism on a global scal e is the

p ro bl em t ha t s ub al te rn c os mo po li ta n l eg al it y s ee s i ts el f c on fr on te dwi th . Th ere i s n o p oi nt i n t ry in g to r ev ive th e m od ern l eg al ut op ian or i n i nve nt in g a n ew l eg al u to pi a. Th e so lut ion l ies i n a c ri ti ca lr ea li st u to pi a w ho se p ra gm at ic u nf ol di ng m ay i nv ol ve l eg al m ob il i -z at io n a s p ar t o f b ro ad er p ol i ti ca l m ob il iz at io n.

I n o rd er t o b e s uc ce ss fu ll y m ob il iz ed i n a c ou nt er -h eg em on ic c on -t ext , l aw m us t un de rg o a d ee p p ro ce ss of re vi si on . At s ta ke i s, f ir st of a ll ,t he i nqu iry i nto th e po ss ibi li ty o f t he c oun ter -h eg em on ic us e o f a

hegemonic tool such as law. Secondly, the inquiry is into non-h eg em on ic t ra di ti on s o f l aw a nd l eg al it y a nd t he p os si bi li ty o f i ts m ob il iz a-tion i n c ou nt er -h eg em on ic s tr ug gl es . A s I a rg ue d a t t he o ut se t, t hi su nth in ki ng o f l aw i nvo lve s a n e xpa ns ion of th e c on ce pt ion o f t hep ol it ic s o f l eg al it y. T he l eg al s tr ug gl es c on du ct ed b y t he m ov em en tsa n d N G O s c o m b i n e d i n t h e W S F b e a r w i t n e s s t o t h e n e e d f o r s u c h a n

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60



e x p a n s i o n . I e m p h a s i z e d t h e i n t e r n a l d i v e r s i t y o f t h e W S F b y f o c u s i n go n t h e m a i n c l e a v a g e s a m o n g t h e m o v e m e n t s , w h i c h s h o u l d s u f f i c e t oc a u t i o n u s a g a i n s t t h e i d e a t h a t a n e w p a r a d i g m i s e m e r g i n g . W h a t c a n

be sa id i s th at i n sp ite o f al l di ff er en ce s th ey s har e th e q ue st f or t hef ou rf ol d e xp an si on o f t he p ol i ti cs o f l eg al i ty m en ti on ed i n t he i nt ro -d u c t o r y s e c t i o n o f t h i s c h a p t e r .

F ir st , su ba lt er n c os mo po li ta n l eg al ity i s n ev er f orm ul at ed as al eg al s tr at eg y b ut r at he r a s a p ol it ic al s tr at eg y t ha t c om pr is es l eg alc om po ne nt s. M or eo ve r t he s tr ug gl es d o n ot f oc us e xc lu si ve ly o n t heprinciple of equality (social redistribution), as was the case of m od er n l eg al u to pi a, b ut r at he r o n a c om pl ex a nd d yn am ic b al an ce

b et we en t he p ri nc ip le o f e qu al it y a nd t he p ri nc ip le o f r ec og ni ti on o f difference.

S ec on dl y, wh en eve r l aw i s r es or ted t o, i t i s n ot n ec ess ari ly th en a t i o n - s t a t e l a w ; i t m a y b e t h e l o c a l u n o f f i c i a l l a w , a s w e l l a s i n t e r n a -t io na l o r t ra ns na ti on al l aw . H er ei n l i es t he t ra ns ca la r n at ur e o f l eg almobilization. The difference of subaltern cosmopolitan legality vis-a-vism od er n l eg al u to pi a i s e vi de nt a s t he l at te r f oc us ed e xc lu si ve ly o n

o f f i c i a l s t a t e l a w .T h ir d ly , l e ga l k n ow l ed g es s u sc e pt i bl e o f b e in g m o bi l iz e d i n s u ba l te r nc o s m o p o l i t a n l e g a l s t r u g g l e s a r e v e r y d i v e r s e . O n l y r a r e l y d o t h e s t r u g -g le s r el y e xc lu si ve ly o n s ta te -c er ti fi ed p ro fe ss io na l l eg al k no wl ed ge .I n di g en o us p e op l e, u r ba n s q ua t te r s e tt l er s , o v er - ex p lo i te d w or k er s i ns w e a t s h o p s , l a n d l e s s p e a s a n t s a n d p e a s a n t s t r y i n g t o s e c u r e t r a d i t i o n a ll a nd t e nu r e a g ai n st m a rk e t- l ed t e nu r e r e gi m es , d i sc r im i na t ed w o me n ,m i no r it i es , r e li g io u s g r ou p s a n d l o we r c a st e s, m i gr a nt s , w o rk e rs i n t h e

i n f o r m a l e c o n o m y , e n v i r o n m e n t a l i s t s , a n d p e a c e a c t i v i s t s – a l l o f t h e mact under the assumption that law is a strange substance made of d if fe re nt i ng re di en ts a nd i n d if fe re nt d os es t o b e c ar ri ed i n d if f er en tv es se ls a nd u se d ( or d is ca rd ed ) i n d if fe re nt w ay s a lo ng t he r oa d t ow ar d am o r e j u s t s o c i e t y .

F ou rt hl y, t he p ri or it y o f p ol i ti ca l m ob il iz at io n o ve r l eg al m ob il i za -t i o n a n d t h e d i v e r s i t y o f p o l i t i c a l t o o l s r e s o r t e d t o a r e c o n g r u e n t w i t h ac o n c e p t i o n o f s o c i a l s t r u g g l e w h o s e t i m e f r a m e i s m u c h m o r e c o m p l e x

t ha n t he o ne t ha t p re si de d o ve r l eg al m ob il iz at io n u nd er t he a eg is o f m od er n l eg al u to pi a. O n t he o ne h an d, t he s oc ia l g ro up s i nv ol ve d i nc ou nt er -h eg em on ic s tr ug gl es r ef us e t o b e s ee n a s r es id ua l, i nf er io r,i gn or an t, u np ro du ct iv e, o r l oc al . O n t he o th er h an d, t he y r ef us e t of or get th e l on g du ra ti on of c api ta li sm a nd c ol on ia li sm a s a f ac tore x p l a i n i n g b o t h t h e i r g r i e v a n c e s a n d t h e i r r e s i s t a n c e .


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I n s u m , t h e W S F ’ s u t o p i a i s i n t h e a n t i p o d e s o f t h e l e g a l u t o p i a t h a t i sa t t he c or e o f m ode rn c ap it al ist s oci eti es . B ut , a wa re o f t he da ng er o f t hr o w ing o u t t he b ab y w it h t he b at h w at er , co u nt er - hegem o nic glo b ali-

z at io n s tr ug gl es c an no t a ff or d n ot t o u se a ny n on -v io le nt m ea ns a va il abl et o t hem against capit alis t m o der nit y, inclu ding t hos e invented b y capi-t al is t m od er ni ty t o b et ra y i ts p ro mi se s o f f re ed om , e qu al it y, a nd n on -d is cr im inat io n. H er ein lies a t r ans m o d er n co ncep t io n o f law .

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Gramsci. N e w Y o r k : I n t e r n a t i o n a l P u b l i s h e r s .H a be r ma s , J u rg e n. 1 9 8 2. Theorie des Kommunikativen Handelns. F r an k fu r t:

Suhrkamp.H e l d , D a v i d . 1 9 8 7 . Models of Democracy. C a m b r i d g e : P o l i t y P r e s s .

H i nk e la m me r t , F r an z . 2 0 02 . Crıtica de la razon utopica. B i lb a o D e sc l ee d eBrouwer.

Jessop, Bob. 1998. ‘‘The Rise of Governance and the Risks of Failure: The Caseof Economic Development.’’ International Social Science Journal 155:29–45.K uhn , T ho ma s. 1 97 0. The Structure of Scientific Revolutions. C hi ca go :

U n i v e r s i t y o f C h i c a g o P r e s sM a cp h er s on , C . B . 1 9 66 . The Real World of Democracy. O x f o r d : C l a r e n d o n .

1977. The Life and Times of Liberal Democracy. O x fo r d: O x fo r d U n i ve r si t y

Press.

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M o n e d e r o , J u a n C a r l o s . 2 0 0 3 . La Trampa de la Gobernanza: Nuevas Formas deParticipacion Politica. Mexico City: Camara de Diputados.

O f f e , C l a u s . 1 9 8 5 . Disorganized Capitalism. O x f o r d : P o l i t y P r e s s .Rodrıg ue z- Ga ra vi to , C es a r. 2 00 5. ‘‘ Gl ob al G ov er na nc e, C ro ss -B or d er

O r ga ni zi ng , a nd L ab or R ig ht s: C od e s o f C on du c t a nd A nt i- Sw ea ts ho pS t ru g gl e s i n G l ob a l A pp a r el F a ct o ri e s i n M e xi c o a nd G u at e ma l a. ’’ Politics& Society 3 3 ( 2 ) .

S an to s, B oa ve nt u ra d e S ou sa . 1 99 5. Toward a New Common Sense: Law,Science and Politics in the Paradigmatic Transition. N e w Y o r k : R o u t l e d g e .

2 0 0 1 . ( E d . ) . Globalizacao: Fatalidade ou Utopia?. P o r t o : A f r o n t a m e n t o .2002. Toward a New Legal Common Sense. L o n d o n : B u t t e r w o r t h s .2 00 4. ‘‘ A C ri ti qu e o f L az y R ea so n: A ga in st t he W as t e o f E xp er ie nc e. ’’ I n The

Modern World System in the Longue Duree, edited by Im manuel,W a l l e r s t e i n . N e w Y o r k : F r e e P r e s s .

S an to s, B oa ve nt ur a d e S ou sa . a nd J an e J en so n. ( Ed s. ). 2 00 0. Globalizing Institutions: Case Studies in Regulation and Innovation. A l d e r s h o t : A s h g a t e .

S e n , J . , A . A n a n d , A . E s c o b a r , a n d P . W a t e r m a n . 2 0 0 4 . World Social Forum:Challenging Empires. N e w D e l h i : V i v e k a F o u n d a t i o n .

S i mo n , W i l l ia m . 2 0 03 . ‘‘ S ol v in g P r ob l em s v . C l ai m i ng R i gh t s: T h e P r a g ma t is tC h al l e ng e t o L e ga l L i be r al i sm . ’’ P u bl i c L a w R e se a rc h P a pe r , N o . 0 3 -5 8 ,

S t a n f o r d L a w S c h o o l a n d C o l u m b i a L a w S c h o o l .U n it e d N a ti o n s. 2 0 00 . Global Compact Primer. N ew Y or k: U ni te d N at io ns

(www.unglobalcompact.org).V a r g a s , V i r g i n i a ( s / d ) . Los aportes y los retos feministas en el Foro Social Mundial .

(www.alainet.org).

W a te r ma n , P e te r . 2 0 03 a . First Reflections on the World Social Forum, Porto Alegre,Brazil. Library of Alternatives, WSF (www.forumsocialmundial.org.br).

2003b. Second Thoughts on the WSF: Place, Space and the Reinvention of

Social Emancipation on a Global Scale. L ib ra ry o f A lt er na ti ve s, W SF(www.forumsocialmundial.org.br).


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CHAP TER 3

NIKE’S LAW: THE ANTI-SWEATSHOPMOVEMENT, TRANSNATIONAL

CORPORATIONS, AND THE STRUGGLE OVER

INTERNATIONAL LABOR RIGHTS IN THE

AMERICAS

Ce sar A. Rodrı guez-Garavito


Just as sweatshops have become the symbol of the perverse effects of n e ol i b er a l g l ob a l iz a ti o n, t h e t r an s na t io n a l a n ti - sw e at s ho p m o ve m en t

l i e s a t t h e h e a r t o f t h e s t r u g g l e f o r s o c i a l j u s t i c e i n t h e g l o b a l e c o n o m y .I n t he g lo ba l N or th , t he r ee me rg en ce o f s we at sh op s i n s uc h c it ie s a s

New York and Los Angeles entails the return of the economic and legalr ea li ti es o f t he n in et ee nt h c en tu ry ( Bo n ac ic h a nd A pp el b au m 2000;Ross 1997) . I n t he S ou th , t he e xp lo it at iv e l ab or c on di ti on s a nd t heu n fu lf il l ed p ro mi se o f e mp l oy me nt a nd g ro w th h av e t ur ne d maquilasi nt o a n i co n o f t he f ai lu re o f l at e t we nt ie th -c en tu ry n eo l ib er al is m. I nb r i d g i n g t h e N o r t h – S o u t h d i v i d e t h r o u g h h i g h l y p l u r a l , d y n a m i c , a n dd ec en tr al iz ed t ra ns na ti on al a dv oc ac y n et wo rk s ( TA Ns ), t he a nt i-s we at sh op m ov em en t h o ld s o u t t he p ro sp ec t o f a r ev a mp ed , t we nt y-f ir st c en tu ry l ab or i nt er na ti on al is m ( Ev an s, f or th co mi ng ; M oo dy1997).

B ey on d i ts p o li ti ca l a nd s ym bo l ic i mp o rt an ce , t he a nt i- sw ea ts ho pm o v e m e n t o f f e r s a p r i v i l e g e d v a n t a g e p o i n t t o e x a m i n e t h e r o l e o f l a wi n c ou n te r- he ge mo ni c g lo b al i za ti on f o r t wo r ea so n s. F i rs t, i n t er ms o f

s o c i a l m o v e m e n t t h e o r y ( S n o w et al. 1986) , t h e ‘ ‘ f r a m i n g ’ ’ o f t h e a n t i -s w e a t s h o p c a u s e h a s c r u c i a l l y r e l i e d o n l a w a n d l e g a l d i s c o u r s e . G i v e nt h at a b u se s c o mm i tt e d i n g l o ba l s w ea t sh o p s – f r om p h ys i ca l v i o le n ce t os e x u a l h a r a s s m e n t a n d m i s e r y w a g e s – u n d e r m i n e f u n d a m e n t a l c o n d i -t i o n s o f h u m a n d i g n i t y , T A N s h a v e f r a m e d t h e i r s t r u g g l e a s a v i n d i c a -t i o n o f b a s i c h u m a n r i g h t s . T h i s h a s n o t o n l y l e n t a p o t e n t m o r a l f o r c e

64



t o t h e m o v e m e n t b u t h a s a l s o p l a c e d t h e m o b i l i z a t i o n o f h u m a n r i g h t sr ul es a nd d is co ur se s a t t he c en te r o f T AN s’ s tr at eg ie s. S ec on dl y, a s Iw il l a rg ue b el o w, t he a nt i- sw ea ts ho p m ov em en t c an b e b es t u nd er st o od

a s a c om po ne nt o f a b ro ad er m ov em en t t o r eg ul at e t he o pe ra ti on o f t r a n s n a t i o n a l c o r p o r a t i o n s ( T N C s ) i n t h e g l o b a l e c o n o m y . A k e y s t a k ei n t h i s g l o b a l f i e l d o f c o n f r o n t a t i o n p i t t i n g T N C s a g a i n s t T A N s – a n dt h e m y ri a d g o v er n me n ta l a n d n o n- g ov e rn me n ta l o r ga n iz a ti o ns s i di n gw it h e ac h c am p, a s w el l a s t he l aw ye rs , c on su lt an ts , a nd a ca de mi csprov iding the legal and intellectual ammu nitio n to each – is thed ef i ni ti on o f t he r ul es e st ab li s hi n g t he r ig ht s o f c or po ra ti o ns a nd w or ke rsi n t h e g l o b a l e c o n o m y ( C a v a n a g h 1997:4 9 ) . A s W a l l e r s t e i n h a s p u t i t ,

‘ ‘ t h e c r e a t i o n o f t h e s e l e g a l s t r u c t u r e s a s w e l l a s t h e i r r e a l e n f o r c e m e n tb e c o m e s t h e r e f o r e o n e o f t h e p r i m e p o l i t i c a l a r e n a s o f c o n f l i c t i n t h eworld-system’’ (Wallerstein 2002: 6 4 ) . T h u s , a s I s e t o u t t o s h o w i n t h i sc h a p t e r , t h e c o u n t e r - h e g e m o n i c p o t e n t i a l o f t h e n o r m a t i v e v i s i o n a n dl e g a l s t r a t e g i e s o f t h e a n t i - s w e a t s h o p m o v e m e n t c a n b e a s s e s s e d o n l y i f se en i n r el ati on to t he he ge mo ni c v is io ns a nd u se s o f l aw th ro ug h w hi chT N C s a n d t h e i r s u p p o r t e r s s e e k t o c o n s o l i d a t e t h e i r d o m i n a n c e i n t h e

g l oba l e c on om y .T he l eg al t oo ls a va il ab le t o a ct or s i n t he c on fr on ta ti on o ve r l ab orr i g h t s a r e h i g h l y h e t e r o g e n e o u s a n d o p e r a t e a t d i f f e r e n t s c a l e s . I n t h ea b s e n c e o f e f f e c t i v e i n s t i t u t i o n s o f t r a n s n a t i o n a l g o v e r n a n c e , w o r k i n gc on di ti o ns i n g lo b al c om mo d it y c ha in s a re r eg u la te d t hr ou g h m yr ia dp u bl ic a nd p ri va te a rr an geme nt s t ha t c o ns ti tu te a l eg al k al ei d os co p er at he r t ha n a l eg al s ys te m.1 T hu s, i n t er ms o f s oc io le ga l t he or y, t hes t r u g g l e f o r w o r k e r r i g h t s t a k e s p l a c e i n a c o n t e x t o f l e g a l p l u r a l i s m i n

w hi ch n at io na l l ab o r l aw s, I LO c o nv e nt io n s, c or po ra te c od es o f c on -d uc t, s oc ia l c la us es i n b il at er al a nd r eg io na l t ra de a gr ee me nt s, a ndu ni la te ra l sa nc ti on s o ve rl ap an d cl as h ( Ar th urs 1996; Trubek,M o sh e r, a n d R o th s te i n 2000) . T hi s l eg al k al ei do sc o pe i nv o lv es b o th‘‘ so ft l aw ’’ c re at ed b y p ri va te a ct or s s uc h a s T NC s ( e. g. c od es o f c on -d u c t ) a n d N G O s ( e . g . a l t e r n a t i v e t r e a t i e s ) a s w e l l a s ‘ ‘ h a r d l a w ’ ’ b a c k e db y s ta te a pp ar atu se s. H eg em on ic a nd c ou nte r-h eg emo ni c a ct or sa ct iv el y e xp lo it a nd s ha pe t he u ne qu al o pp or tu ni ti es c re at ed b y t he

t e n s i o n s a n d c o n t r a d i c t i o n s w i t h i n t h i s p l u r a l i s t l e g a l a r e n a .T h e u s e o f p l u r a l l e g a l f i e l d s b y s o c i a l m o v e m e n t s i s a s t a p l e t o p i c o f

s o ci o le g al r e se a rc h . T h e e x i st i ng l i te r at u re , h o w ev e r, c o nt i nu e s t o b e

1 I t ak e t he c on ce pt o f ‘‘ le ga l k al ei d os co pe ’’ f r om S an to s a nd G ar cıa ’s (2 0 0 1) w or k o n l eg alp lu r a lis m in C o lo m b ia .

T H E S T R U G G L E O V E R I N T E R N A T I O N A L L A B O R R I G H T S

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l a r g e l y f o c u s e d o n t h e l o c a l a n d n a t i o n a l s c a l e s , t h u s m i s s i n g t h e n o v e lf o rm s o f l e ga l p l u ra l is m a n d t r an s na t io n al p o l it i ca l m o b il i za t io n a s so -c ia te d w it h g lo ba li za ti on . S pe ci fi ca ll y i n t he A me ri ca s, t he a re a o n

w hi ch t hi s c ha pt er f oc us es , t wo d if fe re nt t re nd s h av e c on ve rg ed t op r o d u c e t h i s i m p o r t a n t b l i n d s p o t i n o u r u n d e r s t a n d i n g o f c o n t e m p o r -a r y l a w a n d s o c i a l m o v e m e n t s . I n L a t i n A m e r i c a , t h e v i b r a n t t r a d i t i o no f s tu di es o n th e a lt ern at iv e u se o f l aw b y p op ul ar a ct or s h as o ve r-w h e l m i n g l y f o c u s e d o n l o c a l p r o c e s s e s o f i n f o r m a l l a w c r e a t i o n w i t h i nm a r g i n a l i z e d c om m un i t i e s ( O l i ve i r a 2003; S a n t o s 1991) , o r t h e m o b i -l i z a t i o n o f n a t i o n a l c o u r t s b y a c t i v i s t s ( G a r c ı a a n d U p r i m n y 2004) . I nt he U S, d es pi te t he r ec og ni ti on o f l eg al p lu ra li sm , t he l it er at ur e o n

l e g a l m o b i l i z a t i o n c o n t i n u e s t o b e d o m i n a t e d b y a n a l y s e s o f t h e u s e o f l it ig ati on a nd d ome sti c co ur ts b y so ci al m ov eme nt o rg an iza ti on s(McCann 1994; S ch ei ng ol d a nd S ar at 2004) . I n b o t h s c h o l a r l y t r a d i -t i on s , t h er e fo r e, t h e t a sk o f i n q ui r in g p r ec i se l y h o w t r an s na t io n al s o ci a lm o v e m e n t s s h a p e a n d a r e s h a p e d b y t h e p l u r a l a r r a y o f r u l e s r e g u l a t i n gt h e w o r l d e c o n o m y r e m a i n s t o b e d o n e .

T he g ro w in g l it er at ur e o n t ra ns na ti o na l s oc ia l m ov e me nt s o ff er s

some useful cl ues for this task (Keck and Sikkink 1998; Tarro w2001 ) . P ar ti cu l ar ly r el ev an t i s r ec en t e xp l or at or y w or k o n t he r ol e o f NGOs in the ‘‘social construction of law’’ (Sikkink 2002) . H o w e v e r , a sR aj ag op a l (2003) has noted , social mov ement research has yet tos ys te ma ti ca ll y e xa mi ne t he u se o f l eg al i ns ti tu ti o ns a nd d is co ur se s a sf r a m e s a n d a r e n a s o f c o n t e n t i o u s p o l i t i c a l a c t i o n a c r o s s b o r d e r s .

B as ed o n e th no gr ap hi c r es ea rc h o n a nt i- sw ea ts ho p a ct iv i sm i n t hea p p a r e l i n d u s t r y i n M e x i c o , G u a t e m a l a , a n d t h e U S , i n t h i s c h a p t e r I

s e t o u t t o c o n t r i b u t e t o f i l l i n g t h i s v o i d b y e x a m i n i n g t h e w a y i n w h i c ht he t ra ns na ti on al a nt i- sw ea ts ho p m ov e me nt h as c om bi ne d p o li ti ca la n d l e g a l s t r a t e g i e s t o a d v a n c e t h e c a u s e o f i n t e r n a t i o n a l l a b o r r i g h t s .S i n c e a c e n t r a l p r e m i s e o f m y a n a l y s i s i s t h a t s u c h c o u n t e r - h e g e m o n i cu s e o f l a w s h o u l d b e u n d e r s t o o d i n t h e c o n t e x t o f t h e o n g o i n g s t r u g g l et o d e f i n e t h e r u l e s r e g u l a t i n g c a p i t a l a n d l a b o r i n t h e g l o b a l e c o n o m y , Ia l s o d i s c u s s t h e s t r a t e g i e s o f h e g e m o n i c a c t o r s ( n a m e l y , T N C s t a r g e t e db y a nt i- sw ea ts ho p T AN s) t o c on st ra in t he r ea ch , t he s co pe , a nd t he

e n f or c e a bi l i t y of i n t e r n a t i on a l l a bor r e g ul a t i on s .M y a r g u m e n t i s t h r e e f o l d . F i r s t , I c l a i m t h a t a t t h e h e a r t o f t h e a n t i -

s w e a t s h o p m o v e m e n t l i e s t h e e f f o r t t o r e a l i g n l e g a l r e s p o n s i b i l i t y a n dc o r p o r a t e e c o n o m i c p o w e r . I n s e e k i n g t o e s t a b l i s h d e f a c t o o r d e j u r ej o i n t l i a b i l i t y f o r l a b o r c o n d i t i o n s i n t h e g l o b a l a p p a r e l i n d u s t r y , a c t i -v i s t s s e e k t o c u t t h r o u g h t h e f i c t i o n o f t h e N o r t h e r n m a n u f a c t u r e r s a n d

R O D R I G U E Z - G A R A V I T O

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r et ai le rs a nd t he ir S ou th er n c on tr ac to rs a s i nd ep en de nt e nt it ie s.C on ve rs el y, c or po ra te r es po ns es t o t he m ov e me nt a re l ar ge ly a im eda t m ai nt ai ni ng t hi s f ic ti o n a nd t he e xi st in g l eg al a rr an ge me nt s t ha t

s u p p o r t i t . S e c o n d l y , c o n t r a r y t o a p p r o a c h e s f o c u s i n g o n t h e f u n c t i o n -a li ty o f l eg al p lu ra li sm a nd n ov el f or ms o f ‘‘ so ft l aw ’’ f or t he s mo ot ho pe ra ti on o f t he g lo ba l e co no my , I ar gu e t ha t g lo ba l l eg al f ie ld s a re si te sof u neven p olitical co ntention where hegemonic and cou nter-h eg em on ic a cto rs st ru gg le t o se t th e h ie ra rch y a nd t he c ont en t o f c om pe ti ng l eg al r ul es . A s t he s tu dy o f t he f ie ld o f i nt er na ti on al l ab or r ig ht ss h o w s , t h e p r i v i l e g e d s c a l e o f r e g u l a t i o n ( w h e t h e r g l o b a l , n a t i o n a l , o rl oc al ) a nd t he ‘‘ ha rd ne ss ’’ o r ‘‘ so ft ne ss ’’ o f t he l aw a re t he ms el ve s o bj ec ts o f

p o li ti ca l c o nt en ti on r at he r t ha n t he r es ul t o f a s ys te mi c t re nd t ow ar dg lo ba l g ov er na nc e a nd s of t l aw . T hi rd ly , I p os it t ha t t ra ns na ti on alh e ge m on i c a n d c o u nt e r- h eg e mo n i c c o al i ti o ns p r ag m at i ca l ly e x p lo i tt h e t e ns i o ns a n d c o nt r ad i ct i o ns o f t h is k a le i d os c op i c l e ga l l a nd s ca p e.T NC s’ a nd T AN s’ s tr at eg ie s c on st an tl y s hi ft a mo ng d i ff er en t s ca le s a ndtyp es of law, as well as b etween p olitical and legal strategies. Fo ri ns ta nc e, T AN s s im ul ta ne o us ly e ng ag e i n e ff o rt s t o b o ls te r n at io n al

s ta te s’ r eg ul at or y c ap a ci ty , c re at e e ff ec ti ve g lo ba l c or po ra te c o de s o f c o n d u c t f o r l a b o r a n d p r o m o t e d i r e c t a c t i o n c a m p a i g n s t o b o y c o t t t h ep ro du cts o f ta rg et ed T NCs a t t he r eg io na l l ev el . S imi lar ly , w hi les t r a t e g i c a l l y i n v o k i n g t h e i r a b i d a n c e w i t h w e a k n a t i o n a l l a b o r l a w s t of en d o f f a tt em pt s a t c ro ss -b o rd er r eg ul at io n, T NC s s tr iv e t o m ai nt ai nt h e n o n - e n f o r c e a b l e c h a r a c t e r o f c o d e s o f c o n d u c t a n d u s e t h e p o l i t i c a lm us cl e s te mm in g f ro m t he ir c ap ac it y t o s hi ft p ro du ct io n a wa y f ro mi n h os pi t a bl e r e g ul a t or y e n vi r on m e n t s .

I n o r d e r t o s u b s t a n t i a t e t h e s e c l a i m s , i n w h a t f o l l o w s I e x p l o r e t h et h r e e k e y i s s u e s o f c o n t e n t i o n b e t w e e n a n t i - s w e a t s h o p T A N s a n d t h e i rc or po ra te t ar ge ts . I b eg in b y a na ly zi ng t he s tr ug gl e o ve r whether toc r e a t e a g l o b a l r e g u l a t o r y s y s t e m o n l a b o r . T h e n , I e x a m i n e t h e b a t t l eo v er p r ec i se l y how t o r eg ul at e w or ki ng c on di ti on s i n t he g lo ba l e co -n o m y . I n t h e t h i r d s e c t i o n , I c o n s i d e r t h e c o n f l i c t o v e r t h e p r i v i l e g e dscale o f r e g u l a t i o n . F i n a l l y , I o f f e r s o m e c o n c l u s i o n s .

B ef or e p ro ce ed in g, a no te o n d ata i s i n o rd er. T he e mp iri ca l e vi de nc e

u s e d i n t h i s c h a p t e r w a s c o l l e c t e d a s p a r t o f a b r o a d e r r e s e a r c h p r o j e c to n c ro ss -b o rd er o rg an iz in g c am pa ig ns a nd l ab o r r ig ht s i n t he a p pa re li nd us tr y o f N or th a nd C en tr al A me ri ca ( se e R od rı guez-Garavito 2005).T he p ro je ct i ncl ud ed d et ai le d c ase s tu di es – b ase d o n p ar ti ci pa ntobservati on, factory visi ts, and interviews with key actors inGu at ema la , Me xi co , a nd t he US – o f e xc ep ti on al c am pa ig ns t ha t


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r es ul te d i n t he u ni on iz at io n o f maquila workers.2 P r om i ne n t a m on gt he m i s t he c am pa ig n a t K uk d on g, a K o re an -o w ne d N ik e c on tr ac to rl oc at ed n ea r t he c it y o f P ue bl a, M ex ic o. S in ce t he K uk do ng c as e v iv id ly

i l l u s t r a t e s t h e c o r e l e g a l i s s u e s o f t h e a n t i - s w e a t s h o p m o v e m e n t i n t h eA me ri cas a nd h as b ec om e a n i co n o f th e a cc om pl ish men ts o f t he l at te r,I wi ll use i t to e mp ir ic al ly g ro un d th e d isc uss io n t hr ou gh ou t t hi schapter.3

T h e b a s i c f a c t s o f t h e c a s e a r e a s f o l l o w .4 O n J a n u a r y 9 , 2 0 0 1 , m o r et ha n 6 00 o ut o f t he 8 50 K uk do ng w or ke rs o cc up ied t he ya rd o f t hef ac to ry to v ind ic ate th ei r r ig ht t o f or m a n i nd ep en de nt u ni on a ndd emand the i mp ro vement of the wo rm-infested cafeteria foo d.

M an ag em en t r ea ct ed b y f ir in g t he s tr ik e’ s l ea de rs a nd s ui ng t he m f or‘ ‘ d e s t r u c t i o n o f p r i v a t e p r o p e r t y . ’ ’ A f t e r t w o d a y s o f p r o t e s t s , t h e p o l i c ef o rc ef u ll y e v ic te d t he s tr ik er s. T he v io l en t r ea ct io n o f m an ag em en t a ndt h e s t a t e a u t h o ri t ie s e s ca l at e d t h e c o nf l i ct a n d p r o m p te d t h e a c t i va t io no f a b u d d i n g U S – M e x i c o a n t i - s w e a t s h o p T A N a s w e l l a s o f t h e c o d e o f c o n d u c t m o n i t o r i n g s y s t e m s t h a t h a d b e e n r e c e n t l y s e t u p u n d e r p r e s -s u r e f r o m U S s t u d e n t o r g a n i z a t i o n s a s w e l l a s M e x i c a n a n d U S N G O s

a n d u n i o n s . B y o r g a n i z i n g d e m o n s t r a t i o n s a t N i k e s t o r e s i n t h e U S a n ds um mo n in g i nd ep e nd en t m on it or in g o rg an iz at io n s f ro m b o th c ou n-t ri es , th e T AN p ut h ea vy p re ssu re o n N ik e ( as w el l a s o n R eeb ok , aK uk do ng c us to me r a t t he t ime ) t o i n t ur n p re ssu re m an ag eme nt toe n f o r c e t h e c o d e o f c o n d u c t a n d a b i d e b y l o c a l l a b o r l a w s g u a r a n t e e i n gw o rk e rs ’ r ig ht t o o rg an iz e. T he c am pa ig n a ch ie ve d r ap id s uc ce ss a ndr e s u l t e d i n t h e r e i n s t a t e m e n t o f a l l t h e w o r k e r s a n d t h e f o u n d i n g o f a ni nd e pe nd en t u ni o n i n M ar ch 2 0 01 . M ex i ca n l ab o r a u th o ri ti es , u n de r

s tr on g i nt ern at io na l p re ssu re , o ff ic ial ly re co gn iz ed th e u ni on i nS e p t e m b e r 2 0 0 1 . T h e u n i o n s i g n e d a l a b o r c o n t r a c t w i t h m a n a g e m e n ti n O ct ob er 2 00 1 t ha t i nc lu de d a 4 0 p er ce nt w ag e i nc re as e a nd c on -s id er ab le i mp ro ve me nt s i n w or ki ng c on di ti on s. K uk do ng ’s u ni on ,w hi ch c on ti nu es t o th ri ve s ev er al y ea rs a fte r i ts f ou nd ati on , i s t hef ir st ( an d s ti ll t he o nl y) i nd ep en de nt u ni on i n t he M ex ic an a pp ar elindustry.

2 F i e l d w o r k , w h i c h w a s c a r r i e d o u t b e t w e e n 2 0 0 1 a n d 2 0 0 4 , w a s m a d e p o s s i b l e b y g r a n t s f r o m t h eI ns ti tu te f or L aw a nd S oc ie ty a t N ew Y or k U ni ve rs it y a nd t he T in ke r- Na ve f un d a t t heU n iv e r s it y o f W is c o n s in - M a d is o n .

3 A f t e r t h e e p i s o d e o f l a b o r u n r e s t d e s c r i b e d b e l o w , t h e f a c t o r y c h a n g e d i t s n a m e t o M e x m o d e .H o w e v e r , g i v e n t h a t t h e c a s e b e c a m e i n t e r n a t i o n a l l y k n o w n b y t h e f o r m e r n a m e o f t h e p l a n t , Iw i l l r e f e r t o i t a s K u k d o n g .

4 F o r a d e t a i l e d a n a l y s i s o f t h i s c a s e , s e e R o d r ı g u e z - G a r a v it o (2005 ).


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3.2 T H E S T R U G G L E O V E R J O I N T L I A B I L I T Y R U L E S

A C R O S S B O R D E R S

A s e c o n o m i s t J o h n C o m m o n s w r o t e i n 1 9 0 1 , ‘ ‘ t h e t e r m ‘ s w e a t i n g , ’ o r‘ s w e a t i n g s y s t e m , ’ o r i g i n a l l y d e n o t e d a s y s t e m o f s u b c o n t r a c t , w h e r e i nt h e w o r k i s l e t o u t t o c o n t r a c t o r s t o b e d o n e i n s m a l l s h o p s o r h o m e s ’ ’(1977 :44). In contrast with the ‘‘factory system,’’ in whi ch workerst oi le d u nd er t he s am e r oo f u nd er c on tr ac t w it h t he m an uf ac tu re r, i ns we at sh o ps t he y w er e ‘‘ i so l at ed a nd u nk n ow n’’ ( Co mm on s 1977:45).M or eo v er , su b co nt ra ct in g m ad e i t p os si b le f o r ma nu fa ct ur er s to d e nyr es po n si b il it y f o r v io l at io n s o f l ab o r r ig ht s i n s we at sh o ps , w h ic h t he y

c oul d n ow c on ve n i e n t l y bl a m e on t h e i n f a m ous ‘‘j obbe r s ’’ or ‘‘s we a t e r s ’’o w n i n g t h e s u p p l i e r w o r k s h o p s .

T h e f i r s t a n t i - s w e a t s h o p m o v e m e n t , o r g a n i z e d b y a p p a r e l w o r k e r s i n Northern countries in the early twentieth century, sought to fighte xp lo it at iv e w or ki ng c on di ti on s a nd t o r es to re t hr ou gh l aw t he l in kb et we en m an uf ac tu re rs a nd c on tr ac to rs t ha t h ad b e en b l ur re d b y t hes ub co nt ra ct in g s ys te m. I n t he U S, f or i ns ta nc e, s tr ik in g w or ke rs i ng a r m e n t f a c t o r i e s ( m o s t f a m o u s l y a t t h e T r i a n g l e S h i r t w a i s t C o m p a n yin New York City in 19 11 ) no t only inaugu rated a natio nal laborm o v e m e n t t h a t w a s t o l a s t f o r m o s t o f t h e t w e n t i e t h c e n t u r y b u t a l s os ig ne d u ni o n c o nt ra ct s w it h m an u fa ct ur er s t ha t m ad e t he l at te r r es po n -s ib l e f o r t he w ag es a nd c on di ti o ns o f t he ir c o nt ra ct or s. U ni o n m an u-f ac tu re rs w er e r eq u ir ed t o u se u ni o n c on tr ac to rs . S u ch j o in t l ia bi l it ya rr an ge me nt s, w h ic h s pr ea d t hr ou g h t he i nd u st ry a nd w er e i nc or po r-a t e d i n n a s c e n t l a b o r l a w s y s t e m s a r o u n d t h e w o r l d , s t r i k e a t t h e h e a r t

o f t h e s w e a t s h o p s y s t e m ( H o w a r d 1997:155).T he s ec o nd , c o nt em po ra ry a nt i- sw ea ts ho p m ov em en t f ac es t he s am e

b as ic c ha ll en ge a s i ts p re de ce ss or . C o mp o un di ng i ts t as k, h o we ve r, i st he f ac t t ha t p ro du ct io n h as n ow b ee n d ec en tr al iz ed a cr os s b or de rs ,p ar ti cu la rl y i n s ec to rs s uc h a s a pp ar el . W it h p ro fi ts i n t he a pp ar el s ec to rc o n c e n t r a t e d i n d e s i g n , m a r k e t i n g , a n d r e t a i l i n g o p e r a t i o n s , d o m i n a n ta ct or s i n t he i nd u st ry h av e a ba nd o ne d t he ir p ro d uc ti o n a ct iv i ti es ( if t h e y e v e r u n d e r t o o k t h e m ) a n d c o n t r a c t e d t h e m w i t h s u p p l i e r s i n t h e

g l o b a l S o u t h . T h e c o n c e n t r a t i o n o f r e v e n u e a n d p o w e r i n t h i s b u y e r -d r i v e n c o m m o d i t y c h a i n i s s u c h t h a t l a r g e r e t a i l e r s a n d b r a n d e d m e r -c ha nd is er s h av e t he r eq ui si te m us cl e t o s et p ri ce s a nd c on di ti on s o nm yr ia d s u pp l ie rs s ca tt er ed a ro u nd t he g lo b e ( Ge re ff i, K o rz en ie wi cz , a ndKorzeniewicz 1994) . T hi s a ll ow s r et ai le rs s uc h a s W al -M ar t t o b o om o nlow prices squeezed from their suppliers and enables brand


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m e r c h a n d i s e r s s u c h a s N i k e t o t h r i v e o n t h e c a r e f u l c u l t i v a t i o n o f a ni m a g e a s s o c i a t e d w i t h a l i f e s t y l e .

Just as early twentieth-century jobbers, global retailers and manu-

f ac tu re rs s ee k t o d i se nt an gl e t he ms el v es f ro m l eg al r es po n si b il it y f orl a b o r c o n d i t i o n s i n s u p p l i e r f a c t o r i e s . A t s t a k e h e r e , t h e n , i s t h e v e r yp o ss ib i li ty o f s ub je ct in g T NC s t o l ab or r eg u la ti o ns . T he i nf am ou s q uo tef ro m a f or me r C EO o f G en er al E le ct ri c – ‘‘ Id ea ll y, y ou ’d h av e e ve ryp l a n t y o u o w n o n a b a r g e ’ ’ – e m b o d i e s t h e e x t r e m e v e r s i o n o f T N C s ’e f f o r t s t o e x p l o i t t h e o p p o r t u n i t i e s o f g l o b a l i z a t i o n a n d c a p i t a l m o b i l i t yt o e x e m p t t h e m s e l v e s f r o m l a b o r r e g u l a t i o n s ( q u o t e d i n R o s s 2004:16).W hi le n ot a s e xt re me a s t he b ar ge f an ta sy , i ns ta nc es o f h ea vy d er eg -

u la ti on o f ap pa re l p ro du ct io n a bo un d, a s t he e xe mp ti on o f E xp ortProcessing Zones factories f rom labor and tax laws in severalS o u t h e a s t A s i a n a n d C e n t r a l A m e r i c a n c o u n t r i e s b e a r s w i t n e s s ( R o s s2004:53).

T he T NC s’ b al an ci ng a ct c on si st s i n n ur tu ri ng t he l eg al f ic ti on o f c om pl et e s ep ar at io n v i s- a- v i s t he ir c on tr ac to rs e ve n a s t he y r em ai nd e e p l y i n v o l v e d i n t h e d a y - t o - d a y o p e r a t i o n o f t h e f a c t o r i e s a n d s e t t h e

p r ic e s t h at c o ns t ra i n w o rk e rs ’ w a ge s . T h is l a rg e ly s u cc e ss f ul e n de a vo rr e li e s o n t h re e s t ra t eg i es t o w h ic h s o ur c in g a n d ‘‘ s oc i al r e sp o n si b il i ty ’’c o rp o r at e d i v is i on s d e v ot e c o n si d er a bl e r e so u r ce s . C h al l en g in g t h es es tr at eg ie s i n o rd er t o s ub je ct T NC s t o l ab or r eg ul at io ns t hr ou gh a g lo ba lr egu la to ry s yst em o f j oi nt l ia bi li ty i s th e c en tr al g oa l o f th e a nti -s we a t s h op m ove m e n t .

F i r s t , t r a n s n a t i o n a l r e t a i l e r s a n d b r a n d m e r c h a n d i s e r s z e a l o u s l y p r o -t ec t t he s ec re cy o f t he ir c on tr ac ti ng a rr an ge me nt s. B as ed o n a d mi tt ed l y

shaky arguments on the need to protect ‘‘trade secrets,’’ TNCss t a u n c h l y r e s i s t a c t i v i s t s ’ d e m a n d s t o d i s c l o s e t h e i d e n t i t y a n d l o c a t i o no f t h e i r s u p p l i e r s , l e t a l o n e t h e w a g e s p a i d t o w o r k e r s . A s j o i n t l i a b i l i t yc ru ci al ly d ep en d s o n i nf or ma ti on o n t he l i nk s b et we en t ra ns na ti on alr e t a i l e r s a n d m a n u f a c t u r e r s a n d t h e i r l o c a l s u p p l i e r s , t r a n s p a r e n c y h a sb ee n o ne o f t he k ey i ss ue s o f c on te nt io n b et we en T NC s a nd T AN s.R eq ui re me nt s o n t he d is cl os ur e o f t he l oc at io n a nd i de nt it y o f c on -t r a c t o r s , f o r i n s t a n c e , a r e o n e o f t h e k e y d i f f e r e n c e s a m o n g s y s t e m s o f

c od e o f c on du ct m on it or in g i n th e US ( Ro drı guez-Garavito 2005).W hi le s om e s ys te ms s uc h a s t he s tu de nt -o rg an iz ed W or ke r R ig ht sC o n s o r t i u m ( W R C ) d e m a n d f u l l d i s c l o s u r e f r o m p r o d u c e r s o f c o l l e g i -a t e a p p a r e l a n d a r e n o w s e e k i n g t o e x t e n d t r a n s p a r e n c y t o i n f o r m a t i o no n w ag es , o th er s yst ems su ch a s t he F ai r L ab or A ss oc ia ti on ( FL A) ,S oci al A cc ou nt ab il ity In te rn at io na l ( SAI ), a nd t he W or ld wi de


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R e sp o n si b le A p p ar e l P r od u c ti o n C e rt i fi c at i on P r og r am ( W RA P ) a l lo wm an uf ac tu re rs t o k e ep t hi s i nf o rm at io n c on fi d en ti al . S ec re cy i s t he r ul ea ls o i ns id e t he w al ls o f t he f ac to ri es . A s i nt er vi ew s w it h s we at sh op

w or ke rs i n G ua te ma la a nd M ex ic o s ho we d, f ac to ry m an ag er s t ak e p ai nst o c on ce al l ab el s a nd i nf or ma ti on t ha t w ou ld r ev ea l t he i de nt it y o f buyers.

S ec re cy , h ow ev er , i s a l im it ed s tr at eg y. F or t od ay ’s s up pl ie rs a reu su al ly n o t s ma ll l oc al w o rk sh o ps b u t w or ld -c la ss f ac to ri es b u il t w i tht r a n s n a t i o n a l c a p i t a l a n d e m p l o y i n g h u n d r e d s o r t h o u s a n d s o f w o r k e r s .K u k d o n g , f o r i n s t a n c e , i s a h i g h - t e c h f a c t o r y w i t h a c a p i t a l i n v e s t m e n to f o v e r U S $ 3 0 m i l l i o n o w n e d b y a K o r e a n T N C w i t h h e a d q u a r t e r s i n

S e o u l a n d L o s A n g e l e s . S i t t i n g o n t h e s i d e o f a m a j o r h i g h w a y , i t s l a r g ef ac il it ie s t op pe d b y K or ea n a nd M ex ic an f la gs f ly in g i n t he w in d a reh ar d t o m is s. M or eo ve r, l oc al u ni on s a nd N GO s a s w el l a s t ra ns na ti on ala ct iv is ts c om pi le a nd s pr ea d i nf or ma ti on o n t he l oc at io n o f t he f ac -t o r i e s a n d t h e i d e n t i t y o f t h e i r b u y e r s .

I n l igh t o f t hi s, T NCs re so rt t o a se co nd s tr ate gy to t hw art j oi ntl i a b i l i t y r e g u l a t i o n s : t h e d e n i a l o f c o n t r o l o v e r ( a n d t h u s r e s p o n s i b i l i t y

f o r ) w h a t g o e s o n i n t h e i r c o n t r a c t o r s ’ f a c t o r i e s . T h e b a s e l i n e c o r p o r a t ep os it io n o n t he m at te r i s i ll us tr at ed b y t he a ns we r o f N ik e’ s g en er alm a n a g e r i n I n d o n e s i a t o a q u e s t i o n o n l a b o r a b u s e s i n s u p p l i e r f a c t o r i e sin that co untry: ‘‘ I d on’ t k now that w e need to kno w’’ (qu oted inCavanagh 1997: 39 ) . O ne d e ca d e l at er , a ft er i nt en se a nt i- sw ea ts ho pc a m p a i g n i n g , T N C s ’ p u b l i c s t a t e m e n t s h a d b e e n m o d e r a t e d b u t t h e i rb a s i c p o s i t i o n r e m a i n e d u n c h a n g e d : i n t h e w o r d s o f G a p ’ s s e n i o r v i c ep re si d en t f or g lo b al a ff ai rs , ‘‘ we a re n ot t he a ll -p o we rf u l O z t ha t r ul es

o v e r w h a t h a p p e n s i n e v e r y f a c t o r y. . .

D o w e h a v e l e v e r a g e ? Y e s . I s i tas great as our critics believ e? Not by a lo ng sho t’’ (Kaufman andGonzalez 2001).

T AN s a nd a ca de mi c a na ly st s c on te st t he c la im o f l ac k o f c on tr ol( Bo n ac ic h a nd A pp el b au m 2000). My o wn research suggests thatm an uf ac tu re rs h av e m uc h g re at er l ev er ag e t ha n t he y a re w il li ng t oa dm it. S ome b ra nd s ha ve a do pt ed a b usi ne ss m od el t ha t i nv ol ve sl on g- te rm r el at io n s w it h r el at iv e ly f ew c on tr ac to rs o v er w hi ch t he y

e x e r t c o n s i d e r a b l e c o n t r o l . T h i s i s c l e a r i n t h e f o l l o w i n g s t a t e m e n t b yt h e s o u r c i n g m a n a g e r f o r G u a t e m a l a o f o n e s u c h b r a n d , L i z C l a i b o r n e :

W e k n o w d a y t o d a y t h e f a c t o r y s i t u a t i o n . . . f o r e x a m p l e , t h e f a c t o r i e st h a t w e h a v e i n G u a t e m a l a , b a s i c a l l y I k n o w m o s t o f t h e p e o p l e , e v e nworkers . . . s o I g o t o t h e f a c t o r i e s e v e r y s i n g l e d a y . . . Y o u k n o w , w e


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h a v e c o n t r o l . I h a v e p e o p l e w h o c o n t r o l t h e f a b r i c s , a n d w e d o a l l t h ed e t a i l s d a i l y . . . w h a t s t y l e , w h a t ’ s i n p r o d u c t i o n , h o w m a n y p r o d u c t i o nl i n e s , s o w e ca n k e e p t r a c k o f w h a t w e a r e d o i n g , a l l o f o u r p r o d u c t i o n i nGuatemala.5

W hi le f ol lo wi ng a m or e d ec en tr al iz ed b us in es s m od el , o th er b ra nd s a ls oh av e s ub st an ti al l ev er ag e o ve r s up pl ie r f ac to ri es o f w hi ch t he y a rem a j o r b u y e r s . T h e f a c t t h a t v i s i t s t o K u k d o n g r e q u i r e t h e a u t h o r i z a t i o no f N i k e i s i n d i c a t i v e o f t h e c o n s i d e r a b l e i n f l u e n c e e x e r t e d b y t h e l a t t e ro ve r t he d et ai ls o f t he p ro du ct io n p ro ce ss a nd l ab or r el at io ns . A s i sc o m m o n i n t h e i n d u s t r y , i n i t s c a p a c i t y a s a m a j o r c l i e n t N i k e a s s i g n sd e l e g a t e s t o c l o s e l y c o n t r o l t h e q u a l i t y o f t h e g a r m e n t s d u r i n g p r o d u c -t i o n a n d w o r k w i t h m a n a g e m e n t t o t a c k l e p r o d u c t i o n a n d l a b o r i s s u e s .

I nd ee d , N ik e’ s l ev e ra ge o v er K u kd o ng c re at ed t he o pp o rt un it y f ort he n as ce nt u ni on a nd t he T AN t o p ut o ut si de p re ss ur e o n m an ag e-m en t t o r es pe ct t he w or ke rs ’ r ig ht t o o rg an iz e. U nd er t he c om bi ne dp re ss ur e f ro m s tu de nt s p ic ke ti ng N ik e s to re s i n t he U S, p ro -w or ke r

NGOs (notably the WRC, the International Labor Rights Fund,Global Exchange, and the Mexi co-based Centro de Apoyo al

T r ab a ja d o r) , i n te r na t io n al c o d e o f c o nd u c t m o ni t o ri n g o r ga n iz a ti o ns( no ta b ly V er it e) a nd i nt er na ti o na l u ni on s ( th e A FL -C IO a nd t heK o r e a n H o u s e o f S o l i d a r i t y ) , N i k e a n d R e e b o k u s e d t h e i r c o n s i d e r a b l em us cl e t o ge t K uk do ng ’s ma na ge me nt , t he f ac to ry’ s c or ru pt p ro -b u si ne ss u ni o n a nd t he c or po ra te -f ri en dl y g ov e rn me nt o f t he s ta te o f Puebla to back off . As the Program Director of the AFL-CIO’sS o l i d a r i t y C e n t e r f o r t h e A m e r i c a s p u t i t , a l t h o u g h N i k e a n d R e e b o k‘‘ we re n ot n ec es sa ri ly n at ur al o r o rg an ic a ll ie s o f t he w or ke rs . . . for

p r a c t i c a l p u r p o s e s t h e y w e r e a l l i e s ’ ’ a s t h e y f e l t t h e p r e s s u r e t o e n f o r c et he c la us e i n t h e ir c od es o f c on d uc t g u a ra nt ee in g t he r ig ht t o o r g an iz e.6

O n c e t h e c r o s s - b o r d e r u n i o n i z a t i o n c a m p a i g n s u c c e e d e d , N i k e u s e di ts l ev er ag e t o p ro mp t K uk d on g t o m ak e s ub st an ti al i mp ro v em en ts i nl a b o r c o n d i t i o n s a n d w a g e s . A m o n g t h e c h a n g e s w a s t h e i n s t a l l a t i o n o f c o s t l y e q u i p m e n t t o e n h a n c e h e a l t h a n d s a f e t y c o n d i t i o n s a s w e l l a s a4 0 p e r c e n t w a g e i n c r e a s e a s p a r t o f t h e f i r s t c o n t r a c t w i t h t h e u n i o n i nO c t o b e r 2 0 0 1 . T h i s a n d o t h e r c a s e s s h o w t h a t , pace c o r p o r a t e c l a i m s o f l a c k o f c o n t r o l o v e r s u p p l i e r s , t h e d e g r e e o f T N C s ’ i n v o l v e m e n t i n t h e

5 I nt er vi ew w it h L iz C la ib or ne’ s s ou rc in g m an ag er f or G ua te ma la a nd C en tr al A me ri ca ,G u a t e m a l a C i t y , J u l y 2 5 , 2 0 0 2 . T h i s q u o t e i s a v e r b a t i m t r a n s c r i p t i o n o f a n e x c e r p t f r o m t h ei n t e r v i e w , w h i c h w a s c o n d u c t e d i n E n g l i s h .

6 I nt er v ie w w i th t h e P r og ra m D ir ec to r o f t he A FL - CI O’ s S o li d ar it y C en t er f o r t h e A me ri ca s,D a l l a s , M a r c h 2 8 , 2 0 0 3 .


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p ro te ct io n o f l ab or r ig hts i n g lo ba l s we ats ho ps i s a f un ct io n o f th eo ut co me s o f t he p ol it ic al s tr ug gl es o ve r d e f ac to o r d e j ur e j oi nt l ia bi li ty .C u r r e n t l y w a g e d o n a c a s e - b y - c a s e b a s i s , t h e s t r u g g l e u l t i m a t e l y a i m s t o

e s t a b l i s h a g l o b a l l e g a l r e g i m e o f j o i n t l i a b i l i t y m o d e l e d a f t e r t h e o n ea c h i e v e d b y t h e f i r s t a n t i - s w e a t s h o p m o v e m e n t .

T h e e ff ic ac io u sn es s o f c or po ra te d i sc o ur se s a nd l eg al s ch em es a ndd is co u rs es s ee k in g t o p re se rv e s ec re cy a nd d en y t he e x is te nc e o f c on tr olo v e r s u p p l i e r s u l t i m a t e l y r e s t s o n t h e c o e r c i v e p o w e r o f a t h i r d s t r a t e g yt o w hi ch T NC s a nd t he ir s up pl ie rs r es or t a ll t oo f re qu en tl y: t he e xp li ci to r v ei le d th re at t o c ut a nd r u n t o a vo id s tr in ge nt l ab or l aw e nf or ce me nta n d l a b o r m i l i t a n c y . S h i f t i n g p r o d u c t i o n e l s e w h e r e ( o r t h r e a t e n i n g t o

d o s o ) i s t h u s c a p i t a l ’ s f o r m o f ‘ ‘ d i r e c t a c t i o n ’ ’ s u p p l e m e n t i n g l e g a l a n dideol ogical mo ves to thwart glo bal labo r regulation. In terms of G ra m sc i ’s (1971) c on ce pt o f h eg em on y, t hi s p e rv as iv e s tr at eg y e mb o di esth e c oer ci ve e le men t o f t he h ege mo ny o f th e e co no mi c/ ju ri di ca ls ys te m o f g lo b al s ub co n tr ac ti ng a nd n eo l ib er al r eg ul at io n. B y v i rt ueo f t hi s s ys tem , f or i ns ta nc e, Ni ke c ou ld c re di bl y th rea te n to s hi f tp ro du ct io n t o a ny o f i ts 1 ,1 81 s up pl ie r f ac to ri es a ro un d t he w or ld .7

T he e xi t o pt io n a ls o g iv es s up pl ie rs t he p ro ve rb ia l s ti ck t he y u su al lyw i e l d t o s q u a s h l a b o r m o b i l i z a t i o n i n s i d e t h e f a c t o r i e s . I t a l s o e n a b l e sm an uf ac tu re rs a nd s up p li er s ( w it h t he s up p or t o f f re e m ar ke te er s a ndpr o- bus i n e s s g ove r n m e n t s ) t o f r a m e a n t i - s we a t s h op TA N s a s N or t h e r nprotectionist co al it io ns s ee ki ng t o d ri ve e mp lo ym en t a wa y f ro m t heg l ob a l S o u th .8 I n t h e K u k d o n g c a s e , f o r e x a m p l e , t h e l o c a l c o r p o r a t em e d i a c o u c h e d t h e u n i o n i z a t i o n d r i v e a s a c o n s p i r a c y b y U S o r g a n i z a -tio ns – led b y United Stu dents Against Sw eatsho ps (USAS) – to

e li mi na te m uc h-n ee ded j ob s i n t he maquila secto r. ‘‘ The risk of K uk do ng’ s c lo si ng i s i mmi ne nt , t ha nk s t o h un dre ds o f US c ol le gest ud en ts ’ th rea te ni ng [ Ni ke a nd R eeb ok ] t o s to p c on su mi ng t he irp ro du ct s i f t he y r es um e o rd er s t o t he f ac to ry ,’’ w ro te a l oc al r ep or te ra t t he he ig ht o f th e c amp ai gn ( Ra mo s 2001: 4) . ‘‘ We ’l l d o e ve n th ei mp o ss ib l e t o a v oi d K u kd on g’ s l ea v in g t he s ta te o f P ue bl a, ’’ d ec la re dth e E co no mi c De ve lo pme nt S ec re ta ry o f t he s tat e o f P ueb la a f ewweeks later (Sa nchez 2001a :7 ) . I n t h e a p p a r e l s e c t o r a t l a r g e , a s i n t e r -

v ie ws w it h u ni on l ea de rs i n M ex ic o a nd G ua te ma la r ev ea led , th e

7 T h e f i gu r e o n s up p li er s i s t ak en f ro m i nf o rm at io n p r ov i de d b y t he F LA . S ee ‘‘ Fi r st P ub l ic R ep o rt :To wa r d s I m p r o v in g W o r k e r s ’ L iv e s ’ ’ ( www. fa ir la b o r . o r g , 2 0 0 3 ) , 5 6 .

8 F o r a m u ch - d eb a t ed c r i ti c is m a g ai n s t t h e a n ti - s we a ts h op m o v em e nt a l o ng t h es e l i n es , s e e t h e1 9 99 ‘‘ T hi r d W or l d I nt el l ec tu al s a nd N GO s S ta te me nt A ga in st L in k ag e ( T WI N- SA L) ’’(www.columbia.edu/j b 3 8 ) ; s e e a l s o B h a g w a t i (2000 ) . F o r a r e p l y , s e e M i l l e r ( 2003 ).


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n um e r ous e pis ode s of ove r n ig h t pl a n t c l os i ng s a nd r e l oc at i on s a i m e d t os te m u ni on iz at ion ef forts have a strong dissuasive eff ect on discon-tented workers.9

T hi s ‘‘ he ge mo ni c d es po ti c’’ e le me nt o f g lo ba l p ro d uc ti o n ( Bu ra wo y1985) i s r e in f or c ed b y t h e c o ns i de r ab l e o b s ta c le s th a t t h e s u bc o nt r ac t -i ng s ys te m p os es to wo rk er s’ r es is ta nc e. A s B on ac ic h a nd A pp el ba umh av e p ut it , ‘‘ no be tt er sys tem h as ye t b ee n d ev is ed t o k ee p w or ke rsfragmented and powerless’’ (2000: 3) . P hy si ca l s ep ar at io n a mo ng w o rk er sp ro du ci ng f or th e s am e m an uf ac tu re r a cr os s th e w or ld i s m ag ni fi edby l anguage and cultural differences. Compounded by the secrecys hro ud in g th e s tr uc tu re o f g lo ba l p ro du ct io n, a s im il arl y gr ea t d iv id e

e xi st s b et we en w or ke rs i n t he S ou th a nd c on su me rs i n t he N or th .In the light of this, TANs’ distinctly political strategies seek to

r ee st ab l is h t he c on ne ct io ns b et we en w o rk e rs a nd c o ns um er s a s w el la s a mo ng w or ke rs . T o t hi s e nd , t he y e ng ag e i n m ul ti fa ri ou s f or ms o f d i r e c t a c t i o n i n d i f f e r e n t l o c a l e s t o e x p l o i t t h e v u l n e r a b i l i t i e s o f g l o b a ls u b co n tr a ct i ng – n a me l y, t h e s e ns i ti v it y o f m a nu f ac t ur e rs , e s pe c ia l lyT NC s s uc h a s N ik e, t o n eg at iv e p ub li ci ty c am pa ig ns t ha t c an h ar m

t h e i r m o s t v a l u a b l e a s s e t : t h e i r c a r e f u l l y c u l t i v a t e d b r a n d i m a g e ( K l e i n2000) . T o l i n k u p w o r k e r s , p r o - l a b o r N G O s , a n d u n i o n s a c r o s s b o r d e r s ,a nt i- sw ea ts ho p T AN s p ur su e a w id e a rr ay o f s ch em es , f ro m w or ke re x c h a n g e a n d e d u c a t i o n p r o g r a m s t o j o i n t i n v e s t i g a t i v e a n d o r g a n i z i n gt e a m s , t o s o l i d a r i t y c a m p a i g n s i n s u p p o r t o f s t r i k i n g w o r k e r s i n s w e a t -s ho ps ( se e An sl ey ’s c ha pt er i n t hi s v ol ume ; Wi ll ia ms 1999). Theplurality of actors and strategies typical of this ‘‘new labori nt er na ti on al is m’’ ( Sa nt os a nd R od rıg u ez - Ga r av i to , f o r th c om i ng ;

Waterman 1998 ) w a s e v i d e n t i n t h e K u k d o n g c a s e . I n a m o d e l t h a t Ih av e c al le d ‘‘ tr ia ng le o rg an iz in g, ’’ t he n as ce nt K uk do ng u ni on w ass u p p o r t e d b y u n i o n s i n t h e c o u n t r i e s w h e r e t h e f a c t o r y , t h e m a n u f a c -t ur er , a nd t he i nv es to r a re b as ed – r es pe ct iv el y M ex ic o, t he U S, a ndK o re a ( R o dr ı guez-Garavito 2005) . I nd ep en de nt M ex ic an u ni o ns a ndp r o - l a b o r N G O s p r o v i d e d e s s e n t i a l l o g i s t i c a l s u p p o r t d u r i n g t h e s t r i k ea nd t he s ub se qu en t l eg al b at tl e t o h av e t he u ni on r ec og ni ze d b y t hes ta te . T he A FL -C IO , t hr ou gh t he M ex ic o o ff ic e o f i ts S ol id ar it y C en te r

f o r t he A me ri ca s, c on tr ib u te d f un d s, e li ci te d s ta te me nt s o f s up p or t f ro mp ro gr es si ve m em be rs o f t he U S C on gr es s a nd f ac il it at ed t he v is it s o f

9 I n t e r v ie w wit h B la n c a V e las q u e z a n d D a v id A lv a r a d o ( C e n t r o d e A p o y o a l Tr a b a jad o r , C A T) ,A t li x c o, M e x ic o , J u l y 1 0 , 2 0 0 2; i n t er v i ew w i t h S e cr e ta r y G e ne r al o f F E S TR A S ( G ua t em a la nu n i o n f e d e r a t i o n ) , G u a t e m a l a C i t y , J u l y 2 9 , 2 0 0 2 .


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U SA S d el eg at io ns t o P ue bl a. T he K or ea n H ou se o f S ol id ar it y l au nc he da c a m p a i g n i n t h e K o r e a n m e d i a a n d C o n g r e s s t o d e n o u n c e t h e w r o n g -do ings of K ukd ong Internati onal in its Mexican plant and sent a

d el eg at io n t o M ex i co t ha t v is it ed t he f ac to ry a nd p re ss ur ed m an ag e-m e nt t o n e go t ia t e. A l l a l on g , t h e c a mp a i gn w a s s u p p o rt e d b y c o al i ti o nso f h um an r ig ht s N GO s, f em in is t a nd f ai th -b a se d o rg an iz at io ns , a nde th ic al c on su me rs , a mo ng t he m t he M aq ui l a S o li da ri ty N et wo rk , t heC o a l i t i o n f o r J u s t i c e i n t h e M a q u i l a d o r a s , a n d t h e I n t e r n a t i o n a l L a b o rR i g h t s F u n d .

O th er f or ms o f p ol it ic al a ct io n e xp li ci tl y s ee k t o c re at e l in ks b et we enw or ke rs a nd c on su me rs . I n a n i ma ge -d ep en d en t i nd u st ry t hr iv i ng o n

t h e a b y s m a l w a g e a n d p u r c h a s i n g p o w e r d i f f e r e n t i a l s b e t w e e n w o r k e r si n t h e S o u t h a n d b u y e r s i n t h e N o r t h , c o n s u m e r – w o r k e r a l l i a n c e s a r e ac o r e c o m p o n e n t o f t h e a n t i - s w e a t s h o p s t r u g g l e ( F r a n k 2003; W i l l i a m s1999) . F o r m s o f d i r e c t a c t i o n e m b o d y i n g t h i s t y p e o f a l l i a n c e i n c l u d ec o n s u m e r b o y c o t t s , s p e a k i n g t o u r s , a n d d e l e g a t i o n s p r o v i d i n g o p p o r t u -n i t i e s f or f a c e - t o- f a c e i n t e r a c t i on be t we e n maquila w o r k e r s a n d a p p a r e lc o n s u m e r s , a n d t h e c r e a t i o n o f ‘ ‘ n o s w e a t ’ ’ f a c t o r i e s a n d l a b e l s . I n t h e

K uk d on g c as e, p i ck et l in es a t N ik e s to re s o rg an iz ed b y U SA S t o p ro te stth e f iri ng o f s tr ik in g w or ke rs as w el l as sp eak in g t ou rs b y K uk do ng u ni onl ead ers o n c am pu ses a cr os s t he U S d uri ng t he n ego ti at io ns o f th ec o n t r a c t p r o v i d e d t h e r e q u i s i t e l e v e r a g e t o c o n v i n c e N i k e t o s t e p i n .

I n a dd i ti o n t o p u rs ui ng p o li ti ca l s tr at eg ie s, a nt i- sw ea ts ho p T AN sm o b i l i z e l e g a l i n s t r u m e n t s b o t h t o p u s h f o r w a r d s p e c i f i c c a m p a i g n s a n dt o g ra du al ly c re at e a g lo ba l s ys te m o f j oi nt l ia bi li ty . T hu s, l ik e o th ern e t wor ks a n d c oa l i t i on s wi t h i n c oun t e r - h e g e m on i c g l oba l i z a t i on , t h e y

p ra gm at ic al ly c o mb i ne d i re ct a nd i ns ti tu ti on al a ct io n ( Sa nt os 2 0 02 ;S a n t o s a n d R o d r ı g u e z - G a r a v i t o ’ s c h a p t e r i n t h i s v o l u m e ) . I n t h e n e x ts e c t i o n s I f o c u s o n t h e l a t t e r b y e x a m i n i n g t h e p l u r a l i t y o f l e g a l t o o l sthat TANs (and TNCs) create and u se in the stru ggle ov er i nter-n at io na l l ab or r ig ht s, a s w el l a s t he s ca le s a t w hi ch t hi s c om pe ti ti ont a k e s p l a c e .

3.3 T H E S T R U G G L E O V E R ‘ ‘ H A R D ’ ’ V . ‘ ‘ S O F T ’ ’ L A W

O ve r t he l as t d ec ad e, o ne o f t he m os t i mp or ta nt d ev el op me nt s a ndt e r r a i n s o f c o n t e n t i o n i n t h e f i e l d o f i n t e r n a t i o n a l l a b o r r e g u l a t i o n h a sb ee n t he f or mu la ti on o f c or po ra te c o de s o f c o nd u ct ( w he re by T NC sv ol un ta ri ly c om mi t t o w or ki ng w it h s up pl ie rs t o e ns ur e r es pe ct f orw o r k e r s ’ r i g h t s i n t h e f a c t o r i e s ) a n d t h e c r e a t i o n o f m o n i t o r i n g s y s t e m s


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t o o ve rs ee c om pl ia nc e w it h s uc h c od es . I n t he a pp ar el s ec to r, n um er ou sT NC s h av e a do pt ed c od es o f c on du ct a nd j oi ne d m on it or in g s ys te ms i nr e sp o n se t o m o un t in g p r es s ur e f r om T A Ns a n d h i gh - pr o f il e e x p os es o f

l a b o r a b u s e s i n s u p p l i e r f a c t o r i e s . N i k e i s a c a s e i n p o i n t . I n 1 9 9 1 , a f t e rt he r el ea se o f d am ag in g r ep or ts o n l ab or c on di ti on s i n i ts S ou th ea stA si an c on tr ac to rs ’ f ac il it ie s, N ik e d ra ft ed a c od e o f c on du ct f o r l ab ora n d d e c l a r e d t h a t i t w o u l d a s k a l l i t s s u p p l i e r s t o c o m p l y w i t h i t . N i k e ’ sf ai lu re t o e nf or ce t he c od e, t og et he r w it h i ts p os it io n a s t he l ar ge stm ak er o f a th le ti c f oo tw ea r a nd a pp are l i n t he w or ld ( wi th a nnual p ro f it st ot al in g U S$ 94 5 m il li on o n s al es o f U S$ 12 .3 b il li on i n 2 00 4) ,10 m ad e i ta p ri vi leg ed t ar ge t o f t he n asc en t a nti -s we at sh op m ov em en t. W id e-

s pr ea d d en un ci at io ns o f N ik e’ s l ab or p ra ct ic es b ec am e a f ul l- bl ow nc a mp a i gn a f te r Life m ag az in e p u bl is he d a p i ct ur e s ho w in g a 1 2 -y ea r-o ld P ak is ta ni b oy s la vi ng o ve r a Ni ke f oo tb al l ( Li tv in 2003:242).B y 1 9 9 8 , t h e p r e s s u r e p u t o n N i k e b y G l o b a l E x c h a n g e , t h e N a t i o n a lL ab o r C om mi tt ee , U SA S, a nd o t he r a ct iv i st o rg an iz at io ns w as s uc ht ha t t he f i rm ’s c ha ir ma n a nd f o un d er , P hi l ip K ni gh t, a ck no w le dg edt h a t ‘ ‘ N i k e h a s b e c o m e s y n o n y m o u s w i t h s l a v e w a g e s , f o r c e d o v e r t i m e

a nd a rb it ra ry a bu se ’’ a nd a nn ou nc ed a p ac ka ge o f m easu re s a im ed t os t r e n g t h e n t h e e n f o r c e m e n t o f N i k e ’ s c o d e o f c o n d u c t .11

P ro mi ne nt a mo ng t ho se m ea su re s w as N ik e’ s d ec is io n t o j oi n t heF LA , a v ol un ta ry m on it or in g s ys te m i nv ol vi ng a d oz en TNCs ande st ab l is he d a t t he i ni ti at iv e o f t he C li nt on a dm in is tr at io n .12 Severals t u d i e s h a v e d o c u m e n t e d t h e o r i g i n s a n d d e t a i l s o f t h e F L A a n d o t h e rc od e o f c on du ct s ys te ms ( in cl ud in g t he W RC , W RA P, a nd S AI ), a swell as the di fferences and disp utes among them ( Bartley 2003;

O’Rourke 2003; R od rı guez-Garavito 2005). Fo r the p urpo ses o f thisc h a p t e r , t h e s i g n i f i c a n c e o f t h e s e s y s t e m s l i e s i n t h a t t h e y c o n s t i t u t e ap a r a d i g m a t i c i n s t a n c e o f a r e g u l a t o r y m o d e l – m o s t c o m m o n l y d u b b e d‘‘ so ft l aw ’’ o r ‘‘ go ve rn an ce ’’ – t ha t h as b ee n at t he c en te r o f r ec en tp ol it ic al a nd t he or et ic al d eb at es o n i nt er na ti on al l ab or r ig ht s a ndg l o b a l g o v e r n a n c e a t l a r g e .

10 S e e ‘ ‘ N ik e P r o fit I n c r e a s e s 2 3 P e r c e n t ’ ’ ( www. m s n b c . m s n . c o m , p u b lis h e d J u n e 2 5 , 2 0 0 4 ) .11 Q u o t e d i n F i n a n c i a l T i m e s (1998 ).12 T h e F L A o r i g i n a l l y i n v o l v e d s e v e r a l u n i o n s a n d p r o - w o r k e r N G O s ( i n c l u d i n g t h e A F L - C I O

a n d t h e I n t e r n a t i o n a l L a b o r R i g h t s F u n d ) , m o s t o f w h i c h w i t h d r e w l a t e r o n i n p r o t e s t o v e r t h eF LA ’s s lo w p r og re ss i n i m pr o vi ng t he t r an sp ar en cy a nd i n de pe nd en ce o f i t s m on i to r in g s ch em e. Nike also signed the ‘‘Global Compact,’’ a UN-sponsored voluntary declaration of principles one th ic al i n ve st me nt a nd p ro d uc ti o n i n vo l vi ng m aj o r T NC s i n t he a pp ar el a nd o t he r s ec to r s(Elson 2004 ).


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I h av e e ls ew he re o ff er ed a c ri ti ca l re vi ew o f th e p ro li fi c, m ul ti -f a ce t ed g o v er n an c e l i te r at u re ( R o dr ı guez-Garavito 2005 ) . I m po r ta n td i f f e r e n c e s a m o n g t h e m n o t w i t h s t a n d i n g , t h e l e i t m o t i v i n s t u d i e s a n d

p ro po sa ls o n t he g o ve rn an ce m o de l i s t he p o te nt ia l o f n o n- st at e- ce nt er edf o r m s o f c o o r d i n a t i o n t o t a c k l e t h e r e g u l a t o r y d i l e m m a s o f t h e g l o b a le co no my . I n c on tr as t t o s ta te -c en te re d, t op -d ow n, ‘‘ ha rd l aw ,’’ t heg ov er na nc e m od el r el ie s m ai nl y o n f le xi bl e, ‘‘ so ft l aw ’’ f or mu la te dt h r o u g h c o l l a b o r a t i o n a m o n g p r i v a t e a c t o r s ( f i r m s , s e c o n d a r y a s s o c i a -t io ns , a nd s o o n) a nd p ar ti ci pa to ry p ro bl em s ol vi ng ( Do rf a nd S ab el1998; S i m o n 2003 ) . I n t h e d o m a i n o f l a b o r r e l a t i o n s , f o r i n s t a n c e , t h e‘ ‘ h a r d l a w ’ ’ a p p r o a c h o f l a b o r l a w s f o r m u l a t e d a n d i m p l e m e n t e d b y t h e

s t a t e ’ s b u r e a u c r a c y a n d c o u r t s c o n t r a s t s w i t h t h e ‘ ‘ s o f t l a w ’ ’ a p p r o a c h o f v o lu nt ar y c od es o f c on d uc t a nd c on se ns ua l m on it or in g i nv o lv in g f ir ms ,c om m e r c i a l a n d i n de pe n de n t m on i t or s , c i vi l s oc i e t y or g a n i z a t i on s , a n dot h e r pr i va te ‘‘s t a ke h ol de rs .’’

T h e t e r m s o f t h e c o n t r a s t b e t w e e n h a r d l a w a n d s o f t l a w v a r y w i d e l ya c r o s s d i f f e r e n t c o n t r i b u t i o n s t o t h e d e b a t e o n g o v e r n a n c e . W h i l e t h em os t c om pe ll in g a na ly se s s ee a n a ff ir ma ti v e s ta te a nd a n e mp ow er ed

c iv il s oc ie ty a s c om pl em en ta ry a nd m ut ua ll y r ei nf o rc in g ( Co h en a ndRogers 1995; F u n g a n d W r i g h t 2003) , s t u d i e s f o c u s i n g o n t h e v i r t u e s o f p r i v a t e s e l f - r e g u l a t i o n t e n d t o v i e w t h e l a t t e r a s a n a l t e r n a t i v e t o t o p -d o w n s t a t e r e g u l a t i o n , t h u s e n v i s i o n i n g ‘ ‘ a p a r a d i g m s h i f t f r o m a r e g u -l at or y t o a g ov er na nc e m od el ’’ ( Lo be l 2003 : 3) . I n a n eo -W eb er ia nt w i s t , t h e l a t t e r v e r s i o n i s b a s e d o n t h e i m p l i c i t o r e x p l i c i t c l a i m t h a tjust as the regul atory mo del had an elective affinity with F ordistc ap it al is m, t he g ov er na nc e m od el ( wi th i ts e mp ha si s o n f le xi bi li ty

a nd n et wo rk s o f p ri va te a ct or s) i s a tt un ed t o t he r ea li ti es o f a g lo ba l,pos t - For di s t wor l d e c on om y .

E m p i r i c a l e x a m i n a t i o n o f t h e p r o c e s s o f c o n s t r u c t i o n o f g l o b a l g o v -e rn an ce i n t he f ie ld o f i nt er na ti on al l ab or r ig ht s c al ls i nt o q ue st io ns w e e p i n g c l a i m s o f t h e s h i f t f r o m r e g u l a t i o n t o g o v e r n a n c e , f r o m h a r dl a w t o s o f t l a w . R a t h e r t h a n a s p o n t a n e o u s p r o c e s s o f r e p l a c e m e n t o f t h e n e w f o r t h e o l d b a s e d o n s t r u c t u r a l a f f i n i t y b e t w e e n e c o n o m i c a n dlegal mod els, the process at w ork is o ne of stru ggl e ov er the typ e of labo r

l aw a pp li ca bl e t o T NC s. I n o th er w or ds , t he ‘‘ ha rd ne ss ’’ o f i nt er na ti on all a b o r s t a n d a r d s i s i n a n d o f i t s e l f a k e y o b j e c t o f c o n t e n t i o n b e t w e e nT N C s a n d t h e i r c r i t i c s .

H e g e m o n i c a n d c o u n t e r - h e g e m o n i c a c t o r s d o n o t h a v e f i x e d p r e f e r -e n c e s f o r h a r d o r s o f t l a w a c r o s s t h e b o a r d . I n s t e a d , t h e y p r a g m a t i c a l l yp ri vi le ge o ne o r th e o th er d ep en di ng o n t he o bj ec t o f re gu lat io n a nd th e


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s p ec i fi c c i rc u ms t an c es a t h a nd . T N Cs , f o r i n st a nc e , s t ra t eg i ca l ly s h if ta m o n g c a l l s f o r s t r e n g t h e n i n g n a t i o n a l a n d g l o b a l h a r d l a w i n m a t t e r se s s e n t i a l t o t h e p r o f i t a b i l i t y o f t h e i r b u s i n e s s ( e . g . i n t e l l e c t u a l p r o p e r t y

r ig ht s) , p ro po sa ls f or s of t l aw a nd s el f- re gu la ti on i n o th er a re as ( e. g.v ol un ta ry c od es o f c on du ct f or l ab or ), a nd d er eg ul at io n i n y et o th erd o m ai n s ( e .g . f i na n ci a l m a rk e ts ) . T h us , n e ol i b er a l g l ob a li z at i on r e li e sn e i t h e r on ‘‘di s c i pl i n a r y ’’ r e g ul a t i on ( G i l l 2004) n o r o n c o r p o r a t e s e l f -r eg ul at io n o r d er eg ul at io n a ss oc ia te d w it h t he ‘‘ re tr ea t o f t he s ta te ’’(Strange 1996) . R at he r, n eo li be ra l g lo ba l g ov er na nc e c on si st s i n am ix tu re o f b ot h: h ar d l aw t o p ro te ct c or po ra te r ig ht s a nd s of t l aw t or e g u l a t e s o c i a l r i g h t s . T h i s i s m o s t e v i d e n t i n t h e c o n t r a s t b e t w e e n t h e

s t ri c t, t o p -d o w n, g l ob a l r e gu l at o ry f r am e wo r k o n i n te l le c tu a l p r o pe r tyr i g h t s – e m b o d i e d b y t h e W T O A g r e e m e n t o n T r a d e - R e l a t e d A s p e c t so f I n t e l l e c t u a l P r o p e r t y R i g h t s ( T R I P S ) a n d t h e d e t a i l e d r u l e s i m p o s e db y t h e U S i n i t s b i l a t e r a l t r a d e a g r e e m e n t s – a n d t h e l o o s e a n d l a r g e l yv o l u n t a r y i n t e r n a t i o n a l s y s t e m o f l a b o r r e g u l a t i o n ( E l l i o t a n d F r e e m a n2003:24).

T A N s a r e e q u a l l y p r a g m a t i c i n t h e i r u s e o f h a r d a n d s o f t l a w . O n t h e

o n e h an d, t he y e xp l oi t t he o b vi ou s c on tr ad i ct io n w it hi n T NC s’ s tr a-t e gi e s o f s e le c ti v e ly d e f en d in g a n d a t ta c ki n g s t at e -b a ck e d r e gu l a ti o n .T he y d o s o b y s im ul ta ne ou sl y c al li ng f or t he s of te ni ng o f c or po ra te -f ri en dl y r eg ul at io n ( e. g. t hr ou g h l im it at io ns t o i nt el le ct ua l p ro p er tyr ig ht s f or r ea so ns o f p ub li c h ea lt h, a s i ll us tr at ed b y K lu g’ s c ha pt er i n t hi sv o l u m e ) a n d f o r t h e h a r d e n i n g o f s o c i a l r e g u l a t i o n s . I n t h e l a b o r r i g h t sf i e l d , t h i s s t r a t e g y e n t a i l s i n i t i a t i v e s t o i m p r o v e t h e r e g u l a t o r y c a p a c i t yo f n ati on al s ta te s a s w el l a s th e e nf or ce me nt c ap ab il iti es o f i nt er-

n at io na l o rg an iz at io ns , n ot ab ly t he I LO ( Gi ra ld o a nd O ss a 2004;ILRF 2001) . O n t he o th er h an d, T AN s e ng ag e i n o ng oi ng s tr ug gl est o e s t a b l i s h a n d d e t e r m i n e t h e c o n d i t i o n s o f s o f t l a w r e g i m e s , n a m e l y ,c od e o f c o nd u ct m on it or in g s ys te ms . N um er ou s n at io na l a nd g lo b alu ni on s, N GO s, a nd s ol id ar it y o rg an iz at io ns i n t he N or th a nd t he S ou thh a v e s t r i v e d t o t u r n e x i s t i n g m o n i t o r i n g s y s t e m s f r o m c o r p o r a t e p u b l i cr e l a t i on s pl oy s i n t o t r a n s pa r e n t a n d e f f e c t i ve m e c h a n i s m s f or e n f or c i n gl ab o r r ig ht s. I n t he A me ri ca s, t hi s h as i nv o lv ed s uc h o rg an iz at io ns a s

the Centro d e Ap oyo al Trabajado r and Factor X in Mexico; theCommission on the Verification of Codes of Conduct, and theF ed era ti on o f F oo dst uf fs W ork er s ( Fe str as) i n G ua te ma la ; I LR F,U SA S, A FL -C IO , a nd U S/ LE AP i n t he U S; t he M aq ui la S ol id ar it y

Network in Canada; and the regional office of the InternationalT ex ti le , G arm en t a nd L eat he r W or ke rs F ed er at io n ( IT GL WF ).


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A lb ei t m os t o f t he a pp ar el i nd us tr y c on ti nu es t o b e c ov er ed b y w ea kc or po ra te c od es o f c on du ct ( e. g. W RA P, w hi ch i nc lu de s s uc h l ar ger et ai le rs a s W al -M ar t) o r m on it or ed b y c om me rc ia l a ud it in g f ir ms o f

q u e s t i o n a b l e i n d e p e n d e n c e , t h e w o r k o f t h e s e a n d o t h e r a c t i v i s t o r g a n -i za ti on s h as l ed t o c ha ng es i n m on it or in g s ys te ms ( e. g. t he F LA a ndS AI ) a nd t he c re at io n o f s tr in ge nt c od es a nd m od el s o f m on it or in g( n o t a b l y t h e W R C ) .

T h e K u k d o n g c a s e o f f e r s a v i v i d i l l u s t r a t i o n o f t h e i n t e r p l a y b e t w e e nT N C s ’ a n d T A N s ’ s t r a t e g i e s o n t h e g r o u n d . B y j o i n i n g t h e F L A , N i k eh ad c om mi tt ed t o e nf o rc in g t hi s u mb re ll a m on it or in g o r ga ni za ti o n’ sc o d e o f c o n d u c t , w h i c h g u a r a n t e e d w o r k e r s ’ f r e e d o m o f a s s o c i a t i o n a n d

r ig ht t o b ar ga in c ol le ct iv el y. A ls o, t he f ac t t ha t K uk do ng p ro du ce d Nike (and Reebok) sweatshirts for US universities that had joined theW R C ( t h e s t u d e n t - o r g a n i z e d a l t e r n a t i v e t o t h e F L A ) m a d e t h e f a c t o r ys ub je ct t o t he W RC ’s m or e d em an di ng c od e a nd m on it or in g s ys te m.T el li ng ly , N ik e h ad a gg re ss iv el y f o ug ht t he W R C’ s ‘‘ ha rd l aw , ’’ c o n-f r o n t a t i o n a l a p p r o a c h t o m o n i t o r i n g . V i e w i n g t h e W R C a s a n a c t i v i s t -c o n t r o l l e d o r g a n i z a t i o n i n i m i c a l t o c o r p o r a t i o n s ( w h i c h , u n l i k e i n t h e

F L A s y s t e m , d o n o t s i t o n i t s b o a r d ) , N i k e ’ s C E O , P h i l K n i g h t , w i t h -d re w a U S$ 30 m il li on d on at io n t o h is a lm a m at er , t he U ni ve rs it y o f O r e g o n , a f t e r t h e l a t t e r j o i n e d t h e W R C i n 2 0 0 0 . A f e w m o n t h s l a t e r ,

Nike rescinded contracts with the University of Michigan and BrownU n i v e r s i t y f o r t h e s a m e r e a s o n .

T he o pp or tu ni ty c re at ed b y t he W RC a nd t he F LA c od es w as n otl o s t o n t h e K u k d o n g w o r k e r s w h o l e d t h e u n i o n i z a t i o n d r i v e a n d t h eo r g a n i z a t i o n s t h a t l a u n c h e d t h e c r o s s - b o r d e r c o a l i t i o n i n t h e i r s u p p o r t .

As r ec ou nt ed b y t he w ork er s an d m emb er s o f t he k ey l oc al s up po rto r ga n iz a ti o n , t h e C e nt r o d e A p o yo a l T r ab a ja d o r, i n te r na t io n al p r es -su re o n Ni ke a nd R ee bo k b y v ir tu e o f th e c od e o f c on du ct c om mi tm en tsw a s i n s t r u m e n t a l f o r t h e r i s e a n d c o n t i n u a t i o n o f t h e m o v e m e n t in t h ef a ce o f m a na g em e nt ’ s a n d s t at e a u th o ri t ie s ’ v i o le n t r e si s ta n ce .13 Thea r r i v a l i n P u e b l a o f i n d e p e n d e n t m o n i t o r s s u m m o n e d b y t h e W R C a n dth e b ra nd s t o v er if y t he f ac ts sh ort ly a fte r t he s tri ke , a s w el l a s th ep re se nc e o f d e le ga te s f ro m U SA S, i nt er na ti on al u ni o ns , a nd N GO s,

n ot o nl y r ai se d t he p ro fi le o f t he c as e i n t he l oc al a nd i nt er na ti on alm ed ia b ut a ls o p ut f ur th er p re ss ur e o n N ik e, R ee bo k, K uk do ng , t he

13 C ol l ec ti v e i n te rv i ew w i th K u kd o ng u n io n l ea de rs , A tl i xc o, J ul y 1 2 , 2 0 02 ; i nt er v ie w w i thB la n ca V e las q u e z a n d D a v id A lv a r a do ( C A T) .


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s t a t e a u t h o r i t i e s , a n d t h e f a c t o r y ’ s c o r r u pt p r o - b u s i n e s s u n i o n t o a l l o wt h e f o r m a t i o n o f a n i n d e p e n d e n t u n i o n .14

B r e a k i n g t h e s t a t e a u t h o r i t i e s ’ a n d K u k d o n g ’ s r e s i s t a n c e w o u l d a l s o

r e q u i r e t h e m o b i l i z a t i o n o f s t a t e a n d n a t i o n a l c o u r t s . W i t h t h e s u p p o r to f a l o c a l p u b l i c i n t e r e s t l a w f i r m , K u k d o n g w o r k e r s f a c e d t h e c o u n t l e s sh urd le s p ut i n t he ir w ay b y st ate c ou rt s i nte nt o n tw is ti ng t he l aw to th ep oint of o penly mak ing u p new ‘‘le ga l’’ r eq ui re me nt s t o b lo ck t heo f fi ci al r ec og ni ti on o f t he u ni o n.15 A ft er a n in e- mo nt h l eg al b at tl et h a t i n v o l v e d a n a p p e a l t o t h e M e x i c a n S u p r e m e C o u r t , t h e u n i o n w a sf o rm al ly r ec o gn i ze d b y t he s ta te i n e ar ly O ct ob e r, 2 0 01 . H ow ev e r, a st h e u n i o n ’ s l a w y e r a c k n o w l e d g e d , t h e s u c c e s s o f t h i s ‘ ‘ h a r d l a w ’ ’ s t r a t -

e gy , a nd o f t he o rg an iz in g c am pa ig n w ri t l ar ge , u lt im at el y l ay o n t heu n i o n ’ s a n d t h e T A N ’ s a b i l i t y t o e f f e c t i v e l y e x p l o it t h e oppor t uni t i e sc re at ed b y N ik e ’s c od e o f c on du c t c om mi tm en ts .16 G iv en t he l on g-s ta nd i ng t ig ht a ll ia nc e b et we en t he M ex ic an g o ve rn me nt , e co no mi ce l i t e s , a n d c o r r u p t p r o - b u s i n e s s u n i o n s , i t t o o k N i k e ’ s e x t e r n a l p r e s s u r e( in tu rn p ro mp te d b y T ANs ’ p re ss ure ) to m ak e s ta te a ut ho ri ti es a nd th ef ac to ry m an ag em en t c om pl y w i th t he l aw . ‘‘ In t he l as t i n s ta nc e, t he l aw

t ha t m at te re d w as N ik e’ s l aw ,’’ i n t he w or ds o f H ub er to J uar ez , a ne c on om i s t wh o pa r t i c i pate d i n t h e n e g o t i a t i o n s l e a d i n g t o t h e r e h i r i n go f t h e s t r i k i n g w o r k e r s .17 ‘ ‘ S a d l y , t h i n g s w i t h t h e g o v e r n m e n t h e r e a r et o o d i f f i c u l t , s o w e p r e f e r t o g o s t r a i g h t t o t h e c o d e s , ’ ’ d e c l a r e d o n e o f t h e K u k d o n g u n i o n l e a d e r s i n o u r i n t e r v i e w .18

3.4 L E G A L P L U R A L I S M A N D T H E S T R U G G L E O V E R T H E

S C A L E S O F L A B O R L A W

E n h a n c i n g t h e c o m p l e x i t y o f t h e l e g a l f i e l d o f h a r d a n d s o f t s t a n d a r d s i st h e c oexi s te n ce of l a bor r e gul a ti ons a t di f fe r en t s c a le s . N ow ove rl a ppi n g,n ow c on fl ic ti ng , f a ct or y a nd l o ca l l ab or r eg ul at io ns o p er at e a lo ng si den a t i on a l l a ws a n d r e g i on a l a g r e e m e n t s a s we l l a s g l oba l s t a n da r ds e m bo-d ie d i n I LO c on ve nti on s a nd c od es o f c on du ct . J ust a s t he d et er mi nat io nof t h e ‘‘h a r dn e s s ’’ of t h e a ppl i c a bl e l a w, t h e pr i vi l e g e d s c a l e of r e g ul a t i oni n a ny g iv en c as e i s t he o bj ec t o f a s tru gg le i nvo lvi ng T NCs , T AN s, st at e

a ut ho ri ti es , a nd i nte rn at io na l o rg an iz at io ns . F ar f ro m p ri vil eg in g a

14 I n t e r v i e w w i t h A r t u r o A l c a l d e ( u n i o n - s i d e l a b o r l a w y e r ) , M e x i c o C i t y , J u l y 1 5 , 2 0 0 2 .15 I n t e r v i e w w i t h S a m u e l P o r r a s ( K u k d o n g u n i o n ’ s l a w y e r ) , P u e b l a , M e x i c o , J u l y 1 5 , 2 0 0 2 .16 Ibid.17 I n t e r v ie w wit h H u b e r t o J u ar e z , P u e b la , M e x ic o , J u ly 8 , 2 0 0 2 . S e e a ls o J u ar e z (2002 ).18 C o l l e c t i v e i n t e r v i e w w i t h K u k d o n g u n i o n l e a d e r s .


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p ar ti cu la r s ca le , h eg em on ic a nd c o un te r- he ge mo n ic a ct or s s im u lt a-n eo us ly p ur su e s tr ate gi es a t d if fe re nt s ca les a nd e xp lo it t he l ega l a ndpol i t i c a l oppor t un i t i e s of f e r e d by t h e t e n s i on s a n d c on t r a di c t i on s wi t h i n

a n d a m on g l oc a l , n a t i on a l , r e g i on a l , a n d g l oba l r e g ul a t i on s .T hi s i s e vi de nt , f or i nst an ce , i n t he s tr at eg ie s o f a pp are l T NC s a nd

t h e i r s uppl i e r s wi t h r e g a r d t o t h e n a t i on a l l a bor r e g ul a t i on s of pr oduc i n gc ou nt ri es . A s tr ik in gl y r ec ur re nt s ta te me nt i n i n te rv ie ws w it h b ra ndde le g at e s, f a ct ory m a na g er s , a n d bus in e ss a s soc i at i ons ’ s t af f m e mbe rs i st h a t – i n t h e t e r m s u s e d b y t h e D i r e c t o r f o r L a b o r R e l a t i o n s o f V E S T E X ,t h e G uat e ma l an a ppa r el busi n es s a s soc ia t ion – ‘‘a ll t he development of t h e s e c t or i s ba s e d on c om pl i a n c e wi t h n a t i on a l l a ws .’’19 Fr om t h e vi e w-

p oi nt o f g lo ba l b ran ds , L iz C la ib orn e’ s r ep re se nt ati ve i n G uat em al a p ut i ti n t h e f o l l o w i n g w a y : ‘ ‘ [ E ] a c h c o u n t r y w e g o t o , w e h a v e t o r e s p e c t t h a tc o u n t r y ’ s l a w . I m e a n , [ f o r i n s t a n c e ] w e h a v e t o l e t o u r p e o p l e k n o w , a l lo ur c on tr act or s, t hat t he y m ust p ay t he m in i mum s a la r y t h at ’s r e cog ni z edby t h e g ove r n m e n t of e a c h c oun t r y .’’20

R eg ar dl es s o f t he a cc ur ac y o f t he se s ta te me nt s,21 what is w orthn ot in g f or p re se nt p ur po se s a re c ap it al ’s s el ec ti ve i nv oc at io n o f a nd

d o ub l e- si de d s tr at eg y v i s- a- v i s n at io n al l ab o r l aw . O n t he o ne h an d,t hr ou g h e xp l ic it o r i mp li ci t t hr ea ts t o m ov e p ro d uc ti o n t o c ou n tr ie sw i t h l a x l a b o r r e g u l a t i o n s ( e . g . C h i n a ) , g l o b a l b r a n d s a n d c o n t r a c t o r se xe rt d o wn wa rd p re ss ur e o n l ab o r s ta nd ar ds o f c o un tr ie s d es pe ra te f orj o b s . T h e i n d i r e c t p r e s s u r e c o m i n g f r o m i n d i v i d u a l m o b i l e f i r m s h a s ac o l l e c t i v e , i n s t i t u t i o n a l c o u n t e r p a r t i n r e t a i l e r s ’ , b r a n d s ’ , a n d c o n t r a c -t o rs ’ a s so c i at i o ns ’ l o b by o n S o u th e rn c o un t ri e s t o f u rt h er ‘‘ f le x i bi l i ze ’’l a b o r r e g u l a t i o n s . T h r o u g h u n c o n d i t i o n a l t r a d e a g r e e m e n t s a n d s t r u c -

t ur al a dj u st me nt p ro gr am s, n eo li b er al g ov er nm en ts i n t he N or th a ndt he S o ut h a s w el l a s i nt er na ti o na l f in an ci al i n st it ut io ns s up p or t c ap i -t al ’s c as e f o r l ab o r m ar ke t ‘‘ d er eg ul at io n. ’’ V ie we d f ro m t hi s p er sp ec ti ve ,t he re fo re , n at io na l l ab o r l a w s a p p ea r a s o b st ac le s t o b e r em ov e d. A t t h es am e t im e, h ow ev er , a s e vi de nc ed b y t he q uo te s a bo ve , b ra nd s a ndp ro d uc er s i nv o ke c om pl i an ce w it h t he t hu s h ea vi l y e ro d ed n at io na ll ab or l aw a s a p ro of o f c or po ra te c it iz en sh ip . F or i ns ta nc e, w it h l eg al

19 I n t e r v i e w w i t h V E S T E X D i r e c t o r f o r L a b o r R e l a t i o n s , G u a t e m a l a C i t y , J u l y 2 6 , 2 0 0 2 .20 I n t e r v i e w w i t h L i z C l a i b o r n e ’ s s o u r c i n g m a n a g e r f o r G u a t e m a l a a n d C e n t r a l A m e r i c a ( v e r b a -

t i m t r a n s c r i p t i o n o f a n e x c e r p t f r o m t h e i n t e r v i e w , w h i c h w a s c o n d u c t e d i n E n g l i s h ) .21 V i o l a t i o n s o f n a t i o n a l l a b o r l a w s i n G u a t e m a l a n a n d M e x i c a n a p p a r e l maquilas a r e wid e s p r e a d

a n d h a ve b e en d o cu m en t ed b y m o ni t o ri n g o r g an i z at i o ns , h u m an r i g ht s N G Os , a n d r e se a rc h er s .O n G u a t e m a l a , s e e H u m a n R i g h t s W a t c h ( 2002 ) a n d C O V E R C O ( 2 0 0 1 b) . O n M e x i c o , s e e

Juarez (2005 ).


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m i n i m u m w a g e s d r i v e n b e l o w s u b s i s t e n c e l e v e l s ( l e t a l o n e l i v i n g w a g el e v e l s ) , c o m p l i a n c e w i t h t he l a w , a s V E S T E X ’ s r e p r e s e n t a t i v e p u t i t , i si n d ee d ‘‘ g o od f o r b u s in e ss . ’’22 I n t h i s s e c o n d f a c e o f h e g e m o n i c s t r a t e -

g i es v i s- a- v i s r e gu l at i on a t t h e n a ti o na l s c al e , l a b or l a w i s n o l o n ge r a no b s t a c l e , b u t r a t h e r a n e x c u s e .

A t t h e r e g i o n a l a n d g l o b a l s c a l e s , T N C s ’ s t r a t e g i e s f o l l o w a d i f f e r e n tp a t h . W i t h t h e e x c e p t i o n o f t h e E u r o p e a n U n i o n , r e g i o n a l a n d g l o b a ll ab or r eg ul at io ns r em ai n e mb ry on ic a t b es t. T hu s, c or po ra te e ff or tsh a v e f o c u s e d o n t h w a r t i n g t h e f u r t h e r d e v e l o p m e n t o f s u c h r e g u l a t i o n so n t wo f ro nt s. F ir st , T NC s h av e o pp os ed t he i nc lu si on o f ‘‘ ha rd l aw ’’c la us es o n l ab o r i nt o r eg io na l a nd g lo b al t ra de a gr ee me nt s. W it h t he

i nt el le ct u al b ac k in g o f f re e m ar ke te er s w ar ni ng a bo u t t he d el et er io u si mp ac t o f t he l in ka ge b et we en t ra de a nd l ab or r ig ht s o n g ro wt h a nde m p l o y m e n t i n t h e S o u t h ( s e e B h a g w a t i 2004) , T N C s h a v e l o b b i e d t ob l o c k o r c o n s i d e r a b l y w a t e r d o w n l a b o r p r o v i s i o n s i n t r a d e a g r e e m e n t s ,f r o m t h e W T O a n d N A F T A t o t h e r e c e n t b i l a t e r a l a g r e e m e n t s s i g n e db y the US, among them tho se wi th Chi le and Central Americanc o u nt r ie s . T o ge t he r w i th o p p os i ti o n t o i n cr e as i ng f u nd i n g a n d e n fo r ce -

m ent p ow er s f or th e I LO, t hi s st rat eg y h as f ru st ra ted th e r ise o f a ne ff ec ti ve g ov er na nc e s ys te m o f l ab or r el at io ns a t t he i nt er na ti on all ev el . Se co nd ly , a s e xp lai ned i n th e p re vi ou s s ect io n, T NC s h av er es po nd ed t o c ri ti ci sm s o f a bu se s s te mm in g f ro m t hi s r eg ul at or y v o idb y d ev el op in g g lo bal c od es o f c on du ct a s p art o f ‘‘ co rp ora te s oc ia lr e sp o n si b il i ty ’’ p r og r am s . G i ve n t h ei r v o l un t ar y c h ar a ct e r, m o st c o d eso f f e r a c o r p o r a t e - f r i e n d l y a l t e r n a t i v e t o r e g i o n a l a n d g l o b a l l a b o r l a w s(Rodrı guez-Garavito 2005; S h a m i r ’ s c h a p t e r i n t h i s v o l u m e ) .

A nt i- sw ea ts ho p a ct iv is ts a re e qu a ll y p ra gm at ic i n p r om ot in g a ndm ob il iz in g l eg al t oo ls a t d if fe re nt s ca le s. A t t he l oc al a nd n at io na ls c a l e s , t h e y s u e c o n t r a c t o r s b e f o r e t h e p r o d u c i n g c o u n t r i e s ’ c o u r t s a n db r i n g l e g a l c h a l l e n g e s a g a i n s t b r a n d s i n t h e j u r i s d i c t i o n s w h e r e T N C s ’h e a d q u a r t e r s a r e l o c a t e d . T h e l a t t e r s t r a t e g y i s p a r t o f a b r o a d e r t r e n dt o w a r d t r a n s n a t i o n a l l i t i g a t i o n a s a m e a n s t o h o l d T N C s a c c o u n t a b l ef or t he ir a ct io ns a ro un d t he g lo be . P ro mi ne nt i ns ta nc es o f t hi s t re nd a ret h e l a w s u i t s a g a i n s t T N C s f o r h u m a n r i g h t s a b u s e s b r o u g h t b e f o r e U S

c o u r t s b y p u b l i c i n t e r e s t l a w f i r m s a n d N G O s o n t h e b a s i s o f t h e A l i e nT o r t C l a i m s A c t o f 1 7 8 9 ( S h a m i r ’ s c h a p t e r i n t h i s v o l u m e ) .

A t t h e r e g i o n a l s c a l e , T A N s h a v e l a u n c h e d c a m p a i g n s t o i n t r o d u c ee ff ec ti ve l ab or c la us es i n t ra de a gr ee me nt s. A ct iv is ts ’ p re ss ur e, f or

22 I n t e r v i e w w i t h V E S T E X D i r e c t o r f o r L a b o r R e l a t i o n s .


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i n s t a n c e , l e d t o t h e c r e a t i o n o f a s i d e a g r e e m e n t t o N A F T A , t h e N o r t hA m er i ca n A g re e me n t o n L a bo r C o op e ra t io n ( N AA L C) . E v en w h en ,a s i n N A A L C , l a b o r c l a u s e s h a v e a l a r g e l y s y m b o l i c , n o n - e n f o r c e a b l e

c h a r a c t e r , T A N s h a v e c r e a t i v e l y u s e d t h e m t o b r i n g a t t e n t i o n t o w i d e -s pr ea d l ab o r a bu se s e ve n a s t he y h av e p re ss ur ed f or t he ir a me nd me nt(Graubart 2002; H u m a n R i g h t s W a t c h 2001) . I n a d d i t i o n , t h e y h a v ef o rm u la t ed a l te r na t iv e , r e gi o n -w i d e m o de l l a b or r e gu l a ti o n s b a se d o nf a i r t r a d e ( a s o p p o s e d t o f r e e t r a d e ) p r i n c i p l e s a n d o p e n - b o r d e r i m m i -g ra ti on p o li ci es . A h os t o f s uc h ‘‘ al te rn at iv e t re at ie s’’ h av e b e en p ro -d uc ed t hr ou gh p ar ti ci pa to ry a nd d el ib er at iv e p ro ce ss es i nv ol vi ngp ro gr es si ve N GO s, u ni on s a nd g ra ssr oo ts o rg an iz ati on s c omi ng

t og et he r o n t he o c ca si on o f ‘‘ p eo p le s’ s um mi ts ’’ t ha t m ee t p ar al le l t ot he c lo se d- do or s um mi ts o f p ol it ic al a nd e co no mi c e li te s i n w hi chn eo l ib er al i ns ti tu ti o ns a re f or ge d. I n t he A me ri ca s, t he m os t s al ie ntex amp le i s t he e ff or t t o b ui ld a h em isp he ri c so ci al a ll ia nc e a ro un dc o n c r e t e a n d v i a b l e a l t e r n a t i v e s t o t h e e x i s t i n g p l a n s f o r a F r e e T r a d eA re a o f t he A me ri ca s ( FT AA ). L au nc he d a t t he P eo pl es ’ S um mi t o f t he A me ri ca s i n S an ti ag o ( Ch il e) i n A pr il 1 99 8, t he i ni ti at iv e h as

p ro du ce d, a mo ng o th er t hi ng s, t he Alternatives for the Americas, ad e t a i l e d r e g u l a t o r y p r o p o s a l o n l a b o r , t h e e n v i r o n m e n t , f o r e i g n i n v e s t -ment, in t e l l e c t u a l p r o p e r t y r i g h t s , a n d o t h e r k e y s o c i a l a n d e c o n o m i careas.23 W i t h i t s e x p l i c i t g o a l o f c h a l l e n g i n g t h e c l a i m t h a t ‘ ‘ t h e r e i s n oa l te r na t iv e ’’ t o n e ol i b er a l i n st i tu t io n s, i t s d e ta i le d i n st i tu t io n al b l u e-p ri nt f o r a d if f er en t t yp e o f g lo ba li za ti on , a nd i ts p ar ti ci p at or y p ro c es se s,t h i s a n d o t h e r a l t e r n a t i v e t r e a t i e s h a v e b e c o m e a n i n t e g r a l p a r t o f t h eg l o b a l m o v e m e n t f o r s o c i a l j u s t i c e a n d c o n s t i t u t e a p a r a d i g m a t i c f o r m

o f s ub a lt er n c o sm op o li ta n l eg al it y ( Sa nt os 2 0 02 ; S an to s a nd R o dr ıguez-G a r a v i t o ’ s c h a p t e r i n t h i s v o l u m e ) .

T A N s h a v e u n d e r t a k e n s i m i l a r i n i t i a t i v e s a t t h e g l o b a l s c a l e , a s t h ec am pa ig n t o i nc lu de a l ab or c la us e i n t he W TO a nd t he a lt er na ti vetreaties emanating fro m the Wo rld So cial F orum bear witness.H ow ev er , g iv e n t he c o ns id er ab le p o li ti ca l a nd l o gi st ic al d if fi cu l ti esi nv o lv ed i n r at ch et in g u p l ab o r r eg ul at io ns t o t he g lo b al l ev el , t he see f f o r t s h a v e y e t t o m a t c h t h e p r o g r e s s a t t a i n e d a t t h e r e g i o n a l l e v e l . F o r

i n st a nc e , N o rt h –S o u th d i v is i o ns a r ou n d t h e p o t en t ia l ly p r o te c ti o ni s tu se o f l ab or cl au se s b y No rt her n s ta te s h av e n ip pe d i n th e b ud p ro po sa lsf o r a l a b o r c l a u s e i n t h e W T O . I n l i g h t o f t h i s , T A N s h a v e p u r s u e d t w o

23 S e e t h e p r o p o s a l’ s t e x t a t www. we b . n e t /c o m fr o n t /a lt s 4 a m e r ic a s /. O n g r a s s r o o t s a lt e r n a t iv e s t ot h e F T A A , s e e I L S A ( 2004 ).


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c om pl em en ta ry s tr at eg ie s. O n t he o ne h an d, t he y h av e s up po rt edi ni ti at iv es t o t ur n t he i nt er na ti on al c on ve nt io ns o n c or e l ab o r r ig ht si n t o a g l o b a l l a b o r c o n s t i t u t i o n w h o s e e n f o r c e m e n t w o u l d b e e n t r u s t e d

t o a r e v a m p e d I L O ( I L R F 2001) . O n t h e o t h e r h a n d , t h e y c o n t i n u e t op ar ti ci pa te i n t he a bo v e- me nt io ne d d e ba te s a nd c am pa ig ns t o m ak eg l o b a l c o d e s o f c o n d u c t f o r l a b o r t r a n s p a r e n t a n d e n f o r c e a b l e .

Th e p ol it ic s o f s ca le c an b e s ee n a t w or k i n th e K uk do ng ca se . T het ra ns na ti ona l c oal i ti on i n s uppor t of t he n as ce nt uni on s im ult an eousl ym obi l iz ed s ta te a nd n at iona l l aws, r eg i on al a gr ee me nt s, i n te rn at i on al I LOconv entio ns, an d glo bal cod es of cond uct. In the earl y stages of th eu ni on iz at io n c am pa ig n, i t w as N ik e a nd R ee bo k’ s c od es t ha t p ro vi de d

t he r eq ui si te l eg al l ev er ag e t o f or ce K uk do ng t o r eh ir e t he s tr ik er s a ndstart negotiations with the independent union. Kukdong responded witha l ar ge ly l oc al l eg al s tr at eg y w hi ch e nt ai le d m ob il iz in g t he c or po ra te -f ri en dl y s ta te c ourt s a nd g ove rn me nt t o c ri mi na l ly prose cut e s tr iker s a s‘‘trespassers’’ and fraudulently block the official recognition of the union.I n a n i ro ni c t wi st i ll us tr at iv e o f c ap it al ’s s tr at eg ic u se o f l oc al an d n ati ona ll aw s, Ku kd on g’ s l ega l c ou ns el d es cr ib ed t hi s m ov e t o t he me di a a s a n

effort to ‘‘reestablish the company’s rule of law’’ (Sanchez 2001b:6).T h e g l o b a l i z a t i o n o f t h e K u k d o n g c a s e w a s f u r t h e r e d b y t h e p r e s e n c eo f d el eg ati on s f ro m t he I LO a nd i nte rn ati on al p ub li c i nt ere st l aw

NGOs (notably the ILRF) with experience in transnational laborl it ig ati on . At t he s ame t ime , a Me xi co –US tr ad e u ni on co al iti ont h r e a t e n e d t o b r i n g t h e c a s e b e f o r e t h e N A A L C a g e n c i e s , t h u s t a p p i n gt h e l e g a l a n d p o l i t i c a l t o o l s a v a i l a b l e a t t h e r e g i o n a l s c a l e .

I t w a s o n l y w h e n t h e c a s e h a d b e e n t h u s i n t e r n a t i o n a l i z e d t h a t t h e

T A N r e s o r t e d t o l o c a l a n d n a t i o n a l l e g a l s t r a t e g i e s . I n w h a t K e c k a n dS ik k in k (1998 ) h a v e c a l l e d a ‘ ‘ b o o m e r a n g e f f e c t , ’ ’ t h e T A N p u t p r e s -s ur e o n i nt er na ti o na l c o rp o ra te a nd s ta te a nd i nt er -s ta te a ct or s ( th eb r a n d s , K u k d o n g ’ s h e a d q u a r t e r s , t h e U S g o v e r n m e n t , t h e K o r e a n g o v -e rn me nt, a nd th e IL O) to i n tu rn p res su re l oc al a cto rs ( Ku kd on g’ sm a n a g e m e n t , c or r upt bus i n e s s un i on f e de r a t i on s , a n d t h e g ove r n m e n t sand cou rts o f Mexico and the state o f Pu ebla) to ab ide b y national laborl a w s a n d a l l o w t h e f o r m a t i o n o f t h e u n i o n a n d t h e s i g n i n g o f a l a b o r

c on tr ac t. A s st ate d b y t he u ni on ’s l ea de rs a nd l eg al c ou nse l i n th ei nt er vi ew s, l oc al l eg al s trate gi es s uc ce ed e d o nl y b ec au se o f t he e ff ec tof i n t e r n a t i on a l pr e s s ur e .24

24 C o l le c ti v e i n t er v i ew w i t h K u k do n g u n i on l e ad e rs ; i n te r v ie w w i t h S a mu e l P o r ra s ( K u kd o n gu n io n ’ s la wy e r ) .


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I nt er es ti ng ly , t he p ra ct ic e o f l oc al l aw ye rs r ep re se nt in g t he u ni on i s af a r c r y f r o m t h e i m a g e o f t h e c o s m o p o l i t a n , w e l l - c o n n e c t e d a t t o r n e y st ha t e me rg es f ro m s tu di es o n o th er f ie ld s o f t ra ns na ti on al l aw ye ri ng ( se e

D e z a l a y a n d G a r t h 2002) . T h i s i s b r o u g h t h o m e b y t h e w o r k o f t h e p r o -b on o a tt or ne y w ho p us he d f or wa rd t he u ni on ’s p et it io n f or o ff ic ia lr ec og ni ti on t hr ou gh t he m az e- li ke s ys te m o f r eg ul at io ns a nd a d- ho cr e q u i r e m e n t s s e t b y t h e s t a t e a u t h o r i t i e s t o f r u s t r a t e t h e c o n s o l i d a t i o no f t h e u n i o n . A t t e s t i n g t o t h e l o c a l a n d c o n v e n t i o n a l c h a r a c t e r o f h i sp r a c t i c e , t h e M e x i c a n L a b o r C o d e i s t h e o n l y b o o k s i t t i n g o n t h e d e s ko f h i s a u s t e r e o f f i c e i n d o w n t o w n P u e b l a . W h e n a s k e d a b o u t t h e l e g a lto ols he used in defend ing the unio n’s cau se, he referred only to

n at io nal l ab or l aw s e ve n a s h e ex pl ai ne d i n d eta il th e c orp or at is tp r a c t i c e s w h e r e b y b u s i n e s s , c o r r u p t u n i o n s , a n d t h e l o c a l a n d n a t i o n a ls ta te s c ol lu de t o f ru st ra te t he a pp li ca ti on o f s uc h l aw s. T el li ng ly , h e w asn ot a wa re o f t he c on te nt o f t he b ra nd s’ c od es o f c on du ct , d is mi ss in gt he m a s n on -l eg al ‘‘ un il at er al d ec la ra ti o ns ’’ e ve n a s h e a ck n ow ledgedt h e c r u c i a l p o l i t i c a l o p p o r t u n i t y c r e a t e d b y t h e c o d e s i n t h e c a s e .25

A lt ho ug h i t t oo k e ig ht m on th s a nd n um er ou s a pp ea ls ( in cl ud in g o ne

t o t he M ex i ca n S u pr em e C ou rt o n c o ns ti tu t io na l g ro u nd s) t o b re ak t her e s i s t a n c e o f t h e c o u r t s , t h i s l e g a l s t r a t e g y f i n a l l y c a m e t o f r u i t i o n w h e nt h e c o m b i n e d p r e s s u r e o n t h e c o u r t s , t h e b r a n d s , t h e s t a t e o f P u e b l a ,a nd K uk do ng f or ce d t he s ta te ’s g ov er nm en t a nd c ou rt s t o o ff ic ia ll yr e c o g n i z e t h e u n i o n i n e a r l y O c t o b e r 2 0 0 1 .

3.5 C O N C L U S I O N

T h e s u c c e s s f u l K u k d o n g c a m p a i g n v i v i d l y i l l u s t r a t e s t w o c e n t r a l t r a i t so f c o u nt e r- h eg e mo n ic l e ga l s t ra t eg i es i n t h e c o nt e xt o f g l ob a l iz a ti o n.O n t he o ne h an d, i t i nv ol ve d a c on ti nu ou s c om bi na ti on o f p ol it ic al a ndl e g a l s c h e m e s w h e r e b y p r o t e s t ( f r o m t h e s t r i k e a n d t h e o c c u p a t i o n o f t h e f a c t o r y t o t h e p i c k e t i n g o f N i k e s t o r e s ) w e n t h a n d i n h a n d w i t h t h em o b i l i z a t i o n o f j u r i d i c a l i n s t r u m e n t s ( f r o m M e x i c a n l a b o r l a w t o c o d e so f c o n d u c t ) . W i t h o u t t h e f o r m e r , t h e c a s e w o u l d h a v e j o i n e d t h e r a n k so f t he c ou nt le ss a tt em pt s a t f or mi ng i nd ep en de nt u ni on s t ha t h av e

b ee n b lo c ke d b y t he M ex i ca n s ta te . W it ho ut t he l at te r, t he p o li ti ca lp re ss ur e c ou l d n ot h av e t ra ns la te d i ts el f i nt o s ta b le a gr ee me nt s w it hm an ag em en t a nd N ik e t ha t e nt ai le d a c o ns id er ab le i mp ro v em en t o f w or ki ng co nd it io ns a t t he f ac to ry . On th e o th er h an d, t he s uc ce ss o f th e

25 I n t e r v i e w w i t h S a m u e l P o r r a s ( K u k d o n g u n i o n ’ s l a w y e r ) .


85



c ro ss -b o rd e r o rg an iz in g d ri ve c ru ci al ly d ep e nd ed o n t he c om bi n at io n o f s tr at eg ie s a t s ev er al s ca le s. T hi s a ll ow ed t he T AN t o s im ul ta ne ou sl y p utp re ss ur e o n c or po ra te a ct or s l oc at ed i n d if fe re nt n od es o f t he g lo ba l

a pp ar el c om mo di ty c ha in , f ro m U S b ra nd s t o t he K or ea n m ul ti na ti on alsupplier.

A s I h a v e s o u g h t t o s h o w i n t h i s c h a p t e r , t h e K u k d o n g c a s e i s p a r t o f a b ro ad er s tr ug gl e o ve r th e e xi ste nc e, t he co nte nt , a nd th e sc al e o f e nf or ce ab le i nt er na ti on al l ab o r r ig ht s. I n t hi s d i sp u te , T AN s a nd T NC ss tr at eg ic al ly e xp l oi t t he t en si on s a nd c on tr ad i ct io n s w it hi n t he e xi st in gk al ei do sc op ic f ie ld o f ‘‘ ha rd ’’ a nd ‘‘ so ft ’’ l ab or l aw s a t s ev er al s ca le s, e ve na s t he y f or mu la te n ew l eg al f ra me wo rk s a nd c la sh o ve r t he d et ai ls o f

n ove l e n f or c e m e n t m e c h a n i s m s .A lb ei t t he n ew ne ss o f t hi s f ie ld o f c on fr on ta ti on a dv is es a ga in st

c on cl u di ng w it h g en er al p re di ct io ns , t wo t re nd s c an a lr ea dy b e s ee na t w o rk t ha t a re l ik el y t o i n fl ue nc e i t s o ut co me . F ir st , w it h r e ga rd t o t h ei s s u e s i n d i s p u t e , a s s o - c a l l e d ‘ ‘ p r o t e c t i v e r i g h t s ’ ’ ( w h i c h c o n c e r n s u c hi s s u e s a s h e a l t h a n d s a f e t y , m i n i m u m w a g e , o v e r t i m e , a n d s o o n ) h a v eb ee n i nc or po ra te d i n c od es o f c on du ct a nd o th er g lo ba l r eg ul at or y

f ra me wo rk s, T AN s h av e r ai se d t he s ta ke s b y m ov in g t o p re ss f or t hepr ot e c t i on of r i g h t s wi t h br oa de r pol i t i c a l a n d e c on om i c c on n ot a t i on s –n am el y, t he r ig ht t o a ‘‘ li vi ng w ag e’’ a nd ‘‘ en ab li ng r ig ht s’’ ( th at i s,f re ed om o f a ss oc ia ti on a nd t he r ig ht t o c ol le ct iv e b ar ga in in g) ( se eM a qu i l a S o l id a ri t y N e tw o r k 2004 ) . A s th e a rgu me nt i n t hi s c ha pt erw o u ld h a ve p r ed i c te d , T N Cs a n d i n te r na t io n al f i na n ci a l i n st i tu t io n sh a v e r i s e n t o t h e c h a l l e n g e t h r o u g h s t r a t e g i e s a i m e d t o t a m e o r p o s t -p o n e T A N s ’ d e m a n d s . T h i s i s e v i d e n t , f o r i n s t a n c e , i n r e c e n t e f f o r t s t o

d e v e l o p a v e r s i o n o f ‘ ‘ w o r k e r e m p o w e r m e n t ’ ’ c o n g r u e n t w i t h c o r p o r a t ev i si o ns o f s oc ia l r es po n si b il it y ( Wo rl d B an k 2003) as well as in attemptst o d is co un t d is cu ss io ns o f a l iv in g w ag e a s p re ma tu re . T og et he r w it hc o n t i n u i n g d e b a t e s o v e r i n t e r n a t i o n a l p r o t e c t i v e r i g h t s , t h e r e f o r e , t h en a s c e n t d i s c u s s i o n o v e r a l i v i n g w a g e a n d e n a b l i n g r i g h t s w i l l b e a t t h ec e n t e r o f t h e c o n f r o n t a t i o n o v e r i n t e r n a t i o n a l l a b o r r i g h t s .

S e c o n d l y , w i t h r e g a r d t o t h e a c t o r s a n d t h e s t r a t e g i e s i n v o l v e d , t h ec am pa ig ns a nd r eg ul at or y e xp er im en ts t ha t t oo k p la ce o ve r t he l as t

d e c a d e h a v e p r o d u c e d d i v e r g e n c e s w i t h i n c o r p o r a t e a n d a c t i v i s t c i r c l e st h a t w i l l l i k e l y s h a p e t h e p r o c e s s a n d t h e o u t c o m e o f p o l i t i c a l a n d l e g a ld is pu te s o ve r l ab or c on di ti on s i n t he A me ri ca s. W it hi n c or po ra tec i r c l e s , s o m e a p p a r e l T N C s ( e . g . G a p a n d L i z C l a i b o r n e ) h a v e e x p e r i -m e n t e d ( a l b e i t t i m i d l y ) w i t h i n d e p e n d e n t m o n i t o r i n g o f t h e i r f a c t o r i e si n C en tr al A me ri ca ( CO VE RC O 2001a ; 2001b) , w hi le o th er s ( e. g.


86



Nike) hold steadfastly to monitoring mechanisms such as those of theF LA t ha t r el y o n c om me rc ia l a ud it or s. W it hi n a ct iv is t c ir cl es, s ome

NGOs and unions (e.g. USAS and the National Labor Committee)

p ur su e c on fr on ta ti on al t ac ti cs w hi le o th er s ( e. g. H u ma n R ig ht s F ir st )h a v e s o u g h t t o m a i n t a i n a s p a c e f o r c o l l a b o r a t i o n a n d n e g o t i a t i o n w i t hTN C s . Y e t ot h e r s ( e .g . I TG L W F, t h e g l oba l un i on of t h e a ppa r e l s e c t or )c om bi ne b o th a pp ro ac he s. H ow t he d if fe re nt t ac ti cs o f s uc h ‘‘ co nf ro n-t e rs ’’ a n d ‘‘e ng ag e rs ’’ ( W in s ton 2002) i n te rf ac e w it h p o te nt ia ll y d iv er gi ngc or por a t e a ppr oa c h e s ( a s we l l a s wi t h n a t i on a l s t a t e pol i c i e s ) wi l l a f f e c tt h e pr os pe c t s of e f f e c t i ve t r a n s n a t i on a l l a bor r e g ul a t i on .

W h e t h e r t h i s o n g o i n g p r o c e s s l e a d s t o t h e c o n s t r u c t i o n o f a c o s m o -

p o l i t a n l e g a l f r a m e w o r k e f f e c t i v e l y p r o t e c t i n g l a b o r r i g h t s a t t h e g l o b a ll ev el , o r w he th er i t r es ul ts i n t he d ee pe ni ng o f n eo li b er al r eg ul at io n,w il l d ep en d o n t he s uc ce ss o f t he h eg em on ic a nd c ou nt er -h eg em on ics t r a t e g i e s e x a m i n e d i n t h i s c h a p t e r . M o r e b r o a d l y , t h e r i s e o f a c o s m o -p o l i t a n l a b o r l a w h i n g e s o n t h e f a t e o f t h e l a r g e r s t r u g g l e o v e r t h e r u l e so f t he g lo ba l e co no my . I n t hi s e nd ea vo r, t he a nt i- sw ea ts ho p m ov em en tj oi ns r an ks w it h t he f ai r t ra de m ov em en t, t he m ob il iz at io n a ga in st

e xc lu si on ar y r eg im es o f i nt el le ct ua l p ro pe rt y r ig ht s, c am pa ig ns f ord eb t r el ie f a nd t he r ef o rm o f i nt er na ti on al f in an ci al i ns ti tu ti o ns , a ndo t h e r f o r m s o f c o u n t e r - h e g e m o n i c g l o b a l i z a t i o n a n d s u b a l t e r n c o s m o -pol i t a n l e g a l i t y .

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S im on , W il li am . 2 00 3. ‘‘ So l vi ng P ro bl em s v . C la im in g R ig ht s: T he P ra gm a ti stC ha ll en ge t o L eg al L ib er al is m. ’’ P ap er p re s en te d a t t he C on fe re nc e o n‘ ‘ R e g u l a t i o n , G o v e r n a n c e , a n d L a w i n t h e 2 1 s t C e n t u r y : T o w a r d s a N e wL e g a l P r o c e s s ? ’ ’ U n i v e r s i t y o f W i s c o n s i n , M a d i s o n , O c t o b e r 1 .

S no w, D av id , E . B ur ke , S te ve n W or de n, a nd R ob e rt B en fo r d. 1 98 6. ‘‘ Fr a meA l i g n m e n t P r o c e s s e s , M i c r o m o b i l i z a t i o n , a n d M o v e m e n t P a r t i c i p a t i o n .’ ’

American Sociological Review 51:464–481.S t ra n g e, S u sa n . 1 9 96 . The Retreat of the State: The Diffusion of Power in the

World Economy. C a m b r i d g e : C a m b r i d g e U n i v e r s i t y P r e s s .T a rr o w, S i dn e y. 2 0 01 . ‘‘ T ra n sn a ti o na l P o li t i cs : C o nt e nt i on a n d I n st i tu t io n s i n

International Politics.’’ Annual Review of Political Science 4:1–20.


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T ru be k, D av id , J im M os he r, a nd J ef fr ey R ot hs te in . 2 00 0. ‘‘ Tr a ns na ti on a li sm i nthe Regul ation of Labo r Relatio ns: Internat ional Regimes andT ra ns na ti on al A dv oc ac y N et wo rk s. ’’ Law and Social Inquiry25:1187–1210.

W a ll e rs t e in , I m ma n u el . 2 0 02 . ‘‘ O pe n in g R e ma r ks : L e ga l C o ns t ra i nt s i n t h eC a pi t al i st W o rl d -E c on o my . ’’ P p . 6 1 –6 4 i n Transnational Legal Processes:

Globalisations and Power Disparities, e d i t e d b y M i c h a e l L i k o s k y . L o n d o n :Butterworths.

W at er ma n, P et er . 1 99 8. Globalization, Social Movements and the New

Internationalism. L o n d o n : C o n t i n u u m .W il li am s, H ea th er . 1 99 9. ‘‘ Mo bi le C ap it al a nd T ra ns bo rd er L ab or R ig ht s

Mobilization.’’ Politics & Society 27:139–166.

W in st on , M or to n. 2 00 2. ‘‘ NG O S tr at eg ie s f or P ro mo ti n g C or po ra t e S oc ia lResponsibility.’’ Ethics and International Affairs 16:71–87.

Wo rl d Ba nk . 2 00 3. Strengthening the Implementation of Corporate SocialResponsibility in Global Supply Chains. W a s h i n g t o n , D C : W o r l d B a n k .


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CHAPTER 4

CORPORATE SOCIAL RESPONSIBILITY: A CASEOF HEGEMONY AND COUNTER-HEGEMONY

Ronen Shamir


O ne g en er al o bs er va ti on i s s ha re d a mo ng s ch ol ar s o f t he g lo ba l p ol it ic al

eco no m y r egar d les s o f t heir d is cip linar y, analyt ic, o r id eo lo gical inclin-a ti on s. N am el y, t ha t c or po ra te g lo ba l r ul e i s a lr ea dy h er e. P os it iv ee v id e nc e a b ou n ds . M u lt i na t io n al c o rp o ra t io n s ( M NC s ) d o mi n at e t h eg l o b a l e c o n o m y , a c c o u n t i n g f o r t w o - t h i r d s o f g l o b a l t r a d e i n g o o d s a n ds er vi ce s. O f t he o ne h un dr ed l ar ge st w or ld e co no mi es , f if ty -o ne a rec o r p o r a t i o n s . T h e t o p t w o h u n d r e d c o r p o r a t i o n s g e n e r a t e 2 7 . 5 p e r c e n to f t h e w o r l d g r o s s d o m e s t i c p r o d u c t a n d t h e i r c o m b i n e d a n n u a l r e v e n -u e s a r e g r e a t e r t h a n t h o s e o f t h e 1 8 2 s t a t e s t h a t c o n t a i n 8 0 p e r c e n t o f

t he w or ld p op ul at io n. T he c om bi ne d s al es o f f ou r o f t he l ar ge st c or po ra -t io ns i n t he w or ld e xc ee d t he g ro ss d om es ti c p ro du ct o f t he w ho le o f A f ri c a ( C ho m sk y 2002; D a vi d ss o n 2002; E ll wo od 2002) . E co no mi cfigures tell only part of the story. As a result of their vast wealth,M NC s h av e a cc um ul at ed s ig ni fi ca nt p ol i ti ca l a nd c ul tu ra l p ow er s a sw e l l . E c o n o m i c g l o b a l i z a t i o n a n d t r a d e l i b e r a l i z a t i o n h a v e g i v e n t h e mp o w e r s t h a t m a t c h a n d o f t e n s u r p a s s t h a t o f n a t i o n a l g o v e r n m e n t s . I nr ic h a nd p oo r c ou nt ri es a li ke , a lb ei t i n d if fe re nt w ay s, M NC s o ft en

e nj oy d eci si ve po we rs t o s ha pe pu bl ic po li cy , t o e nc ou ra ge or ba rl eg is la ti ve m ea su re s, t o p ro mo te o r d is co ur ag e s oc ia l r ef or ms , a nd t oinflu ence go v er nm ent al act io n in k ey ar eas inclu d ing em p lo ym ent , t hee n v i r o n m e n t , a n d s o c i a l a n d c i v i l r i g h t s .

A s c o r p o r a t i o n s e m e r g e a s g l o b a l p r i v a t e a u t h o r i t i e s , a n d a s g o v e r n -m e nt s u n de r go s t ru c tu r al a d ju s tm e nt s , ‘ ‘ we a r e b a c k t o t h e i n d e pe n de n t

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r ea lm o f e co no mi c a ct io n a s a m aj or l oc us o f p ol it ic al p ow er ’’ ( Be ck ,G id de ns , a nd L as h 1994) . I nd ee d, e co no mi c g lo ba li za ti on i n g en er ala n d t h e e n h a n c e d p o w e r s o f M N C s i n p a r t i c u l a r h a v e g i v e n r i s e t o n e w

t y p e s o f p o l i t i c a l i n i t i a t i v e s t h a t f o c u s o n t h e r o l e o f m a r k e t p l a y e r s a n do n t h e i r i n a d e q u a t e a c c o u n t a b i l i t y t o t h e v a s t p o p u l a t i o n s a f f e c t e d b yt he ir b us in es s p ra ct ic es . M NC s a re i nc re as in gl y p er ce iv ed a s s ha ri ngd is pr op or ti on at el y t oo s ma ll a b ur de n i n a ss ur in g t he j us t d is tr ib ut io n o f s oc ia l g oo ds a nd o f a ss um in g t oo s ma ll a s ha re i n r em ed yi ng t he u ne qu als oc ia l d is tr ib ut io n o f h ar ms a nd r is ks . I n i mp ov er is he d c ou nt ri es ,M N C s a r e i n c r e a s i n g l y r e g a r d e d a s b e a r i n g r e s p o n s i b i l i t y f o r a v a r i e t yof pl ig ht s s uch a s ma ss d isp la ce me nts of po pu la ti on s a s a re sul t of

d e v e l o p m e n t p r o j e c t s , d i r e c t a n d i n d i r e c t e x p l o i t a t i o n o f c h e a p l a b o r ,c oo pe ra ti on w it h o pp re ss iv e r eg im es , i mp ov er is hm en t o f n at ur alr es ou rc es a nd h ab it at s, a nd t he d es tr uc ti on o f i nd ig en ou s c ul tu re s. I nt h e r i c h e r c o u n t r i e s o f t h e N o r t h , c o r p o r a t e p r a c t i c e s – c o u p l e d w i t h ac or re sp on di ng p ri va ti za ti on o f t he s ta te – a re p er ce iv ed t o b e r es po n-si bl e f or un emp loy men t du e t o i ndu str ia l ‘‘ adj ust me nt s, ’’ f or th eMcDo nald iz at io n o f w o r k ing co nd it io ns , and fo r t he cr eat io n o f chr o nic

e mp lo ym en t u nc er ta in ty . B ey on d l a bo r i ss ue s, c or por at io ns a re p er -ceiv ed t o co lo niz e and m o no p o liz e t he p u b lic s p her e, t o s u ffo cat e s m allb us in es se s, a nd i n g ene ra l t o t ra ns fo rm t he c it iz en s i nt o s ub mi ssi veconsumers (Klein 1999) . B ut , ev en mo re i mpo rt an tl y, a nd a s w ill bed is cu s s ed in m o r e d et ail b elo w , s o m e k ey s t r u ggles t o co nt ain t he p o w ero f MN Cs b r ing t o get her ‘‘fir s t w o r ld ’’ and ‘‘t hir d w o r ld ’’ co ncer ns .

C o n s e q u e n t l y , M N C s h a v e b e g u n t o e x p e r i e n c e t h e h e a t o f p o p u l a rp r o t e s t s , c o n s u m e r b o y c o t t s , l e g a l s u i t s , a n d a v a r i e t y o f p u b l i c s h a m i n g

c a m p a i g n s a d d r e s s i n g t h e i r m i s c o n d u c t o r l a c k o f a d e q u a t e r e s p o n s e t oa va ri et y o f so ci al wro ng s. I n ta nde m wi th t he em erg en ce of t ra ns-nat ional m ar ket for ces, emerge t rans national net wo rk s o f grass ro ot m ov e-m ents , loo sely o rganiz ed ‘‘co rp or at e b as hing’’ and ‘‘cor po rate w at ch’’g r o u p s a n d a h o s t o f N G O s t h a t s h i f t t h e i r a t t e n t i o n a n d g a z e t o M N C s(DeWinter 2001). T he b as ic d ialect ic can b e s u m m ar iz ed as fo llo w s : t hemore the publi c domain is privatized, the more that the private isp oliticiz ed and b ecom es a m at ter o f p ub lic concern. Santo s art icu lates

this dialectic in arguing that neoliberal hegemonic globalization,

w h il e p r o pa g at i ng t h ro u gh o ut t h e g l o be t h e s a me s y s te m o f d o mi n at i ona nd e xc lu si on , h as c re at ed t he c on di ti on s f or t he c ou nt er -h eg em on ic

f or ce s, o rg an iz at io ns a nd m ov em en ts l oc at ed i n t he m os t d is pa ra te r eg io nso f t he g lo be t o v is ua li ze c om mo n i nt er es ts a cr os s a nd b ey on d t he m an y

C O R P O R A T E S O C I A L R E S P O N S I B I LI T Y

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d if fe re nc es t ha t s ep ar at e t he m a nd t o c on ve rg e i n c ou nt er -h eg em on ic

struggles embodying separate but related emancipatory social projects.(Santos 2002:446)

S a n t o s , f o l l o w i n g u p o n t h i s d i a l e c t i c , u n c o v e r s , a n a l y z e s , a n d t h e o r i z e st he c on di ti on s f or c ou nt er -h eg em on ic p ra ct ic es ( se e a ls o S an to s a ndRodrı g u e z - G a r a v i t o ’ s c h a p t e r i n t h i s v o l u m e ) . Y e t e x p l o r a t i o n s f o r t h ec on di ti on s o f p os si bi li ty o f c ou nt er -h eg em on ic s oc ia l p ro je ct s m us t a ls ot ak e i nt o a cc ou nt c ap it al is t r es po ns es . S im pl y p ut , c ap it al is ts a ndc ap it al is t e nt it ie s d o n ot s it s ti ll w he n f ac ed w it h t hr ea ts a nd c ha l-l e ng e s. C o rp o ra t io n s a n d c o rp o ra t e e x ec u ti v es c o ns t an t ly m o bi l i ze a

h o s t o f a g e n t s ( e . g . N G O s , r e s e a r c h i n s t i t u t i o n s , b u s i n e s s a s s o c i a t i o n s ,s ta te b ur ea uc ra ts , e tc .) t o m ai nt ai n t he ir i de ol og ic al a nd p ra ct ic als u p rem acy (Sk lair 1997) . C a pi t al i sm , w r it e B o lt a ns k i a n d C h ia p el l o,‘‘has al ways rel ied on critiques of the status quo to alert i t to anyu nt ra mm el ed d ev el op me nt o f i ts c ur re nt f or ms a nd t o d is co ve r t hea n ti d ot e s r e qu i re d t o n e ut r al i ze o p po s it i on t o t h e s y st e m a n d i n cr e as et he l ev el o f p ro fi ta bi l it y w it hi n i t’’ ( 19 99 ). T he re fo re , i t s ee ms t o m et h a t a n y e f f o r t t o e x p l o r e a n d t o t h e o r i z e c o u n t e r - h e g e m o n i c p r a c t i c e s

m u st a l s o d e al w i th c a pi t al i st r e s p on s es t o s u ch t h r e at s . C o nc r et e ly , a n ye ff or t t o e xp lo re c ou nt er -h eg em on ic e ff or ts t o c ur b c or po ra te g lo ba lr u l e s h o u l d a d d r e s s c o r p o r a t e c o u n t e r e f f o r t s t o s i l e n c e , e v a d e , o p p o s e ,a n d c o o p t s u c h u n w a r r a n t e d p o l i t i c a l p r e s s u r e s .

I n t his p ap er I d em o ns t r at e t his p o int b y lo o k ing at t he em er gent fieldo f a ct io n c om mo nl y k now n a s ‘‘ co rp or at e s oc ia l r es po ns ib il it y’’ ( CS R) . I ng en era l, s tru ggl es t o t ame M NC s a nd t o b rin g th em un der ef fec ti ve

m ec ha ni sm s o f s oc ia l c on tr ol a re o ne i mp or ta nt t en et o f t he e ff or ts t ocurb contemporary hegemonic neoliberal globalization. Specifically, lawhas a p o tentially t r ans fo r matio nal r o le in s u bject ing MN Cs t o enfo rce-ab le r u les co ncer ning t heir d u t ies and r es p o ns ib ilit ies t o w ar d s t he p u b licg o o d . H o w e v e r , t h e f i e l d o f c o r p o r a t e s o c i a l r e s p o n s i b i l i t y i s n o t a m e r ed er iv at iv e o f t he se n ew p re ss ur es . R at he r, i t i s c or por at e r es po ns e t o s uc hp r es s u r es t hat ev ent u ally allo w s fo r t he em er gence o f a field .

I n d e e d , c o r p o r a t i o n s n o l o n g e r s u b m i t t o t h e c l a s s i c a l v i e w t h a t t h e y

a r e o n l y a n s w e r a b l e t o s h a r e h o l d e r s a n d t h a t t h e i r o n l y c o m m i t m e n t i st o t h e m a x i m i z a t i o n o f p r o f i t s ( D i c k e r s o n 2002) . T o a g r e a t e r o r l e s s e rd eg re e, c or po ra ti on s b eg in t o s pe ak , a lb ei t o ft en i n u ti li ta ri an t er ms ,a b o u t t h e i r r e s p o n s i b i l i t i e s t o a m u l t i t u d e o f ‘ ‘ s t a k e h o l d e r s . ’ ’ T h e C S Rf ie ld t hu s e vo lv es a s a s it e w he re c ou nt er -h eg em on ic p re ss ur es a ndh e g e m o n i c c o u n t e r - p r e s s u r e s b e g i n t o a s s u m e a m o r e o r l e s s d e f i n i t i v e

S H A M I R

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s t ru c tu r e, w i th ‘‘ a ut h or i ze d ’’ a g en t s w h o o c cu p y c e rt a in ‘‘ r ec o gn i ze d ’’p o s i t i o n s f r o m w h i c h t h e y a s s e r t ‘ ‘ w h a t i s a t s t a k e ’ ’ a n d f r o m w h i c h t h e yt ry t o c on tr ol t he d ef i ni ti on a nd s co pe o f t he v er y n ot io n o f ‘‘ re sp on -

s i b i l i t y . ’ ’ T h e f i e l d o f C S R t h u s f u n c t i o n s n o t s i m p l y a s a b u f f e r a g a i n s tc or po ra te -b as hi ng , b ut m or e g en er al l y a s a c on st it ut iv e f or ce i n s ha pi ngt h e r e la t io n sh i p b e tw e en b u si n es s a n d s o ci e ty i n c o nt e mp o ra r y g l ob a lc a p i t a l i s m . A s s u c h , I b e l i e v e i t i s w o r t h w h i l e t o t a k e a c l o s e r l o o k a tc or po ra te s tr at eg ie s d es ig ne d t o p re ve nt t he p ol it ic iz at io n o f t he m ar ke ta nd t o c on ta in t he c ou nt er -h eg em on ic p ro je ct s s uc h p ro ce ss es m ayunleash.

I n t h e f i r s t p a r t o f t h e p a p e r I c o n s i d e r t h e g e n e r a l c o n t o u r s o f t h e

C SR f i el d. I l oo k a t v ar io us c or po ra te s tr at eg ie s d es ig ne d t o p re em ptm o un t in g p r es s ur e s t o i n tr o du c e w h at S a nt o s c a ll s ‘‘ c ou n te r -h e ge m on i cf or ms o f l ega l g lo ba li zat io n, ’’ n ame ly , th e u se of l aw a s me an s f orbringing about social emancipation from corporate tyranny.S p e c i f i c a l l y , I a n a l y z e a s e t o f c o r p o r a t e p r a c t i c e s r e l a t i n g t o C S R a n dsh ow h ow t hey s ha pe th e n oti on o f r esp on si bi li ty i n wa ys t ha t di ff us e i tspo te nt ial ly ra di ca l a pp li ca ti on to M NC s an d i n wa ys t ha t f it t he

hegem o nic neo lib er al fr am ew o r k .I n t h e s e c o n d a n d t h i r d p a r t s o f t h e p a p e r I l o o k a t s o m e o f t h e a g e n t st h a t m o b i l i z e t h e C S R f i e l d . I n t h e s e c o n d p a r t , I d i s c u s s t h e e s t a b l i s h -ment of corporate-sponsored and corporate-oriented NGOs and analyzeth e r ol e th ey pl ay i n s tru cturing the CS R fie ld. In th e th ir d p art, Ic on si de r t he h ybr id n atu re o f c oun te r- he ge mo ni c m ove me nts . A llin all, I o ffer s o m e t ent at iv e r eflect io ns ab o u t t he p r act ical, co ncep t u al,a nd i n st it ut io na l i mp ed im en ts t o t he a bi li ty t o i ma gi ne a nd a ct u po n

a lte rn at iv es t o h eg emo nic p ra ct ic es. A t wh at m ay b e c al led a m et a-t he or et ic al l ev el , I a ls o b ri ef ly r efl ect o n t he a bi li ty t o a ct o ut si de t hen eo li be ra l b lu ep ri nt o f c iv il s oc ie ty a nd t he i ns ti tu ti on al f or m t ha t s ee mst o hav e b eco m e d o m inant in it , nam ely, t he no n- go v er nm ent al o r gani-z at io n. W hi le i n t he f ir st p ar t o f t he a rt ic le I p oi n t a t d e- ra di ca li za ti ont end encies , in t he s eco nd p ar t I m o v e t o co ns id er t he co r p o r at iz at io n o f c i v i l s o c i e t y a s i t i s r e f l e c t e d i n t h e a c t i v i t i e s o f s o m e N G O s i n t h e f i e l d .

4.2 T H E D E - R A D I C A L I Z A T I O N O F C O R P O R A T E S O C I A L

R E S P O N S I B I L I T Y

T he re i s a g ro wi ng r ec og ni ti on a mo ng s ch ol ar s a nd a ct iv is ts a li ke o f t hew id ening gap b et w een t he t r ans nat io nal char act er o f co r p o r at e act iv it ya n d t h e a v a i l a b i l i t y o f t r a n s n a t i o n a l r e g u l a t o r y s t r u c t u r e s t h a t m a y b e


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e f fe c ti v el y u s ed t o m o ni t or , a s se s s, a n d r e st r ai n c o rp o ra t io n s i r re s pe c -t i v e o f a n y s p e c i f i c t e r r i t o r y i n w h i c h t h e y m a y h a p p e n t o o p e r a t e a t ag i v e n m o m e n t . T h e p r o b l e m i s t w o f o l d . O n t h e o n e h a n d , i n d i v i d u a l

c ou nt ri es f in d i t i nc re as in gl y i mp os si bl e o r u nd es ir ab le t o t am e t hea c t i v i t i e s o f M N C s . P o o r o r i m p o v e r i s h e d c o u n t r i e s , o f t e n i n d e s p e r a t en ee d t o a tt ra ct d ir ec t f or ei gn i nv es tm en t, a re r el uc ta nt t o i nt ro du cel e g a l m e a s u r e s t h a t m a y d e t e r M N C s f r o m i n v e s t i n g o r t h a t m a y c a u s eM NC s t o r el oc at e t he ir p ro du ct io n s it es i n c ou nt ri es w ho se ( un de r-d ev el op ed ) l eg al s ys te ms a re m or e u se r- fr ie nd ly f ro m t he c or po ra tep o i n t o f v i e w ( e . g . l e g a l s y s t e m s t h a t d o n o t e n d o r s e o r e n f o r c e m i n i -m um w ag e r eq ui re me nt s, c hi ld l ab or p ro hi bi ti on s, h ea lt h a nd s af et y

s ta nd ar ds , e nv ir on me nt al p ro te ct io ns , c ol le ct iv e b ar ga in in g r ig ht s,e tc .) . M or eo ve r, M NC s a re i n a p os it io n t o e ff ec ti ve ly e sc ap e l oc alj ur is di ct io ns b y p la yi ng o ne l eg al s ys te m a ga in st t he o th er , b y t ak in ga dv an ta ge o f l oc al l eg al s ys te ms i ll -a da pt ed f or e ff ec ti ve c or po ra ter eg ul at io n, a nd b y m ov in g p ro du ct io n s it es a nd s te er in g f in an ci ali n v e s t m e n t s t o p l a c e s w h e r e l o c a l l a w s a r e m o s t h o s p i t a b l e t o t h e m .

O n t h e o t h er h a nd , t h er e i s a n i n cr e as i ng l y r e c og n iz e d ‘ r e m ed i al g a p’

i n i n t e r n a t i o n a l l a w w h e n i t c o m e s t o r e g u l a t i n g M N C s . F o r e x a m p l e ,w hi le M NC s a re a bl e t o e ff ec ti ve ly p us h f or t ra ns na ti on al r eg ul at or yr eg im es t ha t e nh an ce t he p ro te ct io n o f t he ir p ro pe rt y r ig ht s ( e. g. t heT RI PS a gr ee me nt o f t he Wo rl d T ra de O rg an iz at io n t ha t p ro te ct si nt el le ct ua l p ro pe rt y r ig ht s i n a ll m em be r s ta te s) , i nt er na ti on al l awf ai ls t o ‘‘ ar ti cu la te t he h um an r ig ht s o bl ig at io ns o f c or po ra ti on s a ndt o p r o v i d e m e c h a n i s m s f o r r e g u l a t i n g c o r p o r a t e c o n d u c t i n t h e f i e l d o f h u ma n r i gh t s’’ ( H LR 2001) . I t i s i n t h is l ig ht t ha t w e s ho ul d u nd er st an d

s t a r k s t a t e m e n t s s u c h a s t h e o n e c o n t a i n e d i n a r e c e n t r e p o r t o f a s u b -c om mi ss io n o f t he U ni te d N at io n’ s E co no mi c a nd S oc ia l C ou nc il ,w h ic h s t at e s t h at ‘‘ p os t c o lo n ia l e x pl o it a ti o n o f d e ve l op i ng c o un t ri e sb y t r ans nat io nal co r p o r at io ns had b eco m e int o ler ab le.’’

C ou nt er -h eg em on ic e ff or ts t o c ur b c or po ra te p ow er t hr ou gh l awo pe ra te a t tw o di st in ct l eve ls . F irs t, t her e a re g rowi ng a tt emp ts toe nv is io n a nd d ev el op b lu ep ri nt s f or r eg ul at in g M NC s b y s ub je ct in gt he m t o a s et o f u ni ve rs al s ta nd ar ds t ha t w il l a pp ly t o c or po ra ti on s

a b o v e a n d b e y o n d t h e d e m a n d s o f a n y s p e c i f i c l o c a l i t y . S o c i a l t h e o r i s t st hu s a rg ue t ha t ‘‘ th e t as k n ow i s t o c re at e a nd e nt re nc h s uc h i ns ti tu ti on so f e f f e c t i v e p o l i t i c a l a c t i o n a s c a n m a t c h t h e s i z e a n d t h e p o w e r o f t h ea l r e a d y g l o b a l e c o n o m i c f o r c e s a n d b r i n g t h e m u n d e r p o l i t i c a l s c r u t i n ya nd e th ic al s up er vi si on ’’ ( Ba um an 2002 :73; also see Held 2002).H um an r ig ht s a nd e nv ir on me nt al o rg an iz at io ns s uc h a s A mn es ty

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I n te r na t io n al , G l ob a l W i tn e ss , a n d t h e W or l d W i ld l if e F u nd ( W WF )a r g u e t h a t t h e o n l y e f f e c t i v e m e a n s o f e n s u r i n g e f f e c t i v e g o v e r n a n c e o f c o r p o r a t e s o c i a l p e r f o r m a n c e i s t h r o u g h b i n d i n g n o r m s . J a m e s A . P a u l ,

E xe cut ive D ire ct or o f t he Gl oba l P ol ic y Fo ru m, a dvo ca te s a l ega lf ra me wo rk , i nc lu di ng m on it or in g, t ha t m us t b e d ev el op ed t o g ov er nc o rp or a te b e ha v io r , a r gu i ng t h at ‘‘ m ul t in a ti o na l c o rp o ra t io n s a r e t o oi m p o r t a n t f o r t h e i r c o n d u c t t o b e l e f t t o v o l u n t a r y a n d s e l f g e n e r a t e ds t an d ar d s’’ ( w ww . co m mo n dr e am s .o r g) . A n d O x fa m I n te r na t io n al , ano n- go v er nm ent al o r ganiz at io n t hat incr eas ingly fo cu s es o n co r p o r at ep ra cti ce s, s ugg es ts i n a Wh it e P ap er s ub mi tt ed t o t he B ri ti sh g ov er nm entt ha t ‘‘ wh at i s n ee de d i s a s et o f v er if ia ble a nd e nfo rc ea ble g uid el in es

co v er ing all as p ect s o f co r p o r at e act iv it y.’’ A t t em p t s at t his lev el inclu d ep re ss ur es o n i n te rn at io na l b od ie s l ik e t he U n it ed N at io ns , o n r eg io na lent it ies lik e t he Eu r o p ean U nio n, and o n int er nat io nal ins t it u t io ns lik et he W o r ld B ank t o d ev elo p enfo r ceab le legal fr am ew o r k s , in t he fo r m o f t re at ie s a nd m ul ti la te ra l a gr ee me nt s, s ub je ct in g M NC s t o u ni ve rs als oci al s ta nd ar ds o f o pe ra ti on t ha t c an b e s yst em ati ca ll y m oni to re d,assessed, and, when necessary, enforced.

S o f a r , a t t e m p t s t o m o v e C S R i n t o t h e e n f o r c e a b l e d o m a i n o f f o r m a lregulation seem to have made little headway. For exampl e, theE ur op ea n C om mi ss io n r ec en tl y r ej ec te d p ro po sa ls t o a do pt a r eg ul at or ya p pr o ac h t h at w o ul d h a ve s u bj e ct e d c o rp o ra t io n s t o m a nd a to r y s o ci a land envir onm ent al r epo rt ing. T he EC em p hasiz ed t he ‘‘v olu nt ary natu r eo f c or po ra te s oc ia l r es po ns ib il it y’’ a nd s ta te d t ha t i t w ou ld n ot i mp os er esp ons ib le b ehav io r o n co mp anies b y m eans o f co mp u ls o ry r egu lat io n.F ur th er , it e xc lu de d f ro m th e ou ts et d eb at es on t he a dva nta ge s o r

d is adv an ta ge s o f e nf or ci ng s oc ia l s ta nd ar ds t hr ou gh l eg al ly b in di ngcodes. The posi ti on o f the E C, i n turn , ha s to be un derstood in t heco nt ex t o f t he fier ce r es is t ance t o co m p u ls o r y r egu lat io n p u t fo r w ar d b yt he I nter natio nal Cham ber o f Com m er ce and o t her co rp o rat e- fr iend lyo rga ni za ti on s. T he se gr ou ps ex pr es se d th eir v iew s t ha t c orp ora tep r act ices ar e s p r ead m o r e effect iv ely b y ex am p le r at her t han b y b ind ingc od es , a nd t ha t t he s oc ia l r es pon si bi li ti e s o f c orp or at io ns m us t r em ai nu nr eg ul at ed i n o rd er t o s af eg ua rd t he f l ex ib il it y n ee de d ‘‘ to a ddr es s t he

d iver sit y o f Eu ro pean co rp o rat e cu lt u re’’ (Dav id s so n 2002). Likewis e,a tt emp ts t o s ub je ct M NC s t o t he r ece nt ly e st ab li sh ed I nt er na ti on alC r i m i n a l C o u r t ( I C C ) o n g r o u n d s t h a t M N C s a r e t o b e h e l d l i a b l e f o rv iol at io ns o f i nt er na ti on al n or ms o f h um an rig hts h ave a ls o b ee na bo rt ed , e st ab li sh in g t ha t t he j ur is di ct io n o f t he I CC w ou ld n ot c ov er‘‘legal persons’’ (Clapham 2000).


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S ec on dl y, a ct iv is ts w ho t ry t o c ur b c or po ra te p ow er t hr ou gh l awe nl is t a nd m ob il iz e t he ‘‘ de ve lo pe d’’ l eg al s ys te ms o f r ic h c ou nt ri es i no rd er t o p ol ic e a nd s an ct io n c or po ra te p ra ct ic es t ha t t ak e p la ce i n

i mp ov er is he d a nd e xp lo it ed c ou nt ri es . A c as e i n p oi nt c on ce rn s t her el at iv el y c on ce rt ed a tt em pt s t o i nv ok e a n o ld s ta tu te i n U S f ed er alc ou rt s i n o rd er t o s ue M NC s f or h um an r ig ht s v io la ti on s o ut si de t heU ni te d S ta te s. F or e xa mp le , i n a s er ie s o f c as es k no wn a s t he A TC Ac as es ( Al ie n T or t C la im s A ct o f 1 78 9) , c or po ra te g ia nt s h av e b ee na cc us ed o f c om pl ic it y i n h um an r ig ht s v io la ti on s i n i mp ov er is he dco u nt r ies (Sham ir 2004a).

O ne c as e a pp ly in g A TC A t o c or po ra te p ra ct ic es w as f il ed i n 1 99 6

a g a i n s t U n o c a l , a g i a n t e n t e r p r i s e e n g a g e d i n e n e r g y r e s o u r c e p r o j e c t sa ro un d t he w or ld .1 T he p la in ti ff s a rg ue d t ha t U no ca l r el ie d o n B ur me sea r m y u n i t s f o r b u i l d i n g a g a s p i p e l i n e a n d t h a t t h e l a t t e r , w i t h t h e t a c i tk n o w l e d g e o f U n o c a l , r e s o r t e d t o e x t r e m e m e t h o d s o f f o r c e d l a b o r a n df o r c e d r e l o c a t i o n o f v i l l a g e r s i n t h e c o u r s e o f c o n s t r u c t i o n . T h e p l a i n -t if fs a rg ue d t ha t U noc al sh oul d be h el d l iab le f or t he h uma n ri gh tsa bu se s c om mi tt ed b y t he m il it ar y u nd er e it he r j oi nt v en tu re o r v ic ar -

i o u s l i a b i l i t y t h e o r i e s a n d s o u g h t m o n e t a r y compensation accordingly.A no th er c as e w as f il ed a ga in st T ex ac o.2 I n t hi s c as e, t he p la in ti ff sa ll eg ed t ha t f ro m 1 96 4 t o 1 99 2 T ex ac o i mp ro pe rl y d is po se d o f w as tew h il e e x tr a ct i ng o i l f r om t h e E c ua d or e an A m az o n, r e su l ti n g i n e n vi r -o nm en ta l d am ag es t ha t a mo un te d t o a v io la ti on o f h um an r ig ht s o nt h re e c o un t s: c u lt u ra l g e no c id e , e t hn i c d i sc r im i na t io n , a n d i n fr i ng i ngo n t h e i n d i g e n o u s p o p u l a t i o n ’ s r i g h t t o a h e a l t h y e n v i r o n m e n t .

I n a n o t h e r c a s e , t h e p l a i n t i f f s s u e d R o y a l D u t c h S h e l l f or conspiring

w i th t h e N i ge r ia n g o ve r nm e nt a g ai n st t h e O g on i p e op l e.3

T h e p l a i n -t if fs a ll eg ed th at t he Ni ge ri an mi li ta ry – wi th t he k nowl ed ge a ndc oo pe ra ti on o f t he d ef en da nt – a rr es te d a nd c on vi ct ed n in e m em be rso f a N ig er ia n e nv ir on me nt al m ov em en t i n o rd er t o s up pr es s t ha t m ov e-m e n t . T h e s e a r r e s t s , t h a t w e r e p a r t o f a w i d e s p r e a d i n t i m i d a t i o n c a m -p a i g n , l e d t o t h e f a l s e c o n v i c t i o n a n d e x e c u t i o n o f K e n S e r o - W i w a , a

Nobel Prize winner and a leader of the m o v em ent . A no t her no t ew o r thyc a s e w a s b r o u g h t a g a i n s t C o c a - C o l a .4 T h e p l a i n t i f f s a r g u e d t h a t C o c a -

C o l a s h o u l d b e h e l d l i a b l e f o r t h e a c t i v i t i e s o f p a r a m i l i t a r y u n i t s w h oterrorized and murdered union organizers at a bottling plant in

1 Doe v. Unocal, 1 1 0 F . S u p p . 2 d 1 2 9 4 ( C D C a l . 2 0 0 0 ) .2 Aguinda v. Texaco, 1 4 2 F . S u p p . 2 d 5 3 4 ( S D N Y 2 0 0 1 ) .3 Wiwa v. Royal Dutch Petroleum Co. , 2 2 6 F . 3 d 8 8 ( 2 n d C i r . 2 0 0 0 ) .4 Sinaltrainal v. Coca-Cola Co. ( S D F l a . ) .

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C ol om bi a t ha t e xc lu si ve ly c at er ed t o C oc a- Co la . A mo ng t he h um anr i g h t s v i o l a t i o n s c i t e d i n t h i s c a s e w e r e m u r d e r , e x t r a - j u d i c i a l k i l l i n g s ,k i d n a p p i n g , u n l a w f u l d e t e n t i o n , a n d t o r t u r e . T h e p l a i n t i f f s a l s o a r g u e d

that Coca-Cola and its affiliates were liable for the denial of thep la in ti ff s’ r ig ht t o a ss oc ia te a nd o rg an i ze , i n v io la ti on o f i nt er na ti on al lyr ec og ni ze d h um an r ig ht s. T he p la in ti ff s a ll eg ed t ha t C oc a- Co la w asj oi nt ly a nd s ev er al ly l ia bl e f or a ll t he a ct s o f i ts s ub si di ar ie s a nd /o rv ic ar io us ly l ia bl e f or t he a ct s o f i ts a ll eg ed a ge nt s, t he p ar am il it ar yun it s. A f ew doz en c la im s a ga in st M NCs h ave si nc e be en b ro ug htb e f o r e U S c o u r t s , a l l e g i n g v a r i o u s c o r p o r a t e v i o l a t i o n s o f h u m a n r i g h t sand seeking compensation for resultant damages. However the

a tt emp ts to us e th e af or em en ti on ed A TCA a s a me an s of ta mi ngM N C s a l s o f a c e s e r i o u s o b s t a c l e s a n d d r a w s t r o n g o p p o s i t i o n f r o m t h eU S ad m inis t r at io n (Sham ir 2004a).

A lo ng si de l eg al a ct io n, a ct iv is ts a ro un d t he g lo be h av e l au nc he dn um er ou s c am pa ig ns o f c or po ra te p ub li c s ha mi ng , u si ng n on -l eg alm e as u re s s u ch a s c o ns u me r b o yc o tt s , d i ve s tm e nt p r og r am s , a n d p o pu l arp r o t e s t i n o r d e r t o p r e s s u r e M N C s t o a d o p t r e s p o n s i b l e b u s i n e s s p r a c -

t ic es . F or e xa mp le , i n e ar ly 2 00 3, O xf am I nt er na ti on al l au nc he d a ‘‘ Fa irT ra de C of fe e’’ c am pa ig n a ga in st K ra ft F oo ds a nd P ro ct er & G am bl e,m ob il iz in g p ub li c o pi ni on a ga in st t he l ow p ri ce s t he y p ay t o c of fe eg r o w e r s i n A f r i c a , L a t i n A m e r i c a , a n d A s i a . A r g u i n g t h a t t h e s e M N C sa r e r e s p o n s i b l e f o r p l u m m e t e d p r i c e s t h a t s e r i o u s l y r i s k t h e l i v e l i h o o d so f m il li on s, O xf am h ad u se d m ea su re s s uc h a s p ro te st a t s ha re ho ld er sme eti ngs i n o rd er t o pr ess f or a mi ni mum ‘‘ fl oor pr ic e’’ f or c of fe e.Indeed, on the basis of such acti vities we may agree with Sklair

(1995) t ha t ‘‘ [t ]h e co nte mpo ra ry l eve l of mo ni to ri ng of c or po ra tea c t i v i t i e s i s h i s t o r i c a l l y u n p r e c e d e n t e d . T h e r e a r e t h o u s a n d s o f o r g a n -i z a t i o n s a c t i v e l y s e e k i n g o u t c o r p o r a t e m a l p r a c t i c e s a l l o v e r t h e w o r l d ’ ’(1995:68). Yet again, it seems that the attempts to tame MNCs,w h e t h e r a t t h e p r i n c i p l e d l e v e l o r t h r o u g h d i r e c t l e g a l a c t i o n , h a v e s of a r y i e l d e d l i m i t e d r e s u l t s ( S e t h i 2002; W i n s t o n 2002).

O f c o u r s e , i t i s p l a u s i b l e t o a r g u e , a s s o m e d o , t h a t w e a r e w i t n e s s i n go n l y t h e i n i t i a l p h a s e o f a w o r l d w i d e p r o c e s s g e a r e d t o w a r d t h e t a m i n g

o f M N C s . A f t e r a l l , i t w a s o n l y a r o u n d t h e m i d - 1 9 9 0 s t h a t c o n c e r t e de f f o r t s t o c u r b c o r p o r a t e p o w e r b e g a n i n e a r n e s t ( C o r p o r a t e W a t c h w a se s t a b l i s h e d i n 1 9 9 6 ; t h e f i r s t A T C A c o r p o r a t e c a s e w a s f i l e d i n 1 9 9 6 ;a nd t he f ir st N ik e s ca nd al , b ri ng in g t o b ro ad p op ul ar a tt en ti on t he l in ksb et we en c on su me r g oo ds i n r ic h c ou nt ri es a nd t he s we at sh op c on di -t io ns o f t he ir p ro du ct io n i n i mp ov er is he d c ou nt ri es , o nl y s ur fa ce d i n


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l at e 1 99 7) . H owe ver , i t se ems th at a t l ea st p ar t of th e di ff ic ul ty i nt a m i n g M N C s a b o v e a n d b e y o n d e p i s o d i c o u t b r e a k s o f c o n s u m e r a n g e ra nd a bo ve a nd b ey on d a m or e o r l es s s uc ce ss fu l c am pa ig n a ga in st a

s in gl e M NC or e ve n a p ar ti cul ar co rp or ate se ct or h as t o d o wi th t he wa yM NC s h ave l ear nt t o r esp on d to t he m oun ti ng pr ess ur es. I t i s th isc o r p o r a t e s t r a t e g i c r e s p o n s e t h a t i n t e r e s t s m e h e r e .

T h e f u n d a m e n t a l s t r a t e g y a d o p t e d b y M N C s i n t h e w a k e o f v a r i o u s‘ ‘ p r o d u c t i o n s c a n d a l s ’ ’ t h a t t h r e a t e n t h e i r c o r p o r a t e i m a g e h a s b e e n t ob ec om e a ct iv e p la ye rs i n t he a re a o f C SR . T o w it , t he f un da me nt alc or po ra te s tr at eg y h as n ot b ee n t o s hi rk r es po ns ib il it y o r t o d en y t hes o c i a l o b l i g a t i o n s o f c o r p o r a t i o n s . O n t h e c o n t r a r y , c o r p o r a t i o n s h a v e

a ss er ti ve ly e mb ar ke d o n t he C SR b an dw ag on , g ra du al ly s ha pi n g t hev er y n ot io n o f C SR i n w ay s a me na bl e t o c or po ra te c on ce rn s. B y a ndl ar ge , c or po ra ti on s a nd a h os t o f o th er a ff il ia te d p la ye rs i n t he f ie ld t en dt o a s s o c i a t e t h e c o n c e p t w i t h v o l u n t a r y n o t i o n s o f ‘ ‘ g o o d c i t i z e n s h i p . ’ ’T hi s a ss ig ne d m ea ni ng i s n at ur al iz ed a s a n e xt en si on o f a n a ge -o ldt r ad it io n o f cap it alis t p hilant hr o p y. Y et w hile p hilant hr o p y w as s t r ict lys e p a r a t e d f r o m t h e c o r e p r a c t i c e o f t h e b u s i n e s s , t h e t w o a r e u n i t e d i n

t he f ie ld th rou gh t he i de a t ha t ‘‘ ch ar it y i s g ood f or bus in es s. ’’ On ei m p o r t a n t l o c u s w h e r e t h i s u t i l i t a r i a n p r i n c i p l e i s c l o a k e d w i t h s c i e n -t i f i c a u t h o r i t y i s t h e b u s i n e s s s c h o o l , w h e r e i d e a s o f ‘ ‘ c o r p o r a t e c i t i z e n -s hi p’’ a re p ac ka ge d f or M BA s tu de nt s a s t oo ls f or e nh an ce d c or po ra tes uc ce ss . T he o ld a ca de mi c i nt er es t i n p hi la nt hr op y m ov es f ro m r el i-g io us s tu di es d ep ar tm en ts t o t he b us in es s s ch oo l, a nd t he o ld f ie ld o f b u s i n e s s e t h i c s – h e r e t o f o r e m a r g i n a l t o b u s i n e s s s t u d i e s – e n j o y s a l a t eb lo om in g, a s n ot io ns s uc h a s t ra ns pa re nc y a nd a cc ou nt ab il it y a re

i nc or po ra te d i nt o t he g en er al c on ce pt ua l p ac ka ge o f ‘‘ so ci al r es po n-s ib ilit y’’ (Cas t r o 1996).

New conceptions of corporate responsibility are integrated into theo ld m od el s o f h ow t o s uc ce ss fu ll y m an ag e a b us in es s e nt er pr is e a nd h owt o e ns ur e i ts r ep ut at io n. O ft en p re se nt ed a s t he p ro du ct o f s ci en ti fi cr e se a rc h , t h e n e w m o de l s t e ac h p r os p ec t iv e c o rp o ra t e e x ec u ti v es h o wt o a ct a s a ‘‘ go od c or po ra te c it iz en .’’ F or e xa mp le , t he g oo d c or po ra tec i ti z en ‘‘ s po n so r s c o mm u ni t y e v en t s, s u pp o rt s e m pl o ye e v o lu n ta r is m ,

d o na t es t o c h ar i ti e s, c o nt r ib u te s p r od uc t s a n d s e rv i ce s , s u pp o rt s c o m-m un it y o rg an iz at io ns ,’’ a nd i ts s en io r m an ag em en t i s ‘‘ ac ti ve i n t hec om mu ni ty .’’ T hi s m od el o f c it iz en sh ip i s i nc or po ra te d i nt o o th erm od el s t ha t d ev el op a nd m ea su re ‘‘ ca us e r el at ed m ar ke ti ng ,’’ ‘‘ so ci alb ra nd in g, ’’ ‘‘ br an d l oy al ty ,’’ a nd ‘‘ em pl oy ee l oy al ty ’’ a s m ea ns f or a ch ie v-i n g f i na n ci a l s u cc e ss . T h us , u n li k e t r ad i ti o na l b o ur g eo i s p h il a nt h ro p y

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t h a t w a s s t r i c t l y s e p a r a t e d f r o m t h e b u s i n e s s , ‘ ‘ c o r p o r a t e s o c i a l r e s p o n -s i bi l it y ’’ s p ea k s t h e l a ng u ag e o f i n st r um e nt a l- r at i on a li t y t h at t i es ‘‘ d oi n gg o od ’’ t o p r of i ts ( B ol l ie r 1996) . A c co r di n gl y , p r ac t ic a ll y e v er y m a jo r

M NC n ow l au nc he s w id el y p ub li ci ze d p hi la nt hr op ic c am pa ig ns o f v a ri o us s o rt s , e s ta b li s he s c h ar i ta b le f o un d at i on s a n d p u bl i cl y e n do r se si de as ab ou t ‘‘ gi vi ng b ack t o th e c om mu ni ty .’’ Of te n, c ha ri ta bl ec am pa ig ns c oi nc id e w it h c or po ra te i ma ge c ri se s. T hu s, f or e xa mp le ,m aj or p ha rm ac eu ti ca l c om pa ni es a nn ou nc ed c am pa ig ns f or t he f re ed i s t r i b u t i o n o f H I V / A I D S m e d i c i n e s w h e n f a c e d w i t h a l l e g a t i o n s t h a tt h e p r i c e s t h e y c h a r g e d f o r t h e s e d r u g s a u g m e n t e d t h e A I D S c r i s i s i nSo u t h A fr ica (Sham ir , fo r t hco m ing).

A t a n y r a t e , t h e f i e l d o f C S R g o e s w a y b e y o n d c h a r i t y . T h e s i n g l ea n d m o st d i st i nc t iv e c o mm o n d e no m in a to r o f a l l c o rp or a te - or i en t eda n d c o rp o ra t e- i ns p ir e d n o ti o ns o f ‘‘ s oc i al r e sp o ns i bi l it y’’ i s t h e v ol u n-t ar y, n on -e nf or ce ab le , a nd s el f -r eg ul at or y m ea ni ng o f t he t er m. T hep r in c ip l e o f s e lf - re g ul a ti o n h a s b e co m e t h e c o rp o ra t io n ’s m o st c r uc i alf ro nt li ne i n t he s tr ug gl e o ve r m ea ni ng a nd a n e ss en ti al i de ol og ic al l oc usf o r d i ss e mi n at i ng t h e n e ol i be r al l o gi c o f a l tr u is t ic s o ci a l p a rt i ci p at i on

t h a t i s t o b e g o v e r n e d b y g o o d w i l l a l o n e . T h e g r o u n d i n g o f t h i s p a r t i -c ul ar m ea ni ng o f r es po ns ib il it y – a id ed a nd l eg it im iz ed b y e xp er ts ,a ca de mi cs , s oc ia l s ci en ce , a nd b us in es s m an ag em en t t he or ie s, a nd ah os t o f i ns ti tu ti on al p la ye rs – h as b ec om e a m aj or f or m o f c or po ra teactivity.

A cc or di ng ly , h un dr ed s o f M NC s – w it h t he a ct iv e i nv ol ve me nt o f t h e I n t e r n a t i o n a l C h a m b e r o f C o m m e r c e – r e c e n t l y j o i n e d t h e U n i t e d

Nations’ voluntary and unenforceable ‘‘Global Compact,’’ intended to

d is p lay co r p o r at e co m m it m ent t o v ar io u s s o cial ex p ect at io ns acr o s s t heg lob e. An oth er c ase i n p oi nt h as t o d o wi th en sur in g t hat ‘‘ soc ia lr es po ns ib il it y’’ p la ns c ha nn el ed t hr ou gh t he E ur op ea n U ni on w il lr e m a i n v o l u n t a r y a n d n o n - b i n d i n g . T h e E u r o p e a n C o m m i s s i o n i s s u e da G re en P ap er t o p ro mo te a f ra me wo rk f or c or po ra te s oc ia l r es po ns i-b il it y i n J ul y 2 00 1. T he G re en P ap er s ug ge st ed m ea su re s t o e nh an ce t hes oc ia l a cc ou nt ab il it y o f c or po ra ti on s s uc h a s i mp ro ve d r ep or ti ng b yc o rp or a ti o ns o n t h ei r s o ci a l p e rf o rm a nc e , t h e i n tr o du c ti o n o f ‘‘ s oc i al

l ab el s’’ o n p ro du ct s i nf or mi ng c on su me rs a bo ut t he p ro du ce r’ s s oc ia lr es p o ns ib ilit y co m m it m ent s , and t he fu r t her d ev elo p m ent o f co r p o r at e‘‘ cod es o f c on duc t. ’’ Y et th e Co mm is si on e xc lu de d a ny d eba te one nf or ci ng s oc ia l s ta nd ar ds t hr ou gh l aw , a nd e xp re ss ed e xp li ci t r el uc -t an ce t o i nt ro du ce l eg al l y b in di ng c od es o n c or po ra ti on s. T he G re enP ap er t hu s f ul ly e nd or se d t he s el f- re gu la ti on a pp ro ac h a dv oc at ed b y


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g ro up s t ha t p ro mo te t he c or po ra te p oi nt o f v ie w. F or e xa mp le , t hep os it io n o f t he I nt er na ti on al C ha mb er o f C om me rc e t ha t a dv oc at est he i de a t ha t g oo d c or po ra te p ra ct ic es a re s pr ea d m or e e ff ec ti ve ly b y

e x a m p l e r a t h e r t h a n b y b i n d i n g c o d e s a n d r e g u l a t i o n s a n d t h e p o s i t i o no f C SR E ur op e – a n on -p ro fi t o rg an iz at io n r ep re se nt in g c or po ra tei nt er es ts – t ha t a rg ue s t ha t t he s oc ia l r es po ns ib il i ty o f b us in es s n ee dst o b e u n r e g u l a t e d i n o r d e r t o e n s u r e t h e f l e x i b i l i t y i t n e e d s t o a d d r e s st h e d i v e r s i t y o f E u r o p e a n c o r p o r a t e c u l t u r e ( D a v i d s s o n 2002).

B lu ep ri nt s f or v ol un ta ry ‘‘ co de s o f c on du ct ’’ a bo un d ( We st fi el d2002) . T he U ni te d N at io ns G lo ba l C om pa ct s et s o ut n in e p ri nc ip le sw it h r es pe ct t o h um an r ig ht s, l ab or s ta nd ar ds , a nd t he e nv ir on me nt

t ha t c or po ra ti on s a re a dv is ed t o f ol lo w. T he I nt er na ti on al L ab ou rOrganization adopted a Tripartite Declaration of PrinciplesC on ce rn i ng M ul ti na ti on al E nt er pr is es a nd S oc ia l P ol i cy , r ea dy t o b ea do pt ed b y w il li ng c or po ra ti on s, a nd t he O rg an iz at io n f or E co no mi cC oo pe ra ti on a nd D ev el op me nt ( OE CD ) h as s et o ut G ui de li ne s f orM ul ti na ti on al E nt er pr is es . M or eo ve r, t he re a re n um er ou s c or po ra tei ni ti at iv es d es ig ne d t o p ro mo te a nd c on so li da te t he v ol un ta ry p ri nc ip le

w hi le c oo pe ra ti ng w it h n on -g ov er nm en ta l o rg an iz at io ns t ha t s ee k‘‘ co ns tr uc ti ve d ia lo gu e’’ w it h M NC s. C od es o f c on du ct h av e b ee na do pt ed t hr ou gh ou t t he E ur op ea n f as hi on i nd us tr y a nd t oy i nd us tr ya n d s i m i l a r i n i t i a t i v e s h a v e t a k e n p l a c e i n t h e U n i t e d S t a t e s i n s e c t o r sa s di spa ra te a s t he g arm en t a nd f urn it ur e i nd us tri es . Th e E th ic alTrading Initiative, a UK-based alliance of companies, non-governmentalo rg an iz at io ns , a nd t ra de u ni on o rg an iz at io ns c om mi tt ed t o w or ki ngt og et he r t o i de nt if y a nd p ro mo te e th ic al t ra de , a ls o i ss ue d a m od el

c od e o f c on du ct f or M NC s. C on se qu en tl y, c or po ra te a ct iv it ie s c ur -r ent ly enco m p as s a v ar iet y o f ‘‘co d es o f co nd u ct ,’’ ‘‘m is s io n s t at em ent s ,’’a nd ‘‘ so ci al a ud it in g s ch em es ,’’ a ll o f w hi ch a re d es ig ne d t o d is pl ayc or po ra te a cc ep ta nc e o f t he g en er al i de a t ha t t he y d o b ea r ‘‘ so ci alr e sp o ns i bi l it i es . ’’ C o nc u rr e nt l y, n e w c o rp o ra t e p o si t io n s a r e c r ea t ed ,f ro m v ic e- pr es id en ts f or h um an r ig ht s t o n ew c or po ra te c it iz en sh ipa n d c o mm u ni t y r e la t io n s d e pa r tm e nt s, d i sp l ay i ng t h e n e w c o rp o ra t ec o m m i t m e n t t o C S R i n i t s u n e n f o r c e a b l e s e l f - r e g u l a t o r y f o r m a t .

M or eo ve r, a w ho le c om me rc ia l m ar ke t d ev el op s a ro un d s ha pi ng ,a s s e s s i n g , a n d c o n s u l t i n g o n t h e d e s i r e d d i m e n s i o n s o f s o c i a l r e s p o n s i -b il it y. A n ew br ee d of s tr ate gi c c on sul ta nts i s al so e me rg in g i n t hi s n ew,p ot en ti al ly l uc ra ti ve f ie ld . W it h a t yp ic al b ac kg ro un d i n p ub li c r el a-t i o n s , t h e s e e x p e r t s s e l l s t r a t e g i c C S R m o d e l s a n d a d v i s e c o r p o r a t i o n so n h o w t o d e v e l o p C S R c a m p a i g n s , t o m o n i t o r t h e m , a n d t o e n d u p

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w it h ‘‘im p act as s es s m ent ’’ r ep o r t s . T hu s , t he field em er ges as no n- p r o fita nd f or -p ro fi t e nt it ie s b eg in t o c om pe te a mo ng t he ms el ve s o ve r t hes el li ng o f v ar io us C SR m od el s a nd S us ta in Ab il it y p ro gr am s ( as o ne

s uc h f or -p ro fi t B ri ti sh c on su lt an t f ir m c ho se t o c al l i ts el f) . L aw f ir msa ls o b eg in t o a pp re ci at e t he b us in es s o pp or tu ni ti es t hi s f ie ld s ee ms t o b eo f fe r in g . T h e A m er i ca n B a r A s so c ia t io n , f o r e x am p le , r e ce n tl y e s ta b -l ish ed a ta skf orc e a nd p ub li sh ed a r epo rt i n wh ic h t he c on ce pt o f C SR i sc o n s t r u c t e d i n t e r m s o f c o r p o r a t e ‘ ‘ a c c o u n t a bilit y’’ and ‘‘t r ans p ar ency’’a s m ea ns o f s ec ur in g i nv es to rs ’ c on fi de nc e.5 A nd , i n t he p ub li c r el a-t io ns a nd a dv er ti si ng i nd us tr ie s, a n ew l in e o f ‘‘ so ci al b ra nd in g’’ i sa dop te d by c opy wr it ers a nd g rap hi c d es ig ne rs tr ai ne d i n t he ar t of

a ss oc ia ti n g p ro du ct s a nd s er vi ce s w it h ‘‘ mo ra ll y g oo d’’ n ot io ns l ik es av in g t he p la ne t, e du ca ti ng t he p oo r, r ea ch in g o ut t o c om mu ni ti es ,a n d p r e p a r i n g c h i l d r e n f o r l i f e i n t h e g l o b a l v i l l a g e .

A c c o u n t i n g f i r m s a l s o e m b a r k u p o n t h e C S R b a n d w a g o n , d e v e l o p -i n g s p e c i a l e x p e r t i s e i n ‘ ‘ s o c i a l a u d i t i n g ’ ’ a n d o f f e r i n g t h e i r c o m m e r c i a ls er vi ce s t o i n te re st ed c or po ra ti on s. T he i ss ue o f a ud it in g, i n g en er al ,s ee ms t o b e t he f as te st g ro wi ng a re a o f h ig h- re ve nu e e xp er ti se r el at ed t o

C S R . U n l i k e f i n a n c i a l a u d i t i n g t h a t a l r e a d y e n j o y s a r a t h e r b r o a d b a s eo f a g re e d s t a n da r ds , t h e m e a s ur e me n t o f C S R p e r f or m an c e i s o n ly i n i t se ar ly s ta ge s o f d ev el op me nt . T he G re en P ap er , m en ti on ed a bo ve ,e st ab li sh es t ha t a ‘‘ gl ob al c on se ns us n ee ds t o e vo lv e o n t he t yp e o f i nf or ma ti on t o b e d is cl os ed , t he r ep or ti n g f or ma t t o b e u se d, a nd t her el ia bi li ty o f t he e va lu at io n a nd a ud it p ro ce du re .’’ T he p ro bl em s a rem an if ol d: W ha t a re t he c ri te ri a o f a de qu at e C SR p er fo rm an ce ? A ret he y m ea su ra bl e? W ha t s ho ul d b e t he b as is f or c om pa ri so n a mo ng

c or por ati on s? Ho w do es on e c om pa re on e i ndu str ia l se ct or wi tha no th er ? H ow d oe s o ne c om pa re b et we en s er vi ce -o ri en te d M NC s( e. g. a ir li ne s, h ot el s) , i nd us tr ia l M NC s, a nd f in an ci al M NC s? H er ea ga in , a h os t o f c om me rc ia l e nt re pr en eu rs , c or po ra te e nt it ie s, a nd( n om i na l ly ) n o n- p ro f it o r ga n iz a ti o ns w h o h o pe t o b e co m e t h e f i el d ’ss ta nd ar d- se tt in g a ut ho ri ty c om pe te o ve r t he d ev el op me nt o f r at in gs y s t e m s f o r m e a s u r i n g c o r p o r a t e b e h a v i o r . F o r e x a m p l e , t h e n o n - p r o f i to r ganiz at io n So cial A cco u nt ab ilit y I nt er nat io nal (SA I ) has d ev elo p ed

t h e S A 8 0 0 0 s t a n d a r d f o r w o r k p l a c e c o n d i t i o n s a n d a s y s t e m f o r i n d e -p en de nt ly v er if yi ng f ac to ri es ’ c om pl ia nc e w it h t ha t s ta nd ar d. SAIo pe ra te s a s a no n- pr of it o rg an iz ati on w ith maj or f un di ng f ro m th eO p e n S o c i e t y I n s t i t u t e o f G e o r g e S o r o s , a s w e l l a s f r o m t h e M c A r t h u r ,

5 P r e l i m i n a r y R e p o r t o f t h e A B A T a s k F o r c e o n C o r p o r a t e R e s p o n s i b i l i t y , J u l y 1 6 , 2 0 0 2 .


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F or d , and R o ck efeller fo und at io ns, and als o engages in t r aining acco unt -i ng f irm s t o a ct a s s oc ia l a udi ti ng e xp er ts . A not he r p la ye r s tr iv ing t oe st ab li sh so ci al me as ur in g an d re por ti ng gu id el in es i s t he Gl ob al

R ep ort in g I ni ti at iv e, a n on- pr of it o rg an iz ati on t ha t i s s pon so re d byc or po ra ti on s s uc h a s F or d, G en er al M oto rs , N ik e, a nd R oy al D ut chS hel l. T he Tr ip le B otto m Li ne I ni ti at iv e i s y et a not he r n on -p ro fi tv en tu re e ng ag ed i n t he p ro ce ss o f t ry in g t o s et i ts o wn m ea su re me nta nd v er if ic at io n c ri te ri a a s a c or po ra te s ta nd ar d. H e re a ga in , t he n on -p ro fi t o rg an iz at io n be hi nd t he p ro je ct r el ie s o n t he s upp or t o f M NC s a ndb us in es s g ro up s a nd a ls o p rov id es c orp or at io ns s uc h a s I BM , S he ll ,H ei ne ke n, B AS F, P hi li ps , a nd C an on w ith tr ai ni ng in C SR an d S RI

(socially responsive investment) programs.6

T he c om pe ti ti on o ve r a ud it in g t ec hn iq ue s h as i mp li ca ti on s f arb ey on d t he c om me rc ia l a nd t he t ec hn ic al . T hr ou gh s uc h i ni ti at iv es ,t h e n o t i o n o f s o c i a l r e s p o n s i b i l i t y u n d e r g o e s a p r o c e s s o f b u r e a u c r a t i z a -t io n a nd s ta nd ar di za ti on t ha t t ra ns fo rm s t he h er et of or e p ol it ic al lyl oa de d a nd m or al ly d eb at ed n ot io n o f c or po ra te r es po ns ib il it y i nt o am ea su ra bl e s et o f i nd ic at or s t ha t c an t he n b e e xc ha ng ed a nd t ra de d

a mo ng s ha re ho ld er s a nd i nv es to rs a s a ny o th er c om mo di ty t ha t a dd s‘‘ va lu e’’ t o t he f ir m ( or s ub tr ac ts f ro m i t) . T hu s, a s P ar ke r n ot es , t hee me rg en ce o f t hi s v ib ra nt f ie ld o f e xp er ti se a nd i ts v ar io us s ta nd ar dsr ai se s ‘‘ qu es ti on s a bo ut t he e xt en t t o w hi ch t he y m ea su re s ub st an cer ath er th an p ro ce dur e i mpl em en ta ti on ’’ (2002: 22 4) . L ar ge ly d om i-n at ed b y p la ye rs a ff il i at ed w it h c or po ra ti on s o r d ep en de nt o n t he m,s o c i a l a u d i t i n g m a y t h u s b e c o m e m o n o p o l i z e d i n w a y s t h a t w i l l f u r t h e rt il t t he m ea ni ng o f ‘‘ so ci al r es po ns ib il it y’’ i n t he d ir ec ti on o f b us in es s

i nt er es ts . I n o th er w or ds , w hi le c ou nt er -h eg em on ic p re ss ur es o ft en s ee kt he b ac ki ng of l aw a nd r eg ul at ion , th e C SR f ie ld e vol ves th rou ghco r p o r at e inv es t m ent in s elf- r egu lat o r y s chem es th a t h a v e t h e c a p a c i t yt o p r e e m p t v i a b l e t h r e a t s t o c o r p o r a t e i n t e r e s t s .7

6 I n d i s c u s s i n g t h e c o n t r i b u t i o n o f n o n - p r o f i t o r g a n i z a t i o n s t o t h e d e v e l o p m e n t o f t h e C S R f i e l di n d i re c ti o ns p r ef e rr e d b y m u lt i na t io n al c o rp o ra t io n s, I d o n o t m e an t o s u gg e st t h at a l l n o n-

p ro fi t g ro up s a re t hu s c oo pt ed b y, o r w or k f or , t he a dv an ce me nt o f c or po ra te i nt er es ts . F ore x a m p l e , m e m b e r s o f l a b o r - s u p p o r t o r g a n i z a t i o n s , u n i o n s , a n d i n d e p e n d e n t m o n i t o r i n g o r g a n i -z at io ns a cr os s t he g lo ba l S ou th r is k t h ei r l iv es o n a d ai ly b as is f ig ht in g t he c oo pt at io n o f C SR a ndo th er f ie ld s b y M NC s. I n t hi s p ar t o f t he p ap er , h ow ev er , I r ef er t o a g ro wi ng c or po ra tei n v e s t m e n t i n n u r t u r i n g f r i e n d l y a n d n o n c o n f r o n t a t i o n a l N G O s ( s e e a l s o W i n s t o n 2002).

7 O f c o u r s e , t h e d y n a m i c o f t h e f i e l d d o e s n o t s t o p h e r e . C o u n t e r - h e g e m o n i c f o r c e s d o n o t s t a n di d l e i n t h e f a c e o f h e g e m o n i c c o o p t a t i o n . R a t h e r , ‘ ‘ c o n f r o n t a t i o n a l p l a y e r s ’ ’ ( W i n s t o n 2002) int h e f i el d , l i ke i n de p en d en t u n io n s, N G Os , l a bo r s u pp o rt o r ga n iz a ti on s , a n d o t he r c o un t er -h e ge m on i c a c to r s a r e e x pe r im e nt i ng w i th n o ve l f o rm s o f i n de p en d en t m o ni t or i ng o f c o de s o f

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O xf am ’s W hi te P ap er o n g lo ba li za ti on s ee ms t o c ap tu re t hi s p oi nt .U n de r t h e t i tl e ‘‘ R es p on s ib l e I n ve s tm e nt : A C o rp o ra t e I m pe r at i ve , ’’t h e W h i t e P a p e r a s s e r t s :

A s p ub lic co ns ci ou sne ss a bou t th e po we r a nd i mp ac t o f TN Cs h as

i nc re as ed , c or po ra ti on s h av e r es po nd ed b y p ro cl ai mi ng t he ir a tt ac h-m ent t o e th ic al s tan da rd s, pr ef er ab ly as e xp re sse d t hr ou gh n on -e nf or ce ab le c od es o f c on du ct . H ig h p ro fi le c as es i nv ol vi ng o il a nd

b i o t e c h n o l o g y c o m p a n i e s i n w h i c h b i l l i o n s o f d o l l a r s h a v e b e e n w i p e do f f f r o m s h a r e v a l u e s b e c a u s e o f p u b l i c c o n c e r n o v e r c o r p o r a t e p r a c t i c e sh a v e a d d e d i m p e t u s t o t h i s p r o c e s s . . . A t t h e i r b e s t , v o l u n t a r y c o d e s o f

c on du ct c an a ct a s a g ui de t o c or po ra te p ra ct ic e a nd s et s ta nd ar ds f or

o th er s t o f ol lo w. . .

A t t he ir w or st , t he y a re l it tl e m or e t ha n a p ub li cr el at io ns e xe rc is e. B ut t he d ee pe r p oi nt i s t ha t c or po r at e b eh av i ou r i s t ooi m p o r t a n t f o r p o v e r t y r e d u c t i o n t o b e l e f t i n t h e f i e l d o f v o l u n t a r y c o d e sa n d s t a n d a r d s d e f i n e d b y t h e c o r p o r a t e s e c t o r i t s e l f . . . W h a t i s n e e d e d

i s a s e t o f v e r i f i a ble a n d e n fo r ce a bl e g u id e l in e s c o ve r in g a l l a s pe c ts o f c o r p o r a t e a c t i v i t y .8

T he emergence o f com mercial act iv it ies in t he field o f CSR is an imp or tant

mechanism in de-radicalization. De-radicalization is also significantly aug-m ented b y an increas ing num ber o f cor po rate-s po ns or ed o r o ther wisecorporate-oriented NGOs that aim to structure CSR as a field of privateregulation. Dicle Kogacioglu, an insightful observer of this text, suggests thet er m MaN GO (mark et -o riented N GO ) t o d es cr ib e o ld b od ies lik e t heInternational Chamber of Commerce and newer types of NGOs. Directlyand indirectly sponsored by business, MaNGOs (market-oriented non-governmental organizations) are established in order to disseminate and

actualize corporate-inspired versions of ‘‘social responsibility’’ while enjoy-ing the aura of disinterestedness often bestowed on non-profit ‘‘civil society’’ent it ies. T heir m is sion is t o edu cate t he cor po rate w or ld abo ut t he m er it s o f CSR practices, to initiate CSR projects, and to nurture ties with commu-nities, civic groups, and other non-governmental organizations. There aredozens of such non-profit-yet-distinctly-market-players operating in Europeand the United States, facilitating yet another dimension of the evolvingCS R f iel d. Mor eo ve r, as wi ll b e d isc us se d i n th e n ext pa rt of th is pa per , t he

proliferation of MaNGOs is a strong indication of a sweeping process thatcan only be described as the persistent corporatization of civil society.

c o n d u c t t h a t , w h i l e f a l l i n g s h o r t o f n e u t r a l i z i n g h e g e m o n i c c o o p t a t i o n o f t h e f i e l d , d o ‘ ‘ p u t u p af i gh t ’’ a n d l e ad t o s o me s u cc e ss f ul e x pe r ie n ce s t h at m a ke l i fe l e ss c o mf o rt a bl e t o g l ob a l e c on o mi cactors.

8 See www.oxfam.org.uk/policy/papers/global/global2.htm.


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4.3 T H E C O R P O R A T I Z A T I O N O F C I V I L S O C I E T Y

I n t h i s p a r t o f t h e p a p e r , I w o u l d l i k e t o s i n g l e o u t t w o m a i n f e a t u r e s o f

t he M aN GO s t ha t d is se mi na te t he i de a o f C SR . F ir st , i n s ub st an ti vet e r m s , M a N G O s t e n d t o i d e n t i f y C S R w i t h a v a r i e t y o f ‘ ‘ c i v i c v i r t u e ’ ’a c t i v i t i e s a i m e d a t ‘ ‘ n e e d y c o m m u n i t i e s . ’ ’ T h e b a s i c s t a n c e t h a t f o l l o w sn ot o nl y g ra vi ta te s t ow ar d c ha ri ta bl e a ct iv it ie s b ut a ls o m ar ks a t en -d en cy t o d is en ga ge C SR f ro m b ot h t he f ir m’ s c or e b us in es s p ra ct ic esa nd i ss ue s d ee me d t o b e ‘‘ pol it ic al ly se ns iti ve .’’ A di re cto r o f o neM aNG O wh om I i nt er vi ew ed t hus t ol d me th at ‘‘ th e w ay to bui ldc o r p o r a t e i n v o l v e m e n t i n s o c i a l i s s u e s i s b y l o o k i n g f o r i s s u e s t h a t a r e

n ot p ol it ic al ly s en si ti ve , b y l oo ki ng f or i ss ue s u po n w hi ch e ve ry on es ee ms t o a gr ee t ha t t he c on tr ib ut io n i s f or t he g re at er s oc ia l g oo d. ’’L ik ew is e, c or po ra te e xe cu ti ve s w ho a tt en de d t ra in in g p ro gr am s f orC SR , o rg an iz ed b y s uc h M aN GO s, w er e d is co ur ag ed f ro m l oo ki ng a tC S R a s a s i t e o f p o t e n t i a l c o n f l i c t b e t w e e n c o r e b u s i n e s s p r a c t i c e s a n ds o ci a l i s su e s ( S ha m ir 2004b) . A s a b as ic r ul e, e xp la na to ry n ar ra ti ve sa c c o u n t i n g f o r t h e r i s e o f C S R a n d f o r t h i n k i n g a b o u t t h e s o c i a l r o l e o f M N C s w e r e n o t c a s t i n t e r m s o f a c o n f l i c t p a r a d i g m b u t i n t e r m s o f ar at io na l l i ne ar e vo lu ti on t ha t l ed M NC s t o ‘‘ re al iz e’’ t he ir s oc ia l m is -s io ns . A cc or di ng ly , p op ul ar f or ms o f r es is ta nc e t o t he h ar ms a nd r is ksp os ed b y c or po ra ti on s w er e t yp ic al ly d is cu ss ed a s t he c ha ng in g ‘‘ co n-c e r n s ’ ’ o f c o n s u m e r s o r t h e c h a n g i n g ‘ ‘ n e e d s ’ ’ o f c o m m u n i t i e s .

I nd ee d, ‘‘ co mm un it y’’ i s a k ey c on ce pt i n t he w or k o f e xp er ts w hod is se mi na te t he c or po ra te -b as ed v er si on o f C SR . T he ‘‘ co mm un it y’’r ep la ce s o th er s oc io lo gi ca l c on ce pt s s uc h a s g en de r, c la ss , a nd r ac e a s

a s o c i a l c a t e g o r y t o w a r d w h i c h C S R e f f o r t s s h o u l d b e d i r e c t e d . I n f a c tt h e s e l a t t e r c a t e g o r i e s a r e d e v o u r e d b y t h e n o t i o n o f t h e c o m m u n i t y i na w ay t ha t a ll ow s f or s ys te ma ti c d e- po li ti ci za ti on o f t he r ea so ns f orb e c o m i n g ‘ ‘ i n v o l v e d ’ ’ i n c o m m u n i t i e s . I n m y s t u d y o f s e v e r a l M a N G O sI h a v e f o u n d a c o n s i s t e n t b i a s i n f a v o r o f c o m m u n i t y e d u c a t i o n a l a n dt ra in in g p ro gr am s a s t he p ri ma ry v en ue o ff er ed t o c or po ra ti on s a sm e a n s f o r a c t u a l i z i n g t h e i r s o c i a l r e s p o n s i b i l i t i e s . T h e c o u p l i n g o f t h ev a gu e n o ti o n o f ‘‘ c om m un i ty ’’ w i th a r e pe a te d e m ph a si s o n t h e n e e d f o r

c or po ra ti on s t o i nv es t e ff or ts i n ‘‘ ed uc at io na l p ro gr am s’’ a s a p ri ma ryd is pl ay o f C SR u lt im at el y i nv es ts b ot h t he t er m ‘‘ re sp on si bi li ty ’’ a nd t het e r m ‘ ‘ s o c i a l c h a n g e ’ ’ w i t h a d i s t i n c t i v e a - p o l i t i c a l m e a n i n g .

I n g en er al , M aN GO s s uc h a s B us in es s f or S oc ia l R es po ns ib il it y( c or p or a te - or i en t ed n o n- p ro f it o r ga n iz a ti o ns o p er a te u n de r t h is n a mei n C a n a d a , G r e a t B r i t a i n , a n d t h e U S ) s p r e a d a C S R m o d e l t h a t s e e m s

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t o c om pl em en t a nd f ur th er v al id at e t he n eo li be ra l m od e o f o pe ra ti onchar act er is t ic o f m any s er v ice- o r ient ed civ il s o ciet y o r ganiz at io ns t hatr u s h t o f i l l t h e v o i d c r e a t e d b y g o v e r n m e n t a l r e t r e a t s f r o m t h e s u p p l y o f

p u b l i c s e r v i c e s . I n a s t u d y o f t h e t r a n s f o r m a t i o n o f s o c i a l m o v e m e n t s i nL a ti n A m er i ca i n to r a ti o na l ly s t ru c tu r ed N G Os , T a yl o r (1999 ) s h o w st ha t m an y N GO s, a dj us ti ng t o t he t ai lo re d p ro gr am s o f d on or s, t ur nt h e i r a t t e n t i o n t o e d u c a t i o n a l p r o g r a m s . S u c h p r o g r a m s , w r i t e s T a y l o r ,‘‘ ha ve s ub tl y s wa pp ed a r he to ri c o f p ol i ti ca l e mp ow er me nt f or a r he to ri co f s oc io ec on om ic e mp ow er me nt b y e du ca ti ng a nd e qu ip pi ng p eo pl ewi th t he sk il ls a nd o rg an iz at ion al t oo ls f or c op in g wi th th e h ars hr ea li ti es o f c on te mp or ar y c ap it al is m’’ (1999:273). At another level,

b u t g u i d e d b y t h e s a m e a p p r o a c h , h u m a n r i g h t s o f t e n b e c o m e a m a t t e ro f lau nching ed u cat io nal p r o gr am s fo r ‘‘d em o cr acy and t o ler ance.’’ T hev e r s i o n o f C S R d i s p e n s e d b y M a N G O s i s v e r y s i m i l a r . T h r o u g h t h e m ,t h e i d e a t h a t e d u c a t i o n i s a p r i m a r y m e a n s f o r s o c i a l c h a n g e b e c o m e sn at ur al iz ed , a nd i n f ac t a ls o t ra ns fo rm s t he v er y m ea ni ng o f t he t er m‘‘ s oc i al c h an g e’’ fr o m b e in g o n e c o nc e rn i ng p o li t ic a l e m po w er m en t a n dp a r t i c i p a t i o n t o a q u e s t i o n o f s k i l l s .

T h i s C S R m o d e l i s a l s o a t a s t r i k i n g a c c o r d w i t h t h e w a y B o u r d i e ud e sc r ib e s t h e w e lf a re s t at e ’s ‘‘ w ho l es a le c o nv e rs i on t o n e ol i be r al i sm . ’’Th e d ef in iti on of pu bl ic as si st an ce, h e w ri te s, h as b een r adi ca ll ytransformed

[ b] y t he s ub st it ut io n o f d ir ec t a id t o i nd iv id ua ls f or o ld er f or ms o f s up po rt

i n t h e f o r m o f a c c e s s t o s e r v i c e s . . . I n a p e r f e c t f i t w i t h t h e n e o l i b e r a lv i s i o n , d i r e c t a i d r e d u c e s s o l i d a r i t y t o a s i m p l e f i n a n c i a l a l l o c a t i o n a n d

a i m s s o l e l y a t f a c i l i t a t i n g c o n s u m p t i o n . . . w i t h o u t s e e k i n g t o o r i e n t o rt o s t ru c tu r e t h at c o ns u mp t i on

. . .

[ T] he e nd r es ul t i s a s ta te c ha ri ty ,which is destine d, just as it was in the good old days of religious

p h i l an t h r o py , f o r t h e ‘‘ d e s er v i n g p o o r .’’(Bourdieu 1999:184)

Consequently, this neoliberal mode of ‘‘intervention’’ turns potentiallym ob ilized p eo ple int o an aggregate o f fr agment ed and iso lated ‘‘disadv ant-aged’’ individuals (Bourdieu 1999: 184). In this way as well, the notion of

corporate responsibility is abstracted from any political significance.A s e c o n d n o t a b l e f e a t u r e o f M a N G O s t h a t s t r u c t u r e t h e C S R f i e l d i s

t h a t ‘ ‘ s o c i a l r e s p o n s i b i l i t y i s g o o d f o r b u s i n e s s . ’ ’ H e n c e , C S R h a s t o b ed ep lo ye d a s p ar t o f t he c or po ra ti on ’s m ar ke ti ng s tr at eg y a nd i ma ge -b u i l d i n g m a c h i n e r y . I n e f f e c t , M a N G O s a r e a t t h e v a n g u a r d o f p r e a c h -i n g t h e i d e a t h a t C S R m u s t o p e r a t e a c c o r d i n g t o f i r m b u s i n e s s m o d e l s ,


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s ho ul d b e b as ed o n e qu ip pi ng c or po ra te e xe cu ti ve s w it h a de qu at e‘‘ ma na ge ri al t oo ls ’’ f or r ea li zi ng C SR p ro je ct s, a nd m us t f ol lo w t heg e n e r a l i m p e r a t i v e o f , i n t h e w o r d s o f o n e M a N G O e x e c u t i v e , ‘ ‘ a p p l y -

i ng b us in es s m et ho ds t o w or th y s oc ia l c au se s. ’’ T he c on st ru ct io n o f C SR a s a b us in es s m od el s ee ms t o h av e t wo i mm ed ia te i mp li ca ti on s.F irs t, i t al lows f or t he u npr ob le ma ti c i nt egr ati on of CS R i nto th ec o rp o ra t io n ’s m a rk e ti n g a n d b r an d in g a p pa r at u se s , h e nc e s u bj e ct i ngs o cial co ns id er at io ns t o co m m er cial o nes . T his , alm o s t neces s ar ily, act sa s a s tr on g a nt id ot e a ga in st c or po ra te i nv ol ve me nt i n c on tr ov er si ali ss ue s a nd a ga in st d ev el op in g C SR i n w ay s t ha t c an e ve n r em ot el yc o l l i d e w i t h c o r e b u s i n e s s p r a c t i c e s .

S ec on dl y, a nd n ot t he l ea st i mp or ta nt ly , t he ‘‘ bu si ne ss m od el ’’ f or -m u l a o f t e n s i g n i f i e s t h e t r a n s f o r m a t i o n o f C S R i n t o a n e l e m e n t o f t h ec o rp o ra t io n ’s n o rm a ti v e c o nt r ol a p pa r at u s o v er i t s o wn e m pl o ye e s. I nf ac t, a c ur io us r ev er sa l o f t he n ot io n o f ‘‘ co mm un it y’’ h ap pe ns a t t hi sj un ct ur e. O ne M aN GO e xe cu ti ve s ay s: ‘‘ Th e c om mu ni ty i s f i rs t a ndf o r e m o s t t h e c o m m u n i t y o f e m p l o y e e s . I t i s i m p o r t a n t t o l e t t h e m f e e l[ th ro ug h C SR p ro je ct s] t ha t t he y a re p ar tn er s. ’’ A no th er e xp la in s:

‘‘ Ove r t ime , I u nde rst oo d t ha t t he i mpo rt an t th in g h er e i s n ot o urc us to me rs b ut o ur e mp lo ye es . T he s oc ia l i nv ol ve me nt o f b us in es s h asa faster and stronger impact on employees than on customers.E mp lo ye es t ha t w or k f or a n o rg an iz at io n t ha t i s i nv ol ve d a re m or es at is fi ed a nd l oy al .’’ I nd ee d, s uc h i de as h av e a lr ea dy b ec om e p ar t o f t he ‘‘ sc ie nt if ic m an ag er ia l t he or y’’ t ha t d ev el op s i n t he f ie ld , a s c on -s u lt a nt s a n d o t he r e x pe r ts c o nf i rm t h at c o rp o ra t e e m pl o ye e s d e ve l ops t r o n g e r c o m m i t m e n t s t o s o c i a l l y r e s p o n s i b l e c o m p a n i e s t h a n t h e y d o

t o i n d i f f e r e n t o n e s .I n t h i s s e n s e , t h e d e - r a d i c a l i z a t i o n o f C S R a l s o f i n d s e x p r e s s i o n i n i t s

p e n e t r a t i o n r i g h t i n t o t h e h e a r t o f o f f i c i a l a n d q u a s i - o f f i c i a l c o r p o r a t ecu lt u r e. Co r p o r at e cu lt u r e, w r it es K u nd a, is t he ‘‘s har ed r u les go v er ningc o g n i t i v e a n d a f f e c t i v e a s p e c t s o f m e m b e r s h i p i n a n o r g a n i z a t i o n , a n dthe means whereby they are shaped and expressed’’ (1992 :8). Thed e pl o ym e nt o f n o rm a ti v e c o nt r ol t h ro u gh c o rp o ra t e c u lt u re c o ns i st so f a t t e m p t s t o g u i d e e m p l o y e e s t o a c t i n t h e b e s t i n t e r e s t s o f t h e f i r m b y

c r e a t i n g a n i n t e r n a l c o m m i t m e n t a n d s t r o n g i d e n t i f i c a t i o n w i t h c o m -p a ny g o al s ( Ku n da 1992 : 11 ). B y f oc us in g o n e mp lo ye e p ar ti ci pa ti on i nC S R p r o j e c t s , b y e n l i s t i n g t h e m t o c o n t r i b u t e t i m e , m o n e y , a n d k n o w -l ed ge , a nd b y s ha ri ng w it h t he m t he c om pa ny ’s r ep ut at io n a s s oc ia ll yr es po ns ib le , t he n or ma ti ve c on tr ol i s d ep lo ye d b y t ra ns fo rm in g e mp lo y-e es i nt o a ‘‘ co mm un it y’’ a nd b y t ur ni ng l ab or r el at io ns i nt o a q ue st io n o f

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e m pl o ye e s’ s a ti s fa c ti o n a n d l o ya l ty . C o rp o ra t e e x ec u ti v es s p ec i al i zi n gi n C S R , t h e r e f o r e , s i m u l t a n e o u s l y f u n c t i o n a s a g e n t s i n t h e C S R f i e l da n d a s a g e n t s o f t h e c o r p o r a t i o n ’ s n o r m a t i v e c o n t r o l a p p a r a t u s .

I n s um, MN Cs, wi th t he h el p of Ma NGO s, bus in es s g rou ps a nda s so c ia t io n s, a c ad e mi c e x pe r ts , a n d c o mm e rc i al c o ns u lt a nt s g r ad u al l ye mb ra ce C SR a s a b us in es s o pp or tu ni ty , t re at in g C SR a s a ‘‘ pr oj ec t’’th at h as t o b e m an age d wi th a n ey e to t he s tr ate gi es, g oa ls , a nd m et hod so f t h e b u s i n e s s e n t e r p r i s e a s a w h o l e . I n c r e a s i n g l y , t h e p u r p o s e o f s u c he nt er pr is e i s t o c re at e b us in es s o pp or tu ni ti es f or t he f ir m, t o c on so li da tea l oy al ca dre o f e mp loy ee s, t o b ui ld a ma rke t f or th e f ir m’ s pr od uc ts , a ndt o d e v e l o p a p o s i t i v e r e p u t a t i o n f o r t h e f i r m . I n t h i s w a y , c o r p o r a t i o n s

t r a n s f o r m t h e i d e a o f s o c i a l r e s p o n s i b i l i t y i n t o a m a r k e t i n g d e v i c e a n di n t o a c o m m o d i t y t h a t c o n c e a l s t h e p o w e r r e l a t i o n s t h a t u n d e r l i e t h er el at io ns hi p b et we en g lo ba l c ap it al is m a nd s oc ia l i ne qu al it y, s oc ia lh a r m , a n d s o c i a l w r o n g s .

4.4 F I N A L R E M A R K S : T E N T A T I V E R E F L E C T I O N S

O N C O U N T E R - H E G E M O N I C P O S S I B I L I T I E S

Th e pr ol if er ati on of M aNG Os i s b ut o ne i ndi ca ti on of an o ve ra llp r o c e s s i n t h e c o u r s e o f w h i c h M N C s h a v e l e a r n t t o d e p l o y a n d m o l dt he n on -p ro fi t s ec to r t o f it a h eg em on ic n eo li be ra l v er si on o f c iv ilso ci et y. T he g en era l t re nd of de pl oy in g th e n on -pr of it s ec tor f ore nh an ce d c or po ra te s oc ia l a nd p ol it ic al i nf lu en ce , a nd t he s pe ci fi ct re nd o f m ol di ng t he C SR f ie ld t o f it t he s el f- re gu la to ry i de ol og y o f MN Cs , i s t hus a n i mp or ta nt f ac tor t ha t m us t be c on si de red wh en

a na ly zi ng t he t ra je ct or y o f c ou nt er -h eg em on ic t ra ns na ti on al c oa li -t i o n s . I n f a c t , ‘ ‘ c i v i l s o c i e t y ’ ’ h a s b e c o m e s a t u r a t e d w i t h a m u l t i t u d e o f n o m i n a l l y n o n - p r o f i t o r g a n i z a t i o n s t h a t b l u r t h e l i n e s b e t w e e n t h e o l dc a t e g o r i e s o f s t a t e , m a r k e t , a n d c i v i l s o c i e t y . W e m u s t n o t f o r g e t t h a tm an y N GO s, e ve n i f n om in al ly f re e f ro m d ir ec t c or po ra te i nf lu en ce ,a re n on et he le ss h ea vi l y f un de d b y f ou nd at io ns a nd t ru st f un ds t ha t h av eb e en e s ta b li s he d i n e a rl i er r o un d s o f c o rp o ra t e p h il a nt h ro py . O f c o ur s e,t h e r e a r e m a n y N G O s w h o s t r u g g l e t o p r e s e r v e t h e i r i n s t i t u t i o n a l a n d

i d eo l og i ca l i n de p en d en c e, a n d t h er e a r e m a ny g r as s ro o ts m o ve m en t st ha t s tr ug gl e t o p ro te ct t he ir a ut on om y f ro m b ot h m ar ke t a nd s ta tei n t e r v e n t i o n . S t i l l , w e c a n n o t i g n o r e t h e f a c t t h a t a n i n c r e a s i n g n u m -b er o f N GO s a re e st ab li sh ed o r i nd ir ec tl y g ov er ne d b y b ot h g ov er n-m en ts ( Go NG Os ) a nd m ar ke t p la ye rs ( Ma NG Os ). C or po ra ti on si nf il tra te p ub li c l oc al a nd tr an sn at ion al i ns ti tut io ns th rou gh a n


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i n vi g or a te d e m ph a si s o n ‘‘ p ar t ne r sh i ps , ’’ t y in g c o rp o ra t io n s t o N G Os ,g ov er nme nts , a nd i nt er na ti on al i nst it uti on s. A c as e i n p oi nt i s t heafor ementio ned G lob al Co mp act o f t he U nit ed N atio ns . I ndep endent

g r o u p s s u c h a s C o r p o r a t e W a t c h , H u m a n R i g h t s W a t c h , a n d A m n e s t yI nt er na ti on al v ie w t he G lo ba l C om pa ct w it h s us pi ci on , w ar ni nga ga in st a ‘‘ pa rt ne rs hi p’’ m od el w hi ch i s t oo c lo se f or c om fo rt , a ga in stt h e p r o s p e c t s o f c o r p o r a t e ‘ ‘ b l u e w a s h , ’ ’ a n d a g a i n s t t h e c o r p o r a t i z a t i o no f t h e U n i t e d N a t i o n s .

A s e c o n d f a c t o r t h a t w e m u s t w e i g h w h e n a s s e s s i n g t h e c o n d i t i o n sfo r co u nt er - hegem o nic act io n is t he o b s er v at io n t hat t he t r ans nat io naln e t w o r k s t h a t M N C s n u r t u r e a n d s o m e o f t h e t r a n s n a t i o n a l a d v o c a c y

n et wo rk s ( Ke ck a nd S ik ki nk 1 99 8) t ha t s tr ug gl e t o t am e c or po ra tep ow er s ha re s om e f un da me nt al s oc ia l c ha ra ct er is ti cs . A c or e i ss uehere is that an i ncreasing number of non-profit groups and ci vica ss oc ia ti on s a re e mb ed de d w it hi n a c ul tu re o f p ro fe ss io na l e xp er ti set h a t i s n o t u n l i k e t h e o n e a r o u n d w h i c h c o r p o r a t i o n s a r e o r g a n i z e d . I nw h a t f o l l o w s , t h e r e f o r e , I t r y t o o f f e r s o m e c r i t i c a l r e f l e c t i o n s o n s o m et yp ic al c ou nt er -h eg em on ic c oa li ti on s o r o th er wi se j oi nt c on fr on ta -

t io nal cam p aigns .S a n t o s (2002) a r g u e s t h a t c o n d i t i o n s a r e r i p e f o r n e w t y p e s o f c o a l i -t io ns b et we en ‘‘ th e s ub al te rn o f W es t a nd r es t. ’’ F or e xa mp le , t ra ns na -t io nal co alit io ns fo r t he elim inat io n o f s w eat s ho p s inclu d e lab o r u nio ns ,co ns um ers ’ o r ganiz atio ns , r eligiou s gr ou ps , hu man r ights N GO s, inde-p en den t mo ni to ri ng a gen ci es , s tud en ts ’ o rg an iz ati on s, a nd o th eru mb re ll a a ge nc ie s ( se e R od rıgu ez - Gar av ito ’s chap t er in t his v o lu me).S imi lar ly , co nsi der t he id en ti ty o f th e p lai nt if fs i n th e pr ev io usly

d is cu ss ed AT CA ca se s. I n ma ny su ch ca se s, i nd ig en ous , po or , a ndo pp re ss ed pe op le h ave b ee n a bl e to a dva nc e a c la im b ec aus e th eyw ere aided, fu nd ed, and r epr esented b y inst it u tio nal p layer s elsew her e.I n t he c as e a ga in st Uno cal, B ur me se fa rme rs w er e r ep re se nt ed b yl aw ye rs o f E ar th Ri g ht s I nt er na ti on al , t he N ew Y or k- ba se d C en te r f orC on st it ut io na l R ig ht s, a nd t wo c om me rc ia l l aw f ir ms s pe ci al iz in g i n c iv ilr ig ht s c as es a nd c la ss a ct io n s uit s. I n t he c as e a ga in st T ex aco , me mb ers o f t hr ee ind igeno u s t r ib es fr o m Ecu ad o r w er e aid ed b y a w id e co alit io n: an

E c u a d o r e a n l a w y e r w o r k i n g i n t h e U S i n i t i a t e d t h e c a s e a n d w a s j o i n e db y a n A me ri ca n c om me rc ia l l aw f i rm s pe ci al iz in g i n c la ss a ct io n l aw su it s,a gr o u p o f law p r o fes s o r s fr o m B o s t o n, t he Mas s achu s et t s Env ir o nm ent alL aw S oc ie ty , E ar th J us ti ce I nt er na ti on al , a nd A ma zo n W at ch . I n t hec as e a ga in st S he ll i n N ig er ia , f am il y m em be rs o f K en S er o- Wi wa w er er ep re se nt ed b y t he N ew Y or k- ba se d C en te r f or C on st it ut io na l R ig ht s a nd

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aided b y Eart hRight s I nter natio nal. I n t he case against Co ca- Co la, t heCol omb ia n union S in al tr ain al was ai de d a nd rep re se nt ed by th eAmer ic an Un it ed St ee l Wor kers Un io n a nd by th e In te rn at io na l

L ab or R ig ht s F un d. T he l att er a lso a ss um ed r ep re se nt at io n i n a c a sea ga in st E xx on Mo bi l i n I nd on es ia .9 AT CA c as es th us b lu r t he l in esb et we en c iv il l a w a nd p ub li c l aw , n at io na l l aw a nd i nt er na ti on al l aw,public interest lawyers and private lawyers, non-profit organizations andco m m er cial law fir m s , lab o r u nio ns and civ il r ight s gr o u p s , and env ir o n-m ent al concer ns and clas s actio n inter es ts . T hes e hybr id co alitio ns aren ot l im it ed t o t he l eg al d om ai n a lo ne . O th er c or po ra te -b as hi ng c am -p aigns als o r equ ire co op erat io n and effectiv e co mm unicat ion b etw een

‘‘ F ir st W orl d’’ a nd ‘‘ Th ir d W or ld ’’ a ct iv is ts . T hi s i s a ls o t he c as e w it hOxfam International’s recent ‘‘Fair Trade Coffee’’ campaign mentionedab o v e. H er e again, O x fam r elies o n act iv e co o p er at io n w it h far m er s andind igeno u s co m m u nit ies in A fr ica, Lat in A m er ica, and A s ia.

T he di sp ut e ov er t he c on st itu ti on al it y o f a So ut h Af ri ca n l awi n f r i n g i n g u p o n t h e p a t e nt ri g h t s o f t h e g l o b a l p h a r m a c e u t i c a l i n d u s t r yi s a not he r c as e i n po in t.10 In 1997, in an attempt to respond to a

w id es pr ea d A ID S c ri si s, t he S ou th A fr ic an g ov er nm en t i nt ro du ce da m e n d m e n t s t o t h e S o u t h A f r i c a n M e d i c i n e s a n d R e l a t e d S u b s t a n c e sC o n t r o l A c t o f 1 9 6 5 . T h e t h e o r y b e h i n d t h e a m e n d m e n t s w a s t h a t t h eh ig h c ost o f AI DS/ HI V d ru gs – p ro te ct ed by pa te nt r ig hts h el d by ma jo rp h a r m a c e u t i c a l c o m p a n i e s – h a d p u t t h e m b e y o n d t h e r e a c h o f m a n yinfected people relying on public health services. In 1998, theP h ar m ac e ut i ca l M a nu f ac t ur e rs ’ A s so c ia t io n o f S o ut h A f ri c a ( P MA ) ,a c t i n g o n b e h a l f o f t h e w o r l d ’ s f o r t y l a r g e s t p h a r m a c e u t i c a l c o m p a n i e s

( e .g . B a ye r , B r is t ol - My e rs , G l ax o- W el l co m e, M e rc k , a n d H o ff m an - LaR o c h e ) , c h a l l e n g e d t h e c o n s t i t u t i o n a l i t y o f t h e a m e n d m e n t A c t i n t h eH ig h C ou rt o f S ou th A fr ic a. A dd it io na ll y, t he P MA a rg ue d t ha t t helaw also vi olated the WTO’s TRIPS (Trade Related Aspects of I nt el le ct ua l P ro pe rt y R ig ht s) a gr ee me nt w hi ch S ou th A fr ic a w asob li ged to r esp ec t. P rom pt ed by t he s tro ng l ob by of Ph ar MA ( th eA m er i ca n P h ar m ac e ut i ca l M a nu f ac t ur e rs A s so c ia t io n ), a s w e ll a s b ym aj or p ha rm ac eu ti ca l c om pa ni es , t he U S g ov er nm en t a do pt ed t he

view that the South African law was in violation of TRIPS ands u b j e c t e d S o u t h A f r i c a t o t r a d e p r e s s u r e s .

9 Doe v. ExxonMobil Corp. , ( D D C ) N o . 0 1 C V 0 1 3 5 7 .10 O n t h i s d i s p u t e , s e e a l s o K l u g ’ s c h a p t e r i n t h i s v o l u m e .


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H ow ev er , t he l eg al c ha ll en ge o f t he P MA m et s tr on g o pp os it io nw h i c h h a d b e e n d i r e c t e d i n S o u t h A f r i c a b y a n o n - p r o f i t o r g a n i z a t i o no pe ra ti ng u nd er t he n am e o f T re at me nt A ct io n C am pa ig n ( TA C) .

U n d e r l y i n g t h e S o u t h A f r i c a n d i s p u t e w a s t h e a t t e m p t o f t h e i n d u s t r yt o p re se rv e t he c ru ci al b ou nd ar y s ep ar at in g legally protected businessint er es t s fr o m voluntary p r act ices o f co r p o r at e s o cial r es p o ns ib ilit y. Y eti t w a s p r e c i s e l y t h a t l i n e t h a t t h e T A C s o u g h t t o u n d e r m i n e , a r g u i n gt ha t t he c os t of d ru gs h ad a d ire ct i mpa ct on a cc ess t o m edi ca l ca re . Th eT A C h a s f o r m u l a t e d w h a t i t l a b e l e d a s a ‘ ‘ m u l t i - d i m e n s i o n a l ’ ’ p r o c e s sd e s i g n e d t o f o r c e t h e p h a r m a c e u t i c a l c o m p a n i e s t o r e d u c e t h e p r i c e s o f d r u g s a n d t o w i t h d r a w t h e i r l e g a l a c t i o n .

O n t h e o n e h a n d , T A C o r g a n i z e d d e m o n s t r a t i o n s a n d m a s s p r o t e s t si n f ro nt o f c or po ra te h ea dq ua rt er s a nd r el ev an t e mb as si es a cr os s t heg lo be , e nl is ti ng t he a ct iv e s up po rt o f o ve r 2 50 N GO s o ut si de S ou thA f ri c a. T h re e i n te r na t io n al N G Os w e re p a rt i cu l ar l y i m po r ta n t i n t h eg l ob a li z at i on o f t h e S o ut h A f ri c an d i sp ut e : M ed e c i ns S a ns F r on t ie r s( op er at in g i n t he U ni te d S ta te s u nd er t he n am e ‘‘ Do ct or s W it ho utB o r d er s ’’), O x fam I nt er nat io nal, and R alp h N ad er ’s Co ns u m er Pr o ject

o n T ec hn ol og y ( CP T) . T he se t hr ee o rg an iz at io ns b ec am e h ig hl yi n s t r u m e n t a l i n c o u n t e r i n g t h e l o b b y i n g e f f o r t s o f P h a r M A i n g e n e r a la nd i n u rg in g t he U ni te d S ta te s g ov er nm en t a nd t he E U t o d ro p t hes a n c t i o n s a g a i n s t t h e S o u t h A f r i c a n g o v e r n m e n t i n p a r t i c u l a r .

O n t he o th er h an d, w it hi n S ou th A fr ic a, T AC w as s ub st an ti al lya id ed b y th e AI DS L aw P ro je ct ( AL P) . Th e AL P i s a r ese ar ch a ndr e s o u r c e c e n t e r s p e c i a l i z i n g i n t h e s o c i a l , l e g a l , a n d h u m a n r i g h t s i s s u e sr e l e v a n t t o A I D S . T h e A L P i s a l s o a c o l l a b o r a t i n g c e n t e r o f t h e U n i t e d

Nations Joint Program on AIDS (UNAIDS) and a partner of theC an ad ia n H IV /A ID S L eg al N et wo rk ( CH AL N) . T he A LP i ts el f i sp ar t o f t he r ep ut ed C en te r f or A pp li ed L eg al S tud ie s ( CA LS) th atoperates at Witwatersrand University in Johannesburg. CALS providedt he TA C wi th a re sour ce ful t eam of l awy ers t ha t e ff ec ti ve ly s tr ug gl edfor the inclusion of TAC in the judicial process. Once successful in theirbid to be heard, the pharmaceutical companies withdrew theircase, fearing that the evidence provided by the TAC and i ts broad

network of affiliates would severely damage their reputation as ‘‘respon-s ib le’’ m ar ket p layers . I n t his r es pect , t he Sou th A fr ican cas e is a p rimee xampl e of t he pot ent ia l i mpac t th at wel l- or ga ni ze d c oa li ti ons ma yh ave . Wor ki ng ac ross b ord er s an d br ing in g t oge the r a n a mal ga m of concerns (health, human rights, consumerist, and humanitarian) and ab ro ad r ange o f p ar ticipant s (AI DS act iv is ts and grass ro ot s gro up s w it h

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f irs t- ra te ex pe rt s i n t he ar eas o f h ea lth a nd l aw) m ay se rve as a bl uep ri nt f orthe effective deployment of counter-hegemonic law.

S ti ll , i t i s n ot ew or th y th at , i n a ll t he e xa mp le s c it ed ab ov e, th e

t r a n s n a t i o n a l c o a l i t i o n s a r e t y p i c a l l y b a s e d o n t h e a b i l i t y o f i n d i g e n o u sgr o u p s , lo cal gr as s r o o t m o v em ent s , and act iv is t s in im p o v er is hed co u n-t ri es t o e st ab li sh d is cu rs iv e a nd o rg an iz at io na l t ie s w it h r el at iv el yr es ou rc ef ul e xp er ts a nd w it h o ft en h ig hl y p ro fe ss io na li ze d N GO s.S uc h h yb ri d c oa li ti on s a re n ot f re e f ro m t he s tr uc tu ra l c on st ra in tsi mp os ed b y a n i nc re as in gl y c or po rat iz ed a nd de -r adi ca li ze d c ivi ls oc ie ty . S ea rc hi ng f or a n or ma ti ve m et ho do lo gy f or b ot h a na ly zi nga nd f ac il it at in g c ou nt er -h eg em on ic s tr ug gl es , S an to s a rg ue s t ha t,

i ns te ad o f a t he or y t ha t u ni fi es t hi s i mm en se v ar ie ty o f s tr ug gl es a ndm o v e m e n t s , w h a t w e n e e d i s a t h e o r y o f t r a n s l a t i o n – t h a t i s , ‘ ‘ a t h e o r yt ha t r at he r t ha n a im in g a t c re at in g a no th er ( th eo re ti ca l) r ea li ty o ve ra nd a bo ve t he m ov em en ts , s ee ks t o c re at e m ut ua l u nd er st an di ng ,m ut ua l i nt el li gi bi l it y a mo ng t he m s o t ha t t he y m ay b en ef it f ro m t hee xp er ie nc es o f o th er s a nd n et wo rk w it h t he m: i ns te ad o f o ur r ar if ie dd e sc r ip t io n s t h e p r oc e du r e o f t r an s la t io n r e st s o n t h ic k d e sc r ip t io n s’’

(2002 :465).I t s e e m s t o m e t h a t s u c h a t h e o r y o f t r a n s l a t i o n m u s t t a k e h e e d o f t h ee m e r g e n t c h a r a c t e r o f c i v i l s o c i e t y o r g a n i z a t i o n s u n d e r c o r p o r a t e r u l e .

Namely, such a theory of translation must come to grips with, andi de nt if y t he p it fa ll s o f, w or ki ng f ro m w it hi n t he n on -g ov er nm en ta l-o r ganiz at io n ins t it u t io nal p ar ad igm , b ecau s e t he lat t er is heav ily b ias edt o w a r d t h e c o r p o r a t e h e g e m o n i c m o d e l o f o r g a n i z a t i o n a n d i m p l e m e n -t at io n. W he n w e s pe ak a bo ut ‘‘ tr an sl at io n, ’’ t he n, w e m us t a ls o w or ry

a bo ut t he w ay t he p er ce iv ed g ri ev an ce s o f o pp re ss ed , m ar gi na l, a ndex p lo it ed p o p u lat io ns (Sant o s ’ s u b alt er n ‘‘r es t ’’) ar e t r ans fo r m ed int o am e a n i n g f u l p o l i t i c a l a n d l e g a l v o i c e b y r e l a t i v e l y a f f l u e n t a n d s e c u r e dc a r e e r - s i t u a t e d e x p e r t s w h o o f t e n s p e a k t h e l a n g u a g e o f a n d d e p l o y t h ei n st r um e nt s o f h e ge m on i c r a ti o na l o r ga n iz a ti o na l a n d m a na g er i al s y s-t em s char act er is t ic o f co nt em p o r ar y cap it alis m .

T h e p o i n t h e r e i s t h a t , w h e t h e r w e t a l k a b o u t n a t i o n - s t a t e s , o r a b o u tm u lt inat io nal co r p o r at io ns , o r ab o u t no n- go v er nm ent al o r ganiz at io ns ,

t h e r e s e e m s t o h a v e e m e r g e d a h e g e m o n i c c u l t u r a l - i n s t i t u t i o n a l m o d e lc on ce rn in g t he ‘‘ ri gh t w ay o f d oi ng t hi ng s. ’’ T hi s r ig ht w ay o f d oi ngt hi ng s p ur po rt s t o b e d iv or ce d f ro m a ct ua l s ub st an ce a s i t d ea ls w it hm o d e l s , b l u e p r i n t s , p r o t o c o l s , p r o c e d u r e s , k e y w o r d s , a n d k e y c o n c e p t salo ne. W hen it co mes t o s tat es , as Meyer (1 9 9 7) s ho ws , a w o r ld cu ltu r alm o d e l d e t e r m i n e s w h a t a p o l i t y s h o u l d d o i n o r d e r t o l o o k l i k e a s t a t e ,


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f ro m e st ab li sh in g b or de rs , t hr ou gh t he c ol le ct io n o f s ta ti st ic s a lo ngp re de fi ne d c ri te ri a, t o a ct ua ll y f il li ng f or ms i n a c omp ete nt wa y.W he n i t c om es t o N GO s, t he y a re i nc re as in gl y e xp ec te d t o d em on -

s t r a t e t o d o n o r s t h a t t h e y a r e c a p a b l e o f i m p l e m e n t i n g p r o j e c t s b e c a u s eo f t he ir o rg an iz at io na l a nd s ki ll c ap ac it ie s, t ec hn ic al c om pe te nc e,m a na g in g s y st e ms , a n d c o st - ef f ec t iv e ne s s c a pa b il i ti e s. I n f a ct , r e ga r d-l es s o f s ub st an ti ve g oa ls , m an y N GO s r es em bl e t he ir c or po ra te c ou nt er -p a r t s i n t h e i r r e l i a n c e o n e x p e r t s a n d k n o w l e d g e s y s t e m s , i n t h e i r d r i v et o p er fo rm w el l i n t er ms o f e co no mi c s us ta in ab il it y. I n a m os t g ro un de ds e n s e o f e v e r y d a y l i f e , m a n y N G O s r e s e m b l e t h e i r c o r p o r a t e p o w e r s i nt h e i r d e d i c a t i o n t o t h e P o w e r P o i n t w a y o f f r a m i n g p r o b l e m s , s o l u t i o n s ,

a n d a l l w h i c h i s i n b e t w e e n t h e m .I n s o cio lo gical t heo r y, G o u ld ner ’s (1979) c o n c e p t o f t h e ‘ ‘ n e w c l a s s ’ ’

p ro vi de s s om e u se fu l t oo ls f or i de nt if yi ng t he e le ct iv e a ff in it ie s b et we enb us in es s c on ce rn s a nd s oc ia l r es po ns ib il it y c on ce rn s, o r b et we en t hec on ce rn s o f t he ‘‘ ex cl ud ed ’’ ( th e p oo r a nd t he s uf fe ri ng ) a nd t he c on -c e r n s o f t h e ‘ ‘ i n c l u d e d ’ ’ ( t h e p o s t - m a t e r i a l c o n c e r n s o f a f f l u e n t c i t i z e n sa nd c on sum ers ). No w o ne n eed n ot a cc ep t th e wh ol e t he or et ic al

p ac ka ge d ev el op ed b y G ou ld ne r i n o rd er t o c on si de r t he ‘‘ ne w c la ss ’’a s a u s e f u l h e u r i s t i c d e v i c e . I n c o n c e p t u a l t e r m s , G o u l d n e r s p o k e o f ahet er o geneo u s s t r at u m co m p o s ed o f int ellect u als and t echnical int elli-g e n t s i a w h o s e c o n t r o l o v e r e x p e r t - b a s e d k n o w l e d g e s e r v e s a s i t s s o c i a lc a pi t al , p r ov i de s i t s f o un d at i on f o r c l ai m s o f p r es t ig e a n d a u th o ri t y, a n de qu ips i t wi th a general m a na g er i al - ty p e o r ie n ta t io n t o s o ci a l a c ti o n.T hi s g en er al o ri en ta ti on c on si st s o f t he b el ie f t ha t e xp er ts c an s ol ve‘ ‘ t h e f u n d a m e n t a l r e q u i s i t e s o f t h e u n i v e r s a l g r a m m a r o f s o c i a l r a t i o n -

a li ty : t o r eu ni te b ot h p ow er a nd g oo dn es s’’ ( Go ul dn er 1979: 86 ). Y ett hi s g en er al o ut lo ok m ay f in d v er y d if fe re nt e xp re ss io ns . I t m ay r el at e t ot h e r a t i o n a l i n v e s t m e n t o f c a p i t a l a n d t o t h e o r i e s o f s c i e n t i f i c m a n a g e -m e n t , t o m o v e m e n t s f o r g o v e r n m e n t a l r e f o r m , t o t h e d r i v e t o u s e b r a i nt ru st s a nd e xp er ts i n p ub li c p ol ic y, a nd t o c on ce rn s w it h c on su me rrights, human rights, and environmental issues (Gouldner1979: 1 6 – 1 7 ) . I t m a y r e l a t e , i n o t h e r w o r d s , t o b o t h c o r p o r a t e - i n s p i r e db e l i e f s i n s e l f - r e g u l a t o r y C S R ( a d v o c a t e d b y e x p e r t s l o c a t e d i n M N C s

a n d M a N G O s ) a n d t o c o u n t e r - h e g e m o n i c p r e s s u r e s t o s u b j e c t M N C st o a n e nf or ce ab le l eg al f ra me wo rk ( ad vo ca te d b y e xp er ts l oc at ed i ns o - called co nfr o nt at io nal N G O s ). H ence, t o s o m e ex t ent , t he s t r u gglesi n t he C SR f ie ld , i ncl udi ng a t l ea st s om e wh ich ar e s ubs ta nt ive lyc on fr on ta ti on al a nd s ee k t o i mp os e a n e nf or ce ab le r eg im e o f d ut ie so n m ul ti na ti on al c or po ra ti on s, a re s tr ug gl es t ha t t ak e p la ce b et we en

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d if fe re nt f ra gm en ts a nd f ac ti on s o f t he n ew c la ss . T hu s, a bo ve a ndb e y o n d s u b s t a n t i v e d i s a g r e e m e n t s a n d o v e r t e t h i c a l a n d p o l i t i c a l c o n -f li ct s, t he i nh er en t t en si on s b et we en v ar io us f ac ti on s o f t he n ew c la ss o r

b et we en c on fl ic ti ng i ns ti tu ti on al p os it io ns o cc up ie d b y m em be rs o f t hi sc la ss a re o ft en d ea lt w it h a nd f ra me d i n t er ms o f a s ci en ti fi c, e xp er t-b as ed , p r o fes s ional- manager ial language.

I n t h i s s e n s e a t l e a s t , s o m e N G O s a r e a b l e t o b e c o m e k e y p l a y e r s i nw or ld p ol it ic s b ec au se t he y s pe ak t he s am e l an gu ag e a s t ha t o f t he irc o rp or a te c o un t er p ar t s, b e ca u se t h ey e m pl o y s i mi l ar m e th o ds o f j u st i -f ic ati on , a nd be ca us e t he y de pl oy si mi la r mo de ls of a ct ion . In t hi sregard, part of the effort to develop what Santos calls a theory of

t r an s la t io n r e qu i re s c o ns t an t a t te n ti o n t o t h e c o ns t ra i nt s i m po s ed b yh e ge m on i c m o de l s o f o r ga n iz a ti o na l a c ti o n a n d h e ge m on i c l a ng u ag e so f e x p e r t i s e . W i t h i n t h i s c o n f i g u r a t i o n , m a n y N G O s a s s u m e t h e t a s k o f ‘‘ no rm al iz in g’’ t he q ua li ty o f l if e a t t he s oc ie ta l l ev el b y t he m ea nsa v a i l a b l e t o t h e n e w c l a s s : f r a m i n g a m o r a l d i s c o u r s e a s a n i m p e r a t i v et ha t h as t o b e r at io na li ze d, l eg al i ze d, c od if ie d, a nd r eg ul at ed . A t p re -s en t, t he m os t r ea di ly a va il ab le m ea ns t o t ha t e nd i s t he l an gu ag e o f

so ci al a nd h uma n ri gh ts. H owe ve r, t hi s l ang ua ge i s i nc rea si ng lyd e p l o y e d b o t h b y t h a t f a c t i o n o f t h e n e w c l a s s t h a t n u r t u r e s m o d e l s o f s elf- r egu lat io n and b lu ep r int s o f co r p o r at e go v er nance and t hat fact io nof t he n ew c la ss th at s eek s t o t ra ns for m t hi s l an gua ge i nt o a s et of l eg al lyg ua ra nt ee d a nd s an ct io ne d g oo ds s uc h a s a cc es s t o h ea lt h, e du ca ti on ,h ou si ng , c on su me r a nd e nv ir on me nt al p ro te ct io n, a nd p ur po se fu ll yr ed is tr ib ut iv e, s us ta in ab le d ev el op me nt . W e c an t he re fo re o bs er vet h a t h e g e m o n i c e c o n o m i c g l o b a l i z a t i o n i s t h e v e r y f o r c e t h a t p r o d u c e s

i t s d i al e ct i c s o ci a l c o un t er p ar t , a l th o ug h o f c o ur s e t h e f u tu r e i m pl i ca -t io ns o f t hi s p ro ce ss c an no t b e d et er mi ne d a t t hi s h i st or ic al m om en t.At th e sa me t im e, th e st ud y o f c ou nte r-h eg emo ni c mo ve men ts i nl a w s h o u l d b e e m b e d d e d w i t h i n t h e c o n t e x t o f a s o c i a l t e r r a i n m o n o -p ol iz ed b y M N Cs a t b o th t he s ub st an ti ve a nd t he f or ma l- or ga ni za ti on all e v e l s . T h i s , a f t e r a l l , i s t h e s e n s e i n w h i c h w e t a l k a b o u t h e g e m o n y i nt h e f i r s t p l a c e .

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B a u m a n , Z y g m u n t . 2 0 0 2 . Society under Siege. C a m b r i d g e : P o l i t y P r e s s .B e ck , U l ri c h , A n t h on y G i d de n s , a n d S c ot t L a s h. 1 9 94 . Reflexive Modernization:

Politics, Tradition and Aesthetics in the Modern Social Order. S ta nf or d:Stanford University Press.

B o l l i e r , D a v i d . 1 9 9 6 . Aiming Higher. N e w Y o r k : A m a c o m .


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Boltanski, Luc, and Eve Chiapello. 2002. ‘‘The New Spirit of Capitalism.’’ Paper

p re se nt ed t o t he C on fe re nc e o f E ur op ea ni st s, M ar ch 1 4– 16, 2 002 , C hi ca go .B o u r d ie u , P i e r re , et al. 1 99 9. ‘‘ Th e A bd ic at io n o f t he S ta te .’’ P p. 1 81 –1 88 i n

The Weight of the World: Social Suffering in Contemporary Society, e di te d b yPi er re Bo ur di eu , Pr is il la P ark hu rst Fe rg usa n, a nd Al ai n A cc ar do.S t a n f o r d : S t a n f o r d U n i v e r s i t y P r e s s .

C a s t r o , B a r r y . 1 9 9 6 . Business and Society: A Reader in the History, Sociology andEthics of Business. N e w Y o r k : O x f o r d U n i v e r s i t y P r e s s .

C h o m s k y , J u d i t h B . 2 0 0 2 . ‘ ‘ F i g h t i n g f o r J u s t i c e A b r o a d T h r o u g h L i t i g a t i o n a t

H om e: M ul ti na ti on al s i n U S C ou rt s. ’’ P ap er p re se nt ed a t t he 2 00 2M e e t i n g o f t h e L a w a n d S o c i e t y A s s o c i a t i o n , V a n c o u v e r , C a n a d a .

Dav idsson, Pall A. 2002. ‘‘Leg al Enforcem ent of Corpora te Social

R e s p o n s i b i l i t y w i t h i n t h e E U . ’ ’ Columbia Journal of European Law 8:529.D e Wi n te r , R e be c ca . 2 0 01 . ‘‘ T he A n ti - Sw e a ts h op M o ve m en t : C o ns t ru c ti n g

C or po ra te M or al A ge nc y i n t he G lo ba l A pp ar el I nd us tr y. Ethics andInternational Affairs 15:99–115.

D ic ke rs on , C la ir M oo re . 2 00 2. ‘‘ Hu ma n R ig ht s: T he E me rg in g N or m o f

C o r p o r a t e S o c i a l R e s p o n s i b i l i t y . ’ ’ Tulane Law Review 76:1431.E ll wo od , W ay ne . 2 00 2. The No Nonsense Guide to Globalization. L on do n:

Verso.

G o u l d n e r , A l v i n W . 1 9 7 9 . The Future of the Intellectuals and the Rise of the NewClass. O x f o r d : O x f o r d U n i v e r s i t y P r e s s .

Harvar d Law Revie w. 2001. ‘‘Corpo rate Liability for Viola tions of I n t e r n a t i o n a l H u m a n R i g h t s L a w . ’ ’ Harvard Law Review 114:2025.

H el d, D av id . 2 00 2. ‘‘ Gl ob al iz at io n, C or po ra te P ra ct ic e a nd C os mo p ol it a n

Social Standards.’’ Contemporary Political Theory 1:59–78.Keck, Margaret and Kathryn Sikkink. 1999. Activists Beyond Borders: Advocacy

Networks in International Politics. Ithaca: Cornell University Press.

K le in , N ao mi . 1 99 9. No Logo: Taking Aim at the Brand Bullies. N ew Y or k:Picador.

K u n d a , G i d e o n . 1 9 9 2 . Engineering Culture: Control and Commitment in a High-Tech Corporation. P h i l a d e l p h i a : T e m p l e U n i v e r s i t y P r e s s .

M e ye r , J o hn , et al. 1 99 7. ‘‘ Wo rl d S oc ie t y a nd t he N at io n S ta te .’’ American

Journal of Sociology 103:144–181.P a rk e r , C h ri s ti n e. 2 0 02 . The Open Corporation: Effective Self-Regulation and

Democracy. C a m b r i d g e : C a m b r i d g e U n i v e r s i t y P r e s s .S a n t o s , B o a v e n t u r a d e S o u s a . 2 0 0 2 . Toward a New Legal Common Sense: Law,

Globalization and Emancipation. L o n d o n : B u t t e r w o r t h s .

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S h a m i r , R o n e n . 2 0 0 4 a . ‘ ‘ B e t w e e n S e l f - R e g u l a t i o n a n d t h e A l i e n T o r t C l a i m s

A ct : O n t he C on te st ed C on ce pt o f C or po r at e S oc ia l R es po ns i bi li ty .’’Law and Society Review 3 8 : 4 .

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2 00 4b . ‘‘ Mi nd th e G ap – Th e Co mm od if ic at io n o f Co rpo ra te S oc ia l

R e s p o n s i b i l i t y . ’ ’ U n p u b l i s h e d m a n u s c r i p t .f o r t h c o m i n g . ‘ ‘ S o u t h A f r i c a a n d t h e P h a r m a c e u t i c a l I n d u s t r i e s : A T e s t f o r

C or po ra te S oc ia l R es po ns ib il it y. ’’ I n Global Perspectives on CauseLawyering , edited by Austin Sarat and Stuart Schei ngold. Oxford :O x f o r d U n i v e r s i t y P r e s s .

S kl ai r, L es li e . 1 99 5. The Sociology of the Global System. B al ti mo re : J oh nsH o p k i n s U n i v e r s i t y P r e s s .

1 99 7. ‘‘ So ci al M ov em en ts f or G lo ba l C ap it al is m: T he T ra ns na ti on al

C ap it al is t C la ss i n A ct io n .’’ Review of International Political Economy4:514–538.

Ta yl or , L uc y. 1 99 9. ‘‘G lo ba li za ti on a nd C iv il So ci et y – Co nti nu it ie s,

A m b ig u it i es a n d R e al i ti e s i n L a ti n A m er i ca . ’’ Indiana Journal of GlobalLegal Issues 7:269–295.

W es tf ie l d, E li sa . 2 00 2. ‘‘ Gl ob al iz a ti on , G ov er na nc e , a nd M ul ti na ti on alE nt er pr is e R es po ns ib il it y: C or po ra te C od es o f C on du ct i n t he 2 1s tCentury.’’ Virginia Journal of International Law 42:1075.

W i ns t on , M o rt o n. 2 0 02 . ‘‘ N GO S t ra t eg i es f o r P r om o ti n g C o rp o ra t e S o ci a lResponsibility.’’ Ethics and International Affairs 16:71–87.


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CHAPTER 5

CAMPAIGNING FOR LIFE: BUILDING A NEWTRANSNATIONAL SOLIDARITY IN THE FACE

OF HIV/AIDS AND TRIPS

Heinz Klug *

5.1 INTRODUCTION

In a dramatic display of political astuteness, six hundred volunteers

under the banner of the Treatment Action Campaign, a non-govern-ment organization dedicated to ensuring access to treatment for themillions of South Africans infected with HIV/AIDS, commemoratedhuman rights day in South Africa in 2003 by marching on the samepolice station at Sharpeville where anti-apartheid protestors had beengunned down on March 21, 1960. Symbolizing the number of SouthAfricans dying each day from HIV/AIDS-related illnesses, the demon-strators demanded that the government immediately agree to establish

an antiretroviral treatment program in the public health sector. At thesame time, fellow TAC protestors in Durban and Cape Town high-lighted the urgency of their demands by laying formal charges of culpable homicide against the Minister of Health as well as theMinister of Trade and Industry whom they accused of negligently fail-ing to act and thus of causing the deaths of thousands of AIDS sufferers.

This campaign reflects a situation in marked contrast to the daynearly a decade before in May 1994, when Nelson Mandela, in his first

official exercise of power as President of South Africa, announced thatfree health services must be provided to all children under the age of sixand to pregnant women. Yet, unlike the over forty-year struggle against

* Research for this article was based in part on support gratefully received from the University of Wisconsin Graduate School.

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apartheid, within a year the government had conceded that the publicsector must provide treatment and was instead embroiled in a debateover the pace of implementation of the promised program. While it is

indeed sad, as the Reverend Douglas Torr, the Anglican priest who ledthe TAC marchers in prayer at Sharpeville told the crowd, ‘‘that thosewho fought to liberate South Africa from apartheid needed to fightagain,’’ this paper argues that this new social movement, built in thecontext of the HIV/AIDS pandemic and in response to the extremedisparities in access to affordable medicines, has provided the impetusfor a new transnational solidarity which has important implications farbeyond South Africa and the immediate struggle for treatment.

In his opening address to the 13th International AIDS Conferencein Durban, South Africa, in July 2000, Judge Edwin Cameron of theHigh Court of South Africa, claimed to embody in person ‘‘the injusticeof AIDS in Africa.’’ Cameron pointed out that he could live ‘‘onlybecause, on a continent in which 290 million Africans survive on lessthan one US dollar a day, I can afford medication costs of about $400per month.’’ Accusing manufacturers of imposing prices which made

drugs ‘‘unaffordably expensive,’’ Cameron noted that the internationalpatent and trade regime prevents the production and marketing of affordable drugs – despite earlier experience in India, Thailand, andBrazil, which he argued demonstrates the feasibility of producing keydrugs at costs that would be within reach of the developing world. Yetthe global brand-name pharmaceutical industry seemed to remain deaf to these arguments and continued to insist that the cost of patenteddrugs is directly proportional to their research and development expen-

ditures which they argue guarantee the innovation necessary to pro-duce future generations of miracle drugs. However, a growingmovement of solidarity between HIV/AIDS activists, and health, con-sumer, and development-oriented NGOs, as well as cooperation amongdeveloping countries in international fora, brought increasing pressureto bear on both the companies and first world governments, leadingover a four-year period to a dramatic reduction in the internationalprices of HIV/AIDS medications, including antiretroviral therapies.

The international framework for patent rights evolved rapidly in thelate twentieth century. Historically, the protection of patent rights,while pursued internationally through the adoption of internationalagreements, was fundamentally a prerogative of national sovereignty.In fact, before the issue was put on the agenda at the Uruguay Round of trade talks in 1986, approximately forty states did not issue patents for

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pharmaceuticals, leading in some countries to a proliferation of copies of patented drugs. At the international level, the Paris and BerneConventions impose only very general rules guaranteeing national treat-

ment, but not the protection of all intellectual property rights. Theinternational regime of intellectual property protection prior to 1994provided no guarantee of protection for intellectual property-intensiveindustries; instead, its protection depended upon the rights each jurisdic-tion offered its own citizens. Switzerland, for example, benefited fromparticipation in the Paris Convention yet refused to issue patents domes-tically until 1887. This ensured that Swiss corporations received thesame protection for their intellectual property rights as local companies

in other member states, yet Switzerland provided no protection of patentrights in its territory at all. So long as both Swiss and foreign corporationswere denied protection equally, Switzerland remained true to its obliga-tions under the treaty (Moy 1993). In other cases, such as India, patentlaw distinguished between different sectors and in the case of pharma-ceuticals provided only process and not product patents, thus enablinggeneric manufacturers to reverse engineer patented drugs and legiti-

mately produce the same product so long as they worked out a differentproduction process. It was in this context that the intellectual property-intensive industries sought some minimum protection of their rights, andin the negotiations over TRIPS focused on creating a new internationalregime (see Ryan 1998; Sell 2003).

Despite adoption of the 1970 Patent Cooperation Treaty, increasingthe World Intellectual Property Organization’s (WIPO) institutionalcapacity to provide technical support services to national patent

offices, the pharmaceutical industry continued to complain about com-mercial losses they attributed to the weakness of intellectual propertyrights protection, particularly in newly industrializing countries. For thepharmaceutical industry the goal was the establishment of minimumstandards of patent protection allowing the increasingly multinationalcorporations that dominate the industry to operate in a single globalmarket. The minimum standards now recognized under TRIPS repre-sent important gains for the industry, including: an extended period of

protection – to twenty years; the requirement that all technologiesreceive equal treatment – precluding lesser protection for pharmaceu-ticals; and limits on compulsory licensing.

For the brand-name industry, however, this is just the beginning asthey continue to strive for what is often termed TRIPS-plus. Thesegoals include: a complete ban on compulsory licensing and parallel

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imports; pipeline protection for inventions still under development;no early registration or stockpiling of generics prior to the terminationof the patent period; and liberal rules allowing for patent extension.

While the pharmaceutical companies assert that the protection of theirintellectual property rights is an essential prerequisite to the continuingdevelopment of life saving drugs, the reality for the majority of peoplearound the world is that they cannot afford to enter the private marketand instead rely on their national public health services to address theirhealth needs.

It is the tension between specific local needs, in this case the need toprovide access to affordable medicines, and the international commit-

ments developing countries must make in order to participate in theglobal economy that highlights the significance of the struggle toreconstitute international solidarity. Bringing together civil society,developing country governments as well as international non-governmental organizations, this new movement aims both to pressurestates and to empower them to demand a rebalancing of the socialneeds of their citizens and the claims of ‘‘economic globalization.’’

Using the case of South Africa’s need to obtain affordable medicinesand surveying the international debate over the interpretation of theTRIPS agreement, this paper will argue that the emergence of a globalHIV/AIDS pandemic has fundamentally transformed the contextwithin which this debate is being carried out.

Furthermore, I will argue that the struggle over access to affordablemedicines is providing an hospitable arena within which to demand areasonable balance between social needs and claims based on the assertion

of property rights. While demands for access to medicines are empoweredby the emergence of a new social movement in the face of the HIV/AIDSpandemic, producing major concessions from both the global pharmaceu-tical industry and developed countries such as the United States, theseconcessions have thus far been limited to voluntary price reductions andagreement on a highly complex exception to the limitations on compul-sory licensing contained in TRIPS. Changes, both at the domestic level inresponse to social activism and at the international level, provide exam-

ples of how increased solidarity between social movements across theworld and between developing countries, may achieve the desperatelyneeded reconfiguration of, on the one hand, the social needs of citizens,which can only be adequately addressed by the provision of public goods,and, on the other hand, the demands of private rights claimants who relyon public guarantees of their property to exercise market power.


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5.2 CHANG ING THE FACE OF SOUTH AFRICA

South Africa’s democratic transition was marked by the embrace of

constitutionalism as a means of both facilitating and guaranteeing thecreation and consolidation of a democratic state (Klug 2000). Given ahistory of racially structured deprivation the African NationalCongress (ANC) recognized that a commitment to constitutionallyenshrined civil rights would merely entrench the economic distribu-tions of apartheid unless supplemented by a commitment to at least thebasic guarantees of socio-economic rights. In addition to these consti-tutional commitments, the new government began to implement its

Reconstruction and Development Programme (RDP) on which it hadcampaigned for election. The essence of the RDP was a strategy toachieve economic growth and development through the redistributionof social resources. The RDP thus contained the dual goals of seeking toaddress the basic inequalities in social distribution legally enshrined byapartheid as well as promoting policies geared toward economic expan-sion which would be key to absorbing the vast numbers of unemployedand underemployed people who had been marginalized during theapartheid era.

In the health sector, the RDP immediately established a Presidentiallead project to provide free health services to children under six andpregnant women, while the ANC’s National Health plan envisaged abroader goal of making ‘‘basic health care available to all SouthAfricans, giving priority to the most vulnerable groups.’’ Emphasizing‘‘[m]aternal and child care, the protection of the environment, services

in the rural areas, women’s health and the care of the disabled,’’ theplan also promised that there would be ‘‘a focus on the prevention andcontrol of major risk factors and diseases, especially AIDS, tuberculosis,measles, gastro-intestinal disease, trauma, heart disease and commoncancers’’ (ANC 1994b). This policy process was capped with theadoption of the ‘‘final’’ 1996 Constitution which guarantees, amongother socio-economic rights, the right to have access to ‘‘health careservices’’ (section 27(1)(a)).

Introducing a constitutional right to health in a context of vastinequality and limited resources soon produced a tragic but classicconfrontation between the health authorities and a patient whorequired access to renal dialysis in order to prolong his life. When thecase Soobramoney, reached the Constitutional Court in 1997, the courtdrew a distinction between the right not to be refused emergency

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medical treatment in terms of section 27(3) and the progressive realiza-tion of the right to health care guaranteed in section 27(1). RejectingSoobramoney’s claim of a right to receive treatment, the

Constitutional Court in effect recognized that certain medical deci-sions – in this case the decision to limit access to those patients whosemedical condition made them eligible to receive kidney transplants –are best made by medical personnel and should not be second-guessedby the courts.

Subsequently, in a challenge to the government’s limited provisionof Nevirapine to prevent mother-to-child transmission of HIV (TAC,2001), the Constitutional Court rejected the government’s attempt to

draw an analogy between the ‘‘medical decision’’ in Soobramoney andthe question of whether Nevirapine should be made available beyondthe eighteen test sites established by health authorities. While themedical status of individuals who need kidney transplants is clearly amedical question, the court held that the issue of whether public sectordoctors may prescribe a registered drug where medically indicated isnot. Even if the relationship between the availability of donated kid-

neys and the possibility of a successful transplant, as determined by thehealth of the donee, may be considered a medical question, the issue of whether it makes sense to provide a particular patient or group of patients with a particular treatment is not solely a medical judgment.Where the public sector is failing to provide a particular treatmentregime, medically indicated and available in the private sector, thenthe issue is clearly one of health policy and resources and thus impli-cates the progressive realization of the right to health care services. The

court’s decision to require the government to extend the provision of Nervirapine throughout the public health system represented a majorsuccess for civil society and legal strategies to enforce socio-economicrights.

5.3 THE PHARMACEUT ICAL SECTOR AND THE STRUGGLE

FOR AFFORDABLE MEDICINES

The structure of South Africa’s pharmaceutical industry as well as thepharmaceutical supply system is particularly marked by the legacy of apartheid. While the industry is dominated by subsidiaries of the multi-national pharmaceutical corporations, the market this industry isgeared to serve reflects the apartheid divide. Although the highestvalue for the industry lies in supplying the small, predominately


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white, middle class who are served by the private health system, thevast bulk of drugs produced are distributed through the public healthsystem. Yet this latter segment represents only a fraction of the value of

the industry’s sales, since the government purchases in bulk and obtainssubstantial discounts from the manufacturers.

Thus, although pharmaceutical firms made only a small profit on thesupply of drugs to the public system, they were able to charge relativelyhigh prices to private consumers. While the high cost of drugs in theprivate market might have been mediated by the introduction of generics, the very structure of the South African market discouragedgeneric drug manufacturers from entering the market. Brand manufac-

turers thus provided the bulk of the drugs consumed in the country,either to the public sector at close to generic prices, or directly to theprivate market. While this bifurcated structure of the pharmaceuticalmarket reflected the old apartheid system, where the majority of thoseserved by the public sector had little or no political power, the newgovernment’s goal of broadening access to health care by integratingthe public and private health care systems changed this equation. This

is particularly the case in relation to the supply of medicines: the goal of improving standards through the creation of a greater public–privatepartnership tied to ideas of equalization and cross-subsidization throughsome form of social or national health insurance program based on thegoal of sharing costs – possibly including a more extensive system of co-payments – makes the cost of medicines in the marketplace a centralconcern to the new system.

In response to this situation, the new government published a

National Drug Policy in January 1996. As a way of attacking thecomparatively high cost of drugs in the South African market, thenew policy promoted the use of generic drugs and suggested severalways to reduce unacceptably high retail prices, including allowing thestate to facilitate the availability of affordable drugs in the privatesector. It was this policy imperative that led to the passage of theMedicines and Related Substances Control Amendment Act inDecember 1997 (Act 90 of 1997), with the aim of bringing down the

cost of medicines. Although the new Act was designed to fundamen-tally change the distribution practices of the pharmaceutical manufac-turers – prohibiting, for example, industry employees from serving onthe Medicines Control Board, and blocking manufacturers and whole-salers from providing bonuses, rebates, or other incentives to doctors –the key feature of the Act was the ‘‘measures to ensure supply of more

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affordable medicines.’’ These measures included empowering theMinister of Health ‘‘to prescribe conditions for the supply of moreaffordable medicines . . . so as to protect the health of the public . . .

notwithstanding anything to the contrary in the Patents Act,’’ and to‘‘prescribe the conditions on which any medicine which is identical incomposition, meets the same quality standard and is intended to havethe same proprietary name as that of another medicine already regis-tered in the Republic,’’ may be provided. The effect of these provisionswould have been to allow the parallel importation of medicines, gen-eric substitution without the consent of the prescriber, and even com-pulsory licensing.

While the amendments to the Medicines Act were initially viewedas a simple adoption of World Health Organization (WHO) recom-mended measures to improve access to essential medicines, the chan-ging health conditions as well as the growing international conflictover the implementation of TRIPS and the expanded protection of patent rights suddenly placed these reforms under the internationalspotlight. At the same time, the new government’s changing economic

policies, from a domestic focus on reconstruction to a focus on globalreengagement, including a full embrace of the World TradeOrganization (WTO) and TRIPS, heightened the sensitivity of thegovernment to external pressure, particularly when these pressuresseemed to directly threaten the policy of attracting foreign capitaland increasing industrial capacity domestically as a means of supplyingthe regional or even the continental market. These changing circum-stances were further intensified by the recognition in 1996 that anti-

retroviral therapies had the potential to dramatically transform theprofile of the HIV/AIDS pandemic from a death sentence to a chronicbut manageable illness. The simultaneous advent of these develop-ments, including changes in economic policy and law as well as theexploding HIV/AIDS epidemic, set the stage for a protracted confron-tation with ramifications in both the domestic and the internationalarenas.

5.4 GLOBAL COMMITMENTS AND DOMESTIC RESPONSES

During the final stages of South Africa’s negotiated transition todemocracy, the African National Congress agreed to join the govern-ment’s delegation participating in the Marrakesh Conference whichconcluded the Uruguay Round of multilateral trade negotiations.


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South Africa, long excluded from international multilateral meetings,signed the treaty (WTO 1994) creating the WTO, and accepted theTRIPS agreement, on April 15, 1994. Thus, while April 1994 marks

the moment of South African national self-determination, it alsomarked its reentry as an active participant in the international eco-nomic arena through its participation as a founding member of theWTO. As an official in the Department of Trade and Industry laterremarked, ‘‘South Africa was a founding member of the GATT andwould of course embrace all the obligations included in the new inter-national trading system’’ (author’s interview, Pretoria, 1999).Endorsing this self-image as a bastion of free trade, despite the very

recent history of international sanctions against apartheid, the SouthAfrican government, merely days before the country’s first democraticelections, eschewed the special transitional provisions for developingcountries and accepted the immediate implementation of the agreement.The advocates of free trade believed that this early adoption wouldenhance South Africa’s comparative advantage at the moment it wasreentering the global economy and hoped for a wave of post-apartheid

foreign investment. However, it was precisely this enthusiasm, reflectingthe general confidence of a successful political transition, which led thecountry to immediately embrace all the commitments of the WTOagreement, including those contained in TRIPS, and which soonembroiled the new government in its first major internationalcontroversy.

South Africa’s attempt to improve access to essential medicines bycreating a more competitive market by considering parallel importa-

tion and even compulsory licensing soon attracted the attention of theinternational pharmaceutical industry and the US government inparticular (see Bond 1999). In fact, the US government was active inthe debate from very early on, with the United States TradeRepresentative (USTR) writing a letter to South Africa’s United

Nations representative in April 1997 querying South Africa’s imple-mentation of TRIPS and raising questions about compulsory licensing.By the time the amendment Bill was before parliament, US opposition

was already evident; the US embassy in Pretoria presented the USgovernment’s views at a parliamentary hearing on the proposed amend-ments, while the US ambassador to South Africa made frequent publicand private statements against the legalization of parallel imports.

Within two months of the amendment Act’s adoption, thePharmaceutical Research and Manufacturers of America (PhRMA)

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requested the USTR to designate South Africa a priority country undersection 301 of the United States Trade Act of 1974 because ‘‘SouthAfrica has become a ‘test case’ for those who oppose the US govern-

ment’s long-standing commitment to improve the terms of protectionfor all forms of American intellectual property, including pharmaceu-tical patents’’ (Consumer Project on Technology, 1999). Bristol-MyersSquibb (BMS) specifically complained about South Africa’s decision topermit registration of a generic form of the cancer drug Paclitaxel (BMSbrand name Taxol), an issue which the USTR took up during a WTOTrade Policy Review of South Africa a year later in Geneva. Onemonth later, on May 1, 1998, the USTR put South Africa on the

Special 301 Watch List. In June 1998, the Clinton administrationannounced that four items for which South Africa had requestedpreferential tariff treatment under the Generalized System of Preferences program would be put on hold until adequate progresswas achieved in the protection of intellectual property rights inSouth Africa. At the end of October 1998, the United StatesCongress passed an omnibus appropriations Bill containing provisions

cutting off US aid to the South African government pending aDepartment of State report outlining its efforts to ‘‘negotiate the repeal,suspension, or termination of section 15(c) of South Africa’s Medicinesand Related Substances Control Amendment Act No. 90 of 1997.’’

The local response to the Medicines Act was led by thePharmaceutical Manufacturers’ Association of South Africa, whichfiled suit on behalf of forty-two parties, including local companies,subsidiaries of transnational corporations, and the multinational cor-

porations themselves, challenging the constitutionality of the 1997amendment to the Medicines Act. They made a number of constitu-tional claims but argued most specifically that the Act’s provisions,which empower the government to determine the extent to whichrights granted under a patent in South Africa shall apply, and whichallow the Minister of Health to prescribe conditions for the supply of more affordable generic medicines, together deprived owners of intel-lectual property in the affected pharmaceutical products and thus of

their constitutionally protected property rights.Significantly, the domestic litigation initiated in this case, facilitated

by the financial resources of the multinational corporations, took on aform unique in the South African context. The plaintiffs engaged amajor private law firm, and state attorneys soon found themselvescompletely snowed under with the volume of filings and alternative


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lines of attack (author’s interview, 1999). Not only did the plaintiffsinitiate the litigation with a request for an interim interdict preventingthe law from being implemented, they soon followed with a series of

claims in alternative fora – to the Public Protector and theCompetition Board – respectively challenging government statementsabout the high cost of drugs and calling for an inquiry into an allegedanti-competitive attempt by pharmaceutical distributors to create ajoint company to engage in the parallel importation allowed underthe Act.

In a notice of motion filed in the High Court of South Africa(Transvaal Provincial Division) in Pretoria on February 18, 1998, the

plaintiffs articulated an extraordinary array of claims against the Act’svalidity. In addition to asserting that the Act violated their patentrights as well as South Africa’s legally incorporated international obli-gations under TRIPS, the plaintiffs claimed that the powers granted theMinister of Health amounted to an unconstitutional delegation of legislative authority to the executive because it failed to set out policyconsiderations or guidelines that would limit the Minister’s power. The

plaintiffs also charged that various provisions of the amendment Actwere unconstitutional as they violated the basic values and principlesgoverning public administration included in section 195 of theConstitution. As if this was not enough, the plaintiffs then argued inthe alternative that the Act conflicted with the legislature’s constitu-tional obligations to take into consideration the recommendationsmade to the Portfolio Committee on Health and the SelectCommittee on Social Services in the National Council of Provinces –

South Africa’s second chamber – requesting in the process that thelegislature transmit to the Constitutional Court a transcript of all theproceedings on the Bill which preceded the passage of the Act. In herfounding affidavit, M. T. Deeb, Chief Executive Officer of thePharmaceutical Manufacturers Association, argued that section 15Cwas in conflict with the TRIPS agreement and went so far as to claimthat ‘‘Parliament ought not to have made a law which is in conflict withSouth Africa’s international obligations’’ (Deeb 1998a:para. 10.2.5).

This linking of the domestic constitutional claim with internationaltrade issues continued when in a supplementary affidavit to the plain-tiff’s amended particulars of claim filed on July 23, 1998, Deeb arguedthat the USTR’s placing of South Africa on the Special 301 Watch List‘‘demonstrates that the provisions in the Amended Act which affectintellectual property are seen to be at least potentially in conflict with

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South Africa’s international obligations and hence I submit that itcannot be regarded as being in the public interest as it may lead tothe imposition of sanctions against this country and in fact may already

have led to an undermining of investor confidence in South Africa’’(Deeb 1998b:para. 20.6).

5.5 BALANCING INTERNATIONAL COMMITMENTS

AND FORA

This threat of wider economic repercussions highlights the conflictbetween the domestic initiative to reduce drug prices and the global

environment in which the policy was reflected. It is also important torecognize that even at the international level there are often tensionsbetween the approaches taken by different government departments intheir pursuit of different policies. While the 1997 amendment putSouth Africa into a direct bilateral trade conflict with the UnitedStates, these tensions were not confined to the trade arena but alsosurfaced at the World Health Assembly (WHA, the governing body of

the WHO) where South Africa was active in trying to reshape thedebate over patent protection for pharmaceuticals. At the same time,South Africa’s leadership in the WHA was in stark contrast to thegovernment’s unilateral decision not to implement the law – pendingfurther legal proceedings – and the growing policy conflict over thegovernment’s response to HIV/AIDS, which included questioning thevery biomedical basis of the epidemic. Here the law may be seen to besimultaneously facilitating, delaying, and providing a space for different

players to achieve a variety of goals in their struggles: to gain access toaffordable medicines; to further particular economic policies; or toprotect their property interests.

At the end of April 1999, the USTR scheduled an ‘‘out-of-cycle’’review for South Africa under Special 301, arguing that South Africa’sbarriers to trade included: parallel imports; compulsory licensing; regis-tration of generic forms of Taxol; and taking a leading role at the WorldHealth Assembly. According to the USTR: ‘‘During the past year,

South African representatives have led a faction of nations in theWorld Health Organization (WHO) in calling for a reduction in thelevel of protection provided for pharmaceuticals in TRIPS’’ (ConsumerProject on Technology, 1999). Thus, from the perspective of theUSTR, the problem was not only the protection of patent rights inSouth Africa but also the position South Africa was taking in the


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international debate over TRIPS. Although it is broadly understoodthat the TRIPS agreement introduced a new set of minimum standardsfor the protection of intellectual property rights, there remained wide

disagreement as to the meaning of the embedded exceptions to thoserights. More significantly, the broad language of the exceptions con-tained in TRIPS meant that the degree of legal uncertainty remainedbroad, allowing member states to assert very different interpretations.

In this context, the WHO began questioning the relationshipbetween the new international trade regime and its own mandate topromote world health. In January 1998, just over a month after theadoption of the new South African law allowing parallel importation,

the Executive Board of the WHA recommended the adoption of the‘‘Revised Drug Strategy,’’ calling upon member states to ‘‘ensure thatpublic health interests are paramount in pharmaceutical and healthpolicies,’’ as well as ‘‘to explore and review their options under relevantinternational trade agreements, to safeguard access to essential drugs.’’In May 1998, when the WHA began discussing the recommendation atits meeting in Geneva, the proposal came under heated attack from the

developed countries including the US, the EU, and Japan. Supportingthe proposals and leading the negotiations for the African countrieswas Dr. Olive Shisana from the South African Ministry of Health.

Although action on the resolution was initially deferred, a bitterconflict erupted over the strategy. An Ad Hoc Working Group of fifty-nine countries met in October 1998 with South Africa and the UnitedStates representing the polar opposite positions. South Africa advo-cated for a strong public health statement while the United States

represented the pharmaceutical industry’s point of view (ConsumerProject on Technology 1999). In January 1999, the WHA ExecutiveBoard met and approved the Revised Drug Strategy in the course of which South African health official, Dr. Desmond Johns, made com-ments which emphasized the strategy’s openness to the parallel impor-tation and compulsory licensing of pharmaceuticals. Thisinterpretation was in conflict with the understanding of US officialsand PhRMA who had a diametrically opposite interpretation of these

developments (Consumer Project on Technology 1999).Shaping the interpretation and understanding of the scope of inter-

nationally recognized intellectual property rights as well as the excep-tions to them, takes place simultaneously in different settings. Theseinclude various international fora, in bilateral trade negotiations andconflicts, as well as in domestic legal arenas. This plethora of

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opportunities to pursue particular goals presents a clear advantage tothose nations, industries, and organizations with the resources to parti-cipate at every level; however it also provides a differentiated arena in

which coalitions of developing countries, NGOs, and other actors mayproductively intervene. The emergence and sustainability of thesecoalitions is, however, not preordained. In the struggle over access toaffordable medicines it was the devastating impact of the HIV/AIDSpandemic in sub-Saharan Africa that provided the impetus for solidar-ity among a range of activist and policy-oriented organizations includ-ing: Act-Up and the Consumer Project on Technology in the UnitedStates; MSF, Oxfam and the South Centre in Europe; and the

Treatment Action Campaign in South Africa. These interventionseventually led to a coordinated challenge from African member statesin the TRIPS Council which later included other developing or newlyindustrializing countries at the WTO.

5.6 SOCIAL MOBILIZATION AND A CHANGING TRADE

REGIME

The debate over intellectual property and trade underwent a dramaticshift from the beginning of 1999. In response to popular pressure fromAIDS activists the Congressional Black Caucus began to link interna-tional HIV/AIDS policy and the question of trade disputes involvingcompulsory licensing, parallel imports, and other intellectual propertyissues. In February 1999, Representative Jesse Jackson Jr. introducedHouse Resolution 772, the ‘‘Hope for Africa Bill.’’ Section 601 of the

Bill proposed cutting off funding to any department or agency of the USgovernment that sought ‘‘through negotiation or otherwise, the revo-cation or revisions of any sub-Saharan African intellectual property orcompetition law or policy that is designed to promote access to phar-maceuticals or other medical technologies,’’ as long as those lawscomplied with TRIPS.

Two months later, in April 1999, several hundred protestors indowntown Washington DC demonstrated support for the Hope for

Africa legislation and for compulsory licensing for HIV/AIDS andother essential medicines. Act-Up, a prominent US organization witha long history of activism on the issues of HIV/AIDS, called upon theUS Department of Health and Human Services to give the WHO andforeign governments the right to use US government use rights inpatents obtained as a result of federally funded research. Within two


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months, HIV/AIDS activists began a campaign to disrupt VicePresident Gore’s presidential election campaign to draw attention toUS trade sanctions against South Africa and Thailand. These protests

had an immediate effect. When Representative John Mica held hear-ings in Congress on US trade policy and the global AIDS crisis, JosephPapovich from the USTR testified that the USTR no longer objectedto parallel importing or compulsory licensing of pharmaceutical drugsin South Africa, if TRIPS compliant.

Finally, despite three years of needless delay by the government’slawyers, the South African case brought by the pharmaceutical compa-nies against the government came to court in Pretoria and was with-

drawn after the court accepted the intervention of the Treatment ActionCampaign. The TAC had been demanding that the government provideaccess to medicines for both the treatment of HIV/AIDS-related oppor-tunistic infections and to retrovirals for pregnant women and their new-born babies, but now sided with the government by arguing that thepharmaceutical industry was blocking attempts to reduce the prices of medicines needed to save the lives of those infected with HIV. Although

the government remained resistant, even after the withdrawal of thecase, to providing the drugs through the public health system (insistingthat the case was not about HIV/AIDS drugs), it remains true that it wasthe public relations impact of the claim that the pharmaceutical com-panies were attempting to deny access to these drugs to the millions of HIV-positive South Africans that forced the hand of the companies. Notonly did the companies concede that the law did not violate either theSouth African Constitution or TRIPS, they also agreed to pay the

government’s legal costs. The government, on the other hand, respondedby arguing that they understood the new law as allowing for the parallelimportation of patented drugs, but not necessarily the compulsory licen-sing of patented drugs, thus relieving the industry of one of its majorconcerns.

On September 17, 1999, the USTR announced that South Africahad agreed to implement the Medicines Act in a manner consistentwith its obligations under the rules of the WTO ‘‘enabling us to set

aside this issue from our bilateral trade agenda.’’ Just over a week before,PhRMA had announced the suspension of the lawsuit brought againstimplementation of the Medicines Act in South Africa. Furthermore,officials at the office of the USTR said that they were now consideringremoving South Africa from the Special 301 Watch List. From theSouth African side there was a commitment to revisit the Act,

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although it was predicted that it would be some time before thegovernment implemented the law.

The impact of these developments were not limited to South Africa.

After Congress failed to enact section 601 in the Hope for Africa Bill,President Clinton issued an executive order on May 10, 2000, statingthat in ‘‘administering sections 301–310 of the Trade Act of 1974, theUnited States shall not seek, through negotiation or otherwise, therevocation or revision of any intellectual property law or policy of abeneficiary sub-Saharan African country, as determined by thePresident, that regulates HIV/AIDS pharmaceuticals or medical tech-nologies if the law or policy of the country: (1) promotes access to HIV/

AIDS pharmaceuticals or medical technologies for affected popula-tions in that country; and (2) provides adequate and effective intellec-tual property protection consistent with the . . . TRIPS Agreement.’’While it would seem that a partial resolution to the direct conflictbetween the South African and the US governments had been found,the international legal regime established under TRIPS remaineduncertain.

5.6.1 The Doha Declaration on TRIPS and public healthIn dire need of success the WTO was able to declare the launching of anew round of trade negotiations at the end of its ministerial conferenceon November 14, 2001. An essential ingredient was the issuing of aseparate declaration on TRIPS and public health. Despite concertedopposition from multinational pharmaceutical corporations and agroup of developed countries led by the United States, Switzerland,

and Japan, the 140 trade ministers gathered in Doha, Qatar, agreed thatthe TRIPS agreement ‘‘does not and should not prevent members fromtaking measures to protect public health . . . [and] that the agreementcan and should be interpreted and implemented in a manner supportiveof WTO members’ rights to protect public health and, in particular, topromote access to medicines for all.’’ At first glance, the developingworld gained a major success. Not only is this interpretation extendedto all aspects of public health, not just pharmaceuticals, but it also

emphasizes the need to interpret the WTO agreements in more holisticways. In essence, it accepts that an interpretation reducing barriers tofree trade is not automatically the sole or correct understanding of theagreements.

Despite their opposition to a broad public health exception, theirown threats to override Bayer’s Cipro patent – in response to the mailed


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anthrax attacks after September 11, 2001 – completely undercut theclaims of the United States and Canada that stronger patent protectionwas the most effective means of securing access to required medicines.

With their prior arguments severely compromised and with no othereffective means of addressing the ongoing HIV/AIDS pandemic,accepting the demands of developing countries became the easiestway to save the talks. Addressing what had been an intense debatewithin the TRIPS Council, the declaration specifically clarified theright of members: to grant compulsory licenses; to determine whatconstitutes a national emergency or other circumstances of extremeurgency; and that each member is free to establish its own regime for

the exhaustion of intellectual property rights. It also encourages devel-oped countries to promote technology transfer to the least developedcountries and extends the initial transition period for pharmaceuticalproducts in these countries until January 1, 2016. This understanding of the TRIPS agreement and its future implementation amounts to amajor shift in the rhetoric about the protection of intellectual propertyrights, embracing as it does most of the positions of the developing

world – with much of the language for the declaration coming directlyfrom the proposal put forward by Zimbabwe on behalf of the AfricaGroup and other developing countries.

5.6.2 Paragraph 6 of the Doha Declaration and the problemof capacityThe Doha Declaration, with its broad interpretation of the TRIPSagreement and its future implementation, amounted to a major shift

in the global intellectual property regime, yet, given the realities of pharmaceutical production and distribution, it did not go very fartoward ensuring access to urgently needed HIV/AIDS-related medica-tions. Despite acknowledging that many countries have ‘‘insufficient orno manufacturing capacities in the pharmaceutical sector’’ and there-fore cannot make effective use of compulsory licensing, the declarationfailed to accept the developing countries’ interpretation that they havethe right to grant a compulsory license to a producer in another country

having manufacturing capacity in order to gain access to medicines.Instead, the Declaration instructed the TRIPS Council to find a solu-tion to this issue and to report to the WTO General Council by the endof 2002. Without the capacity to produce under compulsory license orimport generic equivalents of the necessary medications, the problemof access for the millions infected or suffering from life-threatening

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diseases in developing countries remained unresolved. It took theTRIPS Council a further twenty-one months, to late August 2003, toreach agreement on the problem of access to medicines for countries

that do not have manufacturing capacity.Heralded at first as the solution to the problem of lack of capacity,

the pre-Cancun agreement has since been criticized for placing so manypreconditions on its implementation as to make it unworkable. Theselimitations include the requirement of proof by a country that it doesnot have: (1) production capacity; (2) access to affordable medicines;and (3) an existing health emergency. Although the Canadian govern-ment is discussing changing Canadian law to make the export of

medicines made under compulsory license possible, the internationalbrand-name pharmaceutical industry has begun to raise questions aboutwhether Canada is precluded from supplying these medicines under the

NAFTA agreement. Furthermore, even the Canadian governmentseems to be limiting its proposals to drugs designed to address onlyHIV/AIDS, malaria, and tuberculosis, a restriction rejected by thedeveloping countries and the pre-Cancun agreement.

Once again it seems that the question of access to essential medicinesis being displaced by an assertion of prior legal commitments – the idea of pacta sunt servanda, in which concerns over the rights of patent holdersand an interpretation of the TRIPS agreement as a contractual arrange-ment place notions of unrestricted trade before the health needs of millions of people around the world. While all participants in the debatedeny any intention to restrict access, or even such an effect (IIPI 2000),itseems hard to deny that the failure to resolve this issue, since it was first

raised by the international pharmaceutical industry in its 1997 caseagainst the South African law which was implementing an essentialdrugs program, has in fact frustrated attempts to broaden access. Evenif it is accepted that the TRIPS agreement initially failed to accommo-date the complexities of a global health emergency such as HIV/AIDS, itis hardly unreasonable to suggest that the principle of changed circum-stances, or rebus sic stantibus, brought about by both new understandingsof the magnitude of the pandemic as well as the emergence of effective

medicines to address it, should have been applied to interpretations of TRIPS in order to facilitate all attempts to address this exploding crisis.At the least, such an approach would justify the assertion of an Article 30exception under the TRIPS agreement. Instead, there has been a con-stant emphasis upon the rather unique protection of private rights con-tained in TRIPS and a denial of the legal effect of the so-called soft law


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exceptions and principles of interpretation which are also part of inter-national trade law, including TRIPS.

5.6.3 The Treatment Action Campaign and the strugglefor antiretroviral treatmentsThe domestic struggle over access to affordable medicines in SouthAfrica did not end with the government’s victory in the case broughtby the Pharmaceutical Manufacturers Association or the DohaDeclaration. The next phase of legal activity, initiated by theTreatment Action Campaign (TAC) and given its impetus by theconsolidation of a new broad-based social movement including TAC

branches and the People Living with AIDS organization as well assupport from the trade union movement and the communist party,included two legal challenges. The first challenged the governmentto provide mothers and their new-born babies access to Nevirapine, anantiretroviral which, when administered to both mother and childduring birth and shortly thereafter, more than halved the rate of mother-to-child transmission of HIV. Secondly, the TAC brought a

complaint before the Competition Board alleging that a number of themajor pharmaceutical corporations had colluded in maintaining thehigh price of particular medicines. The impact of these two initiativeswas to dramatically alter the debate over access to antiretroviral treat-ment and to set the stage for a major reduction in the price of medicines.

In the mother-to-child transmission (MTCT) case, the ConstitutionalCourt essentially upheld a High Court decision requiring the govern-ment to provide mothers and new-born babies in public health facilities

access to Nevirapine. Relying on the constitutional guarantee of a rightto the progressive realization of access to health care services, theConstitutional Court argued that, under the circumstances, in whichthe cost of the drug and the provision of appropriate testing and counsel-ing to mothers was less burdensome than the failure to provide

Nevirapine, the government had a constitutional duty to expand itsprogram beyond the eighteen test sites the health authorities had alreadyplanned.

In the second case, the TAC, pursuing its aim to lower drug pricesand thus expand access to antiretroviral treatment, launched a com-plaint with the newly created Competition Commission against two of the major pharmaceutical corporations active in South Africa –GlaxoSmithKline (GSK) and Boehringer Ingelheim – accusing themof engaging in excessive pricing of medicines. After the Commission

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found that the companies had colluded to fix prices, the companiesreached an out-of-court settlement with the government whichincluded granting at least three generic pharmaceutical companies

voluntary licenses on three major antiretrovirals, thus allowing morecompetition into the market and lowering the price of the drugs in theSouth African market. Despite these dramatic interventions and legalvictories, the problem of access remains unsolved. For the majority of HIV-infected South Africans, even the reduced price of the drugs onthe private market is unaffordable and until the government managesto roll out the public sector program they will continue to be deniedaccess.

5.7 CONCLUSION

After twenty years, the HIV/AIDS pandemic has finally been recog-nized as a global health crisis, yet the debates over access to publicgoods which are essential to defeating this scourge continue to beshaped less by principles of public health than by concerns over unrest-

ricted trade and intellectual property rights. Within the legal field, theclaims of the international patent-based pharmaceutical corporationsare framed as rights to property, while the claims of NGOs and devel-oping country governments seeking access to affordable medicines arecharacterized as legal exceptions to free trade or as the soft law con-tained in general preambular statements. These formal legal distinc-tions, based upon the interpretation of international agreementscreated in a context of asymmetrical power, are now relied upon to

delay and avoid recognizing the urgent needs of those whose very livesand futures are at stake. But the emergence of a new social movement,both domestically and transnationally, based on a new solidarity whichplaces public needs over corporate claims of property rights has begunto shift the balance of power (Santos 2002).

Driven by this new solidarity – which brings together a unique yetloose alliance of health, human rights, and development activiststogether with some governments and parts of the pharmaceutical

industry, particularly generic producers – the international intellectualproperty and trade regime has begun to change. First, there is a newacceptance of a human rights perspective, in which the health impactof any particular legal option or interpretation is an equally legitimateconsideration in evaluating the validity of any particular intellectualproperty or trade rule. Secondly, there is recognition that both health


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and human rights considerations are an essential corrective to thepresent distinction between so-called hard law obligations and softlaw principles or commitments. Thirdly, the acceptance of these

approaches to the interpretation of the TRIPS agreement may facilitateaccess to medicines by emboldening private investors to accept com-pulsory licenses or other exemptions as sufficient to secure their neededinvestments in generic production. Finally, such an approach shouldalso provide developing countries with a means to justify decisions toprivilege policies securing access to medicines over concerns abouttheir international trade commitments or threats from patent holders.Instead of relying on thin strands of legal flexibility, NGOs,

international organizations, and governments attempting to addressthe global HIV/AIDS pandemic might look to the building of thisnew, multifaceted, and complex solidarity to assert a human rights-based interpretation of the international trade and intellectual propertyregime – one which places public health ahead of property claims.

ReferencesAfrican National Congress. 1994a. ‘‘A National Health Plan for South

Africa.’’ Prepared by the ANC with the technical support of WHO andUNICEF, May.

1994b. ‘‘RDP White Paper Discussion Document.’’ September.Bond, Patrick. 1999. ‘‘Globalization, Pharmaceutical Pricing and South

African Health Policy: Managing Confrontation with US Firms andPoliticians.’’ International Journal of Health Services 29(4):765.

Consumer Project on Technology. 1999. Cptech, Appendix B: Time-Line of Disputes over Compulsory Licensing and Parallel Importation in South

Africa, http://www.cptech.org/ip/health/sa/sa-timeline.txt, August 5, 1999.Deeb, M. T. 1998a. Founding Affidavit, February, 18 High Court of South

Africa.1998b. Supplementary Affidavit by M. T. Deeb, July 23, High Court of

South Africa.Department of Health, ‘‘National Drug Policy for South Africa.’’ January.International Intellectual Property Institute. 2000. Patent Protection and Access

to HIV/AIDS Pharmaceuticals in Sub-Saharan Africa. Washington, DC:

International Intellectual Property Institute.Klug, Heinz. 2000. Constituting Democracy: Law, Globalism and South Africa’s

Political Reconstruction. Cambridge: Cambridge University Press.Minister of Health v. Treatment Action Campaign 2002 (5) SA 721 (CC).Moy, Carl R. 1993. ‘‘The History of the Patent Harmonization Treaty: Economic

Self-Interest as an Influence.’’ John Marshall Law Review 26:457

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Ryan, Michael. 1998. ‘‘Knowledge Diplomacy: Global Competition and thePolitics of Intellectual Property.’’ Washington, DC: Brookings Institution.

Santos, Boaventura de Sousa. 2002. Toward a New Legal Common Sense: Law,Globalization and Emancipation. London: .Butterworths.

Sell, Susan K. 2003. Private Power, Public Law: The Globalization of IntellectualProperty Rights. Cambridge: Cambridge University Press.

Soobramoney v. Minister of Health, KwaZulu-Natal 1997 (12) BCLR 1696(CC).

WTO. 1994. Final Act Embodying the Results of the Uruguay Round of Multilateral Trade Negotiations.


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CHAPTER 6

NEGOTIATING INFORMALITY WITHINFORMALITY: LAND AND HOUSING

IN THE TEXAS COLONIAS

Jane E. Larson


A m on g t h e m a ni f es t e x p re s si o ns o f t h e a m or p ho u s p h en o me n on c a ll e d

‘ ‘ g l o b a l i z a t i o n ’ ’ i s t h e i n t e n s i f i c a t i o n a n d s p r e a d o f i n f o r m a l i t y i n m a n ys oc ia l a nd e co no mi c p ra ct ic es . L on g r ec og ni ze d a nd s tu di ed i n t hed e v e l o p i n g w o r l d , i n f o r m a l i t y i s i n c r e a s i n g l y v i s i b l e i n s i d e t h e U n i t e dS ta te s. Mo st s tu di es o f i nf orm al it y i ns id e th e Un it ed S ta te s h av ef o c u s e d o n l a b o r , p r o d u c t i o n , a n d d i s t r i b u t i o n , e x a m i n i n g s w e a t s h o p s ,h o me p i ec ew o rk m an u fa ct ur e, o r s tr ee t v en do rs . I nf o rm al h ou si ng i sh ar dl y r eco gn ize d a s e xi sti ng i n t hi s c ou nt ry , a nd c ert ai nl y i s n oti nc lu d ed i n s ta te p o li cy a s a l eg it im at e m ea ns o f h o us in g p ro d uc ti on .

W h e t h e r t h e s u b j e c t i s i n f o r m a l l a b o r o r i n f o r m a l h o u s i n g , n o w h e r e i nt h e U n i t e d S t a t e s h a s t h e f o r m a l l e g a l s y s t e m c r a f t e d a c o h e r e n t , m u c hl es s p ro du ct iv e, p ol ic y t ow ar d t he d ep ar tu re s f ro m r eg ul at io n t ha td e f i n e i n f o r m a l e c o n o m i c a c t i v i t y .

Y e t , w i t h i n t h e T e x a s s t r e t c h o f t h e U n i t e d S t a t e s – M e x i c o b o r d e r -lands, mo re than half a million peo ple no w liv e in settlements o f i n fo r ma l h o u si n g k n o wn r e gi o na l ly a s ‘‘ c o lo n ia s .’’ A l th o u gh t h er e a r ec ol on ia -t yp e s et tl em en ts i n o th er b or de r s ta te s o f t he U ni te d S ta te s, t he

v a s t m a j o r i t y o f s u c h set t l e m e n t s i n s i d e t h e c o u n t r y a r e f o u n d i n T e x a s( L B J S c h o o l 1997:1).1

1 M o r e t h a n h a l f o f t h e l o n g i n t e r n a t i o n a l b o u n d a r y t h a t l i n k s t h e U n i t e d S t a t e s w i t h M e x i c oc r o s s e s t h e S t a t e o f T e x a s , a n d t h i s i s t h e m o s t p o p u l a t e d a n d e c o n o m i c a l l y v i t a l s t r e t c h , w i t hl a rg e c r o ss - b or d e r u r b an a r ea s a t B r ow n s vi l l e/ M at a mo r o s, M c Al l e n/ R ey n os a , L a re d o/ N u ev oL a r e d o, a n d E l P a s o /C iu d a d J u ar e z .

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I n t hi s r eg io n, t he w or d ‘‘ co lo ni a’’ r ef er s t o a s em i- ru ra l s ub di vi si on o f s u b s t a n d a r d h o u s i n g t h a t l a c k s s o m e o r a l l b a s i c p h y s i c a l i n f r a s t r u c t u r ea nd p ub li c s er vi ce s, i n p ar ti cu la r, c le an w at er , s an it ar y s ew ag e, o r

a de qu ate r oa ds. ( Thi s i s a r eg io na l u sa ge o f th e w or d ‘‘ co lo ni a. ’’ InS pa ni sh , t he w or d m ea ns s im pl y ‘‘ ne ig hb o rh o od . ’’ ) T hi s c ha p te r f oc us eso n i n f o r m a l h o u s i n g s e t t l e m e n t s i n T e x a s . T h e r e a r e a l s o t h o u s a n d s o f s u c h s e t t l e m e n t s a l o n g t h e M e x i c a n s i d e o f t h e b o r d e r ( D w y e r 1994).

Nearly all people on both sides of the border are congregated in ‘‘twinc it ie s, ’’ u rb an a re as t ha t a re p hy si ca ll y c on ti gu o us t o o ne a no th er o no p po si te s id es o f t he b ou n da ry l in e, a nd c ol o ni as r in g t he se b o om in gb o r d e r c i t i e s o n b o t h s i d e s o f t h e l i n e . A n i n t e g r a t e d d e m o g r a p h i c o r

s oc io lo gi ca l p e rs pe ct iv e w ou l d e xa mi ne h o us in g s et tl em en ts i n b o thM ex ic o a nd t he U ni te d S ta te s, b ut b ec au se t hi s c ha pt er f oc us es o nl eg al it y a nd i ts r el at io ns hi p t o i nf or ma li ty , t he b ou nd ar ie s h er e a ret h o s e o f t h e n a t i o n a n d s t a t e , w h i c h b o u n d s l a w ’ s r e a c h .

T hi s c ha pt er d es cr ib es c ol on ia s a s ‘‘ in fo rm al h ou si ng .’’ I nf or ma le co no mi c a ct iv it y t ak es p la ce o ut si de t he d om ai n o f g ov er nm en ta lr eg ul at io n, i n p a rt ic ul ar l ab o r, h ea lt h a nd s af et y, l an d u se , a nd e nv i r-

o n m e n t a l l a w s . W o r l d w i d e , a c o m m o n f o r m o f i n f o r m a l h o u s i n g b e g i n sw it h s qu at ti ng o r l an d s ei zu re , a n i ll eg al f o rm o f h ou si ng p ro d uc ti o n.B ut c ol on ia s i n t he U ni te d S ta te s a re b et te r d es cr ib ed a s extra-legal.W h en r e si d en t s a n d d e v el o p er s c r ea t ed e x is t in g c o l on i as , s u b di v i si o na n d s a l e o f r u r a l l a n d f o r r e s i d e n t i a l c o n s t r u c t i o n w i t h o u t p r o v i s i o n o f b as ic i nf ras tru ctu re o r a cc es s to p ub li c s erv ic es w as l aw fu l, a nd n ob ui ld in g c od es s et h ou si ng s ta nd ar ds . Ye t, w her e th e st ate f ai ls t or eg ul at e a ct iv it ie s t ha t i n o th er s et ti ng s a re r eg ul at ed a cc or di ng t o

a c c e p t e d p a t t e r n s , a k i n d o f i n f o r m a l i t y d e v e l o p s t h a t i s b u i l t o n l e g a la n d m a t e r i a l n o n c o n f o r m i t y r a t h e r t h a n i l l e g a l i t y ( C a s t e l l s a n d P o r t e s1989:12).

C o l o n i a s s u r f a c e d a l o n g s i d e t h e e m e r g e n c e o f a g l o b a l i z e d e c o n o m yi n t h e U n i t e d S t a t e s b o r d e r r e g i o n . I t i s h e r e , b e g i n n i n g i n t h e 1 9 8 0 s ,th at t he c ou nt ry s aw o ne m od el o f w ha t m ig ht b e ah ea d i n t he n ewe co n om ic p ar ad ig m. P o li ci es o f t ra d e l i be ra li za ti o n a nd t he b o rd er ’ss t r a t e g i c l o c a t i o n c r e a t e d a n e c o n o m y o f l o w - w a g e w o r k t h a t a t t r a c t e d

n e w m i g r a n t s a n d s h i f t e d l o n g - t i m e r e s i d e n t s a w a y f r o m t h e t r a d i t i o n a lp ur su it o f a gr ic ul tu ra l l ab or t o w or k i n m an uf ac tu re a nd a ss em bl y,t r a n s p o r t , w a r e h o u s i n g , a n d c o n s t r u c t i o n . I n t h e s e s a m e y e a r s , g o v e r n -me nt cu ts i n s oc ia l w el fa re s pe nd in g ( as m uc h a p ar t o f t he g lo bal iza ti ona ge nd a a s f re e t ra de ) t oo k h ol d a nd e nd ed o r r es tr ic te d p ro gr am s f ori nc om e s up p or t a nd a ff o rd ab l e h ou si ng a t a ll l ev el s o f g ov er nm en t. T he

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p oo r w or ki ng f am il ie s t ha t m ad e u p t he l ab or f or ce f or t he b or de r’ se co no mi c d ev el op me nt w er e l ef t t o n eg ot ia te a w or ld o f p ri va ti ze ds o c i a l p r o v i s i o n w i t h t h e l i m i t e d e c o n o m i c r e s o u r c e s p r o v i d e d b y l o w

w a g e s a n d u n c e r t a i n j o b s e c u r i t y .T h e e x p l o s i v e g r o w t h o f c o l o n i a s i n T e x a s d u r i n g t h e s e s a m e y e a r s i s

e vi de nc e t he se w or ke rs t ur ne d t o i nf or ma l h ou si ng a s a n e co no mi cs u rv i v al s t ra t eg y ( L ar s on 2002: 14 2) . T hi s d yn am ic a ls o e xp la in s t heb ro ad er s ph er e o f i nf or mal e co no mi c a cti vi ty g ro wi ng i ns id e t heU ni te d S ta te s, a s S as se n, a mo ng o th er s, c o nt en ds t he i nf o rm al e co n -o my and the glob al eco nomy are intrinsical ly linked (19 98 :79 ).H ou se ho ld s c an no t m ak e i t o n b el ow -p ov er ty w ag es a nd m us t f in d

w a ys t o s u pp l em e nt i n co m e, o f te n b y w o rk i ng o f f -t h e- b oo k s . F a mi l ie sc an no t a ff ord go od s an d s erv ic es p ro du ce d a nd s ol d i n t he f orm ale co no my , a nd s o s up po rt a p ara ll el e co no my o f st ree t v en do rs a ndf le a m ar ke ts . H ou si ng , t yp ic al ly t he g re at es t e xp en se f am il ie s f ac e,t r i g g e r s t h e s a m e r e s o r t t o i n f o r m a l i t y . W i t h i n t h e U n i t e d S t a t e s , t h ep o o r a r e a l r e a d y m o s t l y s h u t o u t o f f o r m a l m a r k e t s i n h o u s i n g f i n a n c eo r c on st ru ct io n, a nd t hu s f ro m h om e o wn er sh ip . A nd , f or l ow -w ag e

w o r k e r s , e v e n r e n t a l m a r k e t s h a v e b e c o m e u n a f f o r d a b l e . W h e r e c h e a pl an d i s o n th e ma rk et , w her e u np ai d f ami ly l ab or i s a va il ab le , an d w he rel a w s a r e l o o s e e n o u g h , s e l f - h e l p h o u s i n g i s o n e s o l u t i o n .

In th is s en se , i nf orm al h ou si ng i s w ha t S an to s c al ls a p ro ce ss o f ‘‘l oc a l i z e d g l oba l i s m ,’’ or ‘‘t h e s pe c i f i c i m pa c t of t r a n s n a t i on a l pr a c t i c e sa n d i m p e r a t i v e s o n l o c a l c o n d i t i o n s t h a t a r e t h e r e b y d e s t r u c t u r e d a n drestru ctu red in order to respo nd to transnatio nal imperatives’’( 1997: 4 – 5 ) . I n t h e c r u c i b l e o f a g l o b a l i z i n g r e g i o n a l / t r a n s b o r d e r e c o n -

o m y , t h e h o u s i n g p r a c t i c e s o f s e l f - b u i l t h o u s i n g a n d e x t r a - l e g a l s e t t l e -m e n t l o n g - e s t a b l i s h e d i n M e x i c o c r o s s e d t h e l i n e . S u c h a m a r k e d l o c a lc ha ng e i n t he m od es a nd e xp ec ta ti on s o f h ou si ng p ro du cti on i s ar e s p o n s e t o g l o b a l i z e d e c o n o m i c a n d p o l i t i c a l i m p e r a t i v e s .

T h i s c h a p t e r s i t u a t e s t h e g r o w t h o f i n f o r m a l h o u s i n g i n t h e U n i t e dS t a t e s w i t h i n t h i s b r o a d e r c o n t e x t , a n d a s k s h o w t h e f o r m a l r e g u l a t o r ys y s t e m w i l l a n d s h o u l d r e s p o n d t o t h e i n f o r m a l i t y i n o u r m i d s t . I n t h ea ren a o f h ou si ng , th is c ha pt er a rg ue s t ha t e xi st in g mo de ls o f l an d

d ev e lo p me nt a nd h o us in g q u al it y r eg ul at io n e st ab l is h u na tt ai na bl estand ards that hind er the po or in their effo rt to p ro vid e fo r basics he lt er . T he o th er s id e o f t he r eg ul at or y c oi n ( de re gu la ti on ) m ig htt ol er at e b ut d oe s n ot l eg it im at e t he i nf or ma l s ec to r, a nd a ba nd on sa ny a sp ira ti on to i mp ro ve c on di ti on s f or t hi s s ect or o ve r ti me . I nl i g h t o f t h e w i d e n i n g d i s p a r i t i e s o f w e a l t h a n d s h r i n k i n g s o c i a l w e l f a r e

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c o m m i t m e n t t h a t d r i v e i n f o r m a l i t y , a s w e l l a s t h e a p p e a r a n c e o f t h e s en ew s oc ia l p ra ct ic es n ot c o nt em pl at ed w he n t he e xi st in g r eg ul at or ya l t e r n a t i v e s w e r e a d o p t e d , f o r m a l l a w a p p e a r s t o h a v e n o v i a b l e t o o l s

w it h w hi ch t o r es po nd . W it ho u t r et hi nk in g c o nv en ti o na l r eg u la to rys t r a t e g i e s a n d e x p a n d i n g t h e l e g a l t o o l s a v a i l a b l e , t h e r e i s l i t t l e d o u b tt h e U n i t e d S t a t e s w i l l m a k e u n p r o d u c t i v e , i n d e e d u n j u s t , p o l i c y e v e na s i n f o r m a l i t y g r o w s i n o u r m i d s t .

A s a n a lt er na ti ve , I a rg ue i n t hi s c ha pt er t ha t r eg ul at or y p ol ic ie ss h oul d s uppor t a n d n e i t h e r pun i s h n or pr oh i bi t t h os e wh o s h e l t e r t h e m -selves informally. This policy is called ‘‘regularization.’’ Regularization isn o t a c r o s s - t h e - b o a r d d e r e g u l a t i o n , n o r i s i t n e g o t i a t e d o r d i s c r e t i o n a r y

e n f o r c e m e n t o f r u l e s . R e g u l a r i z a t i o n i s a n a l t e r n a t i v e r e g u l a t o r y s t r a t -e gy c re at ed i n t he d ev el op in g w or ld a nd d es ig ne d f or c on di ti on s o f e x tr e me e c on o mi c c o ns t ra i nt . R e gu l ar i za t io n l o o se n s s o me r e gu l at o rys t a n da r ds , t h us ‘‘l e g a l i z i n g ’’ s om e pr e vi ous l y i l l e g a l h ous i n g c on di t i on s ,a n d g r a d u a l l y i m p o s e s o t h e r r e t o o l e d s t a n d a r d s , a c c o m p a n i e d b y a s s i s t -a nc e i n r ea ch in g t ho se s ta nd ar ds , a ll i n a p ro gr am a im ed a t e nc ou ra gi ngs e l f - h e l p h ous i n g .

C o n s i d e r t h e e x a m p l e o f M e x i c o . M e x i c o h a s b u i l t i t s c u r r e n t h o u s -i n g a n d s o c i a l p o l i c y a r o u n d i n f o r m a l h o u s i n g p r o d u c t i o n , a b a n d o n i n ga n e ar li er p ol ic y t ha t t re at ed t he se s et tl em en ts a s i ll eg al s oc ia l p ro bl em st o b e e ra se d. M ex ic o n ow n ot o nl y t ol er at es i nf or ma l h ou si ng , b ut s ee kst o e n c o u r a g e i t s p r o d u c t i o n . G o v e r n m e n t s a t a l l l e v e l s r e c o g n i z e i n f o r -m a l s e t t l e m e n t s a s a r e s p o n s e t o h o u s i n g s h o r t a g e s a n d a u s e f u l f o r m o f e co no mi c i nv es tm en t. T hr ou gh a v ar ie ty o f p ol ic ie s a nd p ro gr am s,M ex i co h el p s s uc h s et tl em en ts r eg ul ar iz e, a nd t he re by s ee ks t o i nt e-

g r a t e t h e m i n t o t h e s o c i e t y , e c o n o m y , a n d p o l i t y ( S t a u d t 1998; W a r d1991) . M an y o th er c ou nt ri es o f t he d ev el op in g w or ld h av e a do pt eds i m i l a r p o l i c i e s ( F a r v a c q u e a n d M c A u s l a n 1992; P a y n e 1997 ).

A lt ho ug h t he se c ou n tr ie s h av e m ov ed f ro m p ro hi b it io n t o i nt eg ra -ti on o f i nf or ma li ty , t her e i s n o l ev el o f g ov ern me nt i n t he U ni te d S ta test ha t f ol lo ws s uc h a p ol ic y. T o m ov e i n t ha t d ir ec ti on w ou ld r eq ui rem or e t ha n j us t i nn ov at iv e r ef or ms i n l aw ; i t d em an ds a r et hi nk in g o f s om e b as ic p re su mp ti on s a bo ut l aw a nd l eg al it y p re va le nt i n t he U ni te d

S ta te s. C on v en ti o na l r eg ul at io n e st ab l is he s u ni v er sa l s ta nd ar ds a ndo b l i g e s f u l l a n d i m m e d i a t e c o m p l i a n c e . U n i v e r s a l i t y a n d e n f o r c e m e n ta r e t h e t w i n p i l l a r s o f w h a t ‘ ‘ t h e r u l e o f l a w ’ ’ h a s t r a d i t i o n a l l y m e a n t i nt h i s l e g a l s y s t e m . R e g u l a r i z a t i o n , b y c o n t r a s t , s e t s s t a n d a r d s r e l a t i v e t ot h e r e s o u r c e s a v a i l a b l e t o t h e r e g u l a t e d , a n d a l l o w s g r a d u a l a n d f l e x i b l es ta nd ar ds o f c om pl ia nc e, w it h t he g oa l o f p ro gr es si ve i mp ro ve me nt


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r a th e r t h an i m me d ia t e a n d u n q ua l if i ed c o mp l ia n ce . C o u ld s u ch ‘‘ p ro -g re ss iv e’’ o r ‘‘ f le xi b le ’’ m od es o f r eg ul at io n b e t ra ns la te d i nt o t he U ni te dStates?

L o o k i n g f o r a l e g a l t e c h n o l o g y a p p r o p r i a t e f o r r e g u l a t i n g t h e i n f o r -m al e co no my u nd er c on di ti on s o f e xt re me e co no mi c c on st ra in t, Ib o r r o w a mo d e l o f ‘ ‘ p r o g r e s s i v e r e a l i z a t i o n ’ ’ f r o m i n t e r n a t i o n a l h u m a nr i g h t s l a w .2 A s a p p l i e d t o h o u s i n g , p r o g r e s s i v e r e a l i z a t i o n w o u l d c o m -m it b oth g ov ern men t a nd f ami li es ( th e r eg ul at ed ) t o st an da rd s o f a de qu at e sh el te r, b ut w ou ld d em an d i n c om pl ia nc e n o m or e th ant h a t t h e r e g u l a t e d c o m m i t t h e m a x i m u m a v a i l a b l e r e s o u r c e s t o a t t a i n -m e nt o f t h os e s t a n da r ds . U n de r t h i s m o d el , e a ch m u st c o mp l y, b u t o n l y

t o t h e e x t e n t o f h i s o r h e r r e s o u r c e s . C o m p l i a n c e i s t h u s a l w a y s p o s s i b l eu n de r t he ‘‘ ma xi mu m a v ai l ab l e r es ou rc es ’’ r ul e, a nd c on ti nu in g p ro g re sst ow ar d t he s ta nd ar d i s a lw ay s d em an de d b y t he r eq u ir em en t o f ‘‘ p ro -gressive realization.’’

T he c ha pt er p ro po se s t o b ui ld a d om es ti c p ro gr am f or r eg ul at in gh o u s i n g q u a l i t y a n d l a n d d e v e l o p m e n t a r o u n d t h e p r o g r e s s i v e r e a l i z a -t i o n o f s t a n d a r d s . S u c h a p r o g r a m w o u l d b e t t e r b a l a n c e t h e r e g u l a t o r y

b u r d e n o n d i v e r s e p o p u l a t i o n s , t h e p u b l i c i n t e r e s t i n a d e q u a t e h o u s i n g ,a n d w o u l d i m p o r t a n t l y r e t a i n a n a s p i r a t i o n a l c o m m i t m e n t t o e l e v a t i n gl iv in g s ta nd ar ds i n p ur su it o f s oc ia l e qu al it y. L in ke d t o a c om pr eh en si vep ro gr am o f r eg ul ar iz at io n, p ro gr es si v e r ea li za ti o n p l ac es l aw b e hi nd ,r a t h e r t h a n a g a i n s t , t h e a c t i v i t i e s o f i n f o r m a l s .

P ro gr es si ve r ea li za ti on i s a n ew i d ea w i th in t he U ni te d S ta te s l eg alt r a d i t i o n . I n d e e d , t h e U n i t e d S t a t e s h a s n o t a d o p t e d t h e i n t e r n a t i o n a la gr ee me nt t ha t c re at ed t he c on ce pt ( th e I nt er na ti o na l C ov en an t o n

E co no mi c, S oc ia l a nd C ul tu ra l R ig ht s) , a rg ui ng t ha t a n o bl ig at io nt ha t c re at es a ny th in g s ho rt o f a bs ol ut e a nd i mm ed i at e c om pl i an ce i sn o t r e a l l y ‘ ‘ l a w ’ ’ ( A l s t o n a n d Q u i n n 1987: 1 5 8 ) . Y e t , i n i n f o r m a l i t y , w ef in d o ur sel ve s f ac in g a n ew r eal ity t hat , g iv en i ts st ru ctu ra l l in k tog lo ba li zat io n, c an o nl y b e ex pe ct ed t o b eco me mo re t he n orm f orc er ta in s ec to rs o f t he p op ul at io n. R et oo li ng a s ta nd ar d f ro m i nt er -n a t i o n a l l a w f o r d o m e s t i c a p p l i c a t i o n f i t s w i t h t h e g l o b a l i z e d c h a r a c t e ro f this new reality. To the extent that i nf ormality is l inked mo re

b r o a d l y t o g l o b a l i z a t i o n , a n y e f f o r t t o f i n d r e g u l a t o r y t o o l s a p p r o p r i a t et o i ts c ha ra ct er s ho ul d s en si bl y d ra w o n i nt er na ti on al e xp er ie nc es ,p r a c t i c e s , a n d i d e a s .

2 I t h a n k m y c o l l e a g u e s H e i n z K l u g a n d B e r t a H e r n a n d e z - T r u y o l f o r h e l p i n g m e b r i n g t h e i d e a o f ‘ ‘ p r o g r e s s iv e r e a liz a t io n ’ ’ h o m e t o d o m e s t ic r e g u la t io n .

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6.2 I N F O R M A L H O U S I N G I N T H E U N I T E D S T A T E S

A l t h o u g h o b s e r v e d s i n c e t h e 1 9 5 0 s , c o l o n i a s b e g a n t o g r o w e x p o n e n -

ti al ly i n th e 1 98 0s . T hi s e xp lo si ve gr ow th i s l in ke d t o th e b ord er’ se me rg en ce a s a p la ce o f e co no mi c d ev el op me nt , l ib er al iz at io n a ndi nt en si fi ca ti on o f t ra de , a nd s tr at eg ic g eo gr ap hi ca l l oc at io n i n t heg lo ba l e co no my . T he b or de r re gi on a s a w ho le g re w d ra ma ti ca ll y;t h e T e x a s b o r d e r c i t i e s h a v e b e e n a m o n g t h e f a s t e s t g r o w i n g a r e a s i nt h e U n i t e d S t a t e s f o r a d e c a d e . Y e t , d e s p i t e t h i s g r o w t h a n d e c o n o m i cd e v e l o p m e n t , t h e s o u t h e r n b o r d e r r e m a i n s a m o n g t h e p o o r e s t r e g i o n sof the country. Colonias are a response to this growth without

prosperity.L i v i n g c o n d i t i o n s v a r y g r e a t l y i n t h e T e x a s c o l o n i a s , d e p e n d i n g o n

d if fe re nc es i n a ge , s iz e, l oc at io n, s er vi ce p ro vi si on , s ec ur it y o f l an dt e nu r e a n d t i tl e , h o us i ng c o n so l i da t io n , s e tt l em e nt d e n si t y, a n d c o m-m un it y s ol id ar it y. B ut t he re a re c om mo n f ea tu re s, i n p ar ti cu la r t he w ay si n w hi ch t he se s et tl em en ts d ep ar t f ro m t he n o rm s e st ab li sh ed b y f o r-m a l l y r e g u l a t e d l a n d a n d h o u s i n g d e v e l o p m e n t , a n d b y f o r m a l m a r k e t sf or h ou si ng f in an ce a nd p ro du ct io n. N ot ab ly , t he w ay s i n w hi ch t hec o l o n i a s a r e n o n c o n f o r m i n g i n s i d e t h e U n i t e d S t a t e s a r e a l s o t h e w a y si n w hi ch t he se s et tl em en ts s ha re t he c ha ra ct er is ti cs o f i nf or ma l h ou si ngs et tl em en ts t hr ou gh ou t t he w or ld . T hu s, c ol on ia s a re n ot a n a d h ocp ec ul ia ri ty o f o ur b or de rl an ds , b ut r at he r a p at te rn ed a lt er na ti ve t ow ha t t he U ni te d S ta te s k no ws a s t he ‘‘ no rm al ’’ p ra ct ic es o f h ou si ngdevelopment.

T y p ic a ll y , c o l on i as , l i k e o t h e r i n fo r ma l h o u si n g s e tt l em e nt s , g r ow u p

o n c h e a p l a n d l o c a t e d a t t h e d i s t a n t p e r i p h e r y o f a f a s t - g r o w i n g u r b a nc e n t e r . R e s i d e n t s m a y b y p a s s l a w a l t o g e t h e r a n d s q u a t o n t h e l a n d , o rm a y p u r c h a s e l o t s f r o m d e v e l o p e r s i n i l l e g a l o r n o n c o n f o r m i n g s u b d i v i -s i o n s . I n e i t h e r c a s e , s e t t l e r s a n d d e v e l o p e r s f o l l o w a c o n s c i o u s s t r a t e g yo f a v o i d i n g r e g u l a t i o n . N o n c o n f o r m i t y w i t h l a w i s a m e a n s o f g a i n i n ga c c e s s t o l a n d n o t o t h e r w i s e a v a i l a b l e f o r d e v e l o p m e n t , a n d a c c e s s t oh o u s i n g n o t o t h e r w i s e a f f o r d a b l e f o r t h e s e t t l e r p o p u l a t i o n .

O n c e t h e y h a v e l a n d , s e t t l e r s m o v e q u i c k l y t o c o n s t r u c t t e m p o r a r y

sh el te r. W it ho ut se cu re l eg al ti tl e, t he i nv es tm en t o f ti me , l ab or ,m on ey , a nd m at er ia ls i s r is ky . Y et , t he y m us t r is k e no ug h t o ‘‘ si gn al ’’t o a u t h o r i t i e s a n d t o o t h e r p e o p l e s e e k i n g l a n d a d e t e r m i n a t i o n t o h o l do n t o t h e l a n d a n d d e v e l o p i t a s h o u s i n g .

I n f o r m a l s e t t l e m e n t s u s u a l l y l a c k a c c e s s t o w a t e r a n d s e w e r h o o k u p sa t t he b e gi nn in g, l ea d in g t o i mp ro v is ed a nd i na de q ua te s ol u ti on s f o r


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s to ri ng d r in ki ng w at er a nd d is po si ng o f h u ma n w as te . S om e c om mu -n i t i e s g r a d u a l l y r e c e i v e p u b l i c s e r v i c e s ; o t h e r s n e v e r d o ; a n d t e m p o r a r ys ol ut io ns c an b ec om e p er ma ne nt o ne s. R es id en ts w it ho ut w at er o r

s ew er h oo k up s i mp ro v is e b y d ri ll in g s ha ll ow w el ls , p u rc ha si ng w at era n d s t o r i n g i t , o r t a k i n g w a t e r f r o m n e a r b y i r r i g a t i o n d i t c h e s . H u m a nw a s t e m a y b e d i s p o s e d o f i n a p i t , o u t h o u s e , o r s e p t i c s y s t e m . L a c k o f a de q ua te w at er o r s ew er ag e u nd er mi ne s h o us in g q u al it y a nd s pr ea dsdi s e a s e ( L a r s on 1995:189–192).

T he i nc re me nt al p ro ce ss o f o w ne r- co ns tr u ct io n o f te n b e gi ns w it ha p r o v i s i o n a l s h e l t e r i n t h e f o r m o f a u s e d t r a i l e r o r m o b i l e h o m e , o ra shack. Such shelter is o ften u nsafe, ov ercro wd ed , o r otherwi se

u n s u i t a b l e f o r t h e f a m i l y . T h e f a m i l y s l o w l y c o n s t r u c t s t h e p e r m a n e n tstructure nearby or even aro und the shel l o f the trailer or shack.C o n s t r u c t i o n i s u s u a l l y p i e c e m e a l , w i t h t h e h o u s e h o l d p r o v i d i n g b o t hl a b o r a n d c a p i t a l . T h e h o u s e h o l d o f t e n b u i l d s w i t h n o n s t a n d a r d m a t e -r i a l s a n d t e c h n i q u e s a r o u n d a s h e l l o f t h e e x i s t i n g s t r u c t u r e ( s u c h a s at ra il er o r a s ha ck ), al lo wi ng t he f am il y t o l iv e a nd b ui ld a t t he s am et im e. S el f- bu i ld er s p u rc ha se m at er ia ls a s m on ey b ec o me s a va il ab l e;

when money is ti ght, work sto ps. Co nstru ctio n can take years toc o m p l e t e , a n d f a m i l i e s m a y l i v e i n p r o v i s i o n a l h o u s i n g f o r a d e c a d e o rm o r e . O n c e c o m p l e t e d , t h e r e s u l t i n g p e r m a n e n t s t r u c t u r e r a r e l y m e e t sc on v en ti o na l b ui l di ng c o de s, a nd i rr eg u la r w ir in g, p lu mb i ng , i ns ul a-t io n, e tc . c au se s af et y a nd h ea lt h p ro bl em s f or i nh ab it an ts . T he s pe ed o f h o us in g c on so li d at io n d ep en d s, o b vi o us ly , u p on h o us eh o ld i nc om e.W he re l an d c os ts a re h ig h o r i nc re as in g, a n ew ly s et tl in g h ou se ho ldm ay n ev er ‘‘ gr ad u at e’’ f ro m a t em po ra ry t o a p er ma ne nt s he lt er , a nd t he

c om m un i t y ’s h ous i n g qua l i t y de t e r i or a t e s .D ep en d in g o n g ov e rn me nt al p o li cy , i nf or ma l s et tl em en ts m ay o r

m a y n o t g r a d u a l l y ‘ ‘ r e g u l a r i z e , ’ ’ c a s t i n g o f f t h e i r i l l e g a l o r n o n c o n f o r m -i n g s t a t u s a n d g a i n i n g s e r v i c e s a n d i n f r a s t r u c t u r e . R e g u l a r i z a t i o n p o l i -c i e s t y p i c a l l y t a k e t w o f o r m s : l e g a l r e g u l a r i z a t i o n c l e a r s o r g r a n t s f o r m a ll eg al t it le t o t he l an d ; p h ys ic al r eg ul ar iz at io n p ro v id es i nf ra st ru ct ur ea n d a c c e s s t o p u b l i c s e r v i c e s . P h y s i c a l r e g u l a r i z a t i o n i s u s u a l l y g r a d u a l ,with prov isio n and u pgrad ing ov er time o f a basic level of pub lic

s er vi ce s s uc h a s p o ta bl e w at er , s ew er s, a nd r oa ds . S om e g ov er nm en tsa l s o a s s i s t h o u s i n g c o n s o l i d a t i o n , s u b s i d i z i n g c r e d i t o r o f f e r i n g t e c h n i -c a l s u p p o r t a n d m a t e r i a l s f o r b u i l d e r s ( G i l b e r t a n d W a r d 1985).

T hi s a pp ro ac h t o h ou si n g p ro d uc ti on u p en ds w ha t r es id e nt s o f t hed ev e lo p ed w o rl d k no w a s t he ‘‘ no r ma l’’ s eq u en ce o f l an d a nd h ou si ngd e v e l o p m e n t , w h i c h b e g i n s w i t h p l a n n i n g , f o l l o w e d b y s e r v i c i n g , a n d

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e nd s w it h h ou si ng c on st ru ct io n. I n i nf o rm al h ou si ng , t he h om eb ui l di ngc o m e s f i r s t , a n d e v e r y t h i n g e l s e f o l l o w s .

T h e T e x a s c o l o n i a s d e v e l o p e d b y t h i s p a t t e r n . U n t i l 1 9 9 5 , r u r a l l a n d

w as m os tl y u n re gu la te d, a ll o wi ng s ub st an da rd s ub d iv is io n a nd s el f -b u il di ng . D ev el o pe rs l aw fu l ly b ou g ht a nd c ar ve d u p a gr ic ul tu ra l l an do u ts id e t he b o rd er c it ie s, o f fe ri ng u n im pr ov ed h al f- a nd q u ar te r- ac rel o t s f o r s a l e t o t h o s e w i l l i n g t o b u i l d t h e i r o w n s h e l t e r a n d d o w i t h o u tp i p e d w a t e r , f l u s h t o i l e t s , a n d p a v e d r o a d s . D e v e l o p i n g a c o l o n i a i n t h i sl ega l s ett in g m ea nt l itt le m or e t ha n b uy in g a f ie ld , d ra wi ng a g ri d,g r a d i n g a f e w d i r t r o a d s , a n d o p e n i n g a s a l e s o f f i c e ( L a r s o n 1995).

I n s om e t r a n s a c t i on s , de ve l ope r s f r a udul e n t l y pr om i s e d buy e r s f ut ur e

a c c e s s t o w a t e r , s e w e r a g e , a n d o t h e r i n f r a s t r u c t u r e . M o s t b u y e r s , h o w -e ve r, w er e a wa re o f t he t ra de of f t he y w ere ma ki ng. T he y d id so , m yr e s e a r c h s u g g e s t s , w i t h t h e e x p e c t a t i o n t h a t t h e g o v e r n m e n t c o u l d b ep re ss ed t o p ro v id e i nf ra st ru ct ur e a t s om e l at er d at e. T hi s e xp ec ta ti o nw a s b a s e d i n p a r t o n f a m i l i a r i t y w i t h t h e h o u s i n g p o l i c i e s a n d p racticeso f M e x i c o , i n w h i c h r e g u l a r i z a t i o n i s b o t h p o l i c y a n d p r a c t i c e ,3 a n d i np ar t o n t he o p po rt un it ie s c re at ed b y T ex as ’ h i st or ic h os ti li ty t o l an d

r e g ula t i on ( L a r son 1995 ) . A s o n e a c t i v i s t p u t i t , ‘ ‘ T h e p e o p l e f o u n d al o o p h o l e i n t h e l a w t h a t a l l o w e d t h e m t o b u i l d t h e i r o w n h o m e s , a n dt h e y w a l k e d r i g h t t h r o u g h i t . ’ ’4

D u ri n g t h es e y e ar s o f o p e n d e v el o p me n t, q u a rt e r- t o- h al f -a c re c o l o-n ia l ot s c os t a n av era ge o f U S$ 10 0 d ow n an d US $5 0– 15 0 p er m on th f ora n u lt im at e p u rc ha se p ri ce o f U S$ 1 0, 00 0 –1 2 ,0 0 0. S el le rs c on ve ye d l ot sb y me an s o f c ont rac t f or d ee d, a n i ns ta ll me nt a rra ng eme nt f or th ep u r c h a s e o f l a n d s i m i l a r t o a ‘ ‘ r e n t - t o - o w n ’ ’ a r r a n g e m e n t , o f f e r i n g s e l l e r

f i n a n c i n g b a c k e d b y t h e t h r e a t o f f o r f e i t u r e . I n t e r e s t r a t e s w e r e h i g h a t1 2 – 1 4 p e r c e n t . T h e c o n t r a c t f o r d e e d m e c h a n i s m w o r k e d b y c r e a t i n g as ou rc e o f f in an ci ng f or b uy er s o th er wi se p ri ce d o ut o f f or ma l c re di tm ar ke ts . M ed ia n h o us eh ol d i n co me i n t he T ex a s c o un ti es w it h c on -c e n t r a t e d c o l o n i a d e v e l o p m e n t i s a b o u t h a l f o f t h e p e r - c a p i t a i n c o m ef o r t h e r e s t o f t h e n a t i o n ( L a r s o n 2002 : 1 4 8 – 1 4 9 , 2 0 9 ) .

I n f o r m a l i t y i s t h u s a s t r a t e g y b y w h i c h p e o p l e e x p l o i t t h e m s e l v e s a s am ea ns o f c re at in g e co no mi c o pp or tu ni ty n ot o th er wi se a va il ab le .

De sp it e th e i na deq ua cy o f m uc h c ol on ia h ou si ng , t he i nc re ase i na cc es si bi li ty o f th e h ou si ng ma rk et d ue to c ol on ia d ev el op me nt i s

3 L a t i n a / o s m a k e u p 8 2 p e r c e n t o f c o l o n i a r e s i d e n t s ( L B J S c h o o l 1997 :3 8 ) . A l t h o u g h 8 5 p e r c e n to f c ol o ni a r es i de nt s a re c it i ze ns a nd t hr ee -q u ar t er s w er e b or n i n t he U ni t ed S t at es , m an y a ref i rs t - o r s ec on d -g en er at io n i mm i gr an t s w h o r et ai n s t ro n g t i es t o M ex i co ( La rs o n 1995 :193–195).

4 I n t e r v i e w w i t h D a v i d A r i z m e n d i , P r o y e c t o A z t e c a , S a n J u a n , T e x a s , A u g u s t 4 , 2 0 0 2 .


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s tr ik in g. E ig ht y- fi ve p er ce nt o f c ol on ia h ou se ho ld s o wn t he ir o wnh o m e s ( L B J S c h o o l 1997: 3 8 ) , c o m p a r e d t o a n a t i o n a l h o m e o w n e r s h i prate o f 66. 8 percent fo r hou sehold s o f all inco me lev el s, and 4 5. 5

p er ce nt f or Hi sp an ic s ( HUD 2 00 0: 3) . Wh en c omp ar in g s imi la rl yp o or n ei gh bo rh oo d s, t he e ff ec t i s e ve n m or e s al ie nt : n at io na ll y, o nl y2 7 p er ce nt o f v er y l ow i nc om e f am il ie s w it h c hi ld re n o wn t he ir o wnh o m e s ( H U D 1 9 9 5 ) .

I nf or ma li ty c re at es o pp or tu ni ty , b ut a ls o l im it s i t. H ou se s n ot b ui lt t oc o d e a r e n o t i n s u r a b l e , w h i c h m e a n s a c a t a s t r o p h i c l o s s i s j u s t t h a t f o rt h e f a m i l y i n v o l v e d . T h e c o n t r a c t f o r d e e d a r r a n g e m e n t m a k e s o w n e r -s hi p l eg al ly i ns ec ur e, a s d o t he i rr eg ul ar b u si ne ss p ra ct ic es o f c o lo ni a

d ev e lo p er s. F i na nc e i ns ti tu t io ns w il l n o t m ak e h o me e q ui ty l oa ns i nc ol o ni as d u e t o t he u n ce rt ai nt y o v er o w ne rs hi p, w hi ch p re ve nt s s el f-b u i l d e r s f r o m t a k i n g o u t h o m e i m p r o v e m e n t l o a n s t o h a s t e n c o n s t r u c -t i o n o r u p g r a d i n g . W i t h o u t s e c u r e t e n u r e , m a n y f a m i l i e s p u t t h e i r l i f es a v i n g s i n t o h o u s e s t h a t c a n n o t e a s i l y b e s o l d .

C ol on ia s t hu s c re at e h ou si ng o pp or tu ni ty , b ut t he y d o s o b y a vo id in gr eg ul at io n a nd a ll i ts p ro te ct io ns . E co n om ic al ly m ar gi na l b u ye rs c an g et

a ff o rd a bl e s in gl e- fa mi ly h o us in g, a s w el l a s a m ea ns o f f in an ci ng t ha tp u rc ha se , b u t o n ly a t h ig h i nt er es t r at es a nd w it ho u t b as ic c on su me rp ro te ct io ns . A lt ho u gh l an d u se r eg ul at io n a nd b u il di ng c o de s w o ul de nh an ce l iv in g c on di ti o ns , t he f am il ie s w ho b o ug ht i nt o t he e xi st in gc o l o n i a s i n T e x a s c o u l d n o t h a v e a f f o r d e d t h a t b e t t e r - q u a l i t y h o u s i n ga n d e n v i r o n m e n t . T h u s h o u s i n g q u a l i t y r e m a i n s b o t h u n r e g u l a t e d a n ds u b s t a n d a r d , o p e n i n g d o o r s f o r s e l f - b u i l d e r s b u t w i t h s i g n i f i c a n t h e a l t h ,w e l f a r e , a n d e n v i r o n m e n t a l c o s t s f o r f a m i l i e s , t h e s e t t l e m e n t s , a n d t h e

s ur r oun di n g c om m un i t i e s .

6.3 ‘ ‘ Y O U H A V E T O T A K E W H A T T H E C O M M U N I T Y

I S D O I N G A N D M A G N I F Y I T , E X T E N D I T ’ ’

P o li ti ca l s tr ug gl es o v er c ol o ni a p o li ci es h av e b ee n o n go i ng i n T ex a ss in ce t he l at e 1 98 0s . B eg in ni ng i n t he m id -1 98 0s , g ro up s o f c ol on iar e s i d e n t s , o f t e n o r g a n i z e d a s s e l f - h e l p g r o u p s w i t h i n p a r t i c u l a r c o m m u -

n it ie s, a nd s om et im es w or ki ng i n b ro ad er p ol it ic al e mp ow er me ntg ro up s m od el ed a ft er t he I nd us tr ia l A re as F ou nd at io n m od el , u se dm an y a ve nu es o f a ct io n a nd c o mm un ic at io n t o d em an d r ed re ss f ro md ev el op er s a nd a ss is ta nc e f ro m t he s ta te i n r em ed yi ng t he p ro fo un dp hy si ca l d ef ic it s o f c ol on ia s et tl em en ts . W om en p ro ve d e sp ec ia ll yc om mi tt ed a ct iv i st s i n k ee pi ng c om mu n it ie s o rg an iz ed a nd p re ss in g

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i s s u e s f o r w a r d . T h e s e g r o u p s c a p t u r e d m e d i a a t t e n t i o n , s t a g e d d e m o n -s t r a t i o n s d e m a n d i n g w a t e r f o r t h e i r c h i l d r e n , c o n f r o n t e d l o c a l p o l i t i c a lo ff ic ia ls a t m ee ti ng s, a ll ie d w it h p ro gr es si ve N GO s i n t he s ta te , a nd

e v e n t u a l l y c a p t u r e d n a t i o n a l a t t e n t i o n a s t h e m e d i a b e c a m e i n t e r e s t e di n T ex as w he n t he n- Go ve rn or G eo rg e W . B us h b ec am e a c an di da te f orPresident.

I n 1 9 9 5 , t h e s t a t e f i n a l l y a c t e d , a d o p t i n g a b r o a d p a c k a g e o f l e g i s l a -t i o n i t h o p e d w o u l d ‘ ‘ s o l v e ’ ’ t h e c o l o n i a p r o b l e m o n c e a n d f o r a l l . F r o mth e p ers pe ct iv e o f t he c ol on ia s, t he r esu lts o f t he se l aw s h av e b eenm ix e d. T he s ta te t ig ht en ed s ub d iv is io n r eq u ir em en ts s o a s t o p re v en tn ew c o lo ni as a nd t o d ra st ic al l y l i mi t g ro w th i n e xi st in g s et tl em en ts .

T he n ew s ta nd ar ds r eq ui re f ul ly s er vi ce d l an d b ef or e l ot s i n a ny s ub -d iv is io n c an b e s ol d f or h ou si ng c on st ru ct io n. T he s ta te a ls o b eg an ar e me d ia l p r ogr am t o b ri ng w at er a nd s ew er ag e s er vi ce s t o m an y e xi st in gsettlements.5 T he o ver al l me ssa ge o f th e st ate ’s p ol ic y w as th at th ec ol on ias w er e a te mp ora ry p ro bl em c au se d b y g re ed y d ev el op er se x p l o i t i n g v u l n e r a b l e a n d i g n o r a n t b u y e r s , a n d n o t a p e r m a n e n t h o u s -i ng s to ck f or a p er ma ne nt a nd g ro wi ng l ow -w ag e l ab or f or ce e ss en ti al t o

t he r eg io n’ s f re e- tr ad e e co no my . D ev el op er s h av e c re at ed f ew n ews u bd i v is i on s s i nc e 1 9 9 5 u n d er t h e t o ug h er d e v el o p me n t r u le s b e ca u set he r eq u ir ed i nf ra st ru ct ur e s o s ig ni fi ca nt ly i nc re as es l an d c os ts t ha tt h o s e w h o w o u l d b u y i n t o c o l o n i a s a r e p r i c e d o u t o f t h e m a r k e t .

With land prices higher, those who d o bu y i nto the new, fullys er vi ce d s ub d iv i si on s h av e l it tl e l ef t o v er t o i nv e st i n h ou si ng . T ho sew ho c an no t a ff or d l ots i n th e n ew su bd iv is io ns e ith er b uy ex is ti ngh om es , r en t, o r l iv e o n i nt er na ll y s ub di vi de d l ot s i n o ld er c ol on ia s.

W i t h o u t t h e i n c e n t i v e o f o w n e r s h i p , t h e r e n t e r s d o n o t b u i l d p e r m a -n en t d w el li ng s. T ho se w ho b u y t h e t in y l ot s c ar ve d o u t o f l ar ge r l ot s a rec ro wd ed a nd o fte n l ack s uf fi ci en t sp ac e to re pl ace a t rai le r w ith a h ou se ,o r t o c on st ru ct a s af e s ep ti c s ys te m. L oc al o bs er ve rs b el ie ve h ou si ngq ual ity h as d ec li ne d i n t he f ew c ol on ia s d ev el op ed u nd er t he n ews ta nd ar ds a nd i n t he i nt er na ll y s u bd i vi d ed l ot s i n p re -1 9 95 c ol o ni as .A n u nk no wn n um be r o f f am il ie s a re a ga in r es or ti ng t o l iv in g o n r awl a n d i n u n p l a n n ed ( h e n c e i l l e g a l ) s u b d i v i s i o n s w i t h o u t a c c e s s t o e l e c -

t r i c i t y o r w a t e r .6

5 A l th ou gh s l ow , t he p ro gr am h as b u il t w a te r a nd s ew er ag e s ys t em s i n t he l ar ge r a nd b et te r-o r g a n i z e d s e t t l e m e n t s , a n d t h o s e c l o s e s t t o t h e c i t i e s .

6 I n t e r v ie w wit h D a v id A r iz m e n d i.


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Th e 1995 l e g i s l a t i on ‘‘g r a n df a t h e r e d- i n ’’ e xi s t i n g h ous e s i n pr e - 1995c o l o n i a s , a n a t t e m p t t o s o f t e n t h e i m p a c t o f t h e n e w r e g u l a t i o n s b y n o tm a ki n g h o me s ‘‘ i ll e ga l ’’ o v er n ig h t. T h i s h u ma n e s t an c e d o e s n o th i ng ,

h o w e v e r , t o a d d r e s s t h e s t r u c t u r a l r e a s o n s f o r t h e e x i s t e n c e o f c o l o n i a si n t he f ir st p l ac e. E nf o rc in g o n ly a ga in st ‘‘ n ew co me rs ’’ w i ll n ot b ri dg et h e g a p b e t w e e n w a g e s a n d h o u s i n g f o r t h e l o c a l p o p u l a t i o n . O n l y b yp e r m i t t i n g c o l o n i a s t o g r o w , i . e . g i v i n g n e w c o m e r s t h e s a m e o p p o r t u -n it ie s e xi st in g r es id en ts h av e t ak en , c an c ol on ia s e as e t he h ou si ng c ri si sf o r t h e w o r k i n g p o o r o f t h e r e g i o n .

S i m i l a r t e n s i o n s b e t w e e n c o n v e n t i o n a l r e g u l a t i o n a n d t h e r e a l i t y o f t he c ol on ia s h av e p la ye d o ut i n m or e r ec en t p ol it ic al s tr ug gl es o ve r

b u i l d i n g a n d h o u s i n g c o d e s . T o d a t e , h o u s i n g q u a l i t y r e m a i n s u n r e g u -l at ed i n a re as o f T ex as l oc at ed o ut si de o f c it ie s. R ur al a nd s em i- ru ra la r e a s f a l l w i t h i n t h e j u r i s d i c t i o n o f c o u n t i e s . A s p a r t o f t h e 1 9 9 5 l e g i s l a -t io n, t he re w er e p r o po sa ls t o g i ve t he b o rd er c ou nt ie s t he p o we r t o a do p tb ui ld in g c od es s up po rt ed b y l aw ma ker s a nd s ta te o ff ic ial s s in ce re lyd et er mi ne d t o p ub li ci ze a nd e rad ic at e s ub sta nd ar d c on dit io ns i n t hec ol on ia s. T he y s aw i nf or ma l h ou si ng a s a s ymp to m o f i neq ua li ty a nd

s o u g h t t o e n d i t a s a s t e p t o w a r d s e q u a l s t a n d a r d s o f d i g n i t y a n d h a b i t -a bi l i t y f or a l l pe r s on s .O u t s i d e o f t h e s t a t e c a p i t a l a n d o n t h e g r o u n d , h o w e v e r, grassroots

g r o u p s o p p o s e d a d o p t i o n o f b u i l d i n g c o d e s i n t h e c o u n t i e s .7 Self-helpg r o u p s a l l a l o n g t h e b o r d e r r e g i o n o r g a n i z e d a s I n i c i a t i v a F r o n t e r a , a n da l l i e d w i t h N G O s i n t h e B o r d e r C o a l i t i o n f o r L o w - I n c o m e H o u s i n g , t oe du c at e l eg is la to rs a nd s ta te p o li cy ma ke rs o n t he ir p o si ti o n. C ol o ni ar es id en ts r od e b us es f ro m t he b or de r t o t he s ta te c ap it ol t o c on fr on t

l eg is la to rs , e xp an d in g t he ir p ol i ti ca l m ob il i za ti on f ro m t he b o rd er t ot h e s t a t e ’ s p o l i t i c a l c e n t e r . N o b u i l d i n g c o d e p r o v i s i o n m a d e i t i n t o t h ef i n a l l e g i s l a t i on .

I n 1 99 9, l eg is la ti on w as i nt ro du ce d t o a ll ow h ou se ho ld s t o h oo k u p t oa va il ab l e u t il it ie s e v en i f t he y l i v ed i n a n i ll eg al o r s u b st an d ar d c o lo ni a.B l a n c a J ua r e z , a l e a de r f r om t h e S t a rr C oun t y s e l f - h e l p g r oup, C ol on i asU n i d a s , t e s t i f i e d i n t h e l e g i s l a t u r e i n f a v o r o f t h e B i l l . S h e r e c a l l s t h ed i st an ce b et we en h er l iv ed r ea li ty a nd t he m in ds et o f t he l aw ma k er s,

d es p it e t he ir a pp ar en t g o od i nt en ti on s: ‘‘ Th ey w er e s ay in g ‘ th o se p eo p len ee d t o g et o ut o f t ho se c ol on ia s, t he y a re n ot l iv ab le .’ ’’ J uar e z t he n a sk s,

7 T h i s p o s i t i o n w a s s u p p o r t e d b y a f e w n o n - g o v e r n m e n t a l o r g a n i z a t i o n s a c t i v e i n c o m m u n i t i e s a tt he b or d er , i n cl ud i ng t he T e xa s L o w- I nc om e H ou s in g I nf o rm at io n S er vi ce a nd i t s B o rd erC o a lit io n fo r L o w- I n c o m e H o u s in g ( H e n n e b e r g e r 2 0 0 1 ; in t e r v ie w wit h D a v id A r iz m e n d i) .

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‘‘ Wh y w ou ld p eo pl e l ea ve t he ir h ou se s j us t b ec au se t he y d on ’t h av ee le ct ri ci ty a nd w at er ? W he re w ou ld t he y l iv e, u nd er a b ri dg e? O nb a l a n c e , n o w a t e r o r e l e c t r i c i t y i s b e t t e r t h a n n o h o u s e . ’ ’8

T h e i s s u e o f c o n v e n t i o n a l s t a n d a r d s w i l l n o t d i e , a n d t h a t i s b e c a u s ei t s o p l a i n l y r a i s e s t h e t e n s i o n s b e t w e e n t h e e x i s t i n g r e g u l a t o r y t o o l b o xa n d t h e c o n f o u n d i n g r e a l i t i e s o f i n f o r m a l h o u s i n g . I n 2 0 0 1 , t h e T e x a sl eg is la tu re a ga in c on si de re d g iv in g c ou nt ie s t he p ow er t o r eg ul at eb ui ld in g s ta nd ar ds . T he B il l, i nt ro du ce d b y a b or de r l eg is la to r w hoh a s o f t e n b e e n a n a l l y o n c o l o n i a s i s s u e s , d e s c r i b e d i t s p u r p o s e a s ‘ ‘ t oprevent th e p r o l i f e r a t i o n o f c o l o n i a s a n d s u b s t a n d a r d h o u s i n g d e v e l o p -ments.’’9 T he B il l w as d ef ea te d a t t he l as t m om en t, b ut b y c on se rv at iv es

o p p o s e d t o l a n d u s e r e g u l a t i o n i n p r i n c i p l e a n d n o t b y t h e a l t e r n a t i veu n d e r s t a n d i n g s o f l a w c r e a t e d b y g r a s s r o o t s g r o u p s f r o m t h e c o l o n i a s .10

T h e b u i l d i n g c o d e s i n w i d e s p r e a d u s e t h r o u g h o u t t h e U n i t e d S t a t e sa re d es ce nd an ts o f t ho se f ir st e na ct ed i n t he e ar ly t we nt ie th c en tu ryw h e n t h e P r o g r e s s i v e m o v e m e n t p u s h e d f o r b a s i c s a n i t a t i o n s t a n d a r d si n o ver cro wd ed u rb an te ne men ts . Co de s th us b eg an as p ol iti ca ll yp ro gr es si ve r ef o rm m ea su re s, b u t m od er n c od e s r eq ui re c on st ru ct io n

s t a n d a r d s f a r a b o v e t h e m i n i m u m r e q u i r e d f o r h e a l t h a n d s a f e t y . T h ep ol it ic al p ro ce ss o f d ra ft in g m od el c od es e xp la in s w hy : m od el c od ess h a p e e x i s t i n g c o d e s ; m o s t l o c a l j u r i s d i c t i o n s a d o p t o n e o r m o r e o f t h eh a n d f u l o f m o d e l c o d e s , i n w h o l e o r i n p a r t , o f t e n s i m p l y b y r e f e r e n c e .M o d e l c o d e s i n t u r n a r e w r i t t e n b y t r a d e g r o u p s s u c h a s t h e c o n s t r u c -t i o n a n d b u i l d i n g m a t e r i a l s i n d u s t r i e s , a n d l a b o r u n i o n s , a n d c l o s e o u ts el f- bu il de rs b y r eq ui ri ng c os tl y m at er ia ls a nd h ig h- sk il l l ab or , a ndr es tr ic ti ng u se o f p re fa br ic at ed o r m an u fa ct u re d c o mp o ne nt s ( Ke ll y

1996: 3 5 0 ) . T h e m o d e l c o d e p r o c e s s i s t h u s a c o n f l u e n c e o f e c o n o m i ci n t e r e s t s f o r w h o m a f f o r d a b i l i t y i s n o t a c o r e p o l i c y g o a l .

W h a t i s t h e a l t e r n a t i v e p e r s p e c t i v e o n h o u s i n g q u a l i t y c o m i n g f r o mt h e c o l o n i a s ? H o w h a v e t h e y c o m e t o u n d e r s t a n d t h e t e n s i o n b e t w e e nc o n v e n t i o n a l r e g u l a t i o n a n d i n f o r m a l h o u s i n g , a n d t h u s t o o p p o s e t h eadop ti on o f co nv entio nal b uild ing co des in the co lonias? Dav idA r i z m e n d i , a l o n g - t i m e c o m m u n i t y o r g a n i z e r , s a y s s i m p l y , ‘ ‘ y o u c a n n o ti mp o se h o us in g q u al it y s ta nd ar ds o n p eo p le w i th o ut g iv i ng t he m t he

8 I nt er v ie w w i th B la nc a J u ar e z, a f o un d er o f C o lo n ia s U ni d as a nd n ow D ef en so r a/ C ol o ni aO m b u d s f o r S t a r r C o u n t y , R i o G r a n d e C i t y , T e x a s , A u g u s t 1 5 , 2 0 0 0 .

9 S B 5 17 , 7 7t h L eg ., R eg . S es s. ( Tex as 2 00 1) ( ad di ng C ha pt er 2 36 t o a me nd t he L oca lG o v e r n m e n t C o d e ) .

10 I n t e r v i e w w i t h J o h n H e n n e b e r g e r , A u s t i n , T e x a s , M a r c h 1 6 , 2 0 0 1 .


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r e s o u r c e s t o m e e t t h e m . ’ ’11 H e p r e d i c t s t h a t f e w e x i s t i n g c o l o n i a s t r u c -t ur es co ul d me et e xi st in g b ui ld in g c od es ; m an y w ou ld b e s eri ou sl yd ef ici en t, a nd a p ort io n w ou ld h av e to b e ra zed a nd r eb ui lt . E ven i f

e xi st in g s tr uc tu re s w er e g ra nd fa th er ed , c o de s ta nd ar ds w o ul d r ul e o u tt h e t y p i c a l c o n s t r u c t i o n p r a c t i c e s o f s e l f - b u i l d e r s f o r a n y n e w h o u s i n g ,i n cl u d in g n e w o r i n co m p le t e c o ns t ru c ti o n o n a l re a dy - pu r ch a se d l o ts .S u c h c o d e s w o u l d t h u s h a v e t h e p r a c t i c a l e f f e c t o f m a k i n g n e w c o l o n i ah o u s i n g i l l e g a l a n d i m p o s s i b l e .

B l an c a J u ar e z , c o lo n i a r e si d en t a n d l o ng - ti m e a c ti v is t , t r ie s t o e d u-c at e p ol ic ym ak er s i n t he d eb at e o ve r b ui ld in g c od es b y m ov in g f ro m t hea b s t r a c t t o t h e c o n c r e t e : ‘ ‘ I t ’ s a h o u s e o r n o h o u s e , ’ ’ s h e s a y s . ‘ ‘ D o y o u

h o n e s t l y b e l i e v e t h e s e peo p l e w i l l l e a v e t h e i r h o u s e s j u s t b e c a u s e t h e ya r e n ’ t s a f e o r h e a l t h y ? ’ ’12

Juarez makes clear that colonia residents are not ignorant or unawareo f t h e t r a d e o f f s t h e i r c o n d i t i o n f o r c e s o n t h e m . ‘ ‘ I t i s n ’ t t h a t t h e y d o n ’ tw an t t o h av e a h ea lt hy l if e, a nd i t i sn ’t th at t hey a re u sed t o l iv in gw it ho ut a ny th in g. L ik e t he y k ee p s ay in g, ‘ Oh , t he y’ re f ro m M ex ic o, a ndt h e y ’ r e u s e d t o l i v i n g w i t h o u t w a t e r o r e l e c t r i c i t y . ’ W e l l n o t a l l p e o p l e

i n M ex ico l iv e w it h n ot hi ng , a nd n ot e ve ry on e i n a c ol on ia i s f ro mMexico.’’13

T h o s e w h o l i v e i n e x i s t i n g c o l o n i a s , a n d t h e m a n y w h o would buyi n t o s u c h s e t t l e m e n t s i f d e v e l o p m e n t o p e n e d u p a g a i n , h a v e f e w h o u s -i n g o p t i o n s , a n d a l l o f t h e m m e a n h a r d s h i p a n d d e p r i v a t i o n i n o n e w a yo r an oth er . W he re th er e i s n o g oo d ch oi ce ( on ly b ett er a nd w ors ec ho ic es ), a rg um en ts o f p ri nc ip le o r ‘‘ ei th er /o r’’ s ol ut io ns w il l w or kp e rv e rs e o u tc o me s . J u ar e z c a pt u re s t h e d i l em m a w i th c h ar a ct e ri s ti c

i mm ed ia cy : ‘‘ Pe op le h er e w an t g oo d h ou se s. I w ou ld l ik e t o l iv e n ex tto Bil l Clinton, but the truth is that I can’t, I just can’t. So I am going tob uild whatever I can. I am no t liv ing u nder a b ri dge, and I am not ask ingt h e g o v e r n m e n t t o g i v e m e a h o u s e . I a m j u s t d o i n g t h e b e s t t h a t I c ant o m a k e a h o u s e f o r m y c h i l d r e n a n d t o l i v e a s g o o d a l i f e a s I c a n . ’ ’14

F o r J u ar e z a n d A r iz m en d i, s o lu t io n s t o c o l on i a p r o bl e ms l i e i n h e lp -i n g r e s i d e n t s r a t h e r t h a n p e n a l i z i n g t h e m f o r t h e i r l i v i n g c o n d i t i o n s . I nt he a bs en ce o f p o li ti ca l w il l t o r es ol ve t he d is co n ne ct b et we en w ag es

a n d h o u s i n g p r i c e s , t h e s e l o c a l t h e o r i s t s b e l i e v e t h a t b u i l d i n g u p f r o mt h e c o m m u n i t y ’ s s o l u t i o n s i s t h e b e s t p o l i c y . ‘ ‘ T h e a n s w e r w i l l h a v e t o

11 I n t e r v ie w wit h D a v id A r iz m e n d i. 12 Interview with Blanca Juarez. 13 Ibid.14 Ibid.

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c o me f r om t h e c o mm u ni t y, ’’ A r iz m en d i s a ys . ‘‘ Y o u ha v e t o t a k e w h a tt h e c o m m u n i t y i s d o i n g a n d m a g n i f y i t , e x t e n d i t . ’ ’15

T h e c o m m u n i t y h a s r e s p o n d e d t o t h e l a c k o f a f f o r d a b l e h o u s i n g b y

b u il di ng c ol on ia s. T h us , w ha t m ig ht s ee m a nt i- pr o gr es si v e f ro m t hep e r s p e c t i v e o f p r i n c i p l e – t o s u p p o r t i n f o r m a l h o u s i n g k n o w i n g i t l e a d st o s u b s t a n d a r d c o n d i t i o n s – i s p r a g m a t i c , c o h e r e n t , a n d s t r a t e g i c i n t h ep o l i t i c s t h a t t h e c o l o n i a s h a v e m a d e o f t h e i r c o n d i t i o n s .

6.4 R E G U L A T I N G U N D E R C O N D I T I O N S O F E X T R E M E

E C O N O M I C C O N S T R A I N T

I f c on ve nt io na l r eg ul at io n w on ’t w or k, t he f ir st a lt er na ti ve t ha t l ea ps t om in d i s d e re gu l at io n. Y et e li mi na ti ng g ov e rn me nt r eg ul at io n r em ov e s ap o w e r f u l t o o l f o r c o l l e c t i v e a c t i o n i n t h e s t r u g g l e f o r e c o n o m i c j u s t i c e ,e ve n a s e nf o rc em en t o f u n at ta in ab l e s ta nd ar ds b u rd e ns t ho se a lr ea dyo n t he m ar gi ns a nd i nc re as es r el ia nc e o n i nf o rm al s ol u ti o ns . R eg ul at io na t l e a s t t r i e s t o e x t e n d l a w ’ s r e a c h s o a s t o i n t e g r a t e i n f o r m a l e c o n o m i ca c t i v i t y ( a l b e i t b y p r o h i b i t i o n ) , a n d t h e r e b y e x p r e s s e s a n a s p i r a t i o n f o r

the common good in its demand for better housing quality.D e re g ul a ti o n l e a v es i n fo r ma l it y a t t h e m a r gi n s a n d e n v is i on s n o a s pi r a-t io na l p ro gr am o f c ha ng e o ve r t im e. I f w e l ea ve b eh in d t he se r ec og ni ze dl eg al t oo ls , i s l aw c ap ab le o f f ac il it at in g m or e a de qu at e h ou si ng f orp o p u l a t i o n s u n d e r c o n d i t i o n s o f e c o n o m i c c o n s t r a i n t w i t h o u t m a n d a t -i n g un a t t a i n a bl e s t a n da r ds ?

In earlier w ork, I argu ed in general terms fo r the ‘‘grad ual andp r o g r e s s i v e ’ ’ i m p o s i t i o n o f m i n i m a l b u i l d i n g s t a n d a r d s i n t h e c o l o n i a s ,

p ai red w it h a cc es s to c red it f or h om e i mp ro ve me nt an d t ec hni ca la ss is ta nc e f o r c on st ru ct io n ( La rs on 1995: 2 49 –2 5 0) . S as ki a S as se n,t o o , h a s u r g e d t h e c r e a t i o n o f g r a d u a l a n d f l e x i b l e f o r m s o f r e g u l a t i o nt ha t c an b ri ng i nf or ma l e co no mi c a ct iv it ie s w it hi n t he r eg ul at or yf r a m e w o r k a t a m i n i m a l c o s t t o t h e r e g u l a t e d . ‘ ‘ U p g r a d i n g i s l i k e l y t od e m a n d g r e a t e r f l e x i b i l i t y i n t h e i m p l e m e n t a t i o n o f e x i s t i n g c o d e s a n dacknowledgment . . . t hat c om pl ia nc e m ay r eq ui re s ev era l p ha se s.L ow er t hr es ho ld s o f r eg u la to ry c om pl ia nc e w o ul d b e a p pl ie d t o n ew ,

sm al l-s ca le b usi ne sse s i n l ow -i nc om e c omm un it ie s t han t o w el l-e st ab li sh ed b u si ne ss es t ha t h av e h ad a n o p po rt un it y t o r ec ov e r s ta rt -u p c o st s ’’ (1998 : 16 6 ). B ut n ei th er S as se n n or I s pe ci fy t he l eg al f o rm f o rthis fl ex ibil ity. In this chap ter and in o ther recent w ork (Larson

15 I n t e r v ie w wit h D a v id A r iz m e n d i.


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2002: 1 7 7 – 1 8 1 ) , I p r o p o s e a d o p t i n g t h e ‘ ‘ p r o g r e s s i v e r e a l i z a t i o n ’ ’ m o d e lf i r s t a r t i c u l a t e d i n i n t e r n a t i o n a l h u m a n r i g h t s l a w a s t h e b a s i s f o r a n e wr e g u l a t o r y t e m p l a t e a t t u n e d t o t h e r e a l i t i e s o f i n f o r m a l i t y .

H u m a n r i g h t s l a w i s n o t a s o u r c e t y p i c a l l y c o n s u l t e d o n w h a t a r e i nt h e U n i t e d S t a t e s t h e q u i n t e s s e n t i a l l y l o c a l q u e s t i o n s o f l a n d u s e a n dh o u s i n g q u a l i t y . Y e t p u b l i c i n t e r n a t i o n a l l a w i s p i o n e e r i n g n e w u n d e r -s ta nd i ng s o f ‘‘ ri gh ts ’’ t ha t i nc lu d e p o si ti v e a s w el l a s n eg at iv e r ig ht s,w h i c h i n t u r n i s c r e a t i n g n e w u n d e r s t a n d i n g s o f w h a t ‘ ‘ l a w ’ ’ i s , a n d c a nb e. Br ou gh t h om e t o th e d ome sti c w or ld o f l an d a nd h ou si ng , t hes ee x p a n d e d u n d e r s t a n d i n g s c r e a t e n e w l e g a l a n d s o c i a l s p a c e , a n d e x t e n dt h e r e g u l a t o r y t o o l b o x .

T he I nt er na ti on al C ov en an t o n E co no mi c, S oc ia l a nd C ul tu ra lR i g h t s ( E c o n o m i c C o v e n a n t ) r e c o g n i z e s t h e h u m a n r i g h t o f a l l p e o p l et o ‘ ‘ a n a d e q u a t e s t a n d a r d o f l i v i n g . . . i n c l u d i n g a d e q u a t e f o o d , c l o t h -i n g a n d h o u s i n g , a n d t o t h e c o n t i n u o u s i m p r o v e m e n t o f l i v i n g c o n d i -t io ns ’’ ( Ar ti cl e 1 1( 1) ). P ar ti es r at if yi ng t he E co no mi c C ov en an tu ndertake an o bli gation to assu re their p eop le this b asic lev el o f s us te na nc e. Ma ny n ati on s h av e s ig ne d th e E co no mi c C ov en an t,

i nc lu di ng m an y i n w hi ch m os t o f t he p eo pl e l ac k a de qu at e h ou si ng .S o d o t h e p o s i t i v e r i g h t s g u a r a n t e e d b y t h e E c o n o m i c C o v e n a n t h a v et h e f o r c e o f l a w , o r a r e t h e y m e r e l y s y m b o l i c e x p r e s s i o n s o f a s p i r a t i o n ?

I nd ee d, t he E co no mi c C ov en an t d oe s n ot g ua ra nt ee i mm ed ia tep ro vi si on o f a de qu at e h ou si ng t o a ll p er so ns . A s a p ra ct ic al m at te r,e c o n o m i c r i g h t s c a n n o t b e i m p l e m e n t e d i n a l l t h e s a m e w a y s as civila nd p o li ti ca l r ig ht s, a nd t he E co no mi c C ov en an t r ec og ni ze s t hi s.16 TheE co no mi c C ov en an t r eq ui re s t he se r ig ht s t o b e ‘‘ pr og re ss iv el y . . .

realiz[ed]. . .

t o t h e m a xi m um of . . .

available [governmental] resources.’’T h u s , t h e E c o n o m i c C o v e n a n t t a k e s r e s o u r c e c o n s t r a i n t s i n t o a c c o u n t ;t h e r i c h n a t i o n m u s t p r o v i d e m o r e t h a n t h e p o o r o n e . W h e r e t h e r e i se xt re me e co n om ic c o ns tr ai nt , c it iz en s w il l o n ly g ra du a ll y r ea li ze t heright relativ e to the natio n’s resou rces. No r d oes the Econo micC ov en an t i mp os e u ni ve rs al s ta nd ar ds f or m ea su ri ng c om pl ia nc e.P ar ti es t o t he E co no mi c C ov en an t m ay h av e d if fe ri ng s ta nd ar ds f orj ud gi ng t he a de qu acy o f sh el te r, f or ex amp le , an d t he ri gh t m ay b e

16 S t at e s h a ve d i r ec t p o w er t o e s ta b li s h s t r uc t u re s t h at p r o te c t t h ei r c i ti z e ns ’ c i v il a n d p o l it i ca ll i b e r t i e s , s u c h a s p o l i c e , c o u r t s , a n d c o n s t i t u t i o n s , b u t t h e y c a n n o t c r e a t e t h e n a t u r a l o r s o c i a lr es ou rc es t o f ee d a nd h ou se t ho se c it iz en s b y t he s am e m ea su re s. Y et s ta te s d o h av e t he p ow er t oi n f l u e n c e t h e c r e a t i o n o f w e a l t h , a n d e v e n m o r e d i r e c t l y , t o d i s t r i b u t e a n d r e d i s t r i b u t e w e a l t h ,b y s t r u ct u re s s u c h a s p r o pe r ty l a w , s o c ia l w e l f a re , a n d t a x at i o n. S o e c on o mi c r i g ht s a r e e n f o r ce -a b l e , b u t b y d i f f e r e n t a n d m o r e i n d i r e c t m e c h a n i s m s .

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g ua ra nt ee d i n a w id e v ar ie ty o f p ol it ic al s et ti ng s w it h n o p ar ti cu la ra ppr oa c h e s m a n da t e d.

B y t hi s m od el , t he re a re n o i mm ed ia te ly e nf or ce ab le r ig ht s t o f ul l

c omp li an ce f ro m a ll r egu la te d p ar ti es. S pe ak in g f ro m w ith in th eU ni te d S ta te s l eg al t ra di ti on , s om e c om me nt at or s h av e a rg ue d t ha te n f o r c e a b i l i t y i s t h e m a r k o f a l e g a l r i g h t , a n d t h e r e f o r e c l a s s ‘ ‘ p r o g r e s -s iv e r ea li za ti on ’’ o f t he E co no mi c C ov en an t’ s r ig ht s a s s om et hi ng l es st ha n l aw ( Al st on a nd Q u in n 1 99 7: 15 5) . T he U ni te d S ta te s as a n at io n,f or i ns ta nc e, m ai nt ai ns t ha t e co no mi c, s oc ia l, a nd c ul tu ra l r ig ht s‘‘ be lo ng i n a q ua li ta ti ve ly d if fe re nt c at eg or y f ro m o th er r ig ht s, t ha tt h e y s h o u l d n o t b e s e e n a s r i g h t s b u t a s g o a l s o f e c o n o m i c a n d s o c i a l

p o l i c y ’ ’ ( U N G e n e r a l A s s e m b l y , 1 9 8 5 ) .I n g en era l, n ega ti ve r ig hts p ro vi de t he n or m o f l eg al ru le s i n t he

U n i t e d S t a t e s r a t h e r t h a n p o s i t i v e r i g h t s . N e g a t i v e r i g h t s p r o h i b i t t h es ta te f ro m d oi ng s om et hi ng , s uc h a s d en yi ng e qu al p ro te ct io n o f t he l awo r r e s t r i c t i n g f r e e d o m o f s p e e c h . P o s i t i v e r i g h t s i m p o s e a n a f f i r m a t i v eo bl ig at io n o n t he s ta te . T he a pp ro ac he s g ov er nm en ts t ak e t o a ss ur et h e s e t w o k i n d s o f r i g h t s g e n e r a l l y d i f f e r , w i t h p r o g r a m s o f d i s t r i b u t i o n

a n d r e d i s t r i b u t i o n u s e d f o r p o s i t i v e r i g h t s a n d p r o g r a m s o f e n f o r c e m e n te m p l o y e d f o r n e g a t i v e r i g h t s .Y et, i f th e l aw f oc us es o n e nf or cea bi li ty g en era ll y, a s o pp ose d t o

u ni v er sa l, i mm ed i at e, a nd a bs ol u te c om pl i an ce , t he p ri nc ip l e o f p ro -g r es s iv e r e al i za t io n a n d t h e r e qu i re m en t o f c o mm i tm e nt o f m a xi m uma va i l abl e r e s our c e s do b i nd p ar ti es e q ua ll y a nd i n l eg al ly e nf o rc ea b lew a y s . T h e p r i n c i p l e o f p r o g r e s s i v i t y r e q u i r e s n a t i o n s t o c r e a t e p r o g r a m sa n d p o l i c i e s t o a d d r e s s h o u s i n g n e e d s , a n d t o m a k e s t e a d y p r o g r e s s o v e r

t i m e t o i n c r e a s e a c c e s s t o a d e q u a t e h o u s i n g . T h e r e q u i r e m e n t o f p r o -g re ss c on si st en t w it h a v ai l ab l e r es ou rc es i mp o se s a n ‘‘ i mm ed ia te a ndr ea di l y i de nt if ia bl e o b li ga ti o n u p on s ta te s p ar ti es ,’’ p erm i ts m e as u re -m en t, a nd h en ce a ll ow s f or m ea ni ng fu l e nf or ce me nt17 ( Al st on a ndQ u in n 1 9 9 7: 1 6 5– 1 6 6) .

‘‘P r og r e s s i ve r e a l i z a t i on ’’ pr ovi de s a r e g ul a t or y c on c e pt i on f or i m pos -i n g a s p i r a t i o n a l s t a n d a r d s w h i l e c a l i b r a t i n g c o m p l i a n c e o b l i g a t i o n s t oa va il ab le e co no mi c r es ou rc es . B y a da pt in g t hi s l eg al t ec hn ol o gy t o a

d o me s ti c r e gu l a to r y r e gi m e, g o v er n me n ts m a y e v en h an d ed l y i n cl u d eb o t h t h e p o o r e s t c o l o n i a a n d t h e w e a l t h i e s t e n c l a v e u n d e r a u n i v e r s a l

17 T h e U n i te d N a ti o n s h a s w e ak e n f or c em en t p o w er s u n d er t h e E c o no m ic C o v en a nt , a n d t h i sw e a k n e s s , a s m u c h a s t h e p o s i t i v e r i g h t s c r i t i q u e , h a s l e d s o m e t o c o n c l u d e t h a t t h e E c o n o m i cC o v e n a n t is n o t r e a lly ‘ ‘ la w. ’ ’ N o n e t h e le s s , t h e a d a p t a t io n o f t h e p r o g r e s s iv e r e a liz a t io n m o d e lfo r d o m e s t ic r e g u la t o r y p u r p o s e s c o u ld in c lu d e a d o p t io n o f e ffe c t iv e e n fo r c e m e n t m e c h a n is m s .


155



h o us in g s ta nd a rd , o b li gi ng c om pl ia nc e f ro m r es id en ts i n e ac h s et ti nga cc or di ng t o t he ir r ea li st ic c ap ac it y t o m ee t t he s ta nd ar d. T h e m od elm ar ri es a sp i ra ti on a nd a tt ai na b il it y b y c om mi tt in g b o th g ov e rn me nt

a n d p e o p l e t o a c o m m o n n o r m o f d e c e n t h o u s i n g f o r a l l p e r s o n s , a n dr e qu i ri n g c o nt i nu i ng p r og r es s t o w ar d t h e s t an d ar d b y t h e ‘‘ p r og r es s iv er e a l i z a t i on ’’ pr i n c i pl e .

A d o m e s t i c p r o g r a m f o r r e g u l a t i n g h o u s i n g q u a l i t y a n d d e v e l o p m e n tb u il t a ro un d t he p ro gr es si ve r ea li za ti on o f s ta nd ar ds w o ul d b e tt er b al -a n c e t h e r e g u l a t o r y b u r d e n o n d i v e r s e p o p u l a t i o n s , t h e p u b l i c i n t e r e s ti n a de qu at e h ou si ng , a nd a c om mi tm en t t o s oc ia l i nc lu si on e xp re ss ed a sa c o m m i t m e n t t o e l e v a t i n g l i v i n g s t a n d a r d s . T o e n c o u r a g e c o m p l i a n c e

w i th m o di f ie d r e gu l at i on s a n d e n fo r ce m en t p r ac t ic e s, l o c al r e gu l at o rsc a n o f f e r s e l f - b u i l d e r s t e c h n i c a l a n d f i n a n c i a l a s s i s t a n c e a s p a r t o f t h el o n g - t e r m u p g r a d i n g p r o c e s s . A t a n y p o i n t w h e n t h e h o u s e h o l d s e e k sg o v e r n m e n t a l a s s i s t a n c e , t h e r e g u l a t o r y s t r u c t u r e m a y a s s e s s w h e t h e r i th a s m e t t h e d u a l c o m p l i a n c e o b l i g a t i o n s o f c o n t i n u o u s p r o g r e s s t o w a r dt he s ta nd a rd a nd t he c o mm it me nt o f m ax im um a va il ab le h o us eh ol dr e s o u r c e s . B y t h i s a p p r o a c h , e n f o r c e m e n t b e c o m e s a c o o p e r a t i v e e f f o r t

a t p r o g r e s s r a t h e r t h a n a p u n i s h m e n t o f t h e p o o r f o r w h e r e t h e y l i v e o rt h e l i m i t s o f t h e i r r e s o u r c e s . L i n k e d t o s u c h a c o m p r e h e n s i v e p r o g r a mo f r e g u l a r i z a t i o n , p r o g r e s s i v e r e a l i z a t i o n p l a c e s l a w b e h i n d , r a t h e r t h a na g a i n s t , t h e a c t i v i t i e s o f i n f o r m a l s .


O ut o f t he e ff ort t o f in d s om e f orm b y w hi ch l aw c an en ga ge i nf or ma li ty

o n i ts o wn t er ms e me rg es t he ‘‘ pr og re ss iv e r ea li za ti on ’’ m od el . I t i s a na lt er na ti ve m od el o f l aw t ha t r es pe ct s t he s tr at eg ic c ho ic es o f t ho ses tr ug gl in g h ar de st to s ta y a li ve i n t he n ew w or ld o f c he ap l ab or a ndp ri v at iz ed s o ci al p ro v is io n. L aw ye rs m us t l ea rn f ro m s oc ia l i nv e st ig a-t i o n o f t h e h i s t o r i c a l a n d s o c i a l p a r t i c u l a r i t i e s o f t h e i n f o r m a l s e c t o r a sit exi sts in ou r mi dst, and fro m social theo rists who co nnect thatk no wl ed ge t o l ar ge r s tr uc tu re s o f p ol it ic s a nd e co no my . B ut i t i s t het as k o f l aw ye rs t o f in d m at er ia l w ay s t o e mb od y t he se i de as i n p ol ic y

f r a m e w o r k s a n d r e g u l a t o r y t o o l s . T h a t i s t h e a i m o f t h i s c h a p t e r .

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A ls to n, P hi l ip , a nd G er a rd Q ui n n. 1 98 7. ‘‘ Th e N at ur e a nd S co pe o f S ta te sP ar ti es ’ O bl ig at io ns u nd er t he I nt er na ti on a l C ov e na nt o n E co no m ic ,S o c i a l a n d C u l t u r a l R i g h t s .’ ’ Human Rights Quarterly 9:156.

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D w ye r , A u gu s ta . 1 9 94 . On the Line: Life on the United States–Mexican BorderL o n d o n : L a t i n A m e r i c a n B u r e a u .

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Change in Developing Countries, e di te d b y Ed es io F er na nd es a nd A nnV a r l e y . L o n d o n : Z e d B o o k s .

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P a yn e , G e of f re y . 1 9 97 . Urban Land Tenure and Property Rights in Developing Countries: A Review. L o nd o n: I n te r me d ia t e T e ch n ol o gy D e ve l op m en tGroup.

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CHAPTER 7

LOCAL CONTACT POINTS AT GLOBALDIVIDES: LABOR RIGHTS AND IMMIGRANT

RIGHTS AS SITES FOR COSMOPOLITAN

LEGALITY

Fran Ansley

T hi s c ha pt er wi ll p re se nt t wo ca se s tu di es f ro m t he gl ob al N ort h – i n f act ,f ro m t he p in na cl e o f N or th er n p owe r, t he U ni te d S ta te s. I t w il l t ak e av an ta ge p oin t g ro un de d i n w ha t s ome h ave du bb ed ‘‘ th e S ou th i n t he

North,’’ meaning persons and communities in wealthy countries who arem ar gi na li ze d o r o th er wi se d is ad va nt ag ed b y t hi ng s a s t he y a re , g ro up s l ik ef ac to ry w or ke rs a nd l ow -i nc om e p eo pl e o f c ol or , w ho h av e r el at iv el yl i t t l e s o c i a l p o w e r a nd w ho e nj o y i nc r e a s i ng l y l i t t l e e c o no m i c s e c u r i t y .

Th e tw o c as es pr ese nt ed ar gua bl y c on sti tut e e xam pl es of w ha tSa nt o s c a l l s ‘‘s u b a l t e r n c o s m o p o l i t a n l e g a l i t y ’’ (2002 :4 7 9 ), l a w - m a k i nga n d l a w - c h a l l e n g i n g p r o j e c t s t h a t l i n k t h e l o c a l a n d t h e g l o b a l i n w a y st ha t u ns et tl e g lo ba l i ne qu al it y a nd e xc lu si on ( se e a ls o S an to s a nd

Rodrıg ue z- Ga ra vi to ’s c ha pt er i n t hi s v ol um e) . M y h op e i s t ha t t hee xp er ie nc es r ec ou nt ed i n t he se c as e s tu di es w il l i ll um in at e s om e o f the challenges confronted by those who want to help realize thec om pe ll i ng a nd q ue st io na bl e d re am t ha t S an to s a nd o th er s h av e h el du p f o r o u r c o n t e m p l a t i o n – th a t o f e g a l i t a r i a n a n d e m a n c i p a t o r y g l o b a lt r a ns f o r m a t i o n f r o m b e l o w .1

B o t h e f f o r t s d e s c r i b e d h e r e w e r e t r i g g e r e d a n d e n a b l e d b y w h a t I a mg oi ng t o c al l ‘‘ st ra te gi c g lo ba l c on ta ct p oi nt s. ’’ B y t ha t t er m I m ea ni n s t a n c e s w h e n ( 1 ) s o m e k i n d o f n e w , m a t e r i a l , a n d s o c i a l c o n n e c t i o ni s m a d e b e t w e e n a g r o u p o f p e o p l e i n o n e p a r t o f t h e w o r l d , a n d a g r o u p

1 T he re a re m an y p eo pl e c ri ti ca ll y p ur su in g t hi s d re am . F or v ar ie d c as es , s ee P ro ko sc h a ndR a y m o nd (2003) ; N i s s e n ( 2002) ; B r e c h e r , C o s t e l l o , a n d S m i t h ( 2002 ) ; E d w a r d s a n d G a v e n t a(2001) ; G a v e n t a (1999) ; a n d K l e i n ( 2000).

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o f p eo pl e i n a no th er ; ( 2) t he c on ne ct io n b ea rs s om e c lo se r el at io n t oth e d yn am ic s of co nte mpo ra ry g lob al iza ti on ; a nd ( 3) t he g ro up sb ro ug ht i nt o c on ta ct t hr ou gh t he c on ne ct io n a re i n s om e s en se n on -

e li te , t ha t i s, b ot h g ro up s a re m or e o n t he r ec ei vi ng e nd t ha n o n t hed e c i d i n g e n d o f t h e g l o b a l f o r c e s t h a t a r e c u r r e n t l y i n p l a y . T h e c o n t a c tp o i n t s t h a t i n t e r e s t m e , t h e o n e s I b e l i e v e a r e m o s t s t r a t e g i c , a r e t h o s et ha t g ar ne r a cu te a tt en ti on f ro m o ne o r b ot h o f t he g ro up s c on ne ct ed b yt he c on ta ct , a nd t he o ne s t ha t a re s uf fi ci en tl y n ew ( or a t l ea st n ew lyv i s i b l e ) t h a t t h e y h a v e n o t y e t c o m e t o b e s e e n a s n a t u r a l o r i n e v i t a b l e .B ot h c as es d es cr ib ed b el ow m ee t t he se r ou gh c ri te ri a, a nd b ot h a red r a w n f r o m d e v e l o p m e n t s o v e r t h e l a s t f e w y e a r s i n T e n n e s s e e , a s t a t e

i n t h e S o u t h e a s t e r n U n i t e d S t a t e s w h e r e I l i v e a n d w o r k .The first part of this essay will describe two sets of law-related

a c t i v i t i e s t h a t w e r e t r i g g e r e d b y t h e a p p e a r a n c e o f n e w g l o b a l c o n t a c tp oi nt s i n T en ne ss ee . T he s ec on d w il l d is cu ss w he th er e it he r o f t he see ff or ts q ua li f ie s a s a n i ns ta nc e o f t he ‘‘ co sm op ol i ta n l eg al it y’’ S an to s h asu rg ed s ch ol ar s t o s ee k o ut a nd s tu dy . I c on cl ud e t ha t b ot h e ff or ts d oqu al if y. Ho we ve r, I al so p oi nt t o s om e s ig ni fi ca nt p ro bl em s t hey

e nc ou nt er ed t ha t a re l i ke ly t o c on fr on t s im il ar S ou th –N or th e ff or tsi n t h e f u t u r e , d u e i n l a r g e p a r t t o t h e g r o s s a s y m m e t r i e s a c r o s s w h i c hs u c h g l o b a l c o l l a b o r a t i o n s a r e r e q u i r e d t o o p e r a t e .

7.1 T W O S T O R I E S

7.1.1 First contact point: capital flight and job lossF o r m a n y y e a r s T e n n e s s e e w a s a r e c e i v i n g d e s t i n a t i o n f o r l i g h t i n d u s t r y

l eav in g t he N or th ea st a nd Mi dwe st i n s ear ch of t he l ow wa ges , th ed o c i l e a nd u no r g a ni z e d w o r k e r s , a nd t he ‘‘b u s i ne s s - f r i e nd l y ’’ r e g u l a t o r ye n v i r o n m e n t f o r w h i c h t h e S o u t h e a s t e r n U n i t e s S t a t e s h a s l o n g b e e nk n o w n . B u t i n t h e l a t e 1 9 7 0 s a n d 1 9 8 0 s , d i s i n v e s t m e n t a n d t h e a t t e n d -a nt l os s o f b lu e- co ll ar j ob s b ec am e a m aj or f ea tu re o f t he e co no mi cl an ds ca pe . M an y T en ne ss ee m an uf ac tu ri ng o pe ra ti on s s hi ft ed t oM ex ic o a nd o th er l ow -w ag e l oc at io ns i n t he g lo ba l S ou th . W or ke rsl ea rn ed t ha t t he y c ou ld b e o rd er ed u nc er em on io us ly t o p ac k t he irm ac hi ne s a nd t he ir u nf in is he d w or k i nt o c ar db oa rd b ox es h ea de dS o u t h , t a k e u p t h e i r p i n k s l i p s , a n d g o h o m e . M o s t h a d p r e c i o u s l i t t l ei n f o r m a t i o n w i t h w h i c h t o i m a g i n e t h e M e x i c a n w o r k e r w h o w o u l d b eu n p a c k i n g t h a t b o x a t t h e o t h e r e n d o f i t s j o u r n e y .

I n 1 9 8 9 , a c o a l i t i o n o f l a b o r , c o m m u n i t y , a n d r e l i g i o u s g r o u p s f r o ma r o u n d t h e s t a t e c a m e t o g e t h e r f o r t h e p u r p o s e o f f i g h t i n g t h e s e p l a n t

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s hu td ow ns . O rg an iz er s w it h a f le dg lin g g ro up c al le d t he T en ne ss eeI nd u s t r i a l R e ne w a l N e t w o r k (T I R N )2 o r i g i n a l l y h o p e d t h e y c o u l d p u ta b r a k e o n f a c t o r y c l o s u r e s . L i k e t h e n a t i o n a l p l a n t c l o s i n g m o v e m e n t

o f w h i c h i t w a s a p a r t , T I R N u n d e r t o o k a n a r r a y o f i n i t i a t i v e s a i m e d a tm ak in g f oo tl oo se c ap it al m or e a cc ou nt ab le t o w or ke rs a nd c om mu -ni t i e s (A ns l e y 1993; Lynd 1982, 1987).

H ow ev er , a s T IR N o rg an iz er s e nc ou nt er ed c lo su re a ft er c lo su re ,t al ke d w it h d is tr au gh t w or ke rs , a nd s ou gh t r ep ea te dl y t o f in d s om eground upon which to stand and fight, and as they began to learns om et hi ng a bo ut t he d es ti na ti on s w he re t he se p la nt s w er e g oi ng , t heg l ob a l d i me n si o ns o f t h e p h en o me n on b e ca m e i n cr e as i ng l y a p pa r en t

(Weinbaum 2004).I t a l s o b e c a m e e v i d e n t t h a t t h e l a i d - o f f w o r k e r s T I R N e n c o u n t e r e d

i n i ts o rg an iz in g w er e h un gr y f or m or e i nf or ma ti on a bo ut t he se n ewg l o b a l t r e n d s . T h e y w a n t e d t o u n d e r s t a n d w h a t w a s h a p p e n i n g t o t h e ma n d t o t h e i r c o m m u n i t i e s , a n d w h y . M a n y w e r e c o n f u s e d a n d a n g r y a st he y w it ne ss ed t he i mp li ci t p os t- Wo rl d W ar I I U S s oc ia l c om pa ct –thin as it surely was – comi ng unraveled before their eyes. TIRN

o rg an iz er s h ea rd m an y b it te r c om pl ai nt s a bo ut c or po ra te g re ed a ndg ov ern me nt c ol lu si on . Th ey a ls o he ar d c om me nt s a bou t ‘‘ th os eM e x i c a n s ’ ’ w h o w e r e ‘ ‘ s t e a l i n g o u r j o b s . ’ ’

A c c o r d i n g l y , i n a d d i t i o n t o t h e w o r k t i e d d i r e c t l y t o p l a n t c l o s u r e s ,T I R N d e c i d e d t o m o u n t a n e f f o r t a i m e d a t c r o s s - b o r d e r u n d e r s t a n d i n gb et we en b lu e- co ll ar w or ke rs i n T en ne ss ee a nd t he ir c ou nt er pa rt s i n t heb o om i ng e x po r t p r oc e ss i ng i n du s tr y a l on g M e xi c o’ s n o rt h er n f r on t ie r .I n 1 9 9 1 , t h e g r o u p s p o n s o r e d i t s f i r s t t w o - w a y e x c h a n g e , a n e x p e r i e n -

t ia l e du ca ti on al t ra ve l p ro gr am t ha t i nv ol ve d f ac to ry w or ke rs a nda c t i v i s t s f r o m M e x i c o ’s maquiladora ( o r s i m p l y maquila) z o n e , i n t r a v e le x c h a n g e s w i t h f a c t o r y w o r k e r s a n d a c t i v i s t s f r o m T e n n e s s e e .

T h i s l o n g - t e r m p r o g r a m , s t i l l o n g o i n g t o d a y , h a s b e e n c h r o n i c l e d i ns o m e d e t a i l e l s e w h e r e ( A n s l e y a n d W i l l i a m s 1999; A n s l e y 1998, 1995,1992 ; D i s n e y 2003; W i l l i a m s 2002) . F o r p r e s e n t p u r p o s e s , s u f f i c e i t t os a y t h a t t h e s e t r i p s h a v e b e e n i n t e n s e . T h e y e x p o s e U S p a r t i c i p a n t s t ot he s up er he at ed w or ld o f t he maquilas, w i th t h ei r g l it t er i ng i n du s tr i alp a rk s a n d b l is t er i ng s q ua t te r s e tt l em e nt s , c h ao t ic g r ow th , g l ar i ng d i s-p ar it ie s, a nd b re at ht ak in g d ep ri va ti on s – a ll j um bl ed i nt o a s ho ck in g

2 T h e o r ga n iz a ti o n r e ce n tl y c h an g ed i t s n a me f r om th e T e nn e ss e e I n du s tr i al R e ne w al N e tw o rk t ot he T en ne ss ee E co no mi c R en ew al N et wo rk – a ll f or g oo d r ea so ns t ha t a re n o d ou bt o bv io us . F ors i m p l i c i t y ’ s s a k e , i n t hi s p r i m a r i l y hi s t o r i c a l e s s a y , I r e t a i n t he o r i g i na l na m e t hr o u g ho u t .

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b un dl e t ha t t ra ve le rs r eg ul ar ly r ep or t t o h av e b ee n u tt er ly u ni ma gi n-a bl e p ri or t o t he ir j ou rn ey s. A nd y et t he s tr an ge ne ss T en ne ss ea nse n c o u n t e r e d o n t h e s e t r i p s w a s a l s o l a c e d w i t h a n e e r i e f a m i l i a r i t y . A s

a r es ul t o f t he c or po ra te c on ne ct io ns t ha t c re at ed t hi s g lo ba l c on ta ctp o i n t o f c a p i t a l f l i g h t i n t h e f i r s t p l a c e , b l u e - c o l l a r m e m b e r s o f T I R Nd e l e g a t i o n s s o m e t i m e s m e t u p i n n o r t h e r n M e x i c o w i t h f o r m e r s u p e r -v is or s a nd s pa rr ed w it h t he m a bo ut o ld t im es . S om e t ra ve le rs r ec og -n i z e d t h e i n d i v i d u a l m a c h i n e s t h e y h a d t e n d e d b a c k h o m e , n o w b o l t e di n p l a c e o n v a s t n e w M e x i c a n s h o p f l o o r s s t a f f e d b y a r m i e s o f t e e n a g eoperators.

O ne o ut co me o f t he e xc ha ng e p ro gr am w as t he d ev el op me nt o f a

m u lt i -f a ce t ed e d uc a ti o na l p r og r am . R e tu r ni n g d e le g at i on s h a ve g i ve nsl id e s how s, wr itt en l et ter s t o t he ed it or , sp ok en to me eti ng s, l edS u nd a y s c ho o l c l as s es , t e st i fi e d a t h e ar i ng s , o r ga n iz e d w or k sh o ps , a n dc om po se d s on gs a nd p oe ms a bo ut t he d ow ns id e o f g lo ba li za ti on a ndf re e t ra de . A w id el y c ir cu la te d v id eo i s s ti ll w el l r ec ei ve d ( Ra nn ey2003: 2 2 5 ; T I R N 1993).

R e t u r n i n g d e l e g a t i o n s a l s o t o o k a c t i o n . T h e y s e n t ( m o d e s t ) c o n t r i -

b ut io ns o f m at er ia l a id t o s is te r o rg an iz at io ns , s up po rt ed c or po ra tec a mp a ig n s t h at f o cu s ed o n t h e p r ac t ic e s o f p a rt i cu l ar m u lt i na t io n al s ,an d st art ed b uy in g f ai r t ra de co ff ee . Th e f irs t ma in wa y t hat TI RNf o u n d t o e n g a g e m e m b e r s i n a c t i o n a f t e r t h e s e t r i p s t o t h e b o r d e r w a s ac a m p a i g n t h a t f o c u s e d o n l a w .

A s t h e o r g a n i z a t i o n b e g a n t o l e a r n a b o u t t h e maquiladora program,a nd a s i t m et o th er s w ho w er e a ls o c on ce rn ed a bo ut c ap it al f li gh t t ol ow -w ag e h av en s, T IR N w as i nt ro du ce d t o a w ho le w or ld o f i nt er na -

t i o n a l t r a d e a n d f i n a n c e e n t i r e l y n e w t o m o s t o f t h e g r o u p ’ s m e m b e r s .T he s e ho m e g r o w n p l a nt - c l o s u r e a c t i v i s t s f o u nd t he m s e l v e s c o nf r o nt e dw i t h a n a r r a y o f i n t e r n a t i o n a l a c r o n y m s , p r o g r a m s , a n d e n t i t i e s . F e w i nt h e o r ga n iz a ti o n k n ew m u ch i f a n yt h in g a b ou t ‘‘ s tr u ct u ra l a d ju s tm e ntp ro gr am s, ’’ o r c ou ld r ec al l h ear in g a bo ut t he ‘‘ deb t c ri si s, ’’ or h ad a ny i deah ow t o r es po nd t o a n e le ct ed of fi cia l w he n h e s ta rt ed s po ut in g t he or ie s o f ‘‘comparative advantage.’’ Much less could they interpret or understandt h e a l p h a b e t s o u p o f G A T T , W T O , I M F , T R I P S , a n d N T B s .

H o w e v e r , w h e n t h e U S , M e x i c o , a n d C a n a d a a n n o u n c e d t h e y w e r eg o i n g t o n e g o t i a t e a f r e e t r a d e a g r e e m e n t t h a t w o u l d h a v e t o b e v o t e don b y t he U S C on gre ss, i t a ppe are d t ha t th er e m igh t be a po li ti ca lh a n d l e t h a t g r o u p s l i k e T I R N c o u l d g r a b . ( A f t e r a l l , m a n y s u c h g r o u p sdid know how to lobby Congress, even i f they were neophytes ont he g lo ba l e co no my .) T he e ns ui ng a nt i- NA FT A c am pa ig n b ro ug ht


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t o g e t h e r a n a r r a y o f d i f f e r e n t c o n s t i t u e n c i e s t h a t h a d b e e n w o r k i n g o ni ss ue s o f e co no mi c j us ti ce a nd e nv ir on me nt al s us ta in ab il it y. I t a ls og a v e t h e m t h e i r f i r s t c l u e t h a t t h e i r o w n g o v e r n m e n t w a s b u s y p u s h i n g

a s et o f n ew s up ra na ti on al r ul es a bo ut i nt er na ti on al i nv es tm en t t ha tw o u l d p o s i t i v e l y r e s t r i c t g o v e r n m e n t s a t a l l l e v e l s f r o m e n a c t i n g m a n yo f th e ve ry m ea su re s t hes e g rou ps h ad b een l obb yi ng th ei r e le ct edo f f i c i a l s t o a d o p t .

G r o u p s t h a t h a d o f t e n b e e n p i t t e d a g a i n s t e a c h o t h e r – s u c h a s l a b o ru ni on s, c ri ti cs o f U S f or ei gn p ol ic y a nd w ar -m ak in g, s ma ll f ar me rs ,c iv il r ig ht s o rg an iz at io ns , a nd e nv ir on me nt al is ts – n ow j oi ne d n ewc oa li ti on s t o o pp os e N AF TA a nd t he a nt i- de mo cr at ic ‘‘ fa st -t ra ck ’’

a ut ho ri ty u nd er w hi ch i t w as n eg ot ia te d a nd a pp ro ve d. A l eg is la ti vec am pa ig n d ir ec te d a t t he U S C on gr es s a ll ow ed t he se n et wo rk s t o u sef am il ia r t oo ls to ma ke t he ir vi ews kn own a nd to a tt emp t t o af fe ctf e d e r a l p o l i c y .

A lt ho ug h o n o ne l ev el t he f ig ht a ga in st N AF TA l oo ke d l ik e a nyo th er l eg is la ti ve b at tl e t ha t U S g ro up s m ig ht h av e m o un te d i n t he p as t,i m p o r t a n t t h i n g s a b o u t i t w e r e n e w l y c o s m o p o l i t a n . I f t h e t r i - n a t i o n a l

s tr uc tu re o f N AF TA c re at ed a f ra me wo rk t ha t b ro ug ht e li te p ro fe s-s i on a ls t o ge t he r a t t h e t o p ( f or i n st a nc e , h i gh - le v el t r ad e n e go t ia t or s ,l a wy e rs , a n d c o rp o ra t e e x ec u ti v es f r om a l l t h re e s i gn a to r y c o un t ri e s) ,t h a t v e r y f r a m e w o r k w a s a l s o p u t t o u s e a s a c o m m o n m e e t i n g g r o u n df or g ra ss ro ot s a nd t ra de u ni on o pp on en ts a t t he b ot to m. A dm it te dl y,t h e s e s c r a p p y o p p o n e n t s l a c k e d t h e l a v i s h s u p p o r t e n j o y e d b y s t a t e a n dc or po ra te n eg ot ia to rs , b ut t ha t d id n ot p re ve nt t he m f ro m c re at in ge v en t s a n d r e la t io n sh i ps . F o r i n st a nc e , o n e s t ra n d o f t r i- n at i on a l n e t-

w o rk i ng i n vo l ve d t h e c r ea t io n o f a l o os e i n te r na t io n al w o rk i ng g r ou pt ha t b eg an t o h am me r o ut a n ‘‘ al te rn at iv e’’ t o t he o ff ic ia l a gr ee me nt .T hi s n et wo rk a im ed f or a s et o f c on cr et e p ro po sa ls a nd a n a ni ma ti ngvision that could serve as a practical and ideological counter to

NAFTA and the neoliberal gospel that undergirded it.In the earliest days of the negotiations, when the f uture of the

a g r e e m e n t w a s s t i l l q u i t e h a z y , c r i t i c s i n M e x i c o , t h e U S , a n d C a n a d as e ar c he d e n er g et i ca l ly t o i d en t if y a n d c o nt a ct c r os s -n a ti o na l c o un t er -p a r t s (H a t ha w a y 2000) . B e g i n n i n g w i t h a h i s t o r i c t r i - n a t i o n a l m e e t i n gi n Z a c a t e c a s , M e x i c o , i n 1 9 9 1 ( R a n n e y 2003:2 0 1 – 2 0 4 ), t he s e a s p i r i ngp ar tn er s o rg an iz ed m ee ti ng s o f t he ir o wn a t t he s am e t im e a nd p la cet h a t N A F T A t r a d e n e g o t i a t o r s c o n v e n e d . T h e y b e c a m e a d e p t a t c a p -i ta li zi ng o n s uc h m om en ts t o g o p ub li c i n v ar io us w ay s, b ut a ls o u se dtheir time together for consultation wi thin and across national

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d el eg at io ns . L at er t he se n et wo rk s w ou ld p ro vi de t he b as is f or m or eadvanced work along similar li nes in the context of the greatlye xp an de d r ea ch o f t he F re e T ra de A re a o f t he A me ri ca s ( Ca va na gh ,

A nd e r s o n, a nd H a ns e n- K u hn 2001).T he se e ar ly c ro ss -b or de r d ia lo gu es a bo ut a lt er na ti ve s t o ‘‘fr ee t ra de ’’

wer e mai nl y pe opl ed by a cadem ic s an d i ntel lec tual s f rom the th reec ou nt ri es . H ow ev er , s om e g ra ss ro ot s p ar ti ci pa nt s l ik e T IR N w er e a ls oin cl ude d, an d t he wor kin g gr oups tr ied ha rd t o f ee d th ei r wor k bac ki nt o t he m or e p op ul ar net wo rk s t ha t had b eg un m ob il iz ing a ro und t hec ou nt ry . T he i mp or ta nc e o f s uc h o ut re ac h w as hig hl ig ht ed a s i t b ec am eincreasingly clear that significant strands of the domestic opposition to

NAF TA in the US were isolationist, even xenophobic (Buchanan 1991;Perot 1993). A s t he p o l i t i c s o f t he a nt i - N A F T A c a m p a i g n d e v e l o p e d , akind of de facto alliance emerged between internationalists and isolation-ists (including some groups that were strenuously anti-immigrant). Thisa ll ia nc e h el d o ut th e p ro sp ec t o f g ar ne ri ng m or e v ot es a ga in st N AF TA o nt he f l o o r o f t he U S C o ng r e s s , b u t p o s e d s o m e r e a l d a ng e r s a s w e l l , a t l e a s ti n t he m ind s o f s om e i n t he c oa li ti on . Qu es ti on s a bo ut h an dl in g th es e

t ensi ons (fo r i ns ta nc e, w he ther t o d ow np la y o r t o hig hl ig ht d if fe re nc esb et we en th e s ti ll i ll -d ef in ed a nd o ve rl ap pi ng c am ps , a nd w he th er t op ro mo te o r r ej ec t a r ig ht –l ef t c oa li ti on l ea di ng u p t o t he N AF T A v ot e)were a continuing bone of contention among the anti-NAFTA forces.

T h e d i a l o g u e a m o n g t h e t r i - n a t i o n a l w o r k i n g g r o u p s o n a l t e r n a t i v e sc er ta in ly d id n ot r es ol ve t ho se t en se q ue st io ns . N ev er th el es s, t he y p ut as tr on g p ri or it y o n b ui ld in g c ro ss -b or de r t ie s a nd a rt ic ul at in g a c ro ss -b o r d e r p e r s p e c t i v e , a n d t h e y c h u r n e d o u t c o p i o u s f a c t s a n d a r g u m e n t s

s up po rt in g a w ho le he ar te dl y i nt er na ti on al is t c as e f or t he d ef ea t o f NAF TA (Hansen-Kuhn 2001) . Me an wh il e, mo re g ras sro ot s a ndr an k- an d- fi le s or ts o f c ro ss -b or de r c on ta ct , l ik e t he e xc ha ng e t ri pso rg an iz ed b y T IR N a nd b y o th er s, p ro vi de d s to ri es a nd p er sp ec ti ve st h a t h e l p e d t h e a l t e r n a t i v e s w o r k i n g g r o u p s t o u n d e r s t a n d w h a t p e o p l ec lo se r t o t he g ro un d i n a ll t hr ee c ou nt ri es c ar ed a bo ut , a nd w ha t m ov edt h e m ( C B N 2002; O j e d a 1999).

I n o ne s en se , t he m ob il iz at io n t o b lo ck o r r ad ic al ly a lt er N AF T Ae nd ed i n s ho rt -t er m d ef ea t w he n t he a gr ee me nt w as a pp ro ve d o ve r-w he lm in gl y b y C on gr es s. O n t he o th er h an d, t he m ov em en t f or ce ds om e s er io us c on ce ss io ns , i nc lu di ng a s ub st an ti al a pp ro pr ia ti on f or‘‘ tr ad e a dj us tm en t a ss is ta nc e’’ t o f ac to ry w or ke rs l ai d o ff a s a r es ul t o f

NAF TA-related trade, and a novel set of labor and environmental‘‘ si de a gr ee me nt s’’ n ot f ul ly i nt eg ra te d i nt o t he m ai n t ra de p ac t, b ut


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o f f e r i n g a t l e a s t s o m e m e c h a n i s m s f o r b r i n g i n g c o m p l a i n t s , a n d p r o v i d -i ng a no th er p la tf or m f or t ri -n at io na l c oo pe ra ti on a mo ng l ab or r ig ht sg r o u p s i n t h e t h r e e c o u n t r i e s .

F ur ther , t he u nf av or ab le v ot e i n C ongr es s d id not hi ng t o d is ma nt let he i d e a s a nd r e l a t i o ns hi p s t ha t w e r e b e g u n d u r i ng t he c a m p a i g n. T o t hec ontr ar y, t ho se r el at io ns hi ps c onti nu ed t o f lo ur is h. I n t hi s hem is pher e, t heoriginal tri-national nucleus of anti-NAFTA activists has now expandedi nto a H em isp he ri c S oc ia l Al li an ce i n s te p wi th t he wi den in g sc op e of th ep ro po se d F re e T ra de A re a o f t he A me ri ca s ( FT AA ) a nd c og ni za nt o f w o r l d w i d e a r e na s a nd p l a y e r s l i k e t he W T O . T he ne w v i s t a s a nd u nd e r -s ta nd ings o pe ne d b y t he se e nc ou nt er s w it h t he g lo ba l e co no my a nd i ts

new corporate-dominated constitutionalized legal order have raised pro-found questions for academic and grassroots participants alike about whati s ha p p e ni ng i n t he w o r l d a nd w hy (A l v a r e z 1997; Rupert 1995).

T IR N r ea di ly f ol l ow ed t he p at h o pe ne d b y t he f or eg oi ng d ev el op -m en ts . T en ne ss ea ns a tt en de d a ss em bl i es o f t he H em is ph er ic S oc ia lA ll ia nc e i n S ou th A me ri ca , a nd t he y a cc om pa ni ed d el eg at io ns o f g r a s s r o o t s g r o u p s f r o m t h e U S t o m e e t i n g s o f t h e W o r l d S o c i a l F o r u m

i n B r a z i l a n d I n d i a . T I R N a n d i t s c o n s t i t u e n t o r g a n i z a t i o n s h a v e t a k e nr e p e a t e d l y t o t h e s t r e e t s a s w e l l , t u r n i n g o u t f o r d e m o n s t r a t i o n s a g a i n s tt he W TO a nd t he F TA A i n S ea tt le , Q ue be c C it y, W as hi ng to n, D C,a nd M ia mi , a nd s ta gi ng l oc al a ct io ns b ac k h om e t o c oo rd in at e w it ht ho s e d i s t a nt c o nv e r g e nc e s .

7.1.2 Second contact point: immigrationT he s ec on d s tr at eg ic g lo ba l c on ta ct p oi nt c am e c lo se o n t he h ee ls o f

t h e f i r s t . I n t h e 1 9 9 0 s , m a s s l a b o r m i g r a t i o n o f l o w - w a g e w o r k e r s f r o mM ex ic o a nd C en tr al A me ri ca s ur ge d i nt o T en ne ss ee c om mu ni ti esp re vi ou sl y m ad e u p a lm os t e xc lu si ve ly o f n at iv e- bo rn w hi te s a nd b la ck s(Mendoza 2002; M en do za , C is ce l, a nd S mi th 2001) . I n th is s ec on dn e w- w or l d m o m e nt , r a th e r t h a n w a tc h in g a s t h e f a mi l ia r d r ai n ed a w ay ,n at iv e- bo rn T en ne ss ea ns w at ch ed a s f or ei gn o th er s p en et ra te d t hef a m i l i a r . F r o m o u r p r e v i o u s l y ‘‘i nt e r i o r ’’ l o c a t i o n, i ns u l a t e d w e l l t o w a r dt h e c e nt e r o f t h e n a ti o n’ s t e rr i to r ia l m a ss , w e w i tn e ss e d i n te r na t io n alb ou nd ar ie s c ro pp in g u p i n g ro ce ry s to re l in es , r es ta ur ant kitchens,c o n s t r u c t i o n s i t e s , a n d W a l - M a r t s u p e r s t o r e s a l l a r o u n d u s .3

3 O f c o u r s e T e nne s s e e i s no t a l o ne i n e x p e r i e nc i ng t hi s d r a m a t i c d e m o g r a p hi c s hi f t ( A p o nt e a ndSiles 1994; F i n k 2003; L o w e l l a n d S u r o 2002) . D e m o g r a p h i c s a r e i n t e n s e l y w a t c h e d i n t h e U S ,i n p ar t b ec au se o f t he ir b ea ri ng o n r ac ia l p ol it ic s. T he U S C en su s r ep or t ed t h at t he U S H is pa ni c

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T h i s s h i f t w a s n o t o n l y d e m o g r a p h i c : i t b r o u g h t l e g a l c h a n g e a s w e l l .M an y n ew i mm ig ra nt s i n T en ne ss ee a re ‘‘ un do cu me nt ed ,’’ m ea ni ngt ha t t he y a re i n t he U S w it ho ut a ut ho ri za ti on . T ha t m ea ns t he y a re

l ega ll y p ro hi bi te d f rom wo rk in g a nd a re su bj ec t to d epo rt ati on i f d e t e c t e d b y i m m i g r a t i o n a u t ho r i t i e s . F o r m o s t u nd o c u m e nt e d p e r s o ns ,p re se nt U S i mm ig ra ti on l aw o ff er s n o p at h t o r eg ul ar iz at io n o f s ta tu s. I nT e n n e s s e e , a l t h o u g h t h e o v e r a l l n u m b e r o f L a t i n a s a n d L a t i n o s i s s t i l l ar el at iv el y l ow p er ce nt ag e o f t he p op ul at io n, t he y a re n on et he le ss as tr ik in g n ew p re se nc e. I n s om e c ou nt ie s, t he g ro wt h h as b ee n e sp ec ia ll yd ra ma ti c, w it h a tt en da nt i mp ac ts o n s ch oo ls a nd o th er i ns ti tu ti on s t ha ta r e i l l - p r e p a r e d t o c o p e e i t h e r e q u i t a b l y o r c o m p e t e n t l y w i t h t h e n e w -

c o m e r s t h e y a r e n o w c h a l l e n g e d t o s e r v e ( M e n d o z a 2002; S m i t h 2001).L i k e t h e p h e n o m e n o n o f j o b l o s s a t t e n d a n t u p o n c a p i t a l f l i g h t , m a s s

l ab or m ig ra ti on s at is fi es c ri te ri a t ha t s ug ge st i t m ig ht p ro vi de a f av or -a b l e p l a t f o r m f o r c o s m o p o l i t a n l e g a l i t y . F i r s t , i t i s a s i g n a t u r e p h e n o m -en on o f to da y’ s g lo ba l e con omy , pr op el le d by th e d yna mi cs o f th eneoliberal development model that now dominates the world.S ec on dl y, i t b ri ng s p eo pl e w ho s ta rt f ro m v er y d if fe re nt g eo gr ap hi c

a n d s o c i a l l o c a t i o n s i n t o n e w s o r t s o f c o n t a c t w i t h e a c h o t h e r . F i n a l l y ,the phenomenon is still new enough to appear quite strange andquestionable to those of us who are watching it unfold. For mostT en ne ss ea ns , f or i ns ta nc e, e ve n h ea ri ng a no th er l an gu ag e s po ke n o nthe street was a novelty not so l ong ago. The idea of a whole news e p a r a t e l y t r e a t e d s e g m e n t o f t h e w o r k f o r c e , o n e t h a t i s b o t h d i f f e r e n -t ia ll y d is ci pl in ed b y l aw , a nd v is ib ly m ar ke d b y c ol or , s ti ll s ee ms m or al lyq u es t io n ab l e a n d p r ag m at i ca l ly i l l- c on c ei v ed t o m a ny o r di n ar y c i ti z en s .

In the early 1990s, some of the same people who had beeni nv ol ve d w it h T IR N’ s w or ke r- to -w or ke r e xc ha ng es b eg an t o t ak en ot e o f t hi s g ro wi ng i mm ig ran t pr ese nc e a nd t o w on de r wh et hert h e r e c o u l d o r s h o u l d b e a n y r e l a t i o n s h i p b e t w e e n t h a t a n d t h e o r g a n -i z a t i o n ’ s w o r k o n t h e g l o b a l e c o n o m y . F o r i n s t a n c e , o n e f a c t o r y w o r k e rs oo n a ft er h er r et ur n f ro m M ex ic o w ro te a l et te r t o th e e di to r c ri ti ci zi nga n t i - i m m i g r a n t v i e w s t h a t w e r e a i r e d i n t h e l o c a l p a p e r . A u n i o n t h a th a d h e l p e d s p o n s o r T I R N ’ s f i r s t t r i p s t o M e x i c o c o n v e n e d a w o r k s h o po n i m m i g r a t i o n a t o n e o f i t s a n n u a l m e m b e r s h i p m e e t i n g s .

T h e s e m o m e n t s o f c o n n e c t i o n s h o w e d t h a t s o m e o f t h o s e i n v o l v e di n t he c am pa ig ns a ro un d j ob l os s a nd c ap it al f li gh t w er e a ls o p ay in g

p op ul at io n g re w b y 5 7. 9 p er ce nt b et we en 1 99 0 a nd 2 00 0, a s c om pa re d w it h a f ig ur e o f 1 3. 2 p er ce nt f or t he U S p op ul at io n a s a w ho le . O f H is pa ni cs c ou nt ed , o ve r h al f w er e o f M e x i c a n o r i g i n ( G u z m a n 2001).


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a tt en ti on t o t hi s s ec on d g lo ba l c on ta ct p oi nt . N ev er th el es s, s uc hm om en ts w er e r el at iv el y i so la te d, a nd n on e o f t he m i nv ol ve d i ni ti a-t ive s t ake n b y i mmi gr an ts t he ms el ve s. F or t he mo st p art , TIR N’ s

g lo ba li za ti on w or k c on ti nu ed t o f oc us o n i ss ue s o f c ap it al f li gh t a ndo n b ui ld in g o pp os it io n t o t he l on g t ra in o f p ro po se d t ra de d ea ls t ha tc o n t i n u e d t o i s s u e f o r t h f r o m t h e C l i n t o n a n d B u s h a d m i n i s t r a t i o n s .

I n F e b r u a r y 2 0 0 0 , t h e A F L - C I O a n n o u n c e d a r e v e r s a l o f i t s f o r m e rp os it io n o n i mm ig ra ti on . I t c al le d f or a n a mn es ty p ro gr am f or a l ar ges e g m e n t o f u n d o c u m e n t e d w o r k e r s a l r e a d y i n t h e c o u n t r y a n d d e c l a r e dt ha t l ab or w ou ld b eg in a gg re ss iv el y r ec ru it in g i mm ig ra nt s i nt o i ts r an ks .I t i s h a r d t o o v e r s t a t e t h e p o t e n t i a l s i g n i f i c a n c e o f t h i s d e v e l o p m e n t f o r

t h e f u t u r e o f o r g a n i z e d l a b o r a n d i m m i g r a t i o n p o l i t i c s ( E l y 2000).At the same time, policy announcements from the top do not

n ec es sa ri ly t ra ns la te i nt o r ea l ‘‘ bu y- in ,’’ c ha ng e o r e ne rg y a t t he b as e.C e r t a i n l y , l i t t l e i n T e n n e s s e e s e e m e d t o f o l l o w i n i t i a l l y f r o m t h e p o l i c yc ha ng e. F ew o f t he i nd us tr ie s w he re L at in os w er e w or ki ng h ad e ve rbeen organized to begin with, and, in any event, new workplaceo r g a n i z i n g d r i v e s o f a n y k i n d a r e r a r e h e r e a s e l s e w h e r e .

M a ny g r as s ro o ts c o mm u ni t y g r ou p s a n d s o ci a l j u st i ce o r ga n iz a ti o nsthat were part of TIRN or i ts circle of allies had by then becomec on vi nc ed t he y n ee ded t o h ook up so me ho w wi th t he i mm ig ra ntc om mu ni ty . B ut m os t o f t he se g ro up s, l ik e t he u ni on s, w er e g re at lyh a m p e r e d b y a l a c k o f S p a n i s h - l a n g u a g e c a p a c i t y i n t h e i r o r g a n i z a t i o n sa nd b y t he ir s ti l l q ui te r ud im en ta ry k no wl ed ge o f t he n ee ds , c ul tu re ,a nd c on ce rn s o f t he i mm ig ra nt c om mu ni ty . M ea nw hi le , n ot a s in gl ei m m i g r a n t s ’ r i g h t s o r g a n i z a t i o n w a s y e t i n e x i s t e n c e i n t h e s t a t e .

In t he s pr in g of 2 00 1, a n un li ke ly i ss ue p ro vi de d th e se ed ar ou ndw hi ch t he se e me rg in g t re nd s a nd n et wo rk s c ou ld c ry st al li ze : a cc es s t ot he dr iv er ’s l ic en se fo r u nd oc ume nt ed p eo pl e. B egi nn in g i n 1 998 ,T en ne ss ee r eq ui re d a pp li ca nts f or a d ri ve r’ s l i ce ns e t o p rov id e a s oc ia ls e cu ri t y num b er , s o me t hi ng g e ne r al l y o nl y a v ai l ab l e t o p er s ons a u tho r-i ze d t o w ork i n th e US – mos tl y c it ize ns a nd th ose wh o ha ve b ee n g ra nte dLe g a l Pe r m a ne nt R e s i d e nc y s t a t u s w i t h i t s a c c o m p a ny i ng ‘‘g r e e n c a r d .’’

T h e e f f e c t o f t h i s r e q u i r e m e n t w a s t o b a r u n d o c u m e n t e d i m m i g r a n t sf rom ob ta in in g a l ic en se to d ri ve . Th e i mp ac t o f t hi s b ar m ay be di ff ic ul tf o r n o n - U S r e a d e r s t o a p p r e c i a t e . I n T e n n e s s e e , a s i n m a n y o t h e r U Sl o ca t io n s, t h er e i s b a si c al l y no l o ca l p u bl i c t r an s po r ta t io n o u ts i de t h et ig ht c en tr al c or e o f t he l ar ge r c it ie s. F or t he v as t m aj or it y o f p eo pl e,i n c l u d i n g p o o r p e o p l e , a n a u t o m o b i l e i s t h e r e f o r e a v i r t u a l n e c e s s i t y f o re ve n t he s im pl es t a ct s o f d ai ly e xi st en ce , i nc lu di ng t he t as k o f g et ti ng t o

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a nd f rom o ne’ s pl ac e o f wor k. F or un do cum en te d i mmi gr an ts , th ei na bi li ty t o o bt ai n a l ic en se f un ct io ne d t o c ri mi na li ze a no th er a sp ec to f d a i l y l i f e i n t h e U S . T h e o p p o r t u n i t i e s a n d t e m p t a t i o n s f o r p o l i c e t o

e ng ag e i n t he m os t b la ta nt r ac ia l p ro fi l in g d ir ec te d a t t ho se ‘‘ dr iv in gw h i l e b r o w n ’ ’ w e r e t h e r e b y m u l t i p l i e d a t h o u s a n d - f o l d .

A ll w ho i nt er ac te d r eg ul ar ly w it h L at in os k ne w t hi s i ss ue w as u ni -ve rsa ll y se en a s c ri ti ca l b y t he i mmi gr an t c omm un it y. Wh en th eR o m a n C a t h o l i c C h u r c h a n n o u n c e d t h a t a c c e s s t o t h e d r i v e r ’ s l i c e n s ew ou ld b e o ne o f i ts m a in a ge nd a i te ms f or t h e 2 00 1 l eg is la ti ve s es si on o f t he T en ne ss ee l eg is la tu re , a s ta te -w id e n et wo rk o f o th er s up po rt er ss oo n e me rg ed . A w eb si te a nd a n e -m ai l l is t w er e c re at ed , a nd v ol un -

t e e r s b e g a n f i n d i n g t h e i r w a y t o c a m p a i g n . D o z e n s o f p e o p l e , i n c l u d i n gm an y i mm ig ra nt s, m ad e a d ra ma ti c v is it t o t he g en er al a ss em bl y o nC a t h o l i c L o b b y D a y , w h e r e s o m e u n d o c u m e n t e d i m m i g r a n t s c h o s e t ot e l l t h e i r s t o r i e s t o s t a r t l e d l e g i s l a t o r s , w h o a t t e n t i v e l y h e a r d t h e m o u t .As to ni sh ing ly , t he pr op os ed bi ll s ma de i t i nt o l aw. In sh ort or de r,l ic en se s w er e o nc e a ga in i ss ue d t o u nd oc um en te d p er so ns i n T en ne ss ee .

W ith in d ay s, m ass es o f i mm ig ra nt s d es ce nde d o n dr iv er ’s l ice ns e

s ta ti on s a ro un d t he s ta te ( S em ie n 2001; W hit a ke r 2001a) . L on g l in esa n g e r e d s o m e n a t i v e s w h o w e r e u n n e r v e d t o s t u m b l e o n t o t h e s e s c e n e sa nd u nha p p y t o b e i nc o nv e ni e nc e d b y t he d e l a y . A nt i - i m m i g r a nt o r g a -n iz at io ns w er e q ui ck t o c ap it al iz e o n t he se r ea ct io ns a nd u se d t he m t of u e l a n i m m e d i a t e e f f o r t a t r e p e a l . Ev e nt u a l l y , t he l i ne s d i m i ni s he d , a ndt he b o t t l e ne c k w a s o v e r , b u t no t t he c o nt r o v e r s y (W hi t a k e r 2001b).

T he d ri ve r’s l i ce ns e c am pa ig n r ep re se nt ed t he f i rs t t im e t ha t T enne ss eeLatinas, Latinos, and their allies had come out into the open in a

coordinated way to seek some kind of reform, a nd it was a dramatice x p e r i e nc e f o r t ho s e i nv o l v e d . T o t e l l t he t r u t h, m a ny p e o p l e w ho w e r ei nv ol ve d w er e m or e o r l es s d um bf ou nd ed a t t he ir s uc ce ss . S ev er al h adbe en d ubi ous t ha t th e c ampa ign wou ld pre va il i n a f irs t ro un d ef fo rt ,especially given the conservative tenor of the Tennessee legislature andt he r es er vo ir s o f a nt i- im mi gr ant f e el i ng t ha t t he y had r ea so n t o b el ie veex ist ed i n t he s ta te . Pr o-i mmi gr an t g roup s t ook re al he ar t f rom t hev ic to ry . M ea nw hi le , f ig ht s o ve r a cc es s t o t he d ri ve r’ s l ic en se b eg an t os u r f a c e i n o t he r s t a t e s a s w e l l . T he s e w e r e ho t l y c o nt e s t e d , t o b e s u r e , b u tm a ny o b s e r v e r s ne v e r t he l e s s s a w t he m a s p a r t o f a g e ne r a l l y brighteningp i c t u r e , i n w h i c h t a l k o f a b r o a d a m n e s t y w a s m u c h i n t h e a i r .4

4 A t t h e h ei gh t o f t he c om pl ai nt s a bo ut l on g l in es a t d ri ve r’ s l ic en se s ta ti on s, f or i ns t an ce , am em be r o f t h e p re si de nt ia l c ab in et i n M ex ic o w ro te a l et t er t o The Tennessean, N a s hv i l l e ’ s d a i l y


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S u c h w a s t h e p r e c a r i o u s b u t g r e a t l y e n c o u r a g e d m o o d i n t h e s u m m e ro f 2 0 0 1 . A n d t h e n c a m e t h e e v e n t s o f S e p t e m b e r 1 1 .

T h e e n s u i n g f a l l o u t f o r i m m i g r a n t s w a s i n t e n s e a t e v e r y l e v e l . T w o

p a r t i c u l a r l y p o t e n t s t r a n d s o f A m e r i c a n a n g e r a n d a n x i e t y i n t e r s e c t e dp re ci se ly o n t he t er ra in o f o ur m od es t T en ne ss ee d ri ve r’ s l ic en se v ic -t o r y . F i r s t w a s t h e f e a r o f i m m i g r a n t s , s u c h t h a t m a n y A m e r i c a n s b e g a nt o e xp re ss a w id es pr ea d c on ce rn o ve r t he s im pl e f ac t o f i mm ig ra nt s’i nc re as in gl y v is ib le , u nc on tr ol le d, a nd t ra ns gr es si ve p re se nc e i n o urm i d s t . S e c o n d w a s t h e f e a r o f i m m i g r a n t s ’ a p p a r e n t a b i l i t y t o c o n s t r u c tf al se i de nt it ie s u si ng w ha t w er e p er ce iv ed a s t he o rd in ar y, i nn oc en tw o r k i n g s o f o u r o w n s t a t e a n d p r i v a t e b u r e a u c r a c i e s o f i n f o r m a t i o n . I n

t he da ys an d we eks a ft er t he a tta ck, i t s ee me d t he m edi a r epe ate de nd le ss ly t ha t s ev er al o f t he 9 /1 1 t er ro ri st s h ad b ee n i n p os se ss io n o f o f f i c i a l s t a t e - i s s u e d d r i v e r ’ s l i c e n s e s . T h a t a l l t h e t e r r o r i s t s h a d e n t e r e dt he c ou nt ry legally did nothi ng to reduce the cries of alarm aboutu n do c um e nt e d p e op l e i n o u r m i ds t , o r t h e r e le n tl e ss l y r e pe a te d r e fe r -e n c e s t o i d e n t i t y d o c u m e n t s a n d t h e d a n g e r t h e y p o s e d t o l a w - a b i d i n gc i t i z e n s . E a c h t i m e a c t i v i s t s f r o m t h e d r i v e r ’ s l i c e n s e c a m p a i g n r e a d o r

h e a r d t h o s e r e p o r t s a g a i n , o u r h e a r t s s a n k . I n i m m i g r a n t c o m m u n i t i e s ,t h e s e n s e o f d r e a d a n d a n x i e t y w a s p a l p a b l e a t e v e r y t u r n .I mm ig ra nt a dv oc at es d id n ot f al l i nt o p ar al ys is . S in ce t he i ni ti al

t ra um a, t he y h av e w or ke d u ns ti nt in gl y t o c on tr ol d am ag e, t o d ef en dp ri or g ai ns, an d t o i de nti fy s ma ll ope ni ng s f or r ef or m, w or ki ng a tn at io na l, s ta te , o r l oc al p ol ic y l ev el s a s t he w ea th er s ug ge st ed ( Sm it ha n d S u gi m or i 2003), a nd f ig ht s o ve r i mm ig ra nt a cc es s t o t he d ri ve r’ sl ic en se – s om e o ff en si ve a nd s om e d ef en si ve – h av e b ee n p ro mi ne nt

(FAIR 2002; N I L C 2004, 2002) . M e a n w h i l e , t h e y h a v e f a c e d a b a r r a g eo f a n t i - i m m i g r a n t m e a s u r e s , l i k e w i s e p u t f o r w a r d a t m u l t i p l e l e v e l s , a l lr ai si ng o pp or tu ni ti es f or e du ca ti on a nd d eb at e, b ut a ls o t hr ea te ni ngs er io us s et ba ck s. S ig ns o f a nt i- im mi gr an t f ee li ng a mo ng t he g en er alp o p u l a t i o n a r e s t i l l m u c h i n e v i d e n c e .

I n T e n n e s s e e , o p p o n e n t s o f i m m i g r a n t a c c e s s t o t h e d r i v e r ’ s l i c e n s eh av e m ou nt ed s tr on g e ff or ts a t r ep ea l, a nd t he y h av e s uc ce ed ed i nc hi pp in g a wa y a t a cc es s. ( To da y, f or i ns ta nc e, T en ne ss ee l i ce ns es i ss ue dt o d r i v e r s w h o l a c k a s o c i a l s e c u r i t y n u m b e r a r e p r o m i n e n t l y m a r k e d t o

n e w s p a p e r , u r g i n g u s t o h a v e p a t i e n c e a n d n o t g o b a c k o n t h e d e c i s i o n t o a l l o w a c c e s s t o t h ed r i v e r ’ s l i c e n s e f o r i m m i g r a n t s . I n c l o s i n g h e r e m a r k e d , ‘ ‘ A y e a r f r o m n o w , w h e n t h e k i n k s h a v eb e e n i r o ne d o u t a nd o t he r s t a t e s ha v e j o i ne d t he ha nd f u l a l r e a d y g r a nt i ng i m m i g r a nt s l i c e ns e s ,T e n n e s s e e w i l l b e p r o u d t o s a y i t w a s a m o n g t h e f i r s t t o r e c o g n i z e t h i s i m p o r t a n t o p p o r t u n i t y ’ ’(Hernandez 2001).

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i n d i c a t e t h a t d a m a g i n g f a c t . ) N e v e r t h e l e s s , d e s p i t e t h e f u r o r a f t e r 9 / 1 1a n d c o nt i nu i ng h e ig h te n ed c o nc e rn a b ou t s e cu r it y , i m mi g ra n t g r ou p sh av e t hus f ar su cce ede d i n h ol di ng pa rt of t he g rou nd t he y g ai ne d i n th e

2 0 0 1 c a m p a i g n.M o r e i m p o r t a n t l y , t h e h u m a n n e t w o r k s t h a t w e r e c r e a t e d d u r i n g t h e

dr ive r’ s l ic en se c amp ai gn h ave co nti nue d t o f un ct ion a nd g ro w.Tennessee is now home to a formal organization, the TennesseeI mm ig ra nt a nd R ef ug ee R ig ht s C oa li ti on , w ho se g en es is w as g re at lyb oo st ed b y t he d ri ve r’ s l ic en se c am pa ig n, b ut w ho se a ge nd a i s n owm uc h b ro ad er . T he se d ay s, m or e m ee ti ng s a re c on du ct ed i n S pa ni sh ,and more leadership roles are filled by immigrants and refugees

themselves.

7.2 B U T W A S I T C O S M O P O L I T A N ?

S a n t o s d i s c e r n s a t w o r k i n t h e w o r l d a f o r m o f g l o b a l i z a t i o n t h a t l i n k s‘‘ s oc i al g r ou p s, n e tw or k s, i n it i at i ve s , o r ga n iz a ti o ns a n d m o ve m en t s’’t ha t o pp os e n eo li be ra l g lo ba li za ti on (2002 : 45 9) . H e c al ls th is ki nd o f

g lo ba li za ti on f ro m b el ow ‘‘ co sm op ol ita ni sm o f t he o pp re ss ed ’’ a nda r gu e s t h at i n p r es e nt c i rc u ms t an c es i t r e pr e se n ts a ‘‘ n ec e ss a ry c o nd i -t i o n o f s o c i a l e m a nc i p a t i o n’’ (Sa nt o s 2002: 4 6 6 ) . W i t h i n t h i s l o o s e a n df a r - f l u n g a s s o r t m e n t o f l o c a l a n d i n t e r n a t i o n a l p r o j e c t s , S a n t o s i d e n t i -f i es l a w- f oc u se d a c ti v it y , ‘‘ c os m op o li t an l e ga li ty ,’’ a s a n i mp or ta ntc o m p o n e n t t h a t c a l l s o u t f o r f u r t h e r s t u d y .5

S i n c e t h i s e s s a y i s i n s o m e s e n s e a r e s p o n s e t o s u c h a c a l l ( s e e S a n t o sa n d R od r ı g u e z - G a r a v i t o ’ s c h a p t e r i n t h i s v o l u m e ) , i t s e e m s i m p o r t a n t

to a sk w het he r th e t wo c as es d isc uss ed h er e c an r igh tl y be s een a si n s t a n c e s o f c o s m o p o l i t a n l e g a l i t y . I c o n c l u d e t h a t b o t h o f t h e s e e x e r -c is es i n l eg al it y d is pl ay ed i mp or ta nt ‘‘ co sm op ol it an ’’ f ea tu re s, i n t heh o n o r i f i c s e n s e t h a t S a n t o s m o s t l y u s e s t h a t t e r m , b u t I a l s o n o t e t h a tb ot h e ff or ts w er e a ff ec te d b y t he c on st an t g ra vi ta ti on al p ul l o f anti-c o s m o p o l i t a ni s m (i nc l u d i ng t he p a r t i c u l a r l y v i r u l e nt f o r m w hi c h a nt i -c o s m o p o l i t a n i s m o f t e n t a k e s i n t h e U S ) . B a s e d o n t h e s e o b s e r v a t i o n s ,I w i l l o f f e r a f e w t e n t a t i v e s u g g e s t i o n s a b o u t w a y s t h a t p e o p l e w h o a r esi tua te d i n t he g lob al No rt h an d wa nt t o be pa rt o f c re at in g ‘‘ a n ew l ega l

5 S an to s u se s ‘‘ la w’’ i n a v er y b ro ad s en s e, w hi ch i nc lu de s n on - of fi ci al l aw a nd e ve n i ll eg alpractices (2002: 49 5) . F or m or e o n t he p os s ib il it y o f a n e ma nc ip at or y m at ri x b et we en l aw a ndp o l i t i c s , s e e S t a m m e r s ( 1999).


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c o m m o n s e n s e ’ ’ m i g h t w o r k t o a l i g n t h e i r e f f o r t s m o r e s e c u r e l y w i t h ac o s m o p o l i t a ni s m o f t he o p p r e s s e d .

T h r e e s a l i e n t f e a t u r e s s e e m e s p e c i a l l y w o r t h p o i n t i n g o u t . F i r s t , b o t h

c a s e s i nv o lv e d global boundary crossing . W he th er t he b ou nd ar ie s w er et e r r i t o r i a l , r a c i a l , l e g a l , o r o t h e r w i s e , t h e s e c a s e s b r o u g h t a b o u t c o l l a b -o r at i on s a n d a l li a nc e s t h at l i nk e d p e op l e f r om d i ff e re n t, u s ua l ly q u it es e p a r a t e , s o c i a l / g l o b a l l o c a t i o n s . T h e y b r o u g h t d e n i z e n s o f t w o o r m o r eg lo ba l s it es i nt o s om e n ew a nd s tr ik in g c on ta ct t ha t a ll ow ed t he t wog r o u p s t o e n g a g e i n p e e r e x c h a n g e a n d s h a r i n g o f p e r s p e c t i v e s .

S ec on dl y, b ot h e ff or ts ( ad mi tt ed ly t he a nt i- NA FT A e ff or t m or et ha n t he d ri ve r’ s l i ce ns e c am pa ig n) i nv ol ve d a n e le me nt o f horizontal

understanding – t ha t i s, t he y s tr es se d s ol id ar it y b et we en p ee rs , r at he rt h a n c h a r i t y f r o m g e n e r o u s s u p e r o r d i n a t e s t o w a r d n e e d y s u b o r d i n a t e s .I n t h i s s e n s e , t h e a n t i - N A F T A w o r k c a l l e d u p a n o p p r e s s e d a n d c r o s s -na t i o na l ‘‘w e ’’ t ha t s t o o d o u t a g a i ns t a n o p p r e s s i v e c o r p o r a t e ‘‘t he y .’’ A sa c on se qu en ce , i t p ro vi de d a c ou nt er – f ir st , t o t he m or e n at io na li st ,a nt i- co sm op ol it an f ra me t ha t h as t ra di ti on al ly b ee n s o s tr on g i n t heU S, a nd , s ec on dl y, t o t he q ui te d if f er en t, e li te -o ri en te d c os mo po li -

t an is m s ug ge st ed b y t he n eo li be ra l w or ld v ie w o f g lo ba l m ar ke ts a ndf r e e t r a d e .T h i r d l y , i n b o t h c a s e s , legal strategies played a non-dominant part in a

broader, deeper, longer political effort. A s m a n y s c h o l a r s h a v e r e c o g n i z e d ,l eg al ‘‘ ri gh ts ’’ i n t he a bs tr ac t, i nt er na ti on al o r d om es ti c, a re h ig hl yc o nt i ng e nt – e q ua l ly c a pa b le o f p r om o ti n g e g al i ta r ia n r e di s tr i bu t io n ,o r d ef en di ng e mb ed de d p ri vi le ge . A cc or di ng ly , m ov em en ts b en t o ng a i n i n g o r d e f e n d i n g l e g a l r i g h t s a s a w a y o f a d v a n c i n g t h e f o r t u n e s o f

o p p r e s s e d p e o p l e h a d b e s t r e m a i n v i g i l a n t a b o u t t h e i r v u l n e r a b i l i t y t oa bs or pt io n a nd d er ai lm en t. I a gr ee w it h S an to s t ha t a n i mp or ta nt h ed gea ga in st th e c apt ur e o f l eg al ri gh ts i nto t he se rvi ce o f t he st atu s q uo( w h e t h e r a s d i s c o u r s e o r a s s o c i a l p r a c t i c e ) , i s t h e i n t e g r a t i o n o f r i g h t sc la im s i nt o p ol it ic al a ct iv it y t ha t r eg ul ar ly m ov es a nd s ee s b ey on di mm ed ia te l eg al c la im s. I n b ot h o f t he c as es d is cu ss ed a bo ve , l aw r ef or mg oa ls w er e p ro mi ne nt . B ut i n b ot h c as es t he l aw -c en te re d w or k w asa c co m pa n ie d b y n o n- l eg a l ( s om e ti m es e v en b y m a ss i ve i l le g al ) a c ti v -i t y , a n d w a s p a r t o f a l o n g - t e r m e f f o r t t o b u i l d c r o s s - b o u n d a r y r e l a t i o n -s h i p s f o r f u t u r e d i a l o g u e a n d a c t i o n .

In th re e i mpo rt an t wa ys , th en , th e c ase s pr ese nt ed h er e d is pl ayf ea tu re s o f c os mo po li ta n l eg al it y. H ow ev er , b ot h c as es m an i fe st c on tr a-d ic to ry s ig ns a s w el l. T he e me rg en t c os mo po li ta ni sm o f b ot h e ff or ts w ass ub je ct ed to c on st an t pr ess ur e f ro m t he b re at ht aki ng s oc ia l a nd

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e c o n o m i c d i s t a n c e b e t w e e n t h e N o r t h e r n a n d S o u t h e r n p o l e s o f t h e i rr e sp e ct i ve c o ll a bo r at i on s . P r es e nt g l ob a l d i sp a ri t ie s , t o ge t he r w i th t h ep ri vi le ge s t he y e nt ai l, c an m ak e i t d if fi cu lt f or c it iz en s o f t he g lo ba l

North to move toward genuine peer-to-peer alliances with Southerncounterparts.

T he di ff ic ul ti es s tem i n pa rt f rom t he p ul l of se lf -i nte re st a nd s el f-p ro te ct io n: N or ther ne rs o f a ll k inds w it ne ss ing Sou ther n r ea li ti es c anse e r isk s of l os s i n ad di ti on to th e pr om ise of ga in . Bu t t he di ff icu ltys te ms f r om e pi st em ol og ic al d is ad va nt ag e a s w el l. Pri vi l eg e i n t he g lo ba le co no my o ft en c onsi st s p re ci se ly i n b ei ng d is ta nc ed a nd s he lt er ed f ro md i r e c t e v i d e nc e o f t he d i s t u r b i ng c o nd i t i o ns o f l i f e f a c e d b y o t he r s i n l e s s

privileged locations and from direct experience with many of the instru-mentalities that play such important roles in global maldistribution.

T hi s k in d o f a nt i- co sm op ol it an p re ss ur e i s c er ta in t o r ec ur i n o th erefforts at South–North cosmopolitan legality. The strength of this press-u r e i s d i r e c t l y r e l a t e d t o t he d e g r e e o f a s y m m e t r y p r e v a i l i ng b e t w e e n t he

Northern participants in such cross-border efforts, and the Southernc ou nt er pa rt s w it h w ho m t he y a re b ro ug ht t og et he r b y t he o cc ur re nc e

o f ne w g l o b a l c o nt a c t p o i nt s . A f e w b r i e f e x a m p l e s s ho u l d i l l u s t r a t e .

7.2.1 Global boundary crossingB ot h e ff or ts d es cr ib ed a bo ve i nv ol ve d p ro po sa ls f or l eg al r ef or m t ha tw er e g en er at ed a t s it es w he re t he re w as s ig ni fi ca nt b ou nd ar y c ro ss in gg oi ng on . S ti ll , a ll b ou nda ry c ro ss in gs a re n ot eq ua l. I n t he c as e of T IR N’ s c ro ss -b or de r l ab or r ig ht s e xc ha ng es , f or i ns ta nc e, b ar ri er s o f t i m e , l a n g u a g e , a n d o t h e r r e s o u r c e s m e a n t t h a t t r i p s b y U S p a r t i c i p a n t s

t o M ex ic o w er e b ri ef , h ig hl y m an ag ed , e xh au st in g, a nd f i lt er ed t hr ou ghh um an a nd a ll -t oo -u ne ve n i nt er pr et er s. O nl y r ar el y w er e t he t ri pspr epa re d f or a nd f ol lo we d up a s th oro ug hl y a s th e or ga ni ze rs a ndp ar ti ci pa nt s w ou ld h av e l ik ed . M os t t ra ve le rs r et ur ne d t o d is pe rs ewi de ly ac ros s ou r l arg e s ta te , re en te ri ng f am il ie s a nd wo rk pl ac esw he re f ew k ne w m uc h a bo ut M ex ic o o r t he m ac hi ne ry o f t he g lo ba le c o n o m y . A l t h o u g h m o s t d i d f i n d m u l t i p l e w a y s t o b r i n g b a c k n e w s o f their trip, the scope and duration of these efforts was limited.M a i n t a i n i n g s i g n i f i c a n t d i r e c t c o n t a c t b e t w e e n i n d i v i d u a l t r a v e l e r s t ot h e b o r d e r a n d t h e M e x i c a n w o r k e r s a n d a c t i v i s t s t h e y m e t t h e r e h a sp r o v e n t o b e e x t r e m e l y d i f f i c u l t . C o n d i t i o n s a t t h e b o r d e r a r e c h a o t i c ;r es ou rc es f or o rg an iz at io ns t he re a re t hi n; a nd n o s ta bl e i nd ep en de ntun io n l oc al s e xi st a t t he b or de r th at c ou ld s upp or t a nd f ac il it ateo ng o i ng , i n- d e p t h c o m m u ni c a t i o n.


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I n t h e c a s e o f t h e d r i v e r ’ s l i c e n s e f i g h t , o f c o u r s e t h e w h o l e c o n t e x tw a s c r e a t e d b y a m a s s i v e w a v e o f l i t e r a l b o u n d a r y c r o s s i n g s – t h e s u r g eo f u nd o c u m e nt e d i m m i g r a nt s a c r o s s t he U S– M e x i c o b o r d e r . H o w e v e r ,

t h e c a m p a i g n i t s e l f d i d l i t t l e i n i t s p u b l i c m a n i f e s t a t i o n s t o e n c o u r a g et wo -w ay c ro ss in g – t ha t i s, t o h el p n at iv e- bo rn T en ne ss ea ns e xp lo re t her ea li ti es a nd l i fe e xp er ie nc es o f t he ir n ew i mm ig ra nt n ei gh bo rs . T hec oa li ti on ma de a de ci si on t o a ddr ess t he i ssu e on ly i n t erm s o f th ep er ce iv ed s el f- in te re st a nd e xi st in g e xp er ie nc e o f U S c it iz en s. T hi si nt er na l f oc us m ay h av e c on tr ib ut ed t o t he s ho rt -t er m s uc ce ss o f t hec amp ai gn , bu t i t al lowe d on ly a s eve re ly c urt ai le d s et o f i ssu es t o m ak e i ti nt o th e f ore gr oun d. P erh ap s a s a t ac ti ca l m att er t he c ho ic e wa s a

c or re ct o ne t ha t w il l s up po rt s tr on ge r w or k i n t he f ut ur e, b ut i n t hes h o r t - t e r m c e r t a i n l y , t h i s s t r u g g l e l a c k e d a c o s m o p o l i t a n f a c e .

7.2.2 Horizontal understandingTh e tw o c as es r ec oun te d h er e a lso di ff er o n th e s ec on d m ar ke r o f c os mo po li ta n l eg al i ty . T IR N’ s w or k w as o ve rt ly a nd i ns is te nt ly h or i-z on ta l i n i ts r he to ri c. Th e tr ip s we re bi ll ed a s ‘‘ wor ke r-t o-wo rk er

e xc ha ng es ’’ t ha t w er e i nt en de d t o b ui ld g lo ba l s ol id ar it y a nd u nd er -s ta nd in g a mon g wo rke rs wh o w er e be in g m ut ua ll y a nd s imi la rl ye x pl o it e d i n t h e g l ob a l e c on o my , o f te n b y t h e s e lf - sa m e c o rp o ra t io n s.O r i e n t a t i o n m e e t i n g s s t r e s s e d t h e d i f f e r e n c e b e t w e e n c h a r i t y a n d s o l i -d a r i t y , a n d m a n y p e o p l e t a l k e d a b o u t t h e c o m m o n i n t e r e s t s s h a r e d b yw o r k e r s i n T e n n e s s e e a n d i n M e x i c o .

Nevertheless, all of us participants were attempting to adopt this frameo f r ef er en ce a gai nst p owe rf ul pu ll s i n t he ot her di re cti on . D eep ly

i ng ra in ed i de as a bo ut U S s upe ri or it y a nd M ex ic an s ubo rd in at io n,a bo ut U S r eso ur ce s a nd M exi ca n n eed , w er e h ard t o d is lod ge . O nc ep re se nt i n M ex ic o, f or i ns ta nc e, s om e w el l- me an in g U S t ra ve le rs w er eo ve rc ome w it h t he d es ir e t o h el p p oo r c hi ld re n, p erh ap s t o p as s o ut s ma llc ha ng e o r c and y t hey h ad s ta sh ed i n t he ir p urs es . O th ers r ej ec te d t heno t i o n o f s o l v i ng b i g s o c i a l p r o b l e m s t hr o u g h t i ny d o na t i o ns o f m a t e r i a la id , b ut s ti ll f ou nd i t h ar d t o k ic k o th er ve rs io ns o f noblesse oblige. Ano b s e r v a t i o n I h e a r d m o r e t h a n o n c e w a s a r e m a r k t o t h e e f f e c t t h a t ‘ ‘ w eneed t o s e n d s o m e p e o p l e d o w n h e r e t o h e l p t h e m l e a r n h o w t o o r g a n -ize.’’6 Horizontal understandings across sharp disparities are tough.

6 I r e ca l l n o a p pa r en t r e co g ni t io n o f t h e i r on y e m be d de d i n t h is r e ma r k, g i ve n t h e p r ec i pi t ou sd e c l i ne i n U S u ni o n m e m b e r s hi p .

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7.2.3 Legal claims integrated with politicsAl th ou gh b ot h of th e e ff or ts p res en te d h er e we re i nt egr ate d i nt oo n go i ng p o li t ic a l m o bi l i za t io n s a n d c o al i ti o n- b ui l di n g a c ti v it y , b o th

c as es r ev ea le d p ro bl em s l i ke ly t o f ac e g ro up s t ha t m ob il iz e p ol it ic al ly i nt h e N o r t h a r o u n d g l o b a l i s s u e s .

S an to s s ug ge st s t ha t t he re i s n o s in gl e p ol i s f or c os mo po li ta n l eg al it y,t ha t e ff or ts w il l b e ‘‘ tr an sc al ar ’’ a nd ‘‘ vo ra ci ou s’’ i n s ee ki ng l oc al a ndg lo ba l s it es fo r d oi ng l aw (2002:468). I agree. Nevertheless, it is import-a nt t o r ec og ni ze t ha t N or th er n g ro up s i n g en er al , a nd U S g ro up s i np ar ti cu la r, h av e a cc es s t o p ol it ie s t ha t a re i mp or ta nt ly c on st it ut ed b yg l o b a l e x c l u s i o n . T h e y w i l l a n d s h o u l d m o u n t a c t i v i t i e s i n t h e s e e x c l u -

s io na ry a nd p ri vi le ge d f or a. B ut , w h e n t he y d o , t he y w i l l f a c e t h e p ul l o f a nt i- co sm op ol i ta n f or ce s, a nd i n a c on te xt w he re t he ir g lo ba l a ll ie shave no official right even to be heard, much less to demandaccountability.

I n t he a nt i- NA FT A f ig ht , f or i ns ta nc e, o ne w in g o f t he g en er al lyp ro gr es si ve c oa li ti on i n t he U S w as d ra wn i nt o a n i nt en se f oc us o nw i n n i n g t h e v o t e i n C o n g r e s s , a f o c u s t h a t l e d t h e m i n t o a l l i a n c e s w i t h

a nt i -i nt e rna t i ona l i st a nd a nt i -i m m i gr a nt g r o u ps . A s o m e wha t p a r al l e ld yn am ic w as a t w o rk i n t h e d ri ve r’ s l i ce ns e c a mp ai gn . T he p oi nt h er e i sn ot to de nou nc e a ll s hor t-t erm c oa li ti on s. N or i s i t t o s ug ges t t ha tp ow er d if fe re nc es a nd c oa li ti on al d il em ma s w ou ld d is ap pe ar i f w ec ou ld o nl y t ra ns po se s tr ug gl es a ro un d l eg al it y t o s om e g lo ba l l ev elt ha t t ra ns ce nd ed t he e xc lu si on ar y b ou nd ar ie s o f s pa ti al p ol it ie s. B utf i g u r i n g o u t h o w t o d o i n t e r n a t i o n a l i s t p o l i t i c s w i t h i n l o c a l o r n a t i o n a lp o li t ie s c l ea r ly p o se s a s e ri o us c h al l en g e f o r c o sm o po l it a n l a w- m ak e rs

a nd l a w - b r e a k e r s .I f N or th er n g ro up s a nd i nd iv id ua ls w an t t o h el p m ak e t he p ol it ic s

t ha t m us t b e i ns ep ar ab le f ro m c os mo po li ta n l eg al it y, w e w il l n ee d t oa d a p t c o u n t e r v a i l i n g s t r a t e g i e s t h a t t a k e i n t o a c c o u n t t h e s h a r p d i s p a r -i ti es a nd p ow er d if fe re nc es t ha t p ri vi le ge o ur p os it io ns a nd m ak e i t h ar df o r u s t o r e a d t h e w o r l d . W h e t h e r a n d t o w h a t e x t e n t a v a r i e g a t e d a n du n e q u a l ‘ ‘ w e ’ ’ i n t h e U S , o r i n t h e g l o b a l N o r t h g e n e r a l l y , c a n s u c c e e da t s u c h a n e f f o r t i s c e r t a i n l y a n o p e n q u e s t i o n .

7.3 C O N V E R G E N C E ?

T hi s c ha pt er h as r ep or te d o n t wo e mb ry on ic e ff or ts a t c os mo po li ta nl a w - m a k i n g t h a t e m e r g e d f r o m s i t u a t i o n s w h e r e t h e p r o c e s s e s o f w o r l de co no mi c i nt eg ra ti on b ro ug ht p re vi ou sl y s ep ar at ed p eo pl e i nt o n ew


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k in ds o f c on ta ct . O ne e ff or t w as t ri gg er ed b y m as s l a bo r m ig ra ti on , t heo th er b y c ap it al f li gh t, t wo d if fe re nt p he no me na a ss oc ia te d w it h g lo b-a li za ti on , b ot h o f w hi ch i mp os e p ow er fu l i mp ac ts o n s en di ng a nd r ec ei v-

i n g l o c a t i o n s a l i k e . T h r o u g h t h e l i n e o f t h e n a r r a t i v e I h a v e s h a r e d t h u sf a r , t he t w o s p he r e s o f a c t i v i t y f o l l o w e d l a r g e l y s e p a r a t e p a t hs . I n t he f a l lo f 2 00 3, h ow ev er , a h ig h -p ro fi le n at io na l m ob il iz at ion p ro vi de d t heo c c a s i o n f o r a m o m e nt o f l o c a l c o nv e r g e nc e b e t w e e n t he t w o .

The high-profile national event was the Immigrant Workers FreedomRide, la un ch ed b y th e AF L-CIO to dr ama tize i ts n ew p ositi on oni mmi gr an ts ’ ri gh ts a nd i mmi gra ti on po lic y, an d to he lp re sta rt t hem om en tu m o n i mm ig ra nt l e ga li za ti on t ha t h ad b ee n l os t i n t he t ur bu le nt

w ak e of S ept em ber 11 . T og et he r w it h a b roa d c oa li ti on o f c iv il r ig ht s a ndi m mi g r ant s’ r i g ht s o rg a ni z at i ons, t he l a bo r f e de r at i on a nno u nc e d t hate ig ht ee n b us es f il le d w it h i mm ig ra nt s a nd t hei r s upp or te rs w oul d s etforth from locations all over the United States to converge onW a s h i n g t o n , D C , a n d t h e n c a r a v a n t o a s i t e o v e r l o o k i n g t h e S t a t u e o f L ib er ty i n N ew Y or k h ar bo r ( Gr ee nh ou se 2003a, 2003b, 2003c) . T her i d e w a s no t d e s i g ne d t o p r o m o t e a ny o ne p i e c e o f l e g i s l a t i o n, b u t a i m e d

i ns te ad t o c rea te a v iv id s ym bol ic e ve nt a nd t o f ram e t he q ue st io n o f i m m i g r a t i o n r e f o r m i n a p r o g r e s s i v e w a y . T he p u b l i c i t y s t r e s s e d f o u r k e yr e qu ir e me nts f o r a j u st i m mi g ra t io n p ol i c y: (1 ) a ‘‘r oa d t o c i ti z ens hi p’’ f o ri m mi g r ant w or k er s (a n i m pl i ci t c r i ti q ue o f a ny B u sh- st y le g u es t wo r ke rp ro gr am s o ff er in g n o p os si bi li ty o f e ve nt ua l l eg al iz at io n) ; ( 2) a r i gh t t of am il y r eu ni fi ca ti on ; ( 3) p ro te ct io n o f w or kp la ce r ig ht s a nd s ta nd ar ds f ora l l w o r k e r s : a n d ( 4 ) c i v i l r i g h t s a n d c i v i l l i b e r t i e s f o r a l l p e o p l e .

W h e n p l a n s f o r t h e r i d e w e r e m a d e p u b l i c i n s p r i n g 2 0 0 3 , c o n d i t i o n s

w er e r ip e i n T en ne ss ee f or l oc al g ro up s t o g et i nv ol ve d. T he n et wo rk s o f p e op l e a d vo c at i ng f o r i m mi g ra n ts h a d b e co m e s u ff i ci e nt l y s t ro n g a n di nt er co nn ec te d, a nd t he u ni on s h ad b ec om e s uf fi ci en tl y c on vi nc eda bo ut t he i mpo rt an ce of a n ew i mmi gr ati on p ol ic y f or l abo r, th atb ot h w er e r ea dy t o s ig n o n. G ro up s a nd i nd iv id ua ls a ss oc ia te d w it hT IR N’ s f ai r t ra de w or k j oi ne d f or ce s w it h c hu rc he s a nd w it h i mm i-g r a n t s ’ r i g h t s o r g a n i z a t i o n s t h a t h a d b e e n a c t i v e i n t h e d r i v e r ’ s l i c e n s ec amp ai gn t o bu il d l oc al c omm itt ee s. F ou r bus es e nd ed u p c omi ngt hr ou gh t he s ta te , t ra ci ng t wo d if fe re nt r ou te s t o W as hi ng to n, a nds t o p p i n g i n m a n y d i f f e r e n t T e n n e s s e e c o m m u n i t i e s a l o n g t h e w a y .

I n K n o x v i l l e , m y h o m e , t h e s t o p - o v e r e v e n t w a s a m a z i n g . O v e r 2 0 0p eo pl e c ro wd ed a ro un d t he s te ps a t S ac re d H ea rt C at he dr al t o a wa itt he f re ed om r ide rs. Wh en two l on g c ha rte r bus es pu ll ed up a t t hec h u r c h , a m a s s o f r u m p l e d i m m i g r a n t s a n d t h e i r c o - r i d e r s c a m e p i l i n g

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o f f . T h e y n o d d e d a n d s m i l e d t o w a r d o u r g r e e t i n g s , b u t w e r e o b v i o u s l yintent on a task of their own, and they asked the crowd to go back insideth e c hur ch a nd wa it f or th em th er e. Th ey wa nt ed t o m ak e a p ro pe r

e n t r a n c e . W e d i d a s r e q u e s t e d a n d h a d j u s t g o t t e n o u r s e l v e s s e t t l e d i nthe pews, when we heard a stir behind us. In a moment the wholea ss em bl y w as o n i ts f ee t, e xc it ed t o s ee a s pi ri te d p ro ce ss io n e nt er in g t heb u i l d i n g a n d s t a r t i n g d o w n t h e a i s l e o f t h e c a t h e d r a l .

A t t he h ea d o f t he c ol um n w as a b ro wn -f ac ed L at in o i mm ig ra nt .H e l d h i g h i n h i s h a n d w a s a f l a m i n g t o r c h , i t s b a s e t h e f a m i l i a r c o n e -s h a p e o f t h e o n e l i f t e d b y t h e S t a t u e o f L i b e r t y . I n t h e l o w l i g h t o f t h ec h u r c h s a n c t u a r y , i t c a s t a b r i l l i a n t g l o w o n t h e t o r c h b e a r e r ’ s f a c e . H e

w as s mi li ng b ro ad ly , a s w er e t he p eo pl e w ho w al ke d i n a m ul ti ra ci al l in ei mm ed ia te ly b eh in d h im , a U S f la g s tr et ch ed b et we en t he m a t c he sth e i g h t . A l o n g p r o c e s s i o n o f c h e e r i n g f r e e d o m r i d e r s f l o w e d o u t b e h i n dt h e s e l e a d e r s a n d s w e p t p a s t u s , d o w n t h e a i s l e a n d t o w a r d t h e a l t a r a tthe f ront of the sanctuary, as the long doubl e file and the wholec a t h e d r a l f u l l o f p e o p l e c h an t e d w i t h a n d t o e a c h o t h e r ‘ ‘ ¡ S ı s e p u e d e !¡Sı s e p u ed e! ¡ Sı s e p ue de !’’7 o v e r a n d o v e r , a n d n o t w i l l i n g t o s t o p – n o t

f or m an y m in ut es a ft er t he g ro up o f r id er s w er e a ll a li gn ed b ef or e u s,d o w n f r o n t a n d b e a m i n g , i n t i r e d b u t g l o r i o u s a r r a y .I n t h e j u b i l a n t p e w s t h a t e v e n i n g w e r e a n u m b e r o f p e o p l e w h o h a d

b e e n o n T I R N t r i p s t o M e x i c o i n p a s t y e a r s , a l o n g w i t h o t h e r s w h o h a dw or ke d o n t he d ri ve r’ s l ic en se c am pa ig n, a nd y et o th er s I h ad n ev ers e e n b e f o r e . T o s o m e o n e l i k e m e w h o h a d b e e n a p a r t i c i p a n t - o b s e r v e ri n bot h o f th e s ep ara te st ra nd s of a spi ri ng c os mo pol ita n l eg al it yd e s c r i b e d h e r e , i t w a s a r e a l h i g h p o i n t t o s e e a n d f e e l t h e t w o c o m i n g

t o g e t h e r . O v e r t h e c l a p p i n g h a n d s a n d c h e e r i ng v o i c e s , I c o u l d s e e i nt h e e y e s o f m a n y o t h e r s t h a t t h e y f e l t t h e s a m e .8

P e r h a p s t h e f e e l i n g s o f h o p e a n d i n s p i r a t i o n t h a t w a s h e d o v e r m a n yof us t ha t n ig ht s ug ge st a c lo se r l oo k a t th e f ree dom ri de . F or a ll i tsb r e v i t y a n d s u p e r f i c i a l i t y , f o r a l l t h e d i f f i c u l t i e s i t c o u l d n o t p a p e r o v e r ,f o r a l l t h e w a y s i t w a s n o w h e r e n e a r e n o u g h , f o r a l l t h e c o n t r a d i c t i o n swhose depths it did not pl umb – I believe the Immigrant WorkerF re ed om R id e w as a r ea l a nd h op ef ul s ig n o f n as ce nt c os mo po li ta n

7 ‘‘¡Sı s e p u e d e ! ’ ’ i s t h e s i g n a t u r e c h a n t o f t h e e x u b e r a n t u n i o n o f C a l i f o r n i a f a r m w o r k e r s l e d b yC es a r C hav e z i n t he 1 9 6 0s . I t ha s s i nc e b e c o m e a w i d el y s ha r e d e x p r e s s i on u s e d b y i m m i gr a nt s’r i g ht s a nd o t he r s o c i a l j u s t i c e g r o u p s , La t i no a nd o t he r w i s e . I t t r a ns l a t e s t o s o m e t hi ng l i k e ‘ ‘ Y e s ,i t c a n b e d o n e , ’ ’ ‘ ‘ Y e s , i t i s p o s s i b l e , ’ ’ ‘ ‘ Y e s , w e c a n d o i t . ’ ’

8 P ho to gr ap hs a nd a b ri ef d es cr ip ti on o f t h e K no xv il le s to p e nd ed u p o n t he w eb si te o f t hena t i o na l I m m i g r a nt W o r k e r s F r e e d o m R i d e C o a l i t i o n. Se e w w w . i w f r . o r g / k no x v i l l e . a s p .


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l eg al it y. I n i ts i ri de sc en t, u ns ta bl e, s im ul ta ne ou s e vo ca ti on o f t hen at io na l a nd t he g lo ba l, i t m ay b e p oi nt in g t ow ar d p os si bl e s ol ut io nst o so me of th e p robl em s I h ave t ri ed to o ut li ne a bo ve . A co up le o f w ee ks

a f t e r t h a t n i g h t a t t h e c a t h e d r a l , I r e c e i v e d t h e f o l l o w i n g e - m a i l , s e n to u t o v e r a l i s t s e r v t h a t l i n k s l a w y e r s a n d o t h e r s i n t e r e s t e d i n t h e r i g h t so f l o w - w a g e i m m i g r a nt w o r k e r s :

I a m b a c k [ i n W a s h i n g t o n s t a t e ] a f t e r t h e I m m i g r a n t W o r k e r s F r e e d o mR id e, e xh au st ed a nd e xh il ar at ed a t t he s am e t im e, a nd w an t t o s ha rew i t h y o u a b i t o f t h e e x p e r i e n c e .

T he S ea tt le b us c on si s te d o f 5 0 i nc r ed ib le p eo pl e f ro m 2 2 d if fe re ntc o u n t r i e s . W e s a n g i n I n d o n e s i a n a n d l e a r n e d t o s a y , ‘ ‘ ¡ S ı s e p u e d e ! ’ ’ i nn i ne l a ng u a ge s . W e r a ll i ed w i th m e at p a ck i ng w o rk e r s i n W a sh i ng t o n,I ow a a nd N eb ra s ka , f ar mw or k er s i n I da ho , j an it or s i n O hi o a nd D C. ,a n d m e m b e r s o f m a n y i m m i g r a n t c o m m u n i t i e s , i n c l u d i n g a m e m o r a b l ed in ne r i n C ol um bu s w it h m em be rs o f t he l ar ge S om al i c om mu ni tyt he re . W e c ri ed a t t he a ma zi ng s to ri es o f t he s tr ug gl es a nd b ra ve ry o f t h e p e o p l e o n o u r b u s , s h a r e d s o m e t e n s e m o m e n t s w h e n a n e l u s i v e I N Sc he ck p oi nt o ut si de o f De nv er w as r umo re d to b e i n o ur f utu re , a ndc h e e r e d e a c h o t h e r o n a s o u r b u s m e m b e r s s p o k e o f t h e i r o w n l i v e s a n d

r e l a t e d t h e m t o t h e s t r u g g l e s o f i m m i g r a n t s f r o m e v e r y c o u n t r y w h o l i v ei n t hi s c ou nt ry . F or t he f ir st t im e i n m y a du lt l if e, I f el t c om fo rt ab lec a r r y i n g a [ U S ] f l a g t o r a l l i e s , b e c a u s e o u r b u s w a s a t r u e r e f l e c t i o n o f t h ef a c e o f t h i s c o u n t r y , a n d o f o u r m o s t s a c r e d p r i n c i p l e s . 9

Al l pe ople in a ll n atio ns who a spire t o be pa rt of somethin g li ke ac os mo pol it an is m o f t he o pp re ss ed w il l m ee t c ha ll en ge s c on ce rni ngwhich p eopl e ca n b es t re fl ec t th e fa ce of the ir coun try, and w hat

p ri nc ip le s s ho ul d b e d ee me d i ts m ost s ac red , a nd h ow t ho se f ace s a ndp ri nc ip le s r el at e t o t he l arg er w or ld . I h ope t he t wo c as e s tud ie s p re se nt edh er e h av e pr ov id ed so me fo od f or t ho ugh t on th e po ss ib il iti es a ndc ha ll en ge s f ac in g t ho se of u s i n t he US a nd i n th e g lo ba l Nor th , w hos u r e l y c o nf r o nt t he s e p r o b l e m s i n a p a r t i c u l a r l y s ha r p a nd u r g e nt w a y .

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9 E -m ai l t o a ut ho r, d at ed O ct ob er 6 , 2 00 3, f ro m R eb ec ca S mi th , s en t o ut o ve r t he I mm ig ra ntEm p l o y m e nt R i g ht s l i s t s e r v o f t he N a t i o na l Em p l o y m e nt La w Pr o j e c t .

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f or A dv an ci ng I mmi gr ant W or ke rs ’ Ri gh ts .’’ Ne w Y or k: N at io na lEmployment Law (www.nelp.org/iwp/reform/state/low_pay_high_risk.cfm).

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P A R T T W O

TRANSNATIONAL SOCIAL MOVEMENTS

AND THE RECONSTRUCTION OF HUMAN

RIGHTS



CHAPTER 8

LIMITS OF LAW IN COUNTER-HEGEMONICGLOBALIZATION: THE INDIAN SUPREME COURT

AND THE NARMADA VALLEY STRUGGLE

Balakrishnan Rajagopal *

8.1 INTRODUCTION

Popular struggles have an ambivalent relationship with the law. At one

level, they tend to see law as a force for status quo and domination,which must either be contested as part of a larger political struggle orlargely ignored as irrelevant. Yet, they can hardly avoid the law as italso provides them space for resistance. Indeed, there is an increasingsensibility that law is a terrain of contestation between different actorsincluding social movements and states, and that a theory of law oradjudication that ignores this fact is inadequate. There are severalreasons why this is so under conditions of globalization. First, law

operates at multiple scales under globalization, that is, simultaneouslyat the international, national, and local levels. As such, it providesmuch greater opportunity to use law as a tool of contestation by socialmovements who can deploy legal tools at one level against another(Klug 2000; Santos 2002). Secondly, the forces that social movementsare up against in their counter-hegemonic struggles are often a combin-ation of local and global elites, and that in turn defines the space for a

* I thank Prashant Bhushan for providing generous access to the legal papers, including submis-sions of counsel, relating to the Narmada dispute. Much work on this paper was done during mysabbatical stay as a Visiting Fellow at the Centre for Law and Governance, Jawaharlal NehruUniversity, Delhi, and the Madras Institute for Development Studies, Chennai, during spring2004. I am grateful to both institutions for their support. I thank the editors of this volume,Boaventura de Sousa Santos and Cesar A. Rodrıguez-Garavito, and Sally Engle Merry andUpendra Baxi for their helpful comments on a previous draft. Responsibility for all errors ismine.

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politics of resistance that is neither purely local nor global (Klug2000:50–51; see also Esteva and Prakash 1998). This is particularly soin the case of contestations over development (Khagram, Riker, and

Sikkink 2002) and especially over large dams (World Commission onDams 2000). Thirdly, there is a great deal of hybridization of law, notsimply in the mode of lex mercatoria (Dezalay and Garth 1997), butthrough such means as judicial globalization (Slaughter 2000), worldconstitutionalism (Ackerman 1997), and global rule of law programs(Carothers 1998). Fourthly, there is an increasingly vertical and hori-zontal growth of international legal norms in areas such as humanrights, indigenous peoples’ rights, environment and sustainable devel-

opment, and a proliferation of international judicial and politicalarenas where domestic decisions could be contested. This in turncreates political opportunities for making claims that derive theirforce from comparative and international legal developments.

Despite this encouraging pluralization of normative opportunities forcontestation, the outcomes of social movements’ engagements with thelaw are highly uncertain in terms of their impact either on law or on the

movements themselves. Put differently, the pluralization of the norma-tive space and the ability to contest seem to offer neither a guarantee of success for social movements that choose to engage law as part of theirpolitical mobilization nor propel law in the direction that is mosthelpful to movement goals. The outcomes of the dialectic betweenlaw and social movements seem to depend on a number of scripts thatare both internal and external to law, and seem to depend on particularlocal and national contexts. These scripts need to be unearthed and

examined to properly appreciate the role of law in counter-hegemonicglobalization.

Furthermore, it is unclear how to judge the success of the outcomes of social movements’ deployment of law and courts in their struggle. Bothin law and social sciences, much debate surrounds this issue. Legalscholarship tends to celebrate the heroic role played by judges andlawyers, especially in ‘‘constitutional moments’’ when fundamentalconflicts exist in society over the terms of political and social life.This tendency, no doubt more pronounced in common law jurisdic-tions, tends to reduce historical evolution of law to episodic interven-tions by charismatic judges, divorced from the social context in whichsuch judges act (Strauss 1996). In the social sciences, it is hard to knowhow to evaluate the role played by law and courts in popular move-ments. Does one judge by the change in outcomes and, if so, should one

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focus on changes in public policy or private conduct? Should the focusbe on the change in processes of decision-making and, if so, at whatlevel? Or should the focus be on something more fundamental, on the

changes in social and ethical values that are being contested? At thebottom of this debate is the question of to what extent law is separatefrom the social and the cultural.

In this chapter, I offer an analysis of the role of law in the NarmadaValley struggle, especially that which was waged by one of India’s mostprominent social movements in recent years, Narmada BachaoAndolan or NBA (Save the Narmada), with a specific focus onIndia’s Supreme Court. The NBA rose in reaction to the Indian

government’s plan to construct a large number of dams along the Narmada River, contesting the relief and rehabilitation provided fordisplaced families at first, and subsequently challenging the damsthemselves as being destructive. While the NBA is not the only socialmovement of the displaced people in the Narmada Valley, it is easilythe most prominent and perhaps the largest, but I do focus on thestruggle as a whole where it is appropriate. The focus in this chapter on

the role played by law at multiple scales and by the Indian SupremeCourt in the struggle waged by the NBA is particularly useful forunderstanding the role of law and courts in counter-hegemonic global-ization for several reasons.

First, the resistance in the Narmada Valley is well known for itstransnational character, both in the composition of the actors and inthe terms with which the resistance in the valley was conducted. Theresistance movement consisted not only of the displaced people in the

valley, consisting of farmers, women, tribals, and local NGOs but alsoWestern NGOs, transnational social movements, and other overseasactors, including individuals from the Indian Diaspora who were con-cerned about the social and environmental aspects of the dam projects.The protagonists of the dams included Western dam building multi-national corporations, the World Bank, local Indian corporations,several Western governments, Indian state and federal governments,a plethora of local and foreign analysts and consultants, and sections of the Indian Diaspora. The actors were thus a mix of local, national, andglobal actors. The resistance was framed not simply in terms of locallaws and the Indian constitution, but also in terms of international lawand global public policy.

Secondly, the normative and institutional framework for the Narmadadam projects operated at many scales, from the global scale (international

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institutions, global norms, and foreign investment), national scale (con-stitutional norms, statutes, and administrative mechanisms), to the localscale (local criminal law, tribal rules, customary norms, and informal

property rules). At any given moment, the NBA was simultaneouslyengaged with norms and institutions at multiple levels.

Thirdly, the Indian Supreme Court played a major role in the politicalstruggle of the NBA, by allowing it to contest the raising of the height of a dam on the river, at first as part of a series of victories that the NBA wasnotching up globally in the early 1990s, and then dealing it a major blowin 2000 by allowing the height of the dam to be increased and theconstruction to proceed with some conditions. As such, understanding

the role played by the Indian Supreme Court in the struggle waged by the NBA may offer valuable lessons in understanding the relationshipbetween law, resistance, and courts in the context of globalization.

Fourthly, the Narmada Valley struggle may also offer some soberinglessons in just how difficult it is to judge the role played by law andcourts in counter-hegemonic globalization. This is partly due to thevast time frame within which the resistance evolved, at least over a

period of more than two decades and the episodic interaction betweenthe law and the actions of the NBA. It is also due to the difficulty of deciding at just what point one must judge whether law has beenoperating in either the hegemonic or the counter-hegemonic mode.I would suggest that this compels us to adopt a much longer, historicalperspective on the law and globalization linkage.

In the light of these issues, I probe answers to several questions in thischapter. They include: what levels of law (international, national, local)

did the NBA engage, and where and when was it able to have an impacton the legal terrain? Conversely, how did law shape the NBA’s strategiesand goals? Did its resort to law produce a hegemonic or a counter-hegemonic outcome (Santos 2002; Santos and Rodrıguez-Garavito’schapter in this volume)? The remainder of the chapter is divided intofive parts. In the first part, I analyze the relationship between law,globalization, and counter-hegemonic globalization, and try to identifysome key theoretical issues which are relevant to the NBA struggle. Inthe second part, I discuss the evolution of the NBA’s struggle and providebackground to the litigation before the Indian Supreme Court. In thethird, I discuss the judgment of the Indian Supreme Court and critiquewhat I call the dominant scripts that reveal the limits of law in counter-hegemonic globalization and more broadly in the use of law in socialmovement struggles. In the fourth section, I discuss three possible modes

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of assessing the relationship between the NBA struggle and the law, andfind that, while the relationship between the NBA struggle and the lawwas more positive at the international level, at the national and local

levels it was much more oppositional. In the fifth part, I draw the overallconclusions on the role of law in counter-hegemonic globalization in thelight of the NBA’s experience.

8.2 LAW, SOCIAL MOVEMENTS AND COUNTER-

HEGEMONIC GLOBALIZATION: SOME THEORETICAL

ISSUES

There are several theoretical issues in thinking about the relation-ship between law and social movements in the context of counter-hegemonic globalization that are of relevance to the NBA’s struggle.First, the distinction between international and domestic spheres that isso central to the self-constitution of law, with its disciplinary boundariesaround the doctrine of sovereignty, makes little sense when we considerwhat social movements do. Social movements are increasingly organized

to engage in political struggles at multiple levels from the local to theglobal (Khagram et al. 2002) whereas law structures social relations atmultiple levels as well. As such, social movements use norms andinstitutions at multiple levels in framing their demands and engagingin action (Rajagopal 2003b). On the other hand, state sovereignty andthe power it provides for groups who are in charge of the state continue tobe dominant in determining the outcomes of social struggles. In particu-lar, the outcomes of social movements’ engagements with the law depend

on the extent to which they can frame their demands and engage instruggles that avoid a direct confrontation with state sovereignty and itsideological foundation of developmental nationalism (Nandy 1992;Rajagopal 2003a). This confrontation cannot be avoided by social move-ments by taking recourse to law because law and courts share this ideologyof developmental nationalism. The tension between the increasing abil-ity of social movements to operate at multiple levels beyond state bordersand the continuing importance of state sovereignty needs to lead to acritique of the ideological foundations of state sovereignty.

Secondly, the distinction between law and policy or between thedomains of adjudication and administration continues to influencewhether, how, and to what extent social movements will use law intheir struggles and to what extent law will prove to be emancipatory.The self-image of law and adjudication as apolitical provides an


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ideological cover for the pursuit of private, partisan ends which areoften dressed up as public interest (see Kennedy 1998). This operates intwo ways. First, it operates to remove certain facts from the domain of

public policy – and therefore of social movement pressure – on theground that the ‘‘law’’ governs it. An example would be the way Article262 of the constitution of India makes the adjudication of inter-statewater disputes subject to the exclusive jurisdiction of specialized waterdisputes tribunals and, in that process, seeks to exclude both publicparticipation in the settlement of water disputes and even judicialreview by higher courts. Making water disputes an exclusive domainof bargaining and adjudication between states takes popular politics out

of it. It also provides little incentives for social movements to try toinfluence the law that applies to water disputes as they are not given theright to do so. A second way in which the law–politics distinctionworks in determining whether law will be emancipatory is in drawing asharp line between adjudication and administration. When faced withspecific issues that raise questions of distribution of resources – such asmost questions involved in development projects – the courts often take

the view that their institutional role prevents them from acting on thoseissues. This may be due to a combination of factors including theinstitutional boundary between the courts and the executive, the lackof necessary expertise by judges to adjudicate complex policy questions, aconcern over whether judicial orders will be enforced by the executive,the need for democratic accountability in decision-making processes thatinvolve the distribution of resources and the very self-image of whatjudging is all about (Rosenberg 1991). Nevertheless, the consequence of

this boundary drawing is that social movements are often prevented fromsuccessfully using law and the courts in challenging administrative orpolicy processes that do not operate in the public interest.

Thirdly, there are significant tensions between the internal logic of the law – its language, method, and sources of legitimacy – and the logicof social movement struggles (Rajagopal 2003a). The language of thelaw is specialized, measured, and, in postcolonial countries, often in aWestern language. The language of social movements is explicitlyoriented toward communicative action, and is therefore popular andlocal. These languages can often collide, producing moments of incom-patibility that cannot be easily resolved. Social movements use methodsof contestation that include the media, for instance. Once social move-ments judicialize their struggle by going to the court, they run intoproblems when they attempt to ‘‘speak’’ publicly on issues that are

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considered by the court to be sub judice. The courts may find it offensiveand even contemptuous that social movements do not accept the finalityof recourse to the judiciary and abandon their agitational strategies, but

instead treat legal recourse as part of their agitations. This tensionbetween the logic of the law and the logic of social movements isrelevant to the NBA’s engagement with the law, as I discuss below.

The source of law’s legitimacy is also different from that of socialmovements. Law depends traditionally on sovereignty – and, by exten-sion, on the latter’s normative and institutional expressions in theconstitution and formal democratic institutions. In the post-WorldWar II era, the state – and therefore law – has also depended, for its

legitimacy, on the idea of development, a substantive moral vision forthe transformation of traditional societies into more modern ones inorder to achieve better living standards (Nandy 1992). Social move-ments are often in tension with these sources of legitimacy. They maycontest the constitution itself as morally and politically inadequate, aswhen they attempt to change approved constitutional doctrines andstructures as enunciated by the judiciary and the legal elite (Siegel

2002). These interpretive acts by ordinary people, while unauthorizedand even illegal, are in fact ubiquitous and a central part of the legalsystems of most countries, taken in their totality. This argument is notnovel but has been a staple of law and society scholarship (Fernandesand Varley 1998; Santos 2002) as well as constitutional law scholarship(Baxi 1987, 2003; Shivji 1995; Siegel 2002). They may find that formaldemocratic institutions fail them and therefore contest the meaning of democracy itself (Mamdani, Mkandawire and Wamba-dia-Wamba

1993). Social movements also often contest the ideology of develop-ment that is sought to be promoted by the state, when they find thatsuch an ideology violates their rights. Indeed, as we will see, this was thecase with the NBA. As such, the logic of law and the logic of socialmovements have certain basic tensions which influence the outcome of social movements’ engagement with the law.

Fourthly, the role of the domestic judiciary in a social movementcampaign with transnational dimensions, such as that of the NBA,needs to be understood better. Currently, the dominant theoreticalframework for understanding transnational social movement networksand their domestic impact on norm-creation and implementation, is tobe found in the field of international relations (IR) theory (Keck andSikkink 1998; Risse, Ropp, and Sikkink 1999). That framework usefullyexplains how domestic and transnational movements combine to bring


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pressure from ‘‘above’’ and ‘‘below’’ to compel governments to abide byhuman rights standards. Domestic NGOs, social movements and nationalopposition groups ally with members of transnational networks consisting

of NGOs, churches, etc. and convince powerful external actors such asinternational organizations, foreign donor institutions, and other states toput pressure on the domestic government to alter its norm-violatingbehavior (Risse 2000:189). Models about how this dynamic betweentransnational and domestic social movements has an impact on enforce-ment of international human rights law are useful (Risse et al. 1999). Butthis model pays insufficient attention to the impact of domestic law onthe dynamic, especially that of the domestic judiciary, and remains over-

whelmingly focused on international law. Domestic judiciaries areembedded in their legal cultures and have distinctive traditions forincorporating international norms into domestic law which may impedethe movement dynamics that IR theorists model. For example, a countrysuch as South Africa, whose constitution explicitly asks its judiciary tointerpret domestic laws in the light of applicable international law, islikely to be easier for the sort of transnational–local social movement

linkages posited by IR theory. On the other hand, in countries such as theUS, whose courts are notoriously unwilling to pay attention to interna-tional law while interpreting domestic law, or in India, where courts areunpredictable in reading international law into domestic law, domesticsocial movements often find it more difficult to link with transnationalnetworks to enforce human rights.

Domestic judiciaries may intervene in movement dynamics in waysthat reframe the issues, shift crucial resources available to social move-

ments (such as moral capital) and generally depoliticize domestic socialmovements that in turn weakens its link with transnational social move-ment networks. Domestic judiciaries may do so, even when they adoptostensibly progressive rulings using counter-hegemonic discourses such ashuman rights. IR theory does not pay sufficient attention to these issues.As will become clear during the discussion of the Indian Supreme Court’srole in the NBA struggle, linkages between transnational and local socialmovements alone cannot explain why movements fail or succeed. Afterall, in the case of the Narmada Valley struggle, a vigorous dynamiccontinued to exist between transnational and local social movements,putting pressure on the governments from above and below, and yet it didnot succeed in enforcing human rights and environmental norms partlybecause of the role played by India’s Supreme Court and its legal frame-work. Domestic laws and institutions matter, and the constitutional

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texts – the literal and the social – matter too, in determining whencounter-hegemonic globalization would be successful locally.

8.3 THE EVOLUTI ON OF THE NARMADA VALLEY

STRUGGLE

In this section, I shall describe the evolution of the struggle in the Narmada Valley from 1979 until now, and the ways in which the Narmada struggle engaged with the law at multiple levels from the localto the international. It is not my intention here to provide an exhaustivefactual background to the struggle but only to focus on the general outline

and those specific facts which are relevant to the role of law in thestruggle.1

8.3.1 BackgroundThe Narmada River is India’s fifth-longest river and one of the lastmajor rivers to be dammed. The desire to build dams across the

Narmada River, a westward-flowing river in the middle of India that

crosses three state boundaries (Madhya Pradesh, Maharashtra, andGujarat), in order to harness its water for drinking, irrigation, andpower, had existed at least since the 1940s. But disputes soon arosebetween the states of Gujarat, Maharashtra, and Madhya Pradesh overthe sharing of the costs and benefits of the project. To resolve thedifferences between these riparian states, the federal government of India constituted the Narmada Water Disputes Tribunal (hereinafter‘‘the Tribunal’’) in 1969 under India’s Interstate Water Disputes Act of

1956. The deliberations of the Tribunal were halted when Rajasthanand Madhya Pradesh moved the Supreme Court in 1972, thus involv-ing the Court in a long and difficult relationship with the river valleyprojects that lasts even to today (Jayal 2001:155). After a political dealwas made between the states on the availability and allocation of thewater between the states, the height of the dam and the level of thecanal from the dam, Madhya Pradesh and Rajasthan withdrew theirpetitions from the Supreme Court. Thereafter, in 1974, the Tribunalrecommenced its work and gave its final award in 1978, which cameinto effect in December 1979.

1 Several book-length studies and exhaustively researched chapters exist on the Narmada Valleystruggle. See e.g. Fisher (1995); Baviskar (1995); Sangvai (2000); Jayal (2001); and Khagram(2002). See also Rajagopal (2003a:122–127).


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8.3.2 The struggle in and around the law: 1979–1994There were three stages in the evolution of the struggle in the NarmadaValley between 1979 and 1994 which have a major bearing on their

relationship to law. The first stage was between 1979 and 1988 whenthe key issue was the content of the resettlement and rehabilitationpackage for the people who would be displaced. The second stage, from1988 to 1991, saw a stalemate and hardening of the positions betweenthe protagonists and antagonists, an increasing focus on environmentalissues and mass action, and more state repression and confrontation.During these two stages, the forces in favor of the dam projects as well asthe resistance against the projects were operating at multiple levels,

from the local to the global, but the domestic courts played a minor rolein the struggle. During the third stage, between 1991 and 1994, the

Narmada Valley struggle became both less internationalized as theWorld Bank funding stopped in 1993, as well as more judicialized dueto the involvement of the Indian Supreme Court. Local and interna-tional legal norms, as well as local and international institutionsincluding the courts, were significantly influential in determining the

direction and pace of the struggle in the valley, but the degrees of influence varied across the three stages.The dam projects were already embedded in a maze of local laws that

determined the outer limits of what claims the struggle against the damscould make. Applicable land law was governed by a range of instru-ments including the Indian Forest Act 1927, the Forest ConservationAct 1980, the Land Acquisition Act 1894, the Transfer of Property Act1882 and the Indian constitutional provisions concerning right to

property and special provisions concerning the right of tribal peopleover their land. They also potentially included land rights under privatelaw doctrines and religious law. But none of these laws provided landrights to the tribal inhabitants of forests who lacked formal titles of ownership. Even land owners were afforded only cash compensation incase of acquisition, under the Land Acquisition Act. Indeed, it isperhaps for these reasons that India never had (and still does nothave) a national policy on resettlement and rehabilitation. It is inthat light that one must view the award of the Tribunal in 1979,which was a watershed in offering land for land as compensation, butfundamentally flawed because it left tribal and other affected peoplesout of its ambit.

In addition to the land laws and the Tribunal’s award, the struggleagainst the dams was also embedded in other local laws, such as local

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criminal laws that enabled state repression including section 144 of India’s Criminal Procedure Code (which imposes a curfew and preventsthe assembly of more than four persons) and the Official Secrets Act.

Within the limits of these laws, the people affected by the dams wereseverely restricted not only in making certain claims but also in using certain methods to claim their rights. Their land rights were notrecognized; they could not get information about the projects; andthey could not assemble to protest or stage peaceful demonstrationswithout inviting state violence. As such, the political opportunitystructures for the struggle against the dams were severely constrained.

The projects were transnationalized from their conception. The

World Bank sent its first mission in late 1979 to Gujarat and helpedto get US$10 million from the United Nations Development Program(UNDP) for the basic planning of the projects (Khagram 2002:210).The involvement of the Bank transnationalized the projects at threelevels.2 First, it functioned as a seal of approval that brought severalother foreign actors into the projects. Secondly, the Bank’s involve-ment opened the door for a transnationalization of the political arena

and the entry of transnational NGOs who used international legalnorms relating to human rights and the environment to hold theBank and the borrower country accountable. Thirdly, the Bank’s owninternal policies, known as Operational Manual statements, provided aset of soft international law standards for judging the performance of the projects on the ground in areas such as involuntary resettlement.3

The popular resistance to the Narmada projects began barely a weekafter the Tribunal had given its award in 1979 (Khagram 2002:209),

though in some parts of Madhya Pradesh, agitation had begun as earlyas 1978 (Jayal 2001:162). In what is perhaps the first encounterbetween the popular resistance and the courts, a group of tribalsmoved the Gujarat High Court in early 1984 with the assistance of Arch-Vahini, a local NGO, to enforce promises made by the govern-ment regarding resettlement and rehabilitation (Patel 1995:183). Thegovernment was forced to compromise. Disagreements over the rightsof tribal people who did not have formal property rights to their landemerged as the main one in the negotiations between the governmentof Gujarat and the World Bank over the loan agreement, which was

2 I borrow this framing from Fisher (1995:19).3 See e.g. Operational Manual statement 2.33, February 1980, on involuntary resettlement (since

superseded by OMS 4.30, June 1990); OMS 2.34, 1982, on tribals in Bank projects; and OMS2.36, 1984, on environmental guidelines.


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signed in 1985. After a futile wait for a new policy from the governmentof Gujarat on this issue, and for the release of the World Bank loandocument which had been signed, Arch-Vahini and other NGOs

moved the Supreme Court for the first time in 1985. Although thegovernment of Gujarat stated in the proceedings that encroachers hadno rights (Khagram 2002:214), the court issued an interim injunctionagainst displacement (Patel 1995:187). Independently of this, anothergroup, the Narmada Dharangrasta Samiti, had filed legal challenges toland acquisition at the local courts in Maharashtra, but without success(Sangvai 2000:154). Despite this brief involvement of the courts in thestruggle against displacement, they remained marginal. The injunc-

tions had not been against construction of the dam per se, and thecourts never grappled with the question of what rights the so-calledencroachers actually had under Indian law (Patel 1995:188). As aresult, the construction of the dams continued even as Arch-Vahiniand other groups managed to extract a progressive policy on resettle-ment and rehabilitation from the government of Gujarat in 1987,ensuring a minimum of five acres of land for land owners and extending

its package to encroachers as well. However, this policy was constantlybreached. Thus, until 1988, the focus of domestic mobilizationremained largely on obtaining better terms of resettlement and reha-bilitation for the displaced people in the valley, and the access to courtswas a notable but not a particularly significant part of this mobilization.

The groups working on resettlement and rehabilitation had bettersuccess at the international level. An alliance between Arch-Vahiniand Oxfam UK led to the formation of a transnational campaign

focused on the role of the World Bank in the project (Khagram2002). The World Bank also came under pressure from NGOs likeSurvival International, which charged that India was violating therights of tribal people under International Labour Organization (ILO)Convention No. 107, to which it was a party, due to the dam construc-tion. In 1986, NGOs petitioned the ILO’s Committee of Experts toinvestigate possible violations of Convention No. 107 relating to therights of indigenous peoples. That led to a warning from the Committeeof Experts to the World Bank and the Indian government whichacknowledged their duty to comply with the Convention. Althoughthe World Bank pressured the Gujarat government to improve itspackage for the displaced people, in the end it signed the loan agree-ment in 1985 with the government. Put differently, the NarmadaValley struggle had some limited impact on the international legal

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rules and institutions concerning resettlement and on the World Bank.Domestic policy on resettlement in Gujarat was formally changed dueto the struggle but implementation on the ground remained very poor.

On the environmental front, there were major encounters betweenthe Narmada Valley struggle and the law. In the late 1980s, a newtransnational environmental coalition emerged and used the politicalopportunities provided by the World Bank’s own 1984 guidelines aswell as emerging norms of international environmental law, for thestruggle in the valley. At the core of this coalition was a domestic socialmovement, the NBA. The NBA was formed in 1989, as a social move-ment of affected communities, domestic NGOs, and individuals drawn

from all over India but consisting mainly of the Narmada DharangrastSamiti from Maharashtra, the Narmada Ghati Navnirman Samiti fromMadhya Pradesh, and the Narmada Asargrastha Sangharsh Samiti fromGujarat (Jayal 2001:163).

A successful international campaign led by the NBA, with theparticipation of NGOs drawn from several countries from Europe,

North America, and Japan, forced the World Bank to commission an

unprecedented independent review of the dam projects in 1991 whichfound that the World Bank had failed to comply with its own guidelines(Morse and Berger 1992). Meanwhile, domestic agitations in the valleyintensified and confrontations with the state increased as the statepursued more and more aggressive tactics to counter the successes of the Narmada Valley movement. The construction of the SardarSarover dam had continued as there had been no injunction againstit. The Gujarat state in particular, began treating the dam construction

as part of an ideology of cultural nationalism, and branding all oppo-nents as ‘‘enemies of Gujarat’’ (Jayal 2001:164). In 1989, Gujaratpoliticians from across various party lines criticized the dam critics asanti-national agents of foreign interests and adopted a resolution in thestate assembly supporting the project. A sophisticated media campaignwas launched by the proponents of the dam, led by Sardar Sarover

Nigam Limited.4 Meanwhile, the NBA had intensified mass resistancethrough direct action in the valley, and the goal of the struggle hadchanged at this stage to demand a comprehensive reevaluation of thewhole project, not just better terms of resettlement and rehabilitation.Thus, the goal of the struggle in the valley had shifted from a focus on

4 Sardar Sarover Nigam Limited was established in April 1988 in Gujarat as an autonomouscorporation responsible for the implementation of the Sardar Sarover dam project.


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resettlement to a comprehensive questioning of the whole projectthrough confrontation and mass action from 1988 to 1991.

Between 1991 and 1994, the Narmada Valley struggle became even

more internationalized as well as more judicialized. The independentreview team, appointed by the World Bank, concluded in its report in

June 1992 that the project was ‘‘flawed’’ and that the World Bankshould ‘‘step back’’ from the project. Citing hostility in the valley andlocal opposition to the project, the report also stated that ‘‘progress willbe impossible except as a result of unacceptable practices’’ (Morse andBerger 1992:356). As a result, the World Bank worked out a face-savingformula with the Indian government whereby the Indian government

would announce that it was asking the World Bank to cancel theremaining US$170 million of the US$450 million loan and thatit would complete the project on its own.5 This was announced inMarch 1993.

Despite this success at the international level, the situation in thevalley was grim and the NBA and its allies were taking recourse tocourts in desperation. A flurry of legal action followed. As early as 1990,

the villages that were scheduled to be submerged were beginning to becleared in Maharashtra. The submergence and the displacement werechallenged in the Bombay High Court in 1990, which restrained thegovernment from forcible evictions which it had, in an earlier case,6

eloquently declared as unconstitutional. Despite this, the construction of the Sardar Sarover dam proceeded apace, even as forced evictions andagitations continued. In 1991, Dr. B. D. Sharma, the Commissionerof Scheduled Castes and Tribes, a statutory authority in India, filed an

interlocutory appeal in a case concerning tribal rights in the SupremeCourt. In its order,7 the court laid down some provisions concerningresettlement, including the provision that resettlement should be com-pleted at least six months before submergence (Sangvai 2000:154) anddirected the three state governments to ensure that rehabilitation wouldbe consistent with Article 21 (right to life) of the constitution. However,the court also declared that it would like the work on the dam to beexpedited, even though it had not been asked to pronounce on theviability of the dam itself (Jayal 2001:185). For the movement in thevalley, it would be a foretaste of things to come, as the court had already

5 Some think that the Indian government merely ended up diverting World Bank funds fromother sectoral loans to India toward the Narmada dam project (Udall 1995:220).

6 See Olga Tellis v. Bombay Municipal Corporation, AIR 1986 SC 180.7 B. D. Sharma v. Union of India, 1992 Supp (3) SCC 93.

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taken sides in the more fundamental debate over the viability of theproject, that the movement had put on the agenda since 1988. Severallegal challenges were also leveled in local courts and the Bombay High

Court in Maharashtra in 1992 and 1993, against forced evictions, defor-estation, and police atrocities, but these cases got nowhere as the courtseither avoided cases emerging from the valley or were awed into silenceby the specter of confrontation with the forces behind India’s largestdevelopment project (Sangvai 2000:155).

Meanwhile, direct non-violent confrontation was escalating in thevalley. A new satyagraha (a non-violent struggle) at Manibeli, launchedby the NBA during the monsoon in 1993, forced the federal govern-

ment to announce that there would be a review of the project. A five-member expert review panel was appointed by the government toreview the project, though without the power to revisit the viabilityof the project itself. Despite this somewhat favorable outcome forthe NBA, repression by state police forces continued in the villagesin Maharashtra and Gujarat. A petition filed by the Lok AdhikarSangh, an oustees’ rights group in Gujarat, in 1991, resulted in a

judgment by the Gujarat High court in April 1993 (Sangvai2000:155). That court ruled that the submergence of the firstsix villages without resettlement was illegal, and in February 1994ruled that no further work on the dam which would cause furthersubmergence could proceed. Despite this, the Gujarat governmentand the Sardar Sarover Nigam Limited (SSNL) continued their workon the dam and, in February 1994 closed the sluice gates of the dam,causing the waters to rise and leading to permanent submergence

(Sangvai 2000:155). The struggle in the valley was in a desperatesituation as a result, and the NBA decided to approach the SupremeCourt for relief.

8.3.3 The struggle through the law?: 1994–2000The NBA filed a petition before the Supreme Court in May 1994,challenging the Sardar Sarover project on many grounds, calling for acomprehensive review of the project, and prayed for a court orderstopping all construction and displacement until such a review wasdone. This petition was admitted by the court as a form of publicinterest litigation8 by a bench which had a pro-human rights, liberal

8 See Baxi (1987); and Desai and Muralidhar (2000).


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character.9 The decision to approach the court had been taken aftermuch internal deliberation and disagreement within the NBA as therewere many who felt that the courts were elitist and not favorably

disposed toward the struggle in the valley (Patkar 1995; Sangvai2000:152). As counsel for the NBA said, at first the NBA was reluctantto approach the court as it was felt that the courts were ‘‘protectors of the powerful.’’10 Nevertheless, the NBA had to approach the SupremeCourt because of the desperate situation in the valley and its inabilityto obtain relief through either the lower judiciary or governmentalmechanisms.11 Water was rising in the valley as a result of the decisionof the SSNL to close the sluice gates of the dam in February 1994, and

the lower judiciary was being openly defied by the Gujarat government.It was a classic example of the lack of any legal remedy for grossviolations of law and human rights.

The first significant act of the court was to order the report of thefive-member expert panel, which had been released in July 1994, to bemade public. That report was accordingly made public in late 1994, andit confirmed the findings of the World Bank’s independent review. It

concluded that the hydrology of the river was not known, and itcriticized the poor record of resettlement and rehabilitation. TheSupreme Court also ordered the federal and state governments tomake submissions on all aspects of the dam and to discuss all the issuesarising out of the five-member panel report in a Narmada ControlAuthority (NCA) meeting (Sangvai 2000:70).

Meanwhile, in early 1994, the new Chief Minister of MadhyaPradesh, Mr. Digvijay Singh, had openly begun campaigning for redu-

cing the height of the dam from 455 feet to 436 feet.12

This move wasintended to save 30,000 people and 6,500 hectares of land in MadhyaPradesh from submergence (Jayal 2001:188). Taken together, therelease of the five-member panel report and the decision of the Chief Minister of Madhya Pradesh, effectively operated to reopen the

Narmada water dispute which had purportedly been finally settled bythe Tribunal’s award in 1979. Indeed, in the Chief Minister’s own

9 The bench that accepted the petition consisted of Chief Justice M. N. Venkatachalliah, Justice J. S. Verma, and Justice S. P. Barucha. At least the first two justices had a pro-human rights,liberal reputation by that time. The importance of having friendly justices on the bench wouldbecome more and more obvious in the coming years.

10 Interview with Prashant Bhushan, counsel to NBA, New Delhi, February 17, 2004.11 Ibid.12 He had sent a letter to that effect to the Prime Minister in March 1994 (Sangvai 2000:67).

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words before the state assembly on December 16, 1994, ‘‘the SupremeCourt has virtually reopened the whole issue and now we are no longerbound by the Narmada tribunal award . . . no further construction on

the SSP would be allowed if the oustees were not rehabilitated at leastsix months before the submergence.’’13 Combined with two negativeMadhya Pradesh state assembly reports on the dam project in 1994(Jayal 2001:190), the inter-state dimension of the dispute reared itshead once again. Protests in the valley continued in late 1994, with theaffected people engaging in various forms of direct political action suchas dharnas and indefinite fasts. In the light of these developments, andin view of the Supreme Court proceedings, the NCA decided to

suspend the river bed construction of the dam in December 1994. InMay 1995, the Supreme Court confirmed this decision through a stayorder on further construction of the dam. The NBA’s struggle in thevalley seemed to have achieved victory, but it would prove to befleeting.

Even as the river bed construction of the dam was suspended formallyby the NCA and the Supreme Court, the construction continued on

the ground in violation of these orders. To contest this, the NBAorganized a massive march on Delhi in late 1995 which resulted insuspension of the construction work (Sangvai 2000:70). The construc-tion of the dam remained suspended for four more years until 1999. But,indisputably, the struggle in the valley had become much more depend-ent on and intertwined with the law and the court. The momentumbehind the struggle slowly waned over these years as the NBA recog-nized that it had deprived itself of its traditional repertoires of more

direct political action (Jayal 2001:194).In July 1996, the court ordered the states to resolve their differences

before appearing before it, as the matter had once again become aninter-state dispute, especially between Madhya Pradesh and Gujarat.Following this, a meeting of the Chief Ministers of Gujarat, MadhyaPradesh, Maharashtra, and Rajasthan was convened by the PrimeMinister in the summer of 1996, and an agreement was purportedlyreached to raise the dam to a height of 436 feet and, following ahydrological review, to increase it to its planned height of 455 feet(Jayal 2001:191; Sangvai 2000:71). This agreement came undone whenit was revealed that Madhya Pradesh and Rajasthan had not acceptedthe agreement and that it was basically a political decision of the Prime

13 Quoted in Sangvai (2000:68).


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Minister (Jayal 2001:191–192). The NBA organized a protest marchagainst this decision in Delhi in early August 1996.

Meanwhile, the Supreme Court refused to lift the stay order against

the construction of the dam in a hearing in August 1996, and expressedits concern over human rights violations, especially relating to reset-tlement and rehabilitation.14 This ruling was confirmed by the court inMarch 1997, and again in a final ruling in April 1997, when it decidedto constitute a five-member constitution bench to decide the issuesrelating to its jurisdiction. The latter decision resulted from the factthat the federal government and the Gujarat government had consist-ently opposed the court’s jurisdiction to reopen the Narmada dispute

which they argued had been finally settled under section 11 of theInter-state Water Disputes Act read with Article 262 of the constitu-tion. The court’s July 1996 order to the states to resolve their differ-ences before appearing in front of it, so that it could confine its focus tothe issues arising from the constitutionality of resettlement and reha-bilitation, had not been implemented. The reality of political differ-ences between states over the allocation of costs and benefits between

them, as well as the complex intertwining of the costs and benefits withresettlement and rehabilitation, made this impossible.During 1996, the struggle in the valley also began to transform itself.

As the construction of the dam had stopped, the NBA began to focuson positive reconstruction rather than confrontation, and it began tobranch off into national and global political action. In 1996, the NBAtook the lead in establishing the National Alliance of Peoples’Movements (NAPM), an umbrella of like-minded peoples’ movements

and trade unions from all over India, and also contributed to theformation of the World Commission on Dams in 1998. But even asthe NBA was notching up victories abroad, it was facing trouble backhome. For reasons that can only be guessed at,15 from 1998, theSupreme Court began to dispense with the need to decide the jurisdic-tional question which it had assigned to a constitution bench in 1997(Sangvai 2000:72). It also limited itself to the resettlement and

14 During the course of the hearing, Justice Verma said, ‘‘we have to rise above the law for theprotection of human rights’’ (quoted in Sangvai 2000:153).

15 The most plausible reason is that Chief Justice Venkatachalliah and Justice Verma, who hadbeen friendlier to the NBA’s cause, retired, and the new bench consisted of Chief JusticeAnand, and Justices Barucha and Kirpal. Prashant Bhushan, counsel for the NBA, feels that thejurisdictional issues were ‘‘implicitly decided’’ in the 2000 judgment (interview with theauthor).

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rehabilitation question, though it had previously asked counsel for thestates and the federal government to be prepared to argue all aspectsrelating to the project. Thus, the NBA’s hope that the court would

order a comprehensive review of the whole project, and that theconstitution bench would set important legal precedent for settlingdisputes over large projects and peoples’ rights, had been dashed. Also,the struggle in the valley had been witnessing lower levels of participa-tion and energy after the Supreme Court stayed the construction of thedam in May 1995 (Jayal 2001:193). It was in this context that theGujarat government wanted the stay order to be lifted so that con-struction could proceed beyond the height of 80.3 meters where it had

remained since May 1995. The Gujarat government was also interestedin sending a signal to international investors that India was open forbusiness, especially in crucial sectors like power which were beginningto be disinvested. As its counsel argued before the court in a hearing inFebruary 1999, ‘‘a strong signal should go from this Court to the outsideworld, that the work on the dam is on . . . only then would the foreignaid come . . . only then would the people move out from their villages’’

(quoted in Sangvai 2000:72). The Bharatiya Janata Party (BJP), aHindu nationalist party, had also come to power in Gujarat and atthe federal level, whose leaders had been strong supporters of the damproject. It was in this climate that the Supreme Court gave an interimorder on February 18, 1999, allowing the construction of the dam to goahead by another five meters (Sangvai 2000:72). In a further order onMay 7, 1999, it allowed further construction of the dam by anotherthree meters of humps over 85 meters, and approved an in-house

Grievance Redress Authority appointed by the Gujarat governmentwhich was to submit reports to the Supreme Court on the rehabilitationof oustees in Gujarat (Sangvai 2000:72–73). The political winds werebeginning to transform the legal landscape against the struggle in thevalley. A clear indication of where the Supreme Court itself was head-ing came in June 1999, when it contemplated16 – but did not impose –sanctions against the NBA for contempt of court because of its mediaadvocacy tactics and direct political action, such as satyagraha (Sangvai2000:74).

After the hearings were concluded, the final order of the SupremeCourt came on October 18, 2000, landing like a bombshell on the

16 Statement by K. K. Venugopal, Supreme Court of India, 1999. He had been appointed by thecourt as amicus curiae.


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NBA.17 In its order,18 the court (a) allowed the construction of the dam to proceed up to ninety meters (which the Relief andRehabilitation Sub-Group of the NCA had already allowed) and

announced that the priority was to complete the construction of thedam as soon as possible; (b) ordered that further raising of the heightof the dam will be pari passu with the implementation of rehabilita-tion and environmental measures and after clearance by the Relief and Rehabilitation Sub-Group and the Environmental Sub-Group of the NCA at every additional five meters; and (c) ordered the statesconcerned to comply with the decisions of the NCA, particularlyrelating to land acquisition and rehabilitation, and asked the NCA

to prepare an action plan in this regard. The decision of the court leftno doubt that the final decision-making authority belonged to thepolitical arena, and declared that in case the Review Committee of the NCA could not decide any issue, it shall be referred to the PrimeMinister, whose decision shall be final. It was clear that completingthe construction of the dam was more important to the court than thesocial and environmental costs it imposed. The court also extolled the

virtues of large dams.Thus the decision by the NBA to approach the Supreme Court hadbackfired, as many within the NBA itself had feared. Critics of thejudgment were many, in the Indian media19 and elsewhere,20 but it wasclear that the struggle in the valley had reached a dead-end andnecessarily had to explore newer forms of political action to continue.The Supreme Court’s Delphic pronouncements carry almost mythicalpower in India, and its seal of approval for the project, as well as its

criticisms of the NBA, dealt major blows to the NBA’s legitimacy andmoral capital. The struggle from 1994 to 2000 had been waged in andthrough the Supreme Court and it had proved to be very costly.

8.4 THE POLITIC S OF THE SUPREME COUR T AND BEYOND

8.4.1 The Narmada judgment and its scriptsWhy did the Supreme Court decide as it did in 2000? Answering thisquestion is important in order to appreciate what role, if any, courts andlaw play in counter-hegemonic globalization, a classic instance of which is the struggle in the Narmada Valley. It would also help us

17 Narmada Bachao Andolan v. Union of India, 10 SCC 664. 18 Ibid., pp. 768–770.19 Too numerous to list here. See e.g. Rajagopal (2000). 20 See Jain (2001).

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understand the important role played by domestic legal institutions,especially courts, in globalized struggles such as the Narmada one. Thecourt’s decision could be attributed, at first glance, to the change in the

composition of the bench that decided the case. This explanation isbelieved by NBA’s counsel to lie behind the judgment.21 There may bemuch to commend this explanation. Indeed, it is well recognized byobservers of the Indian judiciary that, especially in the area of publicinterest litigation, outcomes of cases often depend on the ideology of individual judges,22 despite cautionary notes from within the judiciaryitself about the importance of treating the court as a single institutionwith one voice rather than an assemblage of individual judges.23

An entirely different set of explanations emerge, however, when thejudgment itself is examined closely. These explanations suggest, I shallargue, that there are several dominant scripts in the legal reasoningitself, which are responsible for the conclusions that the court reached.Strictly speaking, these scripts come from outside the law itself, but areso ingrained in legal reasoning and judicial craft as to be able toinfluence the very process of framing and perceiving the ‘‘facts’’ of the

dispute. In other words, the court examined the facts of the disputethrough lenses which were themselves biased in ways that approvedonly one version of the facts. That the court was not only deciding the‘‘law’’ on the basis of settled ‘‘facts,’’ should be settled in advance.Indeed, the estimate of costs and benefits of the project was itself contested by the governments and the NBA before the SupremeCourt in 2000. As such, the court’s role was not simply to decide thelaw on the basis of settled facts, but rather to decide which version of

the facts trumped the others. The law was simply one more terrain onwhich the NBA struggled over the social recognition and politicallegitimation of human suffering, and was not independent of or priorto the establishment of social facts. By recognizing one version of the facts presented by the governments as valid, the Supreme Courtdelegitimized the human suffering that the NBA was trying to drawattention to.

The techniques through which the court performed this task will beevident when the dominant scripts of the judgment are examinedclosely. A first script could be termed evolutionary, in that the court

21 Interview with Prashant Bhushan. 22 See Desai and Muralidhar (2000:180).23 See the remarks of R. S. Pathak, J. (as he then was) in Bandhua Mukti Morcha v. Union of India

(1984) 3 SCC 161.


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subscribes to a view of human progress in which the modern is alwaysepistemologically superior to the traditional. As the court says, ‘‘thedisplacement of the tribals and other persons would not per se result in

the violations of their fundamental or other rights. . .

The gradualassimilation in the mainstream of the society will lead to bettermentand progress’’ (pp. 702–703). This evolutionary ideology enables thecourt to rationalize the displacement, even though its position isfactually tenuous. Almost 140 out of a total of 193 villages inMadhya Pradesh that are slated for submergence consist of a mixedpopulation in the plains of Nimar, with a well-developed economy. Forthe people of this region – where the resistance to the dam has been

fierce – displacement is unlikely to lead to ‘‘betterment and progress.’’Even in the case of the rest of the people to be displaced, who are tribals,the idea that their displacement would lead to betterment depends on anideological position that a forest-based, river-based economy is backwardwhen compared to a modern one. Further, it also depends on a belief thatrehabilitation packages would in fact be implemented and land would bemade available. This was, to say the least, highly dubious, as recognized

by the court itself in its order (p. 769).A second script of the judgment could be called nationalist,inthewayin which it extols the importance of the dam for securing India’s borderwith Pakistan as well as for ensuring national development, includingthrough better infrastructure, food security, and electricity supply.While discussing the benefits of the Sardar Sarover dam, the courtsays, ‘‘apart from bringing drinking water within easy reach, the supplyof water to Rajasthan will also help in checking the advancement of the

Thar desert. Human habitation will increase there which, in turn, willhelp in protecting the so far porous border with Pakistan’’ (p. 764). Thediscourse about the dam had, over the years, pointed out that the borderbetween Gujarat and Pakistan was porous, partly due to poor humanhabitation, and expressed the hope that bringing drinking water to thedry regions of Kutch, Saurashtra, and North Gujarat would improveIndia’s own security. Indeed, discourses of Gujarati nationalism andIndian nationalism tended to overlap a lot in calling attention to thesecurity dimensions of the dam project. It is because of this that anycriticism of the dam project was attacked by pro-dam elements as anti-national, and mob violence against the dam critics has been orche-strated by all political parties in Gujarat over the years (Jayal 2001:196;Sangvai 2000:140–143). The workers at the dam site have also beencharged with sedition for demanding better wages (Jayal 2001:195).

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A nationalist framing also suppresses any rational evaluation of thecosts and benefits by the jingoistic fervor that immediately accompa-nies the discourse of nationalism. In addition, the court also praises the

value of river valley projects in increasing India’s self-sufficiency infood (pp. 764 and 766) and water, the provision of which is seen as aprimary duty of the government (p. 761). Once the project was seen inthis manner, it placed an impossibly heavy burden on the NBA, whichit could not discharge.

A third script of the judgment could be termed developmentalist inthat it emphasizes the value of dams per se as tools of development, andcasts the overall utilitarian argument in terms of public welfare that

justifies the sacrifice of some for many. The court also understandsdevelopment in a particular way that makes the building of dams almostcompulsory. To begin with, the court extols the value of dams per se,though it had not been asked to decide the viability of dams as tools of development, including their costs and benefits. Indeed, the court’scharacterization of the NBA as an ‘‘anti-dam organization’’ (p. 695) –rather than as a ‘‘human rights organization’’ or an ‘‘environmental

NGO’’ – gives some sense of the court’s disapproval of anyone critical of dams per se. In addition to the ‘‘vital role’’ dams play in ‘‘providingirrigation for food security, domestic and industrial water supply, hydro-electric power and keeping flood waters back’’ (p. 701), dams are seenby the court to contribute positively to the living standards of thedisplaced persons as well as to the environment. Thus, the courtdeclares that ‘‘a properly drafted [resettlement and rehabilitation]plan would improve the living standards of displaced persons after

displacement. . .

It is not fair that tribals and people in undevelopedvillages should continue in the same condition without ever enjoyingthe fruits of science and technology for better health and have a higherquality of lifestyle’’ (p. 765). It says that dams are ‘‘instruments forimproving the environment’’ (p. 765) and that ‘‘hydroelectric power’scontribution to the greenhouse effect is negligible and it can be termedecology-friendly’’ (p. 768). These bald assertions, unsupported by facts(Jain 2001), serve an ideological role in leading the court to justify theproject as a whole.

The court sees the sacrifice of some in the interest of the many asbeing inherent in the public welfare argument that lies behind theconstruction of the dam. As it says, ‘‘displacement of these peoplewould undoubtedly disconnect them from their past, culture, customand traditions, but then it becomes necessary to harvest a river for the


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larger good’’ (p. 765). This argument, recalling American jurisprudenceon property rights in the nineteenth century when developmental andutilitarian arguments dominated (Horowitz 1977), enables the court to

provide the ideological justification for displacement and, therefore, forthe project. Also, the court understands development in a particularmanner which makes the building of dams compulsory for its realiza-tion. Taking per capita consumption of electricity as one of the indi-cators of living standards (p. 767), for example, makes dams importantfor ensuring energy consumption even though the court ignores theinternal tension that this approach creates with its own commitment tothe environment.

A fourth script of the judgment is statist, and puts the emphasis onthe efficiency and equity of the system that is responsible for designingand executing the project as well as in taking ameliorative measures.Put differently, faced with substantive critiques in the areas of rehabi-litation or environment, the court puts its faith in the setting up of stateagencies and the fulfillment of procedures, rather than coming up withanswers to the critiques. For example, faced with the question of

whether environmental clearance by the Ministry of Environmentand Forests in 1987 was given without proper data and planning andwas therefore contrary to law, the majority puts much emphasis on theprocess through which the decision was arrived at, including the factthat it was finally cleared by the Prime Minister himself. As the courtsays, ‘‘care for the environment is an ongoing process and the system inplace would ensure that ameliorative steps are taken to counter theadverse effect, if any, on the environment with the construction of the

dam’’ (p. 729). This could be contrasted to the view of Justice Barucha,the dissenting judge, who says that the environmental clearance wasbased on ‘‘next to no data . . . and was, therefore, contrary to the termsof the then policy of the Union of India in regard to environmentalclearances and, therefore, no clearance at all’’ (pp. 775, 776, and 781).Similarly, with regard to displacement, the majority of the court saysthat ‘‘with the establishment of the [Resettlement and Rehabilitation]Sub-Group and the constitution of the grievance redress authorities bythe states of Gujarat, Maharashtra and Madhya Pradesh, there is asystem in force which will ensure satisfactory resettlement and rehabi-litation of the oustees’’ (p. 745). This reasoning of the court overlooksthe fact that the state agencies had no intention, judging by theirrecord, of ensuring either resettlement and rehabilitation or environ-mental protection as per the award of the Tribunal. The multiplication

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of state agencies is, in this view of the court, a substantive response tothe failure to ensure resettlement and rehabilitation or to protect theenvironment. But the NBA’s plea for an independent agency to eval-

uate and monitor the project is rejected.A fifth script of the judgment could be termed legalist/dominant in

that it sees the dispute as something that has been settled by law whichthe Supreme Court has little power to change. In this view, the role of the court is to dispense justice in accordance with the law and, if thelaw clearly favors the work on the dam to go ahead, there is little thatthe court can do. As the court says, ‘‘the Court has not forsaken its dutyand role as a court of law dispensing justice in accordance with the

law. . .

. No directions are issued which are in conflict with any legalprovisions’’ (p. 762). This could be contrasted with views expressedpreviously by the court, including in previous proceedings in thesame case, that, when the law is in conflict with fundamental rights,the law must give way. The law that the court refers to here, againstwhich it is purportedly helpless, is of two kinds. First, the law governingthe settlement of inter-state water disputes, contained in Article 262 of

the constitution and the Inter-State Water Disputes Act, prevents thejurisdiction of the Supreme Court over water disputes and provides noright of appeal. Although the court had reopened the water dispute byadmitting the petition in 1994 and by suspending the work on the damfor four years, it now takes the position that its only job is to ensure thatthe award of the Tribunal is enforced (pp. 768 and 769). This positionseems to have been prompted by the court’s desire to assert the dom-inance of the constitution and the power of the federal government

over the procedure for deciding inter-state water disputes. This wasbecause of its concern that the federal constitutional scheme for set-tling water disputes between states was coming unstuck becauseMadhya Pradesh was trying to reopen the whole dispute, taking somepolitical cover under the NBA’s agitation for the rights of the displacedpeople. At several places, the court notes that the award of the Tribunalis binding on states (pp. 696, 697, and 766). While this is a legitimateconcern, the court’s duty, especially in a public interest litigationalleging violation of constitutional rights, is to first safeguard rights if there is evidence of violation. The court failed to do this.

A second legalist reason for the Court’s decision has to do with thedoctrine of laches, which, according to the majority, prevents the NBAfrom prevailing in the case. According to the Court’s reasoning, sincethe NBA did not approach the Court until 1994, that is, after


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construction of the dam began in 1987 and after environmental clear-ance was obtained, it is guilty of laches. Apart from the fact that theSupreme Court is rarely concerned with traditional procedural issues in

public interest litigation,24

this decision of the Court is also factuallyinaccurate and in bad faith. The Court was, as noted above, firstapproached in 1991, and the NBA had approached a number of lowercourts quite successfully over the years even though it could not get thejudicial orders enforced. It was only after trying virtually every govern-mental and judicial authority and failing that the NBA approached theSupreme Court. Therefore, the Court’s decision on this point seemshard to comprehend.

A sixth script that runs through the judgment may be termed adju-dicatory, and seeks to rest its reasoning on the institutional role of theCourt (as opposed to the Executive), which is to decide only law andnot policy. As the Court says, ‘‘the conception and the decision toundertake a project are to be regarded as a policy decision . . . Thecourts, in the exercise of their jurisdiction, will not transgress into thefield of policy decision. Whether to have an infrastructural project or

not and what is the type of project to be undertaken and how it has tobe executed, are part of policy-making process and the courts are ill-equipped to adjudicate on a policy decision so undertaken’’ (pp. 761and 762). Imposing this interpretive framework on itself gives theCourt enough wiggle room to avoid difficult legal questions, such asthe conflict between individual rights and state rights or the role of theCourt in inter-state water disputes when important constitutionalquestions other than riparian rights of states are at stake. The adjudi-

catory script also helps to mask the ideological hand-me-down of theCourt behind the facade of democratic accountability. This is doublyironic because of the well-established record of the Court in activelymaking policy decisions through public interest litigation. Indeed,perhaps no other country’s highest court has intervened in so manyareas of public policy in fields ranging from criminal justice, environ-ment, human rights, women’s rights, and public accountability. Yet,when it comes to development projects such as dams, the Courtsuddenly discovers the virtues of judicial self-restraint.

The seventh script that is evident in the judgment may be calledselective cosmopolitanism; through it the Court justifies its reasoning by

24 The Indian Supreme Court is famous for innovating new procedural rules in the domain of public interest litigation. For a review, see Desai and Muralidhar (2000).

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appeal either to a universal human interest or to global sources of law,but does it in a manner that is highly selective. The Court was askedby counsel to the NBA whether ‘‘the forcible displacement of tribals

and other marginal farmers from their land and other sources of livelihood for a project which was not in the national or publicinterest was a violation of their fundamental rights under Article 21of the constitution of Indian read with ILO Convention 107 to whichIndia is a signatory’’ (p. 697). Counsel for the NBA contended thatILO Convention No. 107, read into Article 21 of the constitution,makes the displacement illegal as there was no free consent and theproject itself is not in the national or public interest due to its

unacceptable social, economic, and environmental costs (pp. 697and 698). The Court rejects this argument by taking a strict construc-tionist view of Convention No. 107 and concludes that the exceptionclause in the Convention allows displacement because land-for-landcompensation was assured by the states (p. 701). This overlooks twofactors. First, land-for-land compensation had not been guaranteed inpractice, as the Court itself acknowledged. Secondly, the ILO itself

had written letters of concern to the Indian government about theviolation of Convention No. 107. More importantly, the Court’spositivistic refusal to engage in a liberal reading of Convention No.107 is notably in tension with the Court’s overall record in readinginternational law into domestic law.25 Later, the Court’s refusal torecognize the relevance of the ‘‘precautionary principle’’ for assessingenvironmental compliance also shows a selective approach, as itneither comports with the Court’s recent activism in environmental

law,26

nor with the current state of international environmental law.27

But, while the Court freely departs from current international legalnorms relating to the precautionary principle in environmentalprotection, it is ready to praise the importance of water as a humanright even though the status of that norm under international law is,at best, that of a soft law norm. The Court says that ‘‘water is the basic

25

See e.g. Vishaka v. State of Rajasthan (1997) 6 SCC 247 (reading provisions on sexual harass-ment from the Convention on the Elimination of Discrimination Against Women into Indianlaw); and Vellore Citizens’ Welfare Forum v. Union of India (1996) 5 SCC 647 (reading aprecautionary principle into Indian law, relying upon a report of the International LawCommission).

26 See Center for Environmental Law WWF-I v. Union of India (1999) 1 SCC 263; and VelloreCitizens’ Welfare Forum v. Union of India (1996) 5 SCC 647.

27 See Gabcıkovo-Nagymaros Project (Hungary/Slovakia) (Merits), ICJ Reports, Judgment of 27 September 1997 (especially the concurring opinion of Judge C. G. Weeramantry).


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need for the survival of human beings and is part of the right to lifeand human rights as enshrined in Article 21 of the constitution of India’’ (p. 767), and cites a UN resolution as the legal basis for this

conclusion while justifying the dam project as one that will fulfill thisneed. In a remarkable example of the hegemonic use of counter-hegemonic discourse, the state of Gujarat had argued28 that it had aresponsibility to guarantee the human right to water to its populationand that the dam was needed for this purpose among others. TheCourt’s readiness to accept this and its remarkable activism in con-juring law out of politics is sorely missing when it focuses on the issuesthat seem to favor the NBA.

8.4.2 Post-judgment woes: towards electoral politics?Since the judgment of the Court in 2000, which led to much criticismand an attempt by the Court to muzzle its critics (Venkatesan 2002),the NBA has been on the defensive and searching for new politicalvistas.There has been no proper resettlement and rehabilitation,despite the directions of the Court in 2000. Therefore, the judgment

has not ended the role of the Court itself.29 The NBA filed a freshreview petition before the Court in May 2002, which was dismissed.The state of Madhya Pradesh has also filed a petition in the Court in2004, challenging aspects of the 2000 judgment. Thus, the role of lawin the Narmada Valley struggle has not formally ended. But, the dam’sheight has been gradually increased and approval has now been givenfor a height of almost 110 meters, despite opposition from the NBA

and the Madhya Pradesh government (Sharma 2004a). For the Gujaratgovernment, the Sardar Sarover dam’s height has become one of thekey barometers of its own political success. The NBA, having run outof other options, has decided to enter electoral politics (Sharma2004b). The struggle in the valley has had a long relationship withelectoral politics (Jayal 2001; Sangvai 2000), but the NBA itself hasnot actively entered politics so far. Whatever the reason behind thenew winds of change may be, it is a factor that must be taken into

account when assessing the limits of law and institutions concernedwith formal political participation, in processes of counter-hegemonicglobalization.

28 Interview with Prashant Bhushan. 29 Ibid.

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8.5 ASSESSI NG THE ROLE OF LAW IN THE NARMADA

VALLEY STRUGGLE

What can one make of the role of law in the Narmada Valley struggle?What was the impact of the struggle on law itself? The difficulties inanswering these questions must be evident. Not only has the struggle inthe valley been both local and transnational at the same time, it hasalso extended over a long time. As such, it is hard to come to any snapjudgments about the relationship between law and the Narmada Valleystruggle. However, one could start by debunking many common sup-positions about the relationship between law and social movements.

First, it is clear that law is very relevant to social movement strugglesboth in shaping the political opportunity structures that movementshave at specific moments and also in sanctifying and legitimating theidentities and strategies that movements deploy. This conclusionshould be seen against the common social science predilection eitherto take law for granted or to dismiss it as irrelevant to social struggles(Fernandes and Varley 1998).

In the Narmada Valley struggle law was always very relevant. Fromprivate law relating to land acquisition, to constitutional rights, tointernational human rights law, the struggle in the valley was pro-foundly affected. The political opportunities for the struggle wereseverely constrained by private law, for instance in the kinds of claimthat the movement could legitimately advance within the system.While private law and regulatory law relating to the environmentwere more relevant during the initial years of the struggle, international

law became more relevant later and constitutional law was crucial inmore recent years. Secondly, the meaning of ‘‘law’’ has changed irre-vocably from a normative order within territorial states to a globalnormative order. As such, this requires a broad framework that iscapable of appreciating the local and global engagements betweenlaw and social movements. This could be contrasted with traditionalassessments of the role of law in social movement struggles whichremain centered on national law. In the case of the Narmada Valley

struggle, law operated at virtually all conceivable levels and the role of international law was crucial. Thirdly, the ‘‘law’’ that social movementsengage with includes not only state law, but inter-state, sub-state, andnon-state law as well. Therefore, the question of whether law can beemancipatory (Santos 2002; Santos and Rodrıguez-Garavito’s chapterin this volume) cannot be answered easily but depends on the dynamics


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between various levels of law. In the case of the struggle in the NarmadaValley, operative tensions between law at different levels were resolveddifferently at different times, largely due to the impact of the struggle

on the law. For example, the relationship between international lawand national law was resolved in favor of the former while the WorldBank was still involved with the project (until 1993), but the dynamicssharply changed after the struggle in the valley succeeded in compellingthe World Bank to pull out. Fourthly, the role of domestic institutions,especially that of the judiciary, cannot be taken for granted. This mustbe seen against the background of intense debates about whetherdomestic courts help or hinder social movements (Epp 1998;

Rosenberg 1991; Siegel 2002) in which opinions tend to be cast in an‘‘either/or’’ fashion. This seems problematic, but it is more likely thatdomestic courts could both help and hinder a movement. Whilenational legal cultures within which the judiciaries function are impor-tant, the assessment of the role of the judiciary in social movementstruggles becomes more difficult due to the longevity of social move-ment struggles. Another crucial issue is the tension between the logic of

judicial decision-making and movement politics. In both their finalityand their temporal aspects, judicial decisions work against the logic of movements which do not easily accept finality, while the courts findthe duration and continuity of social movements hard to fit into theiradversarial mode of resolving disputes. In the Narmada Valley struggle,all these propositions proved to be true.

Looking at the relationship between law and the Narmada Valleystruggle through these issues, one could begin to come to some conclu-

sions. In order to make sense, however, these conclusions will have torest on a framework that is broader than simply the question of whetherthe movement achieved a change in outcome by its engagement withthe law. One also has to take two other dimensions of evaluation,namely, whether the movement led to any change in the process of decision-making, and whether the movement was able to change thevalues that underlie the dispute.30 Using this triangular framework of outcome change, process change, and value change, one could come tothe following conclusions.

The struggle did lead to outcome change but this was more evident atthe international level. The NBA’s involvement led to the pull-out of the World Bank from the project, and the establishment of the World

30 I borrow this framework from Rochon and Mazmanian (1993).

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Commission on Dams which has significantly contributed to the globalpublic policy discourse on development. At the domestic level, themajor successes of the struggle included winning a better resettlement

and rehabilitation policy from Gujarat in 1988 and the stay order of the Supreme Court in May 1995, but, judging by the overall outcome,the struggle failed. The juggernaut of construction of the dam and thedisplacement could not be stopped. The struggle had a moderateimpact on decision-making process, both at the international anddomestic levels. The struggle led to the establishment of the complaintspanel at the World Bank in 1993, a new information policy at theWorld Bank to improve transparency, and the support of the World

Bank for the World Commission on Dams. At the domestic level, thestruggle led to the establishment of the environmental and rehabilita-tion sub-groups of the NCA as well as the Grievance RedressAuthorities in the three states concerned. The decision-making processrelating to large projects has been somewhat democratized at theinternational and domestic levels, but not as much as the NBAhoped. In terms of value change, the struggle in the valley has perhaps

had better success in general, and more so at the international level.The norms relating to sustainable development have been significantlyaffected by the struggle in the valley (Khagram 2002) because thecultural dimensions of counter-hegemonic globalization in this areahave been shaped by the struggle. Human rights norms relating tointernal displacement are beginning to be changed to include devel-opment-induced displacement (Robinson 2002), while foreign inves-tors shy away from large projects which have significant social and

environmental costs. At the domestic level, the struggle has led tomuch polarization between groups who have diametrically differentmoral compasses on issues relating to development and its costs, but hasnot been able to ensure its values prevail. However, it cannot be deniedthat the struggle has had a counter-hegemonic effect at the domesticlevel in India.

8.6 CONCLUSION

This chapter has analyzed the role of law and courts in counter-hegemonic globalization by examining the relationship between lawand the struggle against displacement in the Narmada Valley in India,especially that of the role played by the NBA. The struggle beganin the early 1980s against a massive river valley development


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scheme along India’s Narmada river consisting of hundreds of dams,which planned to flood the lands of both tribals and prosperous farmersacross three states, Gujarat, Maharashtra, and Madhya Pradesh.

A transnational coalition was formed to fight the displacement andenvironmental destruction and led to major successes including thepull-out of the World Bank from the project. The success of the move-ment continued when, in 1995, it obtained a stay order from theSupreme Court against further construction of the dam. However, amajor blow was struck when the Supreme Court cancelled the stayorder in 1999, and ruled against the movement in 2000. The struggle inthe valley is now focusing on formal electoral politics as a major avenue

of action.The role of law in the struggle was complex. It was conducted at

multiple levels, using different alliances and tactics, over two decades.While the movement succeeded in having a significant impact on thevalues that underlie the development discourse, especially at the inter-national level, the movement was unable to have much success domes-tically. The role played by the domestic judiciary in this outcome was

crucial. My conclusions challenge conventional debates about the roleof law in social movement struggles, as well as the impact of socialmovements on the making and enforcement of law itself.

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CHAPTER 9

THE MOVEMENT OF THE LANDLESS(MST), JURIDICAL FIELD, AND LEGAL

CHANGE IN BRAZIL

Peter P. Houtzager *


W ha t f orm s of l ega l c ha ng e c an s oc ia l mo ve men ts se t i n mo ti on to

d i m i n i s h s y s t e m i c a n d d u r a b l e f o r m s o f s o c i a l e x c l u s i o n ? A n d w h e n a r em ov em en ts s uc ce ss fu l a t d oi ng s o? T hi s c ha pt er e xp lo re s t he se t woquestions in the context of the struggle for land waged by theM o v e m e n t o f t h e L a n d l e s s ’ ( M S T ) i n B r a z i l , a c o u n t r y w h i c h h a s o n eo f t he m os t u ne qu al l an d d is tr ib ut io ns i n t he w or ld . I t f oc us es i n p ar ti -c u la r o n t h e m o ve m en t ’s e me r ge n t j u ri d ic a l s tr a te g y a n d t h at s tr a te g y’sc on tr ib ut io n t o l eg al c ha ng e. T he M ST r are ly i ni ti at es l eg al a ct io n i ts el f,a n d i n f a c t d o e s n o t h a v e s t a n d i n g t o b r i n g c a s e s t o e x p r o p r i a t e l a n d f o r

a gr ar ia n r ef or m, w hi ch i s t he p re se rv e o f f ed er al g ov er nm en t. I n r ec en ty ea rs , h ow ev er , i ts r ea ct iv e j ur id ic al s tr at eg y – i n c iv il a nd c ri mi na l c as esbrought against it – h a s g r o wn i n c r e a s i n g l y s o p h i s t i c a t e d . Th e m o v e m e n th a s h e l p e d p r o d u c e wa t e r s h e d l e g a l p r e c e d e n t s , c o n t r i b u t e d t o a b r o a d e rp ro ce ss o f c on st it ut io na li zi ng l aw , a nd m ad e a cc es s t o l an d m or e e qu i-t a b l e i n p a r t s o f B r a z i l b y r e d e f i n i n g p r o p e r t y r i g h t s i n p r a c t i c e .

* A n e ar l y d r a ft o f t h is c ha pt er w as p r es en t ed a t t h e w o r ks h op o n ‘‘ F un d am en ta l R i gh t s i n t heB al an ce : N ew I de as o n t he R i gh t s t o L an d, H ou s in g a nd P r op er t y, ’’ O ct o be r 1 6– 1 8, 2 0 03 ,I n st i t ut e o f D e ve l op m en t S t u di e s ( I DS ) , B r i gh t on , U K . T h e p a pe r o w e s m u c h t o d i s cu s s io n sw it h E ug en io Fa c c hin i N e t o, J a c ques T avor a A lfon s in, I pojuc an V e c c hi, A ve lin o S t r oz a ke ,Claudio Pavao, Luı s C r i st i an o , a n d A d r ian G u rz a L a v al l e . T h e e d i to r s , B o av e nt u r a d e S o u saS a n t os a n d C es a r A . R odr ıg uez - G a r avit o, m a de g e n t le s ug g e s t ion s t h a t im pr ove d t h e c h a pt er .D a n ie l G uim a r ae s Z ve ibil pr ovide d va lua ble r e s e a rc h a s s is t an c e .

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T he se o ut co me s h av e b ee n a ch ie ve d a t a w or ld h is to ri c m om en tw h e n p o w e r f u l i n t e r n a t i o n a l i n s t i t u t i o n s a r e c o m m i t t e d t o g l o b a l i z i n ga n e w ‘ ‘ c l a s s i c ’ ’ i n t e r p r e t a t i o n o f l i b e r a l p r o p e r t y r i g h t s . T h e c r e a t i o n o f

r ur al a nd u rb an l an d m ar ke ts , m od el ed o n a m yt ho lo gi ze d a cc ou nt o f W es te rn p ro pe rt y r eg im es , h as b ec om e a p il la r o f m an y internationalp ro gr am s o f s tr uc tu ra l r ef or m a nd t o c om ba t p ov er ty .1 T he M ST ’se m er g en t j u ri d ic a l m o bi l iz a ti o n o f fe r s s o me i n si g ht s i n to c o un t er v ai l -i ng p os si bi li ti es – t ha t i s, e st ab li sh in g m or e e qu it ab le a cc es s t o, a ndf o r m s o f , p r o p e r t y – a n d t h e r o l e m o v e m e n t e n g a g e m e n t w i t h j u r i d i c a la ct or s a nd i ns ti tu ti on s c an p la y i n r ea li zi ng t he se p os si bi li ti es ( se eS a n t o s a n d R o d r ı g u e z ’ s c h a p t e r i n t h i s v o l u m e ) .

T hi s c ha pt er e xp lo re s l eg al c ha ng e t ha t o cc ur s t hr ou gh w ha t B ou rdi eu(1987) c al ls t he j ur id ic al f ie ld . C ha ng es i n l aw t ha t r ed uc e d ee p- ro ot eds o c i a l e x c l u s i o n c a n r e s u l t f r o m m a n y s o u r c e s , i n c l u d i n g f r o m l e g i s l a t i v eo r e xe cu ti ve a ct io n, s hi ft s i n p ub li c o pi ni on , a nd c iv il s oc ie ty m on it or in go f pu bl ic o r p ri vat e a ct ion . L eg al c han ge is p ro du ce d b y an ar ra y of juridical protagonists, such as judges, private lawyers, public prosecutors,l aw s ch oo l p ro fe ss or s, l aw r ef or m N GO s, a nd s o f or th . The m os t v is ib le

changes in law these juridical protagonists – the socially authorized inter-preters of legal code – produce are watershed court rulings in the juridicalf ie ld , b ut m or e l eg al c ha ng e o cc ur s i n l es s v is ib le f or ms , a nd o ft en i nv ol ve sa multitude of diverse actors, many situated far outside the courthouse.

T he c ha pt er s et s o ut a t wo -s te p a rg um en t. I t a rg ue s f ir st t ha t t heM ST ’ s a bi l it y t o c on ve rt m ov em en t e ne rg y i nt o j ur id ic al e ne rg y h asp la ye d a c en tr al r ol e i n s et ti ng l eg al c ha ng e i n m ot io n t hr ou gh t hej u r i d i c a l f i e l d . T h e m o v e m e n t ’ s c a p a c i t y t o c o n c e n t r a t e t h e t a l e n t s o f

d iv er se j ur id ic al a ct or s o n d ef en di ng i ts c la im s h as m ad e i t a n i mp or ta ntc a t a l y s t f o r l e g a l c h a n g e t h r o u g h t h e j u r i d i c a l f i e l d . I t h a s b e e n a b l e t oc on ce nt ra te j ur id ic al t al en t b y p ur su in g a s tr at eg y t ha t S an to s (1995,2002) a r g u e s i s m o s t l i k e l y t o s u c c e e d i n t h e c o u n t e r - h e g e m o n i c u s e o f l aw a nd r ig ht s: i t i nt eg ra te s j ur id ic al a ct io n i nt o b ro ad er p ol it ic alm o bi l iz a ti o n, p o li t ic i zi n g s t ru g gl e s b e fo r e t h ey b e co m e ju r i d if i e d , a n dm o bi l iz i ng s o ph i st i ca t ed l e ga l s k il l s f r om d i ve r se a c to r s.2 Th i s s t r a t e g y

1 U SA ID , t he W o rl d B an k , a nd o t he r i n te rn at i on al a ct o rs h av e u s ed s tr u ct u ra l a dj u st m en tp r og ra ms , a v ar i et y o f t yp es o f l o an , p ov er t y r ed u ct i on p r og ra ms , a nd b r oa de r l e ga l r ef o rmp r og ra ms t o s p re ad a ‘‘ cl as s ic ’ i nt er p re ta ti on o f p r op er t y r i gh ts i n t h e w ak e o f t h e c ol l ap s e o f E as te rn E u ro p ea n p o li t ic al e co n om i es a nd t h e f ai l ur e o f s t ru ct u ra l a dj u st m en t p r og ra ms i nAfrica.

2 T h e p r i or p o l it i ci z a ti o n, S a nt o s (1995 : 38 6 ) s u gg es ts , m ak es p o ss i bl e t he c on st r uc ti on o f t hec o n f l i c t i n w a y s t h a t n e u t r a l i z e i t s i n d i v i d u a l i z a t i o n b y l a w .

T H E B R A Z I L I A N M O V E M E N T O F T H E L A N D L E S S A N D L E G A L C H A N G E

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e na bl ed t he M ST t o e ng age i n t he ty pe of s us ta in ed a nd br oad l it ig at io n –b ot h g eo gr ap hi c al l y a nd a cros s is sues – th at E pp (1998) s ugg es ts i s c ent ra lt o r e d e f i n i n g l e g a l t e r r a i n .3

S ec on dl y, t he c ha pt er a rg ue s t ha t t he M ST h as c on tr ib ut ed t o sub-stantial legal change w hen dy na mi cs i n t he mo ve men t f ie ld an d th ep ol it ic al ar en a c on ve rg ed t o a lte r th at o f th e j uri di ca l f ie ld. I n t hea b se n ce o f s u ch c o nv e rg e nc e , t h e M S T’ s m o bi l iz a ti o n a c ro s s m u lt i pl ef ie ld s h el ped t o pr od uc e i mpo rt an t bu t small-scale and incrementalchange. S uc h c ha ng e h as be en f ar mo re c om mo n. I n th e 19 90 s, th et r a n s i t i o n t o d e m o c r a c y , t h e r i s i n g p r o m i n e n c e o f t h e W o r k e r s ’ P a r t y ,a n d s h i f t s w i t h i n t h e C a t h o l i c C h u r c h p r o d u c e d a s e r i e s o f s h i f t s i n t h e

m o v e m e n t a n d j u r i d i c a l f i e l d s t h a t c r e a t e d n e w o p p o r t u n i t i e s t o s e t i nm o t i o n j u r i d i c a l m o d a l i t i e s o f c h a n g e .

T he m ov em en t a nd j ur id ic al f ie ld s i n c on te mp or ar y B ra zi l h av e av ar ie ty o f p ar ti cu la ri ti es , a nd t he c ha pt er d oe s n ot a tt emp t br oa dg en er al iz at io n. I ts v al ue i s i n i de nt if yi ng e me rg in g j ur id ic al f or ms o f c os mo po li ta n l eg al c ha ng e – t ha t i s, c ha ng e p ro ce ss es i n w hi ch j ur id ic ala c t o r s p l a y a p r o m i n e n t r o l e a n d t h a t a l t e r a u t h o r i t a t i v e l e g a l n o r m s o r

t h e i r a p p l i c a t i o n . T h e c h a p t e r e x a m i n e s t h r e e p a r t i c u l a r m o d a l i t i e s o f c ha ng e th at a lt ere d l eg al pr ac ti ce s. T he M ST h as w ork ed w ith ort h ro u gh j u ri d ic a l a c to r s a n d i n st i tu t io n s t o ( 1 ) c o mp e l p ub li c a ut ho r-i ti e s t o i mp le me nt o r e n fo rc e e xi st in g l eg is la ti on a nd c on st it ut io na lm an da te s i n w ay s t ha t a lt er l e ga li ty i n p ra ct ic e; ( 2) c re at e n o ve l i n te r -p re ta ti on s o f s ub st an ti ve r ig ht s a nd o bl ig at io ns , a nd i ns ti tu ti on al iz et he se t hr ou gh j ur is pr ud en ce ( i. e. j ud ge -m ad e l aw ); a nd ( 3) i nn ov at ei n t he c on te st o ve r j ur id ic al t im e, b y u si ng n ov el p ro ce du ra l i ns tr u-

m en ts t ha t i nc re as e t he p ac e o f j ud ic ia l p ro ce ed in gs t o m or e c lo se lym a t c h t h a t o f s o c i a l m o v e m e n t s .

9.2 T H E L O G I C O F F I E L D S

E n co u nt e rs b e tw e en m o ve m en t s a n d j u di c ia r ie s a r e c o mp l ic a te d a n du n s e t t l i n g a f f a i r s , f o r t h e p a r t i e s i n v o l v e d a n d f o r s o c i e t y a t l a r g e . I t i sn o t t h a t m o v e m e n t s a r e f o r c e s o f p r o g r e s s i v e c h a n g e a n d j u d i c i a r i e s a r e

g u a r a n t o r s o f c o n s e r v a t i v e s t a t u s q u o . Th e r e a r e i n n u m e r a b l e r e a c t i o n -a ry m ov em en ts a nd m an y i ns ta nc es o f p ro gr es si ve j ud ic ia l a ct io n.

3 E p p (1998: 3 ) n o t e s t h a t t h e j u d i c i a l p r o c e s s i s ‘ ‘ c o s t l y a n d s l o w a n d p r o d u c e s c h a n g e s i n t h e l a wo nl y i n s m al l i n cr em en ts .’’ I n t he c as e o f B ra zi l , w h ic h h as a f ed er al s ys te m t h at g ra nt s s ta tej u d i c i a r i e s a h i g h d e g r e e o f a u t o n o m y a n d w h i c h l a c k s stare decisis ( b i nd i n g l e ga l p r ec e de n t o f c o u r t r u l i n g s ) , l e g a l c h a n g e t h r o u g h l i t i g a t i o n i s p a r t i c u l a r l y c o s t l y a n d s l o w .

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R a t h e r , s o c i a l m o v e m e n t s a n d j u d i c i a r i e s h a v e p r o f o u n d l y c o n t r a s t i n gl o g i c s . I t t a k e s l i t t l e c o n t a c t w i t h s o c i a l m o v e m e n t s a n d j u d i c i a r i e s t oi n t u i t t h a t t h e y n o t o n l y l o o k a n d f e e l v e r y d i f f e r e n t , b u t a l s o f u n c t i o n

i n d if fe re nt w ay s. M ov em en ts h av e a q ui ck a nd s om et im es r ec kl es sp a c e , a n d a c q u i r e m u c h o f t h e i r s o c i a l a n d p o l i t i c a l s i g n i f i c a n c e f r o mm as s p ub li c d is pl ay s a nd f ro m c ol le ct iv e t re sp as si ng o f l eg al it y. I nc on tr as t, j ud ic ia ri es p lo d c au ti ou sl y a lo ng t he p at h o f d ue p ro ce ss .T he y o bt ai n t he ir s ig ni fi ca nc e t hr ou gh i nd iv id ua l, a lm os t p ri va te ,p er fo rm an ce s t ha t r ei nf or ce e xi st in g l eg al it ie s. M ov em en t a nd j ur id ic ald is cu rs iv e s ty le s, a nd c on st ru ct io n o f t he i ss ue s a t t he h ea rt o f s oc ia lc o n f l i c t , t e n d t o b e w o r l d s ’ a p a r t . M o v e m e n t s ’ n e e d o f m e d i a a t t e n t i o n

i s m at ch ed o nl y b y t he j ud ic ia ri es ’ a mb iv al en ce t ow ar d s uc h p ub li cs cr ut in y ( wi tn es s t he o ng oi ng d eb at e o ve r t he p re se nc e o f c am er as i nt h e c o u rt r o om ) .

T he c on tr as ti ng l og ic o f t he s oc ia l m ov em en t a nd j ur id ic al f ie ld se s t a b l i s h e s b r o a d b o u n d a r i e s wi t h i n wh i c h m o v e m e n t s c a n s e t j u r i d i c a lm od al it ie s o f c ha ng e i n m ot io n. T he l og ic o f e ac h f ie ld s ub st an ti al lyc o n s t r a i n s a c t o r s ’ a g e n c y a n d p o i n t s t o t h e n e e d t o t a k e ‘ ‘ f i e l d e f f e c t s ’ ’

i n t o a c c o u n t w h e n e x p l a i n i n g l e g a l c h a n g e .B o u r d i e u ’ s s o c i o l o g y o f p r a c t i c e m a k e s v i s i b l e a n d o p e n t o i n t e r p r e -ta ti on t he s ou rc es a nd n at ur e of t he se l og ic s. Bo ur di eu (1987 :831)s ug ge st s t ha t t he j ur id ic al f ie ld c on ve rt s ‘‘ co nf li ct b et we en d ir ec tl yc on ce rn ed p ar ti es i nt o j ur id ic al ly r eg ul at ed d eb at e b et we en p ro fe s-s i o n a l s a c t i n g b y p r o x y . ’ ’ W h e n p a r t i e s e n t e r t h e f i e l d i t ‘ ‘ i m p l i e s t a c i ta c c e p t a n c e o f t h e f i e l d ’ s f u n d a m e n t a l l a w . . . [ t h a t ] c o n f l i c t s c a n o n l yb e r e s o l v e d juridically – t h a t i s , a c c o r d i n g t o t h e r u l e s a n d c o n v e n t i o n s

o f t h e f i e l d i t s e l f ’ ’ ( 1987: 8 3 1 ) . F o r h i m , t h e l o g i c o f t h e j u r i d i c a l f i e l dh a s t w o p r in c ip a l s o ur c es : t h e s p ec i fi c p o we r r e la t io n s b e tw e en p r ot a -g o n i s t s i n t h e f i e l d , w h i c h g i v e t h e f i e l d i t s s t r u c t u r e a n d o r d e r c o m p e -ti ti ve s tr ug gl es ; a nd t he ‘‘ in te rn al l ogi c o f j uri di ca l f un cti on in g[ a cc o rd i ng t o e x is t in g n o rm s a n d d o ct r in e ] w h ic h c o ns t an t ly c o ns t ra i nst he r an ge o f p os si bl e a ct io ns a nd , t he re by , l im it s t he r ea lm o f s pe ci fi -c a l l y j u r i d i c a l s o l u t i o n s ’’ ( 1987: 8 1 6 ) . T h e c o m p e t i t i v e s t r u g g l e s a r e , i nl ar ge m ea su re , o ve r t he c on tr ol o f t he f ie ld ’s p ri ma ry s ou rc e o f p ow er

v i s- a- v i s t h e r e st o f s o ci e ty – ‘‘ t he t e ch n ic a l c o mp e te n ce t o interpret ac o r p u s o f t e x t s ’ ’ ( 1987:817).

T he n ee d t o r ep ro du ce s oc ie ty ’s p er ce pt io n o f t he j ur id ic al f ie ld ’sa ut on om y, n eu tr al it y, a nd u ni ve rs al i ty – t ha t i s, i ts s ou rc es o f l eg it i-m ac y – i s c en tr al t o t hi s i nt er na l l og ic . T he p ow er o f j ud ic ia ri es a ndo th er a ct or s i n t he f ie ld i n t he l ar ge r s oc ie ty r es id es p ri ma ri ly i n t he


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s y m b o l i c e f f e c t i v e n e s s o f t h e i r a c t i o n – t h e y a r e signalers p a r e x c e l l e n c e(Bourdieu 1987 :8 3 9; G a l a nt e r 1981) . T h e o ut co me o f c ou rt p ro ce ed -i n g s t h e r e f o r e i s t h e p r o d u c t o f i n t e r p r e t a t i v e s t r u g g l e s b e t w e e n a c t o r s

( po ss es si ng u ne qu al t al en ts a nd j ur id ic al p ow er ), n ot j us t i ns id e t hec o u r t r o o m , b u t w i t h i n a l a r g e r f i e l d o f j u r i d i c a l p r a c t i c e s .

T h e l o g i c o f t h e m o v e m e n t f i e l d c o u l d h a r d l y b e m o r e d i f f e r e n t . I t i ss ha pe d b y t he c om pe ti ti on o ve r l eg it im at e r ep re se nt at io n o f s oc ia lg ro up s o r v al ue s, a nd b y t he e st ab li sh me nt o f t he d es er vi ng n at ur e o f t he se g ro up s’ i nt er es ts o r v al ue s. M ov em en ts e ng ag e i n d is ru pt iv e o re x pr e ss i ve c o ll e ct i ve a c ti o n t o c o mm u ni c at e t h e i m po r ta n ce a n d r i gh t -e o u s n e s s o f t h e i r c a u s e , a n d t h e n u m b e r , w o r t h i n e s s , a n d c o m m i t m e n t

o f t h e i r m e m b e r s ( M c A d a m , T a r r o w , a n d T i l l y 2001).A c c u m u l a t i n g t h i s k i n d o f c a p i t a l r e q u i r e s a c o m p l i c a t e d b a l a n c i n g

a ct . M ov em en t a ct io n m us t d is ru pt t he o rd in ar y a nd r ou ti ne t o b ui lda nd di spl ay i ts po we r. Mo ve me nt s’ r el ia nc e o n th e ma ss me di a t oc o m m u n i c a t e w i t h t h e p u b l i c a n d t o b u i l d i t s p o l i t i c a l i n f l u e n c e r e i n -f o r c e s t h e n e e d f o r s h o r t a n d e x p r e s s i v e b u r s t s o f c o l l e c t i v e e n e r g y , a sw el l a s f or a de gr ee of r is k- ta ki ng. Ye t m ov em en ts a lso h ave to m ai nt ai n

t he su pp or t of b ro ad s egm en ts o f th e g en era l p ubl ic, o r o f mo re po we rf ula c to r s w h o m a y t o le r at e i n co n ve n ie n t d i sr u pt i on s b u t n o t a s u st a in e dp ar al ys is o f v al ue d i n st it ut io ns . M ov em en ts o f t he p oo r, b ec au se t he ya r e s h o r t o n m a t e r i a l r e s o u r c e s o r s p e c i a l i z e d k n o w l e d g e ( s u c h a s l e g a lk n o w l e d g e ) i n p a r t i c u l a r r e q u i r e a c c e s s t o a l l i e s ’ r e s o u r c e s , k n o w l e d g e ,p o l i t i c a l s u p p o r t , a n d i n f l u e n c e . A n d , m o v e m e n t s m u s t k e e p t h e c o s t so f co ll ec ti ve a cti on to p art ic ipa nt s a s l ow as po ss ib le. T o b al an ced is ru pt io n, b ro ad s up po rt , a nd a cc ep ta bl e c os t, t he y g en er al l y s ee k t o

e n g a g e i n f o r m s o f l e g i t i m a t e d i s r u p t i o n , o n t h e e d g e s o f l e g a l i t y , w h i l ed ev el op in g d is co ur se s a nd a s et o f s ym bo ls t ha t a re f ar m or e r ad ic al t ha nt he ir a ct io ns a nd d em an ds a re i n p ra ct ic e ( Ho ut za ge r 2001a , 2001b;McAdam et al. 2001).

B o u r d i e u ’ s s o c i o l o g y h a s s o u g h t t o e s t a b l i s h t h e a u t o n o m y o f f i e l d s ,t he ir d is ti nc ti ve f or ms o f p ow er a nd l og ic s, a nd h ow t he se a re r ep ro -d uc ed o ve r t im e, b ut t he t as k i n t hi s c ha pt er i s s om ew ha t d if fe re nt . T hec ha pt er s ee ks t o i de nt if y h ow m ov em en ts s uc h a s t he M ST c an p ro du ce

c h a n g e s i n t h e l o g i c o f t h e j u r i d i c a l f i e l d . T h e j u r i d i c a l m o b i l i z a t i o n o f t he M ST p oi nt s t o a n i mp or ta nt r ef in em en t i n t he s oc io lo gy o f p ra ct ic ei f i t i s t o b e u se d t o e xp lo re t he p os si bi li ti es f or p ur po se fu l c ha ng e. I ts u g g e s t s t h a t a c t i o n i n o n e f i e l d – s u c h a s t h a t o f s o c i a l m o v e m e n t s –c a n a l t e r t h e d y n a m i c s o f a n o t h e r . T h e a u t o n o m y o f t h e j u r i d i c a l , l i k et h a t o f t h e m o v e m e n t , i s r e l a t i v e a n d v a r i e s o v e r t i m e .

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H ow c an m ov em en ts a lt er j ur id ic al p ra ct ic es , w he n t he j ur id ic alf ie ld h as i ts o wn p ar ti cu la r f or ms o f c ap it al , r ul es , a nd i ns ti tu ti on s,w h ic h a r e r e la t iv e ly r e si s ta n t t o c o nv e nt i on a l m o ve m en t t a ct i cs s u ch

a s m as s m ob il iz at io n o r o th er d is ru pt iv e p ra ct ic es ? T he M ST h as n otp ro du ce d c ha ng e i n t he j ur id ic al f ie ld b y d ir ec tl y ‘‘ oc cu py in g’’ t hel at te r. I t h as d on e s o b y b ri ng in g t he m ov em en t a nd j ur id ic al f ie ld si nt o c on ta ct a nd r ed ir ec ti ng t he e ne rg y o f i mp or ta nt j ur id ic al a ct or st o w a r d i t s c l a i m s . P r i v a t e a n d p u b l i c l a w y e r s , l e g a l s c h o l a r s , j u d g e s , a n do th er a ut ho ri ze d i nt er pr et er s o f l aw h av e d ep lo ye d t he ir p ar ti cu la rj u r i di c a l c a p i ta l within their field t o a l te r t h e d o mi n an t i n te r pr e ta t io n so f p ro pe rt y r ig ht s, l eg it im at e f or ms o f c iv il d is ob ed ie nc e, a nd s o o n.

Networks of progressive lawyers or judges, as well as political actors,h av e p la ye d a c ri ti ca l bridging r ol e b et we en t he t wo f ie ld s, h el pi ngc on ve rt m ov em en t e ne rg y i nt o j ur id ic al e ne rg y. I n t he c as e o f B ra zi l,t h e r o l e o f t h e m o v e m e n t f i e l d i n t h e c r e a t i o n o f a t r a n s f o r m a t i v e p o l ew i t h i n t h e j u r i d i c a l f i e l d i s d i f f i c u l t t o o v e r s t a t e .

S u m m a r i z i n g , c h a n g e s i n t h e r e l a t i o n s b e t w e e n f i e l d s c a n a l t e r t h e i rr e s p e c t i v e i n t e r n a l l o g i c s . T h e m o v e m e n t a n d j u r i d i c a l f i e l d s t h e r e f o r e

s h o u l d n o t b e d e c o n t e x t u a l i z e d – t h a t i s , t h e y n e e d t o b e u n d e r s t o o d i nr e l a t i o n t o e a c h o t h e r .

9.3 T H E M S T A N D M O D A L I T I E S O F J U R I D I C A L C H A N G E

T he M ST ’s p ri nc ip le a gr ar ia n r ef or m s tr at eg y h as b ee n t o p re ss ur eexecutive pa rt s o f f ede ra l a nd s ta te go ve rn me nt s – i n p art ic ul ar , b yl a r g e - s c a l e o c c u p a t i o n s o f a g r i c u l t u r a l l a n d – t o e x p r o p r i a t e a n d r e d i s -

t r ib u te p r iv a te l y- h el d l a nd . J u ri d ic a l m o bi l iz a ti o n h a s n o t b e en a c o rec om po ne nt o f t hi s s tr at eg y. A p ro fo un d d is tr us t o f t he j ud ic ia ry r un st h r o u g h m u c h o f t h e M S T a n d i t h a s y e t t o a c q u i r e a l e g a l i d e n t i t y t h a tw o u l d a l l o w i t t o b e e i t h e r a p l a i n t i f f o r a d e f e n d a n t . F o r m o s t l e a d e r sa n d a c t i v i s t s , t h e j u d i c i a r y i s t h e e n f o r c e r o f b o u r g e o i s p r o p e r t y r i g h t s .E xp er ie nc e h as t au gh t t he m t ha t, w he n s oc ia l c on fl ic t b ec om es j ud i-c ial ize d, t he ou tc om e i s of ten th e a bs en ce o f l ega l c ha ng e, a nd th ec ri mi na li za ti on of m ov eme nt a cti vi ty , or o f th e mo ve men t i ts el f.

Furthermore, the MST resi sts giving up control of the terms andd ir ec ti on o f i ts s tr ug gl es t o j ur id ic al a ct or s s uc h a s p ri va te l aw ye rs . I tsl ea de rs a nd a ct iv is ts k no w t ha t t he s tr ug gl e o ve r t he t ra ns la ti on o f s o ci a l c o nf l i ct i n to l e ga l c a te g or i es , a n d o ve r t a ct i ca l p r oc e du r al m a t-te rs, i ne vi ta bl y re nd ers pa rti es t o a c as e de pe nde nt on th ei r l eg alproxies.


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Nonetheless, MST leaders are acutely aware that its struggle for landt a k e s p l a c e i n t h e s h a d o w o f t h e l a w a n d h a v e l e a r n t t h a t l a n d o c c u p a -t i o n s b e c o m e j u d i c i a l i z e d a l m o s t i m m e d i a t e l y .4 A n d , w h i l e i n t h e f i r s t

d e c a d e o f i t s e x i s t e n c e ( 1 9 8 0 – 1 9 9 0 ) ,5

t h e m o v e m e n t p a i d l i t t l e a t t e n -t i o n t o j u d i c i a l i n s t i t u t i o n s a n d l e g a l i n s t r u m e n t s , s i n c e t h e e a r l y 1 9 9 0 si t h as i nv es te d m or e i n w ha t i s a n i nc re as in gl y s op hi st ic at ed r ea ct iv ej ur id ic al s tr at eg y. E xa ct ly w hy t hi s s hi ft o cc ur re d i s e xp lo re d i n t hes e c o n d h a l f o f t h e c h a p t e r .

T h e m o v e m e n t i s n o t m o n o l i t h i c , b u t i t s l e a d e r s t e n d t o s e e j u r i d i c a lm ob il iz at io n p ri ma ri ly i n p ol it ic al t er ms . C ou rt ro om p ro ce du re s a rep ol it ic al m om en ts i n w hi ch t he m is de ed s o f l an do wn er s, i nc lu di ng

the il legal possessi on of public land, can be made public and theimportance and legitimacy of the movement can be reaffirmed.V i c t o r i e s i n t h e c o u r t s a r e m e a s u r e d b y t h e i r e f f e c t o n p u b l i c o p i n i o n ,o n f or ci ng e xe cu ti ve b ra nc h a ct io n, a nd o f c ou rs e i n k ee pi ng m ov e-m en t l ea der s an d a cti vi st s ou t o f pr is on . T he MS T h as n ot, f or e xa mpl e,e ng ag ed i n p ub li c i nt er es t l it ig at io n t o p re ss ur e t he g ov er nm en t t oi mp le me nt a c oh er en t a gr ar ia n r ef or m p ro ce ss . T he p os si bi l it ie s f or

s uc h l it ig at io n a re f ew a nd r el at iv el y r ec en t c re at io ns , b ut t he 1 98 8C o n s t i t u t i o n d o e s p r o v i d e f o r p u b l i c c l a s s a c t i o n s u i t s . Nonetheless, the MST’s ability to concentrate legal talent and

r es ou rc es i n t he j ur id ic al f ie ld i s c on si de ra bl e. T hi s r ef le ct s t he f ac tt ha t, d ur in g t he 1 99 0s , t he M ST b ec am e t he p ol it ic al ly m os t s ig ni fi ca nts o c i a l m o v e m e n t i n t h e c o u n t r y , wi t h a s u b s t a n t i a l a n d h i g h l y o r g a n i z e d

4

A n ‘‘ av er ag e’’ o cc up at i on p r od u ce s a n a rr ay o f c as es . T ho s e i n it ia te d b y t he l an do w ne rs t ar ge ti n gt h e M S T i n c l u d e c i v i l c a s e s , i n p a r t i c u l a r p o s s e s s i o n o r d e r s (reintegracao da posse) , m a in t e n a n c eo f p o ss es s io n o r de rs (manutencao da posse) , a nd d am ag es (danos) . A v ar ie ty o f ‘‘ ca se s w i th i nc as es ’’ r es ul t , a s e ac h a ct o r s ee ks t o m an eu v er w i th i n t h e l i mi t s o f t he l aw , w h il e n ot i nf r eq ue nt lye n ga g in g i n e x tr a - le g al a c ti v i ty o n t h e s i d e. L a nd o w ne r s a l so f r eq u e nt l y f i l e p o l ic e c o mp l ai n t st h at c a n p r o vo k e p r e ve n ta t iv e d e te n ti o n ( prisao preventiva) a n d t h at u s u al l y i n i ti a te c r im i n alpr os e c ut ion s for a dve r s e pos s e s s ion (esbulho possessorio) ; t h e c o n s t i t u t i o n o f a c r i m i n a l o r g a n i z a -t i o n ( formacao de quadrilha) ; t h e f t (roubo) ; p r i v a t e i m p r i s o n m e n t (carceraria privada) ; a n d e v e nh om ic ide (homicidio) . T h e M S T i s f a r l e s s a c t i v e a s a p l a i n t i f f . I f a n y o f i t s l e a d e r s i s i m p r i s o n e db y l o c a l p o l i c e o r t h e c o u r t o r d e r s d e t e n t i o n , l a w y e r s w h o w o r k w i t h m o v e m e n t s w i l l f i l e habeascorpus p e ti t i on s . I n r a re c a se s , t h ey m i gh t f i l e a p o l ic e c o mp l ai n t a g ai n s t l a n d o w ne r v i o le n ce ,

w hi ch c an r es ul t i n a c ri mi na l c as e. I n a f ew i ns ta nc es , i t h as f il ed a bu se o f a ut ho ri ty c as es(mandado de seguranca) a g a i n s t p u b l i c o f f i c i a l s . T h e f e d e r a l o r s t a t e g o v e r n m e n t ( i t s e x e c u t i v eb ra nc h, t h at i s) w i ll , f o r i t s p ar t , b r i ng a c as e a ga in s t t he l an d ow ne r o r t h e p er so n /g ro u p i np os se ss io n o f t he l an d i f i t d ec id es t o c la im t he o cc up ie d l an d f or t he p ur po se s o f a gr ar ia n r ef or m.I n t he se c as es , t he M S T, n ot w it h st an di n g i ts d i re ct i n te re st i n t he c as e, i s n ot a p ar t y t o t hep ro ce ed in gs . T he g ov er n me nt ’s a ct i on c an p ro v ok e t h e l an d ow n er i nt o f i li ng a n a bu s e o f a u t h o r i t y c a s e (mandado de seguranca) a n d a l m o s t c e r t a i n l y a s e r i e s o f a p p e a l s .

5 T h e M S T a s a n a ti o n al m o v em e nt w a s f o r ma l l y e s ta b l is h ed i n 1 9 8 5 b u t i t e m e r ge d a n d b e g a n t oi d e n t i f y i t s e l f a s t h e ‘ ‘ M o v e m e n t o f L a n d l e s s R u r a l W o r k e r s ’ ’ a s e a r l y a s 1 9 8 0 .

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s t ru c tu r e a n d a f a r- f lu n g n e tw o rk o f r e la t io n s ( M an ca n o 1996, 2000; Navarro 1997 ) . T he t en s o f t ho us an ds o f f am il ie s t ha t h av e o bt ai ne dl an d b y p ar ti ci pa ti ng i n M ST -l ed o cc up at io ns a re s pr ea d a cr os s t he

c ou nt ry i n o ve r 1 ,0 00 a gr ar ia n r ef or m s et tl em en ts . T he m ov em en t’ sa ll ie s i nc lu de p ro mi ne nt ly s it ua te d a ct or s i n d iv er se a re na s: r el ig io us( th ro ug h t he p ro gr es si ve w in g o f t he C at ho li c C hu rc h a nd p as to ra lo r ga n iz a ti o ns ) , p o li t ic a l ( t hr o ug h t h e W o rk e rs ’ P a rt y , i n p a rt i cu l ar ) ,l ab or ( th ro ug h t he l ab or o rg an iz at io n C en tr al Un i c a d os Tr ab a lh a do re s ),a c a d e m i c , a n d w i t h i n i n t e r n a t i o n a l a d v o c a c y g r o u p s a n d N G O s . I t h a sde nse re la ti on s w it h s tat e a cto rs a nd r ece iv es pu bl ic f un ds t o r unp ri ma ry a nd s ec on da ry s ch oo ls o n a gr ar ia n r ef or m s et tl em en ts . I ts

c o op e ra t iv e s h a ve a c ce s s t o p u bl i c a g ri c ul t ur a l c r ed i t a n d p u bl i c a g ri -c u l t u r a l e x t e n s i o n .

T h e c a se o f t h e P o nt a l d o P a ra n ap a ne m a, i n t h e s t at e o f S ao P a ul o ,s ho ws h ow t he m ov em en t’ s l an d o cc up at io n s tr at eg y a nd j ur id ic alm o b i l i z a t i o n c a n c o m b i n e t o s e t i n m o t i o n d i f f e r e n t t y p e s o f m o d a l i t i e so f l eg al c h an ge . T hr ee m od al it ie s a re e v id en t: s ta te e n fo rc em en t o f a d ej ur e l eg al it y t ha t w as i gn or ed i n p ra ct ic e; a s ig ni fi ca nt p ro ce du ra l

i nn ov at io n t ha t a cc el er at ed t he j ud ic ia l c lo ck ; a nd ( on ce a ga in ) as hi ft i n t he s ou rc e o f l aw a nd a r ei nt er pr et at io n o f s ub st an ti ve l eg aln or ms . W ha t i s r ec ou nt ed h er e i s p ar t o f t he j ur id ic al s to ry . H ow t heo u t c o m e i n e a c h s t o r y w a s o b t a i n e d w i l l b e c o m e a p p a r e n t l a t e r o n i nt h e c h a p t e r .

T h e M ST i n t he s ta te o f S ao P au lo p la ye d a c en tr al r ol e i n a lt er in gl e g a l i t y o n t h e g r o u n d b y p u s h i n g t h e s t a t e g o v e r n m e n t t o r e e s t a b l i s hpu bl ic p os se ssi on of p ro pe rty th at h ad be en i ll eg al ly oc cup ie d b y

l a rg e l a nd o wn e r- s qu a tt e rs , a n d t h en r e di s tr i bu t in g t h es e . I t s g o ve r n-ment proxies in the juridical field also f ought the juridical timeb a tt l e a n d c o nt r ib u te d t o p r od u ci n g a n i m po r ta n t p r oc e du r al i n no v a-t io n t ha t m ad e i t p os si bl e t o a cc el er at e t he p ac e o f j ud ic ia l p ro ce ss m or ei n l i n e w i t h t h e p a c e o f t h e m o v e m e n t . A n d , f i n a l l y , t h e m o v e m e n t ’ shabeas corpus a p p e a l t o f r e e i m p r i s o n e d l e a d e r s i n t h e c a s e p r o d u c e d af e d e r a l h i g h c o u r t r u l i n g t h a t t o o k a s i g n i f i c a n t s t e p i n d e c r i m i n a l i z i n gt he m ov em en t a nd i n l eg al iz in g i ts r ep er to ir e o f c ol le ct iv e a ct io n.

The habeas corpus ruli ng expanded the breadth of direct actiona cc ep te d a s c iv il d is ob ed ie nc e. I n t er ms o f c re at in g n ew l eg al it ie s i np r a c t i c e , t h e P o n t a l d o P a r a n a p a n e m a , a t r i a n g u l a r p i e c e o f l a n d i n t h est ate ’s r el ati ve ly po or so ut hw est ern c or ner , i s t he on ly r eg ion i nBrazil that analysts agree is experiencing true agrarian reform.

Juridically driven legal change has played an important role in the


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w id es pr ea d e xp ro pr ia ti on o f i l le ga ll y h el d l an d i n p ar ts o f t he r eg io n,a nd f un da me nt al l y r em ad e r ur al l an d t en ur e a nd s oc ia l a nd p ol it ic alrelations.

T h e s e m o d a l i t i e s o f l e g a l c h a n g e w e r e a l l a c t i v a t e d b y t h e j u d i c i a l i -z at io n o f s oc ia l c on fl ic t t ha t M ST l an d o cc up at io ns i ni ti at ed . I n m os t o f t he c oun try th e MS T o cc upi es l an d t ha t i t ar gue s f ai ls t o f ul fi ll i tsc o n s ti t u ti o n a l ly r e qu i re d s o ci a l f u nc ti o n, a n d t h er e fo re s h ou l d b y l a w b ee xp ro pr ia te d f o r a g ra r ia n r e fo r m. I n P on t al d o P a ra n ap a ne m a, h o we v er ,t he s tr at eg y w as d if fe re nt . I ts p ri nc ip al s tr at eg y s in ce t he e ar ly 1 99 0s h asb e e n t o o c c u p y p u b l i c l a n d t h a t i s h e l d i l l e g a l l y ( i n a d v e r s e p o s s e s s i o n )b y l ar ge l an do wn er s. T he l oc al M ST l ea rn t t ha t t he S ao P au lo s ta te

g ov er nm en t h ad s ur ve ye d t he P on ta l d o P ar an ap an em a b ac k i n t he1 9 4 0 s , a n d e s t a b l i s h e d t h a t 4 4 4 , 1 3 0 h e c t a r e s o f t h e r e g i o n w a s i n f a c tp ub li c l an d h el d i ll eg al ly b y l an do wn er -s qu at te rs , a nd t ha t t he l eg alstatus of another 519,315 hectares remained to be ascertained(M an can o 1996:1 6 0 ) . T h e g o v e r n m e n t a t t h e t i m e , h o w e v e r , d i d n o tt ak e a ny f ur th er a ct io n t o r ee st ab li sh p ub li c p os se ss io n o f t ha t l an d.F i f t y y e a r s l a t e r , t h e M S T c a l c u l a t e d t h a t t h e s t a t e g o v e r n m e n t c o u l d

b e c on vi nc ed t o r ep os se ss a nd r ed is tr ib ut e t he l an ds t ha t h ad a lr ea dyb ee n d ecl ar ed pub li c. L eg al ly , t hi s w oul d n ot c ons ti tu te a gra ri anr ef or m, w h ic h i s a f un ct io n r es er ve d f or t he f ed er al g ov er nm en t, b uti n p r a c t i c e i t w o u l d b e j u s t t h a t .

T he mo ve men t l aun ch ed a s eri es of l an d o ccu pa ti on s i n 1 99 1 tof o r c e t h e s t a t e e x e c u t i v e b r a n c h t o i n t e r v e n e i n t h e r e g i o n . T h e s t a t eg ov er nm en t, f ea ri ng a v io le nt c on fr on ta ti on , e nt er ed t he f ra y a ndb ro ug ht s ev er al t yp es o f c as e t o r ec la im t he p ub li c l an ds . T he M ST

d id n ot h ave l eg al st an di ng an d w as no t a pa rty to t he se ca se s, e ve nt ho ug h i ts o cc up at io ns w er e t he ir i mm ed ia te c au se . A lt ho ug h t heo c c u p i e d a r e a s h a d a l r e a d y b e e n d e c l a r e d p u b l i c l a n d , t h e g o v e r n m e n th a d t o w i n p o s s e s s i o n c a s e s i n t h e c o u r t s b e f o r e i t c o u l d t a k e t h e l a n da nd r ed is tr ib ut e i t. I n l eg al t er ms , t he o nl y u nc er ta in ty i n s uc h c as es w ast h e a m o u n t t h e s t a t e w o u l d p a y f o r i m p r o v e m e n t s t h a t h a d b e e n m a d eo n t h e l a n d – t h a t i s , f o r b u i l d i n g s , f e n c e s , e t c . F o r g o v e r n m e n t l a w y e r s ,t he c as es w er e p ri ma ri ly a b ar ga in in g t oo l u se d t o p re ss ur e t he l ar ge

s q u a t t e r s t o s e t t l e o n t h e t r a n s f e r o f p o s s e s s i o n o f t h e p r o p e r t y o n t h eg o v e r n m e n t ’s t e r m s .

B e t w e e n 1 9 9 0 a n d 1 9 9 5 , h o w e v e r , f e w s e t t l e m e n t s w e r e r e a c h e d . I na s ma ll n um be r o f c as es t he c om bi ne d p re ss ur e o f m ov em en t o cc up a-t i o n a n d g o v e r n m e n t l i t i g a t i o n , w h i c h d e p r e s s e d l a n d v a l u e s a n d l e d t oe s c a l a t i n g l e g a l c o s t s f o r c e d l a n d o w n e r - s q u a t t e r s t o g i v e u p p o s s e s s i o n .

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T he r el at iv el y a tt ra ct iv e o ff er m ad e b y t he s ta te ’s l an d i ns ti tu te c on -t r i b u t e d a s w e l l .

O ne o f t he p ri nc ip al h ur dl es t he g ov er nm en t f ac ed , h ow ev er , w as t he

g r o s s d i s c r e p a n c y i n t h e time o p e r a t i v e i n t h e m o v e m e n t a n d j u r i d i c a lf ie ld s. I n p ar ti cu la r, l an do wn er -s qu at te rs w er e a bl e t o k ee p l eg al p ro -c ed ur es ru nn in g f or m an y y ea rs o n e nd – e it he r i n t he b el ief th at an e w l y e l e c t e d s t a t e g o v e r n m e n t w o u l d g i v e u p a n d g o a w a y ( a s i n t h e1 94 0s ), o r i n o rd er t o h o ld o ut f or a b et te r d e al . O n e e x a mp le s uf fi ce s t oi l l u s t r a t e t h e d e p t h o f t h e p r o b l e m . I r o n i c a l l y , i t i n v o l v e s a p r o c e d u r a lr e q u e s t b y t h e g o v e r n m e n t t h a t w o u l d h a v e s p e d u p t h e p a c e o f l e g a lp ro ce ed in gs . I n o ne o f t he f ir st p os se ss io n c as es , i n 1 99 2, t he p ub li c

a t t o r n e y a s k e d a l o c a l j u d g e t o s e q u e s t e r t h e l a n d i n q u e s t i o n i n p u b l i ch an ds u nti l l eg al p ro ce ed in gs co nc lud ed . T hi s w oul d al low M STf ami li es w ho h ad oc cup ie d th e l an d t o st ay o n th e l an d an d gr ea tl yi n c r e a s e t h e p r e s s u r e o n t h e l a n d o w n e r t o n e g o t i a t e a s e t t l e m e n t . I f t h ec o u r t s a c c e p t e d t h i s p r o c e d u r a l m o v e , i t w o u l d s e t a c r u c i a l p r e c e d e n ti n t he r eg io n – o ne o r t wo q ui ck v ic to ri es f or t he g ov er nm en t w ou ldv i r t u a l l y e n s u r e t h a t t h e r e m a i n i n g s q u a t t e r s w o u l d s e t t l e c a s e s b e f o r e

t h e y w e n t t o t r i a l . F o u r y e a r s l a t e r – a n e t e r n i t y i n m o v e m e n t t i m e a n da n e n t i r e e l e c t o r a l c y c l e f o r t h e s t a t e g o v e r n o r – t h e F e d e r a l S u p e r i o rC ou rt r ul ed i n f av or o f s eq ue st er in g t he l an d. I n t he i nt er ve ni ng p er io d,h ow ev er , a ne w s tat e g ove rn me nt w as e le ct ed a nd s ou gh t to a lt erj u r i d i c a l t i m e t h r o u g h a n e n t i r e l y d i f f e r e n t p r o c e d u r a l i n s t r u m e n t .

W h a t c h a n g e d b e t w e e n t h e f i r s t a n d s e c o n d e f f o r t s t o s p e e d u p t h ej ur id ic al f ie ld ? F ir st , t he e le ct io n o f a c en te r- le ft s ta te g ov er no r, a nd ,s e c o n d l y , t h e M S T ’ s a b i l i t y t o e s c a l a t e i t s l a n d o c c u p a t i o n s , a p p e a r a s

t h e m o s t i m p o r t a n t c h a n g e s . U p u n t i l 1 9 9 4 , t h e p u b l i c a t t o r n e y ’ s o f f i c ei n t he r egi on , c lo se ly t ie d to l oc al po li ti ca l e li te s, al so h ad l im it edi nt er es t i n r es ol vi ng t he c as e j ur id ic al l y. M uc h l i ke t he s ta te g ov er n-m e n t a t t h e t i m e , i t w a s n o t p o l i t i c a l l y c o m m i t t e d t o a g r a r i a n r e f o r ma n d h a d a p r o f o u n d d i s t r u s t o f t h e M S T . T h e g o v e r n o r e l e c t e d i n 1 9 9 4 ,h ow ev er , w as g en er al ly s ym pa th et ic t ow ar d t he m ov em en t’ s g oa ls , i f n ot t o t he m ov em en t i ts el f, a nd w as c on ce rn ed t ha t c ol le ct iv e v io le nc ec ou ld b re ak o ut i n t he c on fr on ta ti on b et we en t he l an dl es s a nd l an d-

o wn er -s qu at te rs , w it h s ub st an ti al h um an c os t a nd e le ct or al i mp li ca -t io ns . T he g ov er no r m ad e a p ol it ic al a nd s oc ia l j us ti ce d ec is io n t om o b i l i z e p a r t o f t h e f o r m i d a b l e l e g a l - b u r e a u c r a t i c a p p a r a t u s a t h i s c o m -m an d t o r es olv e t he r egi on ’s l and c on fl ic ts. A n i nte gr at ed p la n – t hePlano de Acao para o Pontal – that included administrative, political, andj u r i d i c a l c o m p o n e n t s wa s d r a wn u p f o r t h e r e g i o n ( I TE S P 2000:72–80).


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T o a c ce l er a te c o ur t p r oc e ed i ng s , t h e s t at e S e cr e ta r y o f J u st i ce t r ie do u t a n e w p r o c e d u r a l i n s t r u m e n t t h a t h a d j u s t c o m e i n t o e f f e c t , c a l l e dtutela anticipada ( an ti ci pa te d t ut el ag e) . T he i ns tr um en t a ll ow s t he j ud ge

t o a cc el er at e t he j ud ic ia l c lo ck b y m ak in g a p ro vi si on al r ul in g a t t heb e g i n n i n g o f a c a s e . D u e p r o c e s s , t h e a l i b i o f s l o w j u d i c i a l p r o c e e d i n g s ,i s tr ic ky i n c ase s w he re t he t ime c on sum ed by n or ma l pr oc edu re ssubstantial ly r educ es t he b en ef its th e f in al r ul in g ma y h ave f or t heplaintiff.6 Because tutela anticipada a pp ea re d t o i n ve rt t he l on g- st an di ngl og ic o f s uc h p ro vi si on al r ul in gs – t ha t t he y b e m ad e o nl y i n c as es o f absolute necessity – t he re w as c on si de ra bl e u nc er ta in ty i n t he j ur id ic alf i e l d a b o u t h o w j u d g e s w o u l d i n t e r p r e t i t s u s e , a n d e s p e c i a l l y w h e t h e r

t h e y w o u l d r e l a x t h e r e s t r i c t i v e c o n d i t i o n s t h a t a p p l i e d t o o t h e r p r o v i -s io na l m ea su re s. I n t he a bs en ce o f j ur is pr ud en ce , l aw ye rs a nd j ud ge sw ou ld h av e t o c on st ru ct i nt er pr et at io ns o f h ow a nd w he n t he i ns tr u-m e n t c o u l d b e d e p l o y e d .

T he l oc al j ud ge r ul ed i n f av or o f tutela anticipada i n l at e 1 99 5. Ona pp ea l, t he S ao P au lo T ri bu na l o f J us ti ce r ev er se d t he l ow er c ou rt ’sd e c i s i o n . T h e c a s e t h e n w e n t o n t o t h e F e d e r a l S u p e r i o r T r i b u n a l . T h e

s ta te A tt or ne y- Ge ne ra l a nd t he S ec re ta ry f or J us ti ce m ad e r eg ul arp il gr im ag es t o t he F ed er al S up er io r T ri bu na l, t he ir s ta ff s et u p c am pi n t he n at io na l c ap it al , B ra si li a, a nd t he g ov er no r h im se lf a pp ea re db e f o r e t h e c o u r t . A f t e r f i f t e e n d a y s o f d e l i b e r a t i o n , t h e T r i b u n a l u p h e l dt h e r e q u e s t f o r tutela anticipada.

I n t h i s m a n n e r , t h e g o v e r n m e n t w a s a b l e t o o b t a i n 7 3 , 5 4 0 h e c t a r e st hr ou gh t he j ud ic ia l s ys te m i n t he f ou r y ea rs s pa nn in g 1 99 5– 19 98 ,e no ug h t o c re at e 6 0 a gr ar ia n r ef or m s et tl em en ts a nd t o s et tl e a ro un d

3 , 0 0 0 f a m i l i e s . B y c o n t r a s t , t h e g o v e r n m e n t h a d o n l y a c q u i r e d e n o u g hl a n d i n t h e f i r s t 4 y e a r s o f t h e d e c a d e t o s e t t l e 1 5 1 f a m i l i e s .

T h e p r o c e s s t h a t l e d t o t h i s o u t c o m e h a d t w o i m p o r t a n t d i m e n s i o n s .O ne i s t he c en tr al it y o f t he m ed ia c am pa ig n p ur su ed b y e ac h o f t hep ar ti es t o t he c on fl ic t. G ov er nm en t o ff i ci al s, M ST l ea de rs , a nd l an d-o w ne r -s q ua t te r s c o nv e rg e d i n t h ei r m e di a s t ra t eg i es a n d a l l p l ay e d u pt h e v o l a t i l i t y o f t h e r e g i o n . E a c h b e l i e v e d t h a t b u i l d i n g t h e p e r c e p t i o nt h a t t h e P o n t a l d o P a r a n a p a n e m a w a s o n t h e v e r g e o f a l o c a l c l a s s w a r

6 T im e c an b e a d ec is iv e f ac to r i n t he u ti li ty o f t he o ut co me o f a c as e. A p at ie nt w it h a l if e-t hr ea te ni n g c on d it io n, f o r e xa mp l e, w i ll g ai n l i tt l e f r om a r ul i ng t ha t g ua ra nt ee s a cc es s t on ee de d m ed ic at io n i f t ha t r ul in g c om es a ft er t he c on di ti on h as r un i ts f ul l c ou rs e. I n s uc h c as es , ap r o vi s i on a l r u l in g (medida cautelar) c a n b e r e qu e st e d t o a c c el e r at e t h e j u r i d i ca l c l o c k. T h i s s h i ft st h e b a l a n c e b e t w e e n d u e p r o c e s s a n d t h e e f f i c a c y o f t h e r u l i n g t o w a r d t h e l a t t e r . H o w e v e r , u pu n t i l 1 9 9 5 , p r o v i s i o n a l r u l i n g s c o u l d o n l y b e o b t a i n e d u n d e r h i g h l y r e s t r i c t i v e c o n d i t i o n s .

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w ou ld b ri ng j ud ic ia l i nt er ve nt io n t ha t w ou ld b e f av or ab le t o t he irinterests. The real threat of vi olence at the ti me is impossible toa sc er ta in . H ea dl i ne s i n t he p ap er s, h ow ev er , w er e e mp ha ti c. I n l at e

1 99 5, t he l oc al n ew sp ap er O Imparcial ( O ct o be r 1 8 , 1 9 95 ) s c re a me d‘‘ P ol i ce C h ie f F e ar s S o ci a l C o nv u ls i on ’’ ; S ao P a ul o ’s l e ad i ng n e ws p ap e r,Folha de Sao Paulo ( O ct o be r 2 8, 1 9 95 ) , h e ad l in e d ‘‘ L an d ow n er s H a veA lr ea dy H ir ed A rm ed S ec ur it y F or ce s i n t he P on ta l’’ ; t he n at io na l

Jornal do Brasil ( D ec e mb e r 2 4 , 1 9 95 ) d e cl a re d ‘‘ L an d le s s W i ll E n su r eIn va si on s w ith B ul le ts’’ ; a nd t he n at io nal n ew s ma ga zi ne , IstoE

( Oc to be r 1 1, 1 99 5) n ot ed t ha t ‘‘ th e P on ta l i s a b ar re l o f g un p ow de rr e a d y t o e x p l o d e .’’ L a wy e r s r e p r e s e n t i n g l a n d o wn e r - s q u a t t e r s u s e d s u c h

n e w s r e p o r t s t o h a v e M S T l e a d e r s a r r e s t e d a n d t o s h o w h o w t h e M S Tt hr ea te ne d t he e nt ir e p ro pe rt y s ys te m o f t he r eg io n. T he M ST f or i tsp ar t w as a cu te ly a wa re t ha t h is to ri ca ll y g ov er nm en t i nt er ve nt io n f ora gr ar ia n r ef or m o cc ur re d p ri ma ri ly i n r eg io ns o f h ei gh te ne d s oc ia lconflict, and rarely in regions where there w as no pressure fromb el ow . T he s ta te g ov er nm en t h ad i ts o wn r ea so ns . I t n ee de d t o b ui ldp ol it ic al s up po rt f or i ts i nt er ve nt io n i n th e P on ta l, a nd t o se cu re f ed er al

a g ra r ia n r e fo r m m o n ey t o c o v e r t h e c o st o f s u c h a n i n te r ve n ti o n. I n t h ej ur id ic al f ie ld , i t h ad t o c on vi nc e j ud ge s o f t he n ee d t o d ra ma ti ca ll ys pe ed u p l eg al p ro ce ed in gs t ha t w ou ld p la ce t he o cc up ie d l an ds i nt oi t s h a n d s .

T he s ec on d d im en si on t ha t s ho ul d b e e xp li ca te d i s t he u np re ce -d en te d a nd tout court c am pa ig n b y t he s ta te g ov er nm en t t o o bt ai nj ud ic ia l s up po rt f or its i n te r pr e ta t io n o f tutela anticipada. The stateS ec re ta ry o f J us ti ce a nd s ta te p ro se cu to rs v is it ed t he l oc al j ud ge w ho

w o u l d h e a r t h e c a s e , t h e l o c a l p u b l i c p r o s e c u t o r w h o w o u l d a r g u e t h es t at e ’s c a se , a n d t h e c h ie f j u st i ce o f t h e S ao P a ul o T r ib u na l o f J u st i ce ,and, when the case was appealed to the Federal Superior Court,a ppe ar ed b ef or e t he P re si den t o f t ha t b od y. T he g ov ern or of S aoPaulo, the economi c powerhouse of Brazil and indeed of LatinA m er i ca , w o ul d h i ms e lf a p pe a r b e fo r e t h e F e de r al S u pe r io r T r ib un a l.I n e a c h i n s t a n c e , t h e s t a t e g o v e r n m e n t a r g u e d f r o m a p r o c e d u r a l a n d ac o n s e q u e n t i a l i s t p o s i t i o n . I t s u g g e s t e d t h a t a l l t h e r e q u i r e m e n t s f o r t h e

provisional measure were present in the case and made clear theg o ve r no r ’s g r ea t c o nc e rn t h at t h e r e gi o n m i gh t d e sc e nd i n to v i ol e nc ea nd d is or de r. O ne p ar ti ci pa nt c al le d t he l at te r s oc io -p ol it ic al f or m o f argumentation, ad terrorem. T h a t i s , t h e P o n t a l d o P a r a n a p a n e m a w a so n t h e v e r g e o f l a r g e - s c a l e c o l l e c t i v e v i o l e n c e a n d , i f t h e c o u r t s d e n i e dt h e s t a t e g o v e r n m e n t t h e l e g a l t o o l s n e c e s s a r y t o m a i n t a i n t h e l a n d l e s s


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o n t he l an d, a s oc ia l c on vu ls io n w as l i ke ly t o e ns ue . I t a dd ed t ha t, i f t hec o u r t s e t a f a v o r a b l e p r e c e d e n t i n t h i s f i r s t c a s e , i t w o u l d u n d o t h e l e g a ll og ja m, a nd t he o th er l an do wn er -s qu at te rs w h os e l an d w as o cc up ie d

wo u l d s e t t l e q u i c k l y .The MST set in moti on a third modality of legal change in the

P on ta l d o P ar an ap an em a r eg io n w h en a d if fe re nt j ud ge i n t he P on ta li ss ue d a n a rr es t w ar ra nt f or t hi rt ee n o f i ts l ea de rs . T he m ov em en t’ sc ou nt er -m ob il iz at io n i n t he c ou rt s a nd i n t he p ub li c a re na l ed t heF ed er al S up er io r T ri bu na l t o i ss ue a r ul in g t ha t d ec ri mi na li ze d t hem ov em en t a nd e xp an de d t he n ot io n o f w h at c on st it ut es c iv il d is ob e-d i e n c e . T h e r u l i n g i s w i d e l y c i t e d , n o t t h e l e a s t b e c a u s e t h e d e c i s i o n ’ s

a u t h o r , L u i z V i c e n t e Q u i c c h i a r r o , i s a l e a d i n g B r a z i l i a n j u r i s t i n p e n a lmatters.

T he p ri nc ip al c ha rg e a ga in st t he m ov em en t l ea de rs w as t he f or ma -t i o n o f a c r i m i n a l g a n g w i t h t h e i n t e n t o f i l l e g a l l y t a k i n g p o s s e s s i o n o f l an d. T he S ao P au lo T ri bu na l o f J us ti ce d en ie d t he habeas corpusp e t i t i o n t o f r e e t h e M S T l e a d e r s a n d e c h o e d t h e v i e w o f t h e m o v e m e n ta nd i ts a ct iv it ie s t ha t w as p re va le nt i n m an y o f t he c ou nt ry ’s c ou rt s:

‘‘ To a ll ow t hi rd p ar ti es t o v io la te t he p ro pe rt y o f o th er s, u nd er t hep re tex t o f t he s oc ia l qu es ti on , w il l be th e un doi ng o f t he c ou ntr y’ se nt ir e l eg al o rd er . T od ay r ur al p ro pe rt ie s a re i nv ad ed . . . Tomorrowi n du s tr i es , f a ct o ri e s a n d c o mm e rc i al e s ta b li s hm e nt s m a y b e i n va d ed ,w i t h g u a r a n t e e d i m p u n i t y , u n d e r t h e p r e t e x t o f ‘ s o c i a l p r o b l e m s . ’ T h i si s t he ob itu ary of th e s ta te a nd of so ci ety or ga ni ze d b y l aw . T he j ud ici ar yc a n n o t a c c e p t o r t o l e r a t e t h i s . ’ ’

T h e F e de r al S u pe r io r T r ib u na l r e ve r se d t h e S ao P a ul o T r ib u na l . A s

i n t h e p r e v i o u s c a s e s d i s c u s s e d a b o v e , t h e j u s t i c e s m o v e d t h e d e f i n i t i o no f t h e l e g a l i s s u e t o a c o n s t i t u t i o n a l g r o u n d , f r o m t h e p e n a l c o d e t h i st im e, a nd t oo k a c on se qu en ti al is t p os it io n. I ts r ul in g j ux ta po se d t her ig ht t o p ro pe rt y a nd t he r ig ht t o c la im r ig ht s, a p ol it ic al l ib er ty , f in di ngt ha t t he m ov eme nt’ s l an d o ccu pa ti on s c ou ld n ot b e c on si de re d ac ri mi na l a ct b ec au se t he re w as n o c ri mi na l i nt en t. I ns te ad , t he M STl a n d o c c u p a t i o n s s h o u l d b e s e e n a s e x e r c i s i n g t h e r i g h t s o f c i t i z e n s h i p ,p ar ti cu la rl y t he c iv il r ig ht t o p re ss ur e g ov er nm en t t o g ua ra nt ee c on -

s ti tu ti on al r ig ht s, i n t hi s c as e t ha t o f a gr ar ia n r ef or m. F or t he s am er eas on s, t he M ST sh oul d a ls o b e c on si de re d a po pu la r mo ve me ntc l a i m i n g c i t i z e n s h i p ( s e e S t r o z a k e 2000).

T hi s r ul in g h as b ee n e xt re me ly s ig ni fi ca nt , i n b ot h p ol it ic al a ndj u r i d i c a l t e r m s . I t h a s n o t , h o w e v e r , s t o p p e d l o c a l j u d g e s f r o m g r a n t i n ga r r e s t w a r r a n t s a g a i n s t M S T l e a d e r s . J u d g e s i n B r a z i l a r e n o t b o u n d b y

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h ig h c ou rt pr ec ed en t a nd p la ce a p ar ti cu la rl y h ig h va lu e on t he ira ut on om y. A s r ec en tl y a s 2 00 3, a no th er j ud ge i n t he P on ta l r eg io ni ss ue d a n a rr es t w ar ra nt f or l oc al M ST l ea de rs . A lt ho ug h t he s ub se -

quent habeas corpus p et it io ns a re l ik el y t o s uc ce ed i n t he h ig h c ou rt ,s uc h l eg al h ar as sm en t h as s ub st an ti al c os ts f or t he m ov em en t a ndr ev ea ls t ha t t he M ST ’s c on tr ib ut io n t o l eg al c ha ng e i s u ne ve n a nda c c u m u l a t e s o n l y s l o wl y .

9.4 M O V E M E N T A N D J U D I C I A L F I E L D S I N L E G A L C H A N G E

I t i s q u i t e r a r e t h a t e n c o u n t e r s b e t w e e n m o v e m e n t s a n d j u d i c i a r i e s s e t

t he e nt ir e c ha in s o f e ve nt s d ep ic te d i n m ot io n. T hi s s ec ti on e xp lo re st he c ha ng es t ha t o cc ur re d i n t he m ov em en t a nd j ur id ic al f ie ld s t ha ta l l o w e d t h e i r p a r t i c u l a r l o g i c s t o s y n c h r o n i z e t o a n d p r o d u c e c o s m o p o -l ita n l eg al ch an ge . I t f oc us es on t he k ey c omp on en ts of t he u ni qu el og ic s o f t he m ov em en t a nd j ur id ic al f ie ld s: t he d is ti nc ti ve f or ms o f p o w e r t h a t o p e r a t e i n t h e t w o f i e l d s ; i n s t i t u t i o n a l l y s i t u a t e d a c t o r s w h oe nj oy v ar ia bl e c ap ac it y f or a ct io n; a nd , f i na ll y, t he s tr ug gl e o ve r s ym -

b o l i c o r d e r .

9.4.1 The MST in the movement fieldT h e c o n t e m p o r a r y s o c i a l m o v e m e n t f i e l d i n B r a z i l e m e r g e d i n t h e l a t e1 9 7 0 s a s p a r t o f t h e c o u n t r y ’ s d e m o c r a t i c t r a n s i t i o n , b u t i n r e c e n t y e a r si t h as u nd er go ne p ro fo un d c ha ng es . A t i ts f ou nd at io na l m om en t, t hef i el d ’s p r ot a go n is t s s h ar e d a n o p po s it i on a l s t an c e t o wa r d t h e s t at e , a ne mp ha si s o n t ra ns gr es si ve c ol le ct iv e a ct io n, a nd a s ym bo li c o rd er

st ru ctu re d b y a p ro ph eti c ut op ia n p ro je ct. S in ce th e ea rl y 1 990 s,t h e r e h a s b e e n a s h i f t t o w a r d i n c r e a s e d c o n t a c t w i t h t h e s t a t e , a f o c u so n c i t i z e n p a r t i c i p a t i o n , a n d a d i s c o u r s e b u i l t a r o u n d t h e c o n s t r u c t i o no f c i t i z e n s h i p a n d i n f l u e n c i n g p u b l i c p o l i c y . C h a n g e s i n t h e f i e l d h a v ec o n t r i b u t e d t o t h e M S T b e c o m i n g o n e o f i t s m o s t p r o m i n e n t a c t o r s , as t a t u s t h a t h a s g r e a t l y e n h a n c e d i t s a b i l i t y t o c o n c e n t r a t e t h e e n e r g y o f d i f f e r e n t t y p e s o f a c t o r s i n t h e j u r i d i c a l f i e l d .

A n a rr ay o f a ct or s d ur in g t he d em oc ra ti c t ra ns it io n ( th e l at e 1 97 0s

a nd 1 98 0s ) i de nt if i ed t he ms el ve s a s p ar t o f ‘‘ th e p op ul ar m ov em en t. ’’ I nh er n ot ew or th y a na ly si s of t he m ov eme nt f iel d, D iom o ( 1995:68)s ug ge st s t he p op ul ar m ov em en t w as a m ul ti -c en tr ic f ie ld d ef i ne d b yr e l a t i o n s a m o n g a c t o r s wh o , n o t wi t h s t a n d i n g d i v e r s e i d e n t i t i e s , s h a r e da p ol it ic al c om mi tm en t a nd d is co ur se , a nd a n i nv ol ve me nt i n c ro ss -c ut ti ng n et wo rk s. I ts s ym bo li c o rd er r ev ol ve d a ro un d a u to pi an a nd


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p ro ph et ic d is co ur se t ha t e mp ha si ze d p op ul ar ( ma ss ) p ar ti ci pa ti on i nd i r e c t a c t i o n i n t h e s t r u g g l e f o r e m a n c i p a t i o n f r o m c a p i t a l i s t e x p l o i t a -t ion a nd a ut hor it ar ia n s oc ia l a nd pol iti ca l i nst it ut ion s ( Di omo

1995: 14 4) . A lo ng w it h i nd ep en de nc e f ro m p ol it ic al p ar ti es a nd t hes tr ug gl e a ga in st t he s ta te , t he se p ro vi de d e le me nt s f or a n ew d em oc ra ti ca nd t ra ns fo rm at iv e p ro je ct f or s oc ie ty ( Di om o 1995: 29 ). T he f ie ld ’sa c t o r s i n c l u d e d n o t o n l y r u r a l s o c i a l m o v e m e n t s s u c h a s t h e M S T a n dt he M ov em en t o f t he D is pl ac ed b y D am s, b ut a ls o u rb an m ov em en tss uc h a s t he H ou si ng M ove me nt a nd t he Un io n of Ne ig hbo rho odA ss oc ia ti on s o f P or to A le gr e ( UA MP A) , w hi ch c on tr ib ut ed t o t hec r e a t i o n o f t h e p a r t i c i p a t o r y b u d g e t i n P o r t o A l e g r e , a n d a l a r g e v a r i e t y

o f p o p u l a r e d u c a t i o n i n s t i t u t e s a n d N G O s . F o r t h e M S T , w h i c h g r e wd ir ec tl y o ut o f t he o rg an iz in g w or k o f l ib er at io n t he ol og y C at ho li cr a d i ca l s , t h e o p p os i t i on a l s t a n ce v i s -a- v i s t h e s t a te , a n d f o r m al p o l i ti c a li n st i tu t io n s g e ne r al l y, a n d e m ph a si s o n p o pu l ar e n ga g em e nt i n d i re c ta c t i o n t o o b t a i n o n e ’ s r i g h t s ( b y f o r c i n g s t a t e a c t i o n ) w e r e p a r t i c u l a r l ys t r o n g . A m o n g m o v e m e n t s i t w a s , a n d r e m a i n s , u n i q u e i n i t s c o m m i t -m e n t t o a p r o p h e t i c m i s s i o n a n d a t t e n t i o n t o r e p r o d u c i n g t h e m y s t i q u e

of a luta, t h e s t r u g g l e .D io mo ’s a na ly si s s ug ge st s t ha t t he m ov em en t f ie ld w as s ha pe d i np r o f o u n d w a y s b y t h e s t r u g g l e a g a i n s t a u t h o r i t a r i a n r u l e a n d b y t h e r o l et he C at hol ic Ch urc h p la yed i n t he se st ru ggl es . T he c hu rc h as a ni n st i tu t io n w i th r e ma r ka b le o r ga n iz a ti o na l i n fr a st r uc t ur e a n d a c ce s st o i nt er na ti on al r es ou rc es , a nd C at ho li ci sm a s a s ym bo li c o rd er w it hd ee p r es on an ce a mo ng ‘‘ th e p eo pl e, ’’ p ro vi de d m uc h o f t he s tr uc tu ra la nd i de at io na l u nd er pi nn in gs o f t he f ie ld . T he l at te r a ls o h ad s tr on g

i nf lu en ce f ro m t he G ra ms ci an l ef t, w hi ch m ay h el p a cc ou nt f or t hes t r o n g ( a n d s o m e w h a t p a r a d o x i c a l ) e m p h a s i s o n r i g h t s .

I n t hi s f ou nd at io na l p er io d, a cc um ul at in g s uc h c ap it al i nv ol ve ds t r o n g t i e s t o t h e C a t h o l i c C h u r c h a n d , i n r u r a l a r e a s w h e r e t h e M S Tf u n c t i o n e d , t h e s k i l l e d u s e o f a r a d i c a l p o l i t i c a l - r e l i g i o u s d i s c o u r s e . A sMa nc ano (2000: 84 ) o bs er ve s, t he s tr ug gl e f or l an d w as a ‘‘ pe rm an en ts tr ug gl e f or di gn it y a nd f or l if e, ’’ an d w ha t bo un d t he mo ve me ntt o g e t h e r w e r e p o p u l a r r e l i g i o s i t y a n d t h e ‘ ‘ m a s s s t r u g g l e s i n w h i c h t h e

[ l a n d l e s s ] f a m i l i e s p a r t i c i p a t e d ’’ d i r e c t l y .In t he 1 99 0s , a va ri ety of p ro ces ses c am e t og et her to a lte r m an y

c or e c om po ne nt s o f t he m ov em en t f ie ld . T he se p ro ce ss es i nc lu de dt he c on so li da ti on o f d em oc ra ti c i ns ti tu ti on s, a nd p ar ti cu la rl y t heC on sti tu ti on o f 1 988 ; t he c on ser vat iv e sh if t w it hi n t he C ath ol icChurch on the one hand, and the growing el ectoral power of the

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W or ke rs ’ P ar ty a nd o f i ts g ro wi ng p re se nc e i n t he m un ic ip al g ov er n-m e n t o f s e v e r a l i m p o r t a n t c i t i e s o n t h e o t h e r ; c h a n g e s i n i n t e r n a t i o n a lf u n d i n g a s W e s t e r n E u r o p e a n a g e n c i e s s h i f t e d a g e n d a s a n d g e o g r a p h i c

i n te r es t s; a n d t h e s t at e ’s g r ea t er d e ce n tr a li z at i on a n d o p en n es s t o t h ep a r t i c i p a t i o n o f c i v i l s o c i e t y o r g a n i z a t i o n s i n p o l i c y - m a k i n g a n d i m p l e -m en ta ti on . T he l at te r h ad , a mo ng o th er t hi ng s, i mp or ta nt r es ou rc ei m p l i c a t i o n s f o r t h e f i e l d ’ s a c t o r s .

T he C at ho li c C hur ch h ad l ost mu ch of i ts ro le i n p ro vi di ng th ef i e l d ’ s s t r u c t u r a l a n d s y m b o l i c b a s e s b y t h e l a t e 1 9 8 0 s , w h i l e t h a t o f t h eW or ke rs ’ P ar ty h ad g ro wn c on si de ra bl y. N ew t yp es o f a ct or s, w it hdi re ct a cc es s t o i nt er na ti on al f un ds , a s w el l a s g ov ern me nt f un ds,

b e c a m e p r o m i n e n t i n p a r t i c u l a r c i v i l s o c i e t y c o o r d i n a t i n g b o d i e s s u c ha s t h e A s s o c i a t i o n o f P o p u l a r M o v e m e n t s a n d A B O N G ( t h e B r a z i l i a nA s s o c i a t i o n o f N G O s ) a n d w e l l - f u n d e d a n d p r o f e s s i o n a l i z e d a d v o c a c y

NGOs like Polis and IBASE. Older actors such as the MST becamem or e i ns ti tu ti on al iz ed . T he s ym bo li c u ni ve rs e c ha ng ed a s w el l . T hef ie ld l os t i ts o ri gi na l u to pi an a nd p ro ph et ic c on te nt a s t he e mp ha si ss h if t ed t o c o ns t ru c ti n g c i ti z en s hi p a n d ‘‘ c it i ze n sh i p i n a c ti o n, ’’ w h ic h

i n cl u de d p a rt i ci p at i on i n c o ns t it u ti o na l ly m a nd a te d p o li c y c o un c il s ,a nd i nf lu en ci ng p ub li c p ol ic y a nd p ub li c d eb at e ( Di om o 1995 :213).T i e s b e t w e e n a c t o r s i n t h e f i e l d a n d s t a t e a g e n c i e s g r e w s u b s t a n t i a l l y .

P ar ad ox ic al ly , t he M ST ’s p os it io n i n t he f ie ld g re w s ub st an ti al lyd ur in g t he 1 99 0s a nd a lo ng w it h i t t he a bi li ty t o c on ce nt ra te s oc ia le n e r g y . M o r e t h a n a n y o t h e r a c t o r i n t h e f i e l d i t r e s i s t e d m a n y o f t h e s ec h a n g e s , s e t t i n g i t s e l f a p a r t i n s t r i k i n g w a y s . I t m a i n t a i n e d c l o s e t i e s t op r o g r e s s i v e s e g m e n t s o f t h e C a t h o l i c C h u r c h a n d k e p t l a r g e t r a n s g r e s -

sive collecti ve action – in the form of land occupations, protestm ar ch es , a nd t he o cc up at io n o f g ov er nm en t a ge nc ie s a nd h ig hw ay s –a s i ts p ri nc ip al s tr at eg y. L an d o cc up at io ns i n f ac t s pr ea d t hr ou gh ou tt h e c o u n t r y a n d g r e w s u b s t a n t i a l l y i n n u m b e r . A l t h o u g h t h e d i f f i c u l t yi n c om pi li ng d at a o n o cc up at io ns i s c on si de ra bl e, t he D AT AL UT Apr oj ec t a t t he UN ES P P re si de nt e P rud en te s ug ge st s t ha t bo th th en u m b e r o f o c c u p a t i o n s a n d t h e n u m b e r o f p a r t i c i p a n t s i n o c c u p a t i o n sr o s e m o r e t h a n t h r e e f o l d , f r o m 4 2 1 i n t h e 1 9 9 0 – 1 9 9 4 p e r i o d t o 1 , 8 5 5

in the 1995–1999 period (Mancano 2000:270–272).T he g ro wt h o f t he m ov em en t’ s v is ib il it y a nd s up po rt w it hi n t he

m ov em en t f i el d, a nd m or e b ro ad ly w it hi n p ro gr es si ve q ua rt er s, g av ei t a cc es s t o f ar g re at er l eg al , p ol it ic al , a nd m at er ia l r es ou rc es . I n t he1 9 9 0 s , t h e M S T b e c a m e the n a ti o na l ly r e co g ni z ed m o ve m en t f o r l a ndr ef or m, a lt ho ug h r ur al w or ke rs ’ u ni on s a nd o th er m ov em en ts a ls o


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e n ga ge d i n l a nd o c cu pa ti o ns a n d s o ug h t r e di st r ib ut i on ( N av a rr o 1997).I t s c o mb a ti v e r h et o ri c a n d t r an s gr e ss i ve a c ti o n n o tw i th s ta n di n g, t h em ov em en t d id f ol lo w t he n ew l og ic o f t he f ie ld b y d ev el op in g p ra g-

m a t i c a n d e x t e n s i v e r e l a t i o n s w i t h s e c t o r s o f t h e s t a t e a n d d i v e r s i f y i n gi ts r es ou rc e b as e. A lt ho ug h t he M ST h as r em ai ne d d is tr us tf ul o f t hej u d i c i a r y , t h e 1 9 9 0 s d i d s e e a s h i f t i n t h e M S T ’ s d e f i n i t i o n o f ‘ ‘ t h e l a n dq u e s t i o n ’ ’ t o w a r d a m o r e s e c u l a r a n d j u r i d i c a l o n e . I n t h e e a r l i e r p e r i o d ,t h e s t r u g g l e f o r l a n d h a d b e e n c o n s t r u c t e d i n a p o l i t i c a l - r e l i g i o u s f o r mas an issue of social justice and human dignity, and as a basis forl ib er at io n f ro m a c ap it al is t s ys te m t ha t e ns la ve d t he w ea k t o t he b en ef ito f t h e n a ti o na l a n d i n te r na t io n al c a pi t al ( M an ca n o 2000:8 1 –8 3 ). I t

h a d s e t i t s e l f a p a r t f r o m o t h e r s i g n i f i c a n t r u r a l m o v e m e n t s b y r e j e c t i n gt he L an d S ta tu te o f 1 96 4 a nd d em an di ng n ew l eg is la ti on b e c re at edw it h t he p ar ti ci pa ti on o f r ur al w or ke rs , ‘‘ w it h a b as is i n t he p ra ct ic esa n d e x p er i e n c es o f t h e s e [ r u ra l wo r k er s ] ’’ ( M a n ca n o 2000: 81 ). I n t he1 99 0s , t he d is cu rs iv e c on st ru ct io n i nc lu de d, a lo ng si de a b ro ad n ot io n o f s o c i a l j u s t i c e , t h e c o n s t i t u t i o n a l p r i n c i p l e o f t h e s o c i a l f u n c t i o n o f l a n da n d t h e c o n s t i t u t i o n a l i t y o f a g r a r i a n r e f o r m .

W it hi n t he m ov em en t i ts el f, t wo i mp or ta nt d ev el op me nt s h el pe dp u s h i t c l o s e r t o t h e j u r i d i c a l f i e l d . O n e i s t h e g r a d u a l l e a r n i n g p r o c e s so f i t s l e a d e r s a s s m a l l v i c t o r i e s a c c u m u l a t e i n t h e c o u r t s a n d e n c o u n t e r sw i t h l e s s c o n s e r v a t i v e j u d g e s a n d l a w y e r s b e c o m e m o r e c o m m o n p l a c e .T he o th er , a nd p ro ba bl y m or e i mp or ta nt ly , i s t ha t o ut o f n ec es si ty i th as h ad to de ve lo p a c onc er n w it h h uma n r ig ht s. M any o f i ts mo sti m p o r t a n t l e a d e r s a r e n o l o n g e r ‘‘f i r s t - t i m e o f f e n d e r s ’’ i n c r i m i n a l c a s e s ,a n d h e n c e f a c e g r e a t e r c h a n c e s o f l o n g p r i s o n s e n t e n c e s . T h e g r o w i n g

l e g a l b u r d e n a n d t h r e a t f o r c e d t h e m o v e m e n t t o c r e a t e a h u m a n r i g h t sd e p a r t m e n t a n d e n g a g e i n a n o n g o i n g w a y w i t h a l l i e s i n t h e j u r i d i c a lfield.

F i n a l l y , t h e W o r k e r s ’ P a r t y ’ s g r o w i n g p o w e r a l s o h e l p e d t o s y n c h r o -n iz e t he m ov em en t a nd j ur id ic al f ie ld s. T he M ST a nd t he W or ke rs ’P ar ty e me rg ed o ut o f t he s am e p ro ce ss o f p ol it ic al m ob il iz at io n t ha th el pe d p ro duc e th e t ra ns iti on to d em oc ra cy, a nd th ey h av e si nc em ai nt ai ne d c lo se t ie s. T he W or ke rs ’ P ar ty ’s p ol it ic al f ig ur es h av e

b ee n i nv al ua bl e a ll ie s t o t he m ov em en t, i nc lu di ng , i n p ar ti cu la r, i nt h e c a s e o f t h e a r r e s t o f M S T l e a d e r s i n t h e P o n t a l d o P a r a n a p a n e m a ,w he n t he y h el pe d th e c ase m ov e qu ick ly f ro m a l oc al ac ti on i n th ej uri di ca l f ie ld t o a n at ion al c on ce rn of t he po li ti ca l f ie ld . S ome o f Brazil’s most distingui shed human rights lawyers, including aW o rk e rs ’ P a rt y c o ng r es s ma n , a r gu e d t h e habeas corpus p et it io n i n t he

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S up er io r C ou rt . T h e g ro wi ng n um be r o f W or ke rs ’ P ar ty a dm in is tr at io nsa t t he m un ic ip al a nd s ta te l ev el s a ls o h el pe d t o s hi ft t he M ST a wa yf r o m i t s l o n g - s t a n d i n g s t a t e - a s - e n e m y p o s i t i o n .

9.4.2 The Brazilian judiciary and the juridical fieldT h e j u r i d i c a l f i e l d u n d e r w e n t i t s o w n s e t o f c h a n g e s d u r i n g t h e 1 9 9 0 s ,a l b e i t a t a s l o w e r p a c e t h a n t h o s e i n t h e m o v e m e n t f i e l d . T h i s h e l p e dm a k e p o s s i b l e t h e j u r i d i c a l m o d a l i t i e s o f c h a n g e t h e M S T w a s a b l e t os et i n m ot io n. I n p ub li c d eb at e t he se c ha ng es a nd t he t en si on s t ha ta cc omp an ie d th em h av e b ee n f ra me d a s ‘‘ th e c ri si s of t he j us ti cesy ste m. ’’ At th e c en te r of th ese c ha ng es i s t he g ra dua l a nd h igh ly

c on te st ed c on st it ut io na li za ti on o f l aw , a s m em be rs o f t he f ie ld h av es o u g h t t o r e b u i l d t h e d e m o c r a t i c l e g i t i m a c y o f j u d i c i a l i n s t i t u t i o n s a n dto ad jus t t o t he re al it ie s of a n ew de moc ra ti c r eg im e. T he i mpo rt an ce of t h i s p r o c e s s c a n n o t b e o v e r s t a t e d , n o t o n l y b e c a u s e t h e c i v i l c o d e t h a tw as o pe ra ti ve u nt il 2 00 3 w as s ta rk ly l ib er al i n i ts c on ce pt io n o f p ro pe rt yri gh ts, a nd t he i nd ivi dua l n atu re of ri gh ts i n g en er al , b ut a ls o be ca us e of t h e a r r a y o f s o c i a l a n d d i f f u s e r i g h t s a v a i l a b l e i n t h e 1 9 8 8 C o n s t i t u t i o n .

T h e c o n s t i t u t i o n a l i z a t i o n o f l a w h a s m a d e p o s s i b l e t h e l e g a l d e f i n i t i o no f s oc ia l c on fl ic ts i n w ay s t ha t w er e c lo se r t o t ho se i n t he m ov em en tf i e l d . P e r h a p s m o s t i m p o r t a n t l y , t h e p r o c e s s h a s o p e n e d t h e d o o r t o as u b s t a n t i a l e x p a n s i o n o f t h e r o l e o f t h e j u d i c i a r y a n d o f j u d i c i a l i n t e r -p r e t a t i o n . O v e r a l l , e f f o r t s s i n c e t h e e a r l y 1 9 9 0 s t o c o n s t i t u t i o n a l i z e l a wa nd t o r ec on ci le l eg al n or ms t ha t v ar y s ub st an ti al ly i n n or ma ti ve a nds u b s t a n t i v e d i s p o s i t i o n h a v e p l a y e d a c r i t i c a l r o l e i n f a c i l i t a t i n g j u r i d i -c a l m o d a l i t i e s o f c h a n g e .

As in the case of the movement field, the types of actor i n thej ur id ic al f ie ld a ls o c ha ng ed . I n a dd it io n t o t he d es er ve dl y h er al de df ed er al a nd s ta te p ub li c p ro se cu to rs o ff ic es (Ministerio Publico), thef or ma l a nd i nf or ma l n et wo rk s o f j ud ge s a nd l aw ye rs c on ce rn ed w i thq u e s t i o n s o f s o c i a l j u s t i c e a n d w i t h d e f i n i n g a n e w d e m o c r a t i c r o l e f o rj u di c ia l i n st i tu t io n s a n d t h e l e ga l p r of e ss i on w e re p a rt i cu l ar l y i m po r t-a nt . T he se n et wo rk s p la ye d a f un da me nt al r ol e i n b ri dg in g t he g apbe tw een t he j uri di ca l a nd th e mo ve men t f ie ld s a nd i n he lp in g t o

p ro du ce a n ew l eg al c om mo n s en se i n t he f or me r o n m at te rs r el at edt o t h e M S T a n d l a n d c o n f l i c t .

T h e P o n t a l d o P a r a n a p a n e m a c a s e i l l u s t r a t e s h o w t h e l o w e r c o u r t s ’a p p l i c a t i o n o f l e g a l n o r m s s e r v e s t o t r a n s l a t e s o c i a l c o n f l i c t s t h a t e n t e rt he j ur id ic al f ie ld i nt o u ni ve rs al a nd s oc ia ll y a bs tr ac te d c at eg or ie s.What the l ocal judge had constructed as a narrow conflict over


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i nd iv id ua l p ro pe rt y r ig ht s, a do pt in g w ha t c ri ti cs c al l t he t ra di ti on alp ro ce du ra li st o r p os it iv is t l eg al r ea so ni ng , t he h ig he r c ou rt s c on st ru ct eda s a c o n f l i c t o f f u n d a m e n t a l r i g h t s a n d p r o p e r t y r i g h t s , w i t h i m p o r t a n t

s o c i a l c o n s e q u e n c e s . T h e f o r m e r w o u l d a r g u e t h a t c o n s t i t u t i o n a l p r i n -c i p l e s a r e n o t l a w , a n d t h e r e f o r e i m p l e m e n t i n g l e g i s l a t i o n ( a n d h e n c et he m ed ia ti on o f t he l eg is la to r) i s n ec ess ary t o m ake th em l aw an dj u s t i c i a b l e ; t h e l a t t e r a r g u e t h a t f u n d a m e n t a l r i g h t s a n d o t h e r c o n s t i t u -t io na l p ri nc ip le s i mp os e i mm ed ia te l eg al o bl ig at io ns a nd d o n ot r eq ui ref u r t h e r l e g i s l a t i o n t o h a v e b i n d i n g f o r c e .

T he t wo c on st ru ct io ns o f t he c as e r ef le ct t he c om pe ti ng e ff or ts t oi n te r pr e t t h e 1 9 88 C o ns t it u ti o n a n d h a v e l e d t o a p r of o un d s p li t w i th i n

t h e j u r i d i c a l f i e l d b u t h a v e a l s o b r o u g h t i t c l o s e r t o t h a t o f t h e m o v e -m en t f ie ld . C on st it ut io ns i n L at in A me ri ca , i nc lu di ng i n B ra zi l, h av eb ee n s ee n p ri ma ri ly a s p ol it ic al d oc um en ts r at he r t ha n a s l aw . W it h t he1 9 88 C o ns t it u ti o n, h o we v er , t h e t r en d t o wa r d c o ns t it u ti o na l iz a ti o nt ha t a cc om pa ni ed t he c re at io n o f t he w el fa re s ta te i n E ur op e a pp ea rst o h av e r ea ch ed B ra zi l. A cc ep ti ng t he C on st it ut io n a s l aw g re at lye xp an ds t he c om pe te nc e o f j ud ge s a nd , b ec au se o f t he n at ur e o f t he

C on st it ut io n’ s a rt ic le s a nd i ts c on ce rn w it h s ub st an ti ve ( an d s oc ia l)o ut co me s, r eq ui re s t ha t t he y e ng ag e i n f ar g re at er i nt er pr et at io n a ndc on st ru ct io n o f l aw . T hi s a ls o f lo ws d ir ec tl y f ro m t he e xp an si on o f c ol l ec ti ve s oc ia l r ig ht s a nd l eg al i ns tr um en ts , s uc h a s p ub li c c la ss a ct io ns ui ts , t ha t m ak e i t e as ie r t o t ra ns fo rm i nd iv id ua l l eg al b at tl es i nt oc o l l e c t i v e o n e s .

T he s ta te o f S ao P au lo h as a c on se rv at iv e j ud ic ia l t ra di ti on , b utj ud ge s c om mi tt ed t o a c on st it ut io na li st v ie w o f l aw , h um an r ig ht s,

a nd t he d em oc ra ti za ti on o f t he j ud ic ia ry f or me d t he A ss oc ia ti on o f Judges for Democracy in 1991 and, specifically for criminal matters, the

B ra zi li an I ns ti tu te o f C ri mi na l S ci en ce s ( IB CC RI M) i n 1 99 2. T hed ec is io n o f t he S ao P au lo j ud ge s t o c re at e i nd ep en de nt a nd f or ma lo r ga n iz a ti o ns p a ra d ox i ca l ly r e fl e ct s t h ei r t e nu o us p o si t io n w i th i n t h es ta te ’s m ag is tr ac y. S in ce t he e ar ly 1 99 0s , t he se j ud ge s h av e s ee n t hec on st it ut io na li za ti on o f l aw a s v it al f or d em oc ra ti zi n g t he l aw a nd f orb ri ng in g a m od er n s oc ia l c on te xt i nt o t he r ig id ly i nd iv id ua li st ic a nd

d e- co nt ex tu al iz ed a pp li ca ti on o f t he c iv il a nd c ri mi na l c od es . T he yh av e a ls o s ee n, c or re ct ly , t ha t t he p ro ce ss o f c on st it ut io na li za ti one n t a i l e d a n a c k n o w l e d g m e n t o f t h e e x p a n s i o n o f j u d g e s ’ i n t e r p r e t a t i v eactivities.

Networks of progressive lawyers are not new in Brazil, but during the1 99 0s t he f ir st n at io na l n et wo rk o f p op ul ar l aw ye rs w ho w or k w it h r ur al

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a nd u rb an m ov em en ts e me rg ed . T he N at io na l N et wo rk o f P op ul arL a w y e r s ( R E N A P ) , f o r m a l l y c o n s t i t u t e d i n 1 9 9 6 , p l a y e d a n i m p o r t a n tr ol e i n s yn ch ro ni zi ng t he j ur id ic al a nd m ov em en t f ie ld s. R ef le ct in g

a g e n e r a l t r e n d i n p r o g r e s s i v e l a w y e r i n g n e t w o r k s , R E N A P i s n a t i o n a li n s co pe a nd m or e s pe ci al iz ed – t od ay i t h as a pp ro xi ma te ly 4 20 l awp r o f e s s i o n a l s d i s t r i b u t e d a c r o s s t w e n t y - t w o o f t h e c o u n t r y ’ s t w e n t y - s i xs t a t e s a n d f o c u s e s p r i m a r i l y o n a g r a r i a n q u e s t i o n s , a n d i s c l o s e l y t i e d t ot h e M S T .

R E N A P h a s b e e n a n i m p o r t a n t b r i d g e b e t w e e n t h e m o v e m e n t a n dj u r i d i c a l f i e l d s , a n d l i n k s i n e x p e r i e n c e d l a w y e r s a t t h e l o c a l l e v e l w i t hn a t i o n a l l y r e c o g n i z e d j u r i s t s . I t s l a w y e r s h a v e a l s o p l a y e d a n i m p o r t a n t

r o l e i n o v e r c o m i n g t h e m o v e m e n t ’ s r e s i s t a n c e t o e n t e r i n g t h e j u r i d i c a lf ie ld a nd i n b ui ld in g r el at io ns o f t ru st b et we en t he m ov em en t a nd o th erj u r i d i c a l p r o t a g o n i s t s , i n c l u d i n g t h e i n f o r m a l n e t w o r k s o f j u d g e s c o m -m i t t e d t o s o c i a l j u s t i c e . A l t h o u g h t h e M S T f r o m i t s e a r l y d a y s i n t h e1 98 0s d re w p ro gr es si ve l aw ye rs i nt o i ts o rb it , i t i s o nl y f ro m t he m id -1 99 0s t ha t i t h as s ou gh t t o e st ab li sh c lo se r a nd o ng oi ng r el at io ns t ot he se . P ri or t o t hi s, t he m ov em en t s ou gh t o ut l aw ye rs i n p ie ce me al

f as hi on t o f re e i mp ri so ne d l ea de rs a nd t o b at tl e t he v ar io us f or ms o f l e g a l h a r a s s m e n t a n d c r i m i n a l i z a t i o n .T h e n et wo rk h as a ls o b ee n d ee pl y c om mi tt ed t o t he c on st it ut io n-

a li za ti on p ro ce ss w i th in t he j ur id ic al f i el d a nd h el pe d p ro pa ga te n ewd o c t r i n a l b a s e s f r o m w h i c h t o a r g u e c a s e s i n v o l v i n g t h e M S T . P e r h a p st he s tr on ge st e vi de nc e o f t he f or me r i s t he r em ar ka bl e c am pa ig n t oc re ate a n ew l eg al c om mon se ns e on i ss ue s t ha t a ff ect th e MS T ( Va re ll a1997) . T hr ou gh i ts m ag az in e a nd p er io di ca l p ub li ca ti on s i t c ir cu la te s

n ew j ur is pr ud en ce t ha t i s f av or ab le t o t he s tr ug gl es f or l an d. T wo r ec en te di te d v ol um es c on ta in e ss ay s b y o ve r t hi rt y n ot ab le l eg al j ur is ts o nc iv il a nd c ri mi na l c as es t ha t i nv ol ve t he M ST ( se e S tr oz ak e 2000,2002) . C on tr ib ut or s i nc lu de m em be rs o f t he S ao P au lo n et wo rk o f

Judges of Democracy and, of course, RENAP itself.T h e p ub l ic a ti o ns r e ve a l R E NA P ’s i m pr e ss i ve r e ac h i n t h e j u ri d ic a l

f ie ld , a nd t hr ou gh i t t ha t o f t he M ST . T he v ol um es h av e b ee n m ad ea v a i l a b l e n o t o n l y t o R E N A P m e m b e r s b u t a l s o t o h u n d r e d s o f j u d g e s .

T h is i n it i at i ve i s r e ma r ka b le b e ca u se b o th l a wy e rs s y mp a th e ti c t o t h eMST, and local judges who may or may not be, have very tenuousa c ce s s t o s o ur c es c o nt a in i ng j u ri s pr u de n ce . A s s e ve r al j u dg e s i n S aoP a u l o o b s e r v e d d u r i n g i n t e r v i e w s , t h e r e a r e m a g i s t r a t e s w h o s t i l l a p p l ypa rts o f t he 191 6 c ivi l c od e w hi ch h av e l on g b een su pe rse ded . On ce outo f l a w s c h o o l , e v e n p r o f e s s i o n a l l y c o m m i t t e d j u d g e s f i n d i t d i f f i c u l t t o


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k e e p a b r e a s t w i t h e m e r g i n g j u r i s p r u d e n c e , a n d e v e n w i t h n e w l e g i s l a -t i o n ( w h i c h i s p a r t i c u l a r l y v o l u m i n o u s i n B r a z i l ) .


T he M ST ’s s us ta in ed e ng age me nt w it h t he j ur idi ca l f ie ld h as se t an umb er o f mo da li ti es o f l ega l c ha ng e i n mo ti on th at , i n th e c as esd i s c u s s e d i n t h i s c h a p t e r , r e d e f i n e d i m p o r t a n t l e g a l t e r r a i n o n p r o p e r t yr ig ht s, a s w el l a s o n c iv il d is ob ed ie nc e. I t a ls o p ro du ce d s ub st an ti als oc ia l r es ul ts . T he m ov em en t’ s a bi li ty t o c on ve rt m ov em en t e ne rg yi nt o j ur id ic al e ne rg y, a nd t o m ob il iz e a cr os s m ul ti pl e f ie ld s, h as p la ye d a

c e n t r a l r o l e i n s e t t i n g t h e s e m o d a l i t i e s o f l e g a l c h a n g e i n m o t i o n .T he m ov em en t’ s c ap ac it y f or t hi s k in d o f s tr at eg ic a ct io n, a nd t he

i mpa ct o f su ch a cti on , h ow eve r, h as be en c on ti ng en t o n br oa derd yn am ic s w it hi n t he m ov em en t, p ar ty p ol it ic al , a nd r el i gi ou s f ie ld so ve r w hi ch i t h as h ad l im ite d c ont rol . S ubs tan ti al sh if ts i n e ac h o f t h e f i e l d s d u r i n g t h e 1 9 9 0 s g r e a t l y e n h a n c e d t h e m o v e m e n t ’ s a b i l i t y t or e di r ec t a n d c o nc e nt r at e t h e e n er g ie s o f h i gh l y q u al i fi e d l e ga l e x pe r ts

t o w a r d t h e c i v i l a n d c r i m i n a l i s s u e s i t c o n f r o n t e d . I t i s a l s o d u r i n g t h i sp er io d, a s a re sul t of s hi fts i n th e re spe cti ve f ie lds , a s w el l a s i ts o wns tr at eg ic a ct io n w it hi n t he se s hi ft s, t ha t t he M ST b ec am e t he m os tp ro mi ne nt s oc ia l m ov em en t i n c on te mp or ar y B ra zi l. T hi s p ar ti cu la rs ta tu s w it hi n t he m ov em en t f ie ld h as e na bl ed t he m ov em en t t o c on -s tr uc t a b re ad th o f a ll ia nc es , i n t he j ur id ic al a nd o th er f ie ld s, t ha t c an b em a t c h e d b y f e w o t h e r s o c i a l m o v e m e n t s i n B r a z i l .

T h e M S T ’ s j u r i d i c a l m o b i l i z a t i o n n o n e t h e l e s s s h e d s l i g h t o n s o m e o f

t h e w a y s i n w h i c h s o c i a l m o v e m e n t s c a n u s e t h e l a w t o c r e a t e c o u n t e r -v a il i ng p o ss i bi l it i es t o t h e p a rt i cu l ar ‘‘ l ib e ra l ’’ p r op e rt y r e gi m e t h at i sb ei ng g lo ba li ze d f ro m a bo ve . I t h as p la ye d a s ub st an ti al r ol e i n a lt er in g ah i g h l y e x c l u s i o n a r y l e g a l i t y b y c o m p e l l i n g p u b l i c a u t h o r i t i e s t o i m p l e -m en t e xi st in g a gr ar ia n r ef or m l eg is la ti on , b y h el pi ng t o c re at e a ndi n s t i t u t i o n a l i z e n o v e l i n t e r p r e t a t i o n s o f t h e s o c i a l f u n c t i o n o f p r o p e r t ya nd a n e xp an de d n ot io n o f c iv il d is ob ed ie nc e, a nd b y p us hi ng p ub li cp ro se cu to rs t o u se p ro ce du ra l i ns tr um en ts i n i nn ov at iv e w ay s t ha t

d r a m a t i c a l l y i n c r e a s e t h e p a c e o f j u d i c i a l p r o c e e d i n g s .

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B a rr o s o, L u ıs R o be r to . 2 0 02 a . O Direito Constitucional e a Efetividade de Suas Normas: Limites e Possibilidades da Constituicao Brasileira. R i o d e J a n e i r o :

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2002b. ‘‘Fundamentos Teoricos e Filosoficos do Novo Direito Constitucional

Brasileiro.’’ Jus Navigandi 59:157.B ou rd ie u, P ie rr e. 1 98 7. ‘‘ Th e F or ce o f L aw : T ow ar d a S oc io lo gy o f t he J ur id ic al

Field.’’ Hastings Law Journal 38:814–853.Bo ur di eu , Pi er re , a nd L oıc W ac qu an t. 1 99 2. An Invitation to Reflexive

Sociology. C h i c a g o : U n i v e r s i t y o f C h i c a g o P r e s s .

De zal ay , Y ve s, a nd Br ya nt G ar th . 1 99 8. Dealing in Virtue: InternationalCommercial Arbitration and the Construction of a Transnational LegalOrder. C h i c a g o : U n i v e r s i t y o f C h i c a g o P r e s s .

D io mo , A na M ar ia . 1 99 5. A Vez e Voz do Popular: Movimentos Sociais eParticipacao Polıtica no Brasil Pos-70. R io d e J an ei ro : A NP OC S/ Re l um eDu m ar a.

E pp , C ha rl e s. 1 99 8. The Rights Revolution: Lawyers, Activists, and SupremeCourts in Comparative Perspective. C h i c a g o : U n i v e r s i t y o f C h i c a g o P r e s s .

F a cc h in i N e tt o , E u gen i o . 2 0 03 . ‘‘ F un d am e nt a l R i gh t s i n t h e B a la n ce : O n eV ie w o f t he C at he dr a l, t hr ou gh a J ud ge ’s E ye .’’ P ap er p re se nt e d a t t heI n te r na t io n a l W o rk s ho p o n ‘‘ F un d am e nt a l R i gh t s i n t h e B a la n ce : N e w

I de as o n t he R ig ht s t o P ro pe rt y, L an d, a nd S he lt er ,’’ 1 6– 18 O ct ob er 2 00 3,I n s t i t u t e o f D e v e l o p m e n t S t u d i e s , B r i g h t o n , U K .

G a l a n t e r , M a r c . 1 9 8 1 . ‘ ‘ J u s t i c e i n M a n y R o o m s : C o u r t s , P r i v a t e O r d e r i n g , a n d

I n d i g e n o u s L a w .’ ’ Journal of Legal Pluralism 19:1–47.H ou tz ag er , P et er . 2 00 1a . ‘‘ We M ak e t he L aw a nd t he L aw M ak es U s: S om e

Idea s on a Law in Developme nt Resea rch Agenda.’’ IDS Bulletin32(1):8–18.

2 00 1b . ‘‘ Co ll ec ti ve A ct io n a nd P at te rn s o f P ol it ic al A ut ho ri ty : R ur al

W o r k e r s , C h u r c h , a n d S t a t e i n B r a z i l . ’ ’ Theory and Society 30(1):1–45.H un t, A la n. 1 99 3. Explorations in Law and Society: Toward a Constitutive

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P a g i n a s e L e t r a s .Mancano, Bernardo. 1996. MST: Formacao e Territorializacao em Sao Paulo.

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Contention. C a m b r i d g e : C a m b r i d g e U n i v e r s i t y P r e s s .M e rr y ma n , J o hn . 1 9 85 . The Civil Law Tradition: An Introduction to the Legal

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U n i v e rs i t y P r e s s. Navarro, Zander. 1997. ‘‘Sete Teses Equivocadas sobre as Lutas Sociais no

C am po , o M ST e a R ef or m A gr ar i a. ’’ I n A Reforma Agraria e a Luta do

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S tr oz a ke , J uv el in o ( Ed .) . 2 00 0. A Questao Agraria e a Justica. S ao P a u l o:E d i t o r a R e v i s t a d o s T r i b u n a i s .

( E d. ) . 2 0 02 . Questoes Agrarias: Julgados comentados e Pareceres. Sao Paulo:

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CHAPTER 10

INDIGENOUS RIGHTS, TRANSNATIONALACTIVISM, AND LEGAL MOBILIZATION:

THE STRUGGLE OF THE U’WA PEOPLE

IN COLOMBIA

Ce sar A. Rodrı guez-Garavito and Luis Carlos Arenas


I n a n i r o n i c t w i s t , o n e o f t h e m o s t p o w e r f u l c h a l l e n g e s t o g l o b a l i z a t i o n

h a s c o me f r om t h e i n d ig e no u s p e o pl e s w h o se l o ca l iz e d, ‘‘ p re - mo d e rn ’’e x i s t e n c e w a s s u p p o s e d t o h a v e c r u m b l e d u n d e r t h e p r e s s u r e o f m o d e r nc ap ita li st p ro je cts – f ro m t ha t o f th e c ol on ia l p ro je ct to th at o f th e‘‘de ve l opm e n t pr oj e c t ’’ ( M c M i c h a e l 2000) . E n c a p s u l a t i n g t h e c l a s h i n gf or ce s o f t hi s h is to ri ca l s ho rt -c ir cu it , t he p li gh t a nd t ra ns na ti on alr es is ta nc e o f i nd i ge no u s p eo p le s e x po se w it h u ni q ue c la ri ty t he c ul tu ra l,p o l i t i c a l , a n d l e g a l i s s u e s a t s t a k e i n t h e c o n f r o n t a t i o n b e t w e e n h e g e -m on i c a n d c oun t e r - h e g e m on i c g l oba l i z a t i on .

S ev er al r ea so ns e xp la in t he v is ib il it y a nd i mp or ta nc e o f t he i nd ig en ou sp eo pl es i n s uc h a c on fr on ta ti on . F ir st , t he i nd ig en ou s m ov em en t i nv ol ve spopula ti ons h i st ori c al l y s ubj ec te d t o t he c ruel e st f orm s of e xcl usi on. I nL a t i n A m e r i c a , de pe n di n g on t h e a r e a , be t we e n 50 a n d 90 pe r c e n t of t h ei ndi ge nous popul at ion di ed dur i ng t he f ir st c en tury of t he S pan is h c on-q ue st , a nd f ew t ri ba l g ro up s s ur vi ve d t he a ss im il at io ni st p ol ic ie s o f t hepostcolonial states (Kearney and Varese 1995). Today, albeit comprisingth e ma jo ri ty o r a l arg e p or ti on o f t he p op ul at io n i n s ev er al c ou nt ri es

( 71 pe r c e n t i n B ol i vi a , 66 pe r c e n t i n G ua t e m a l a , 47 pe r c e n t i n P e r u, a n d38 pe rc en t i n E cuador) , i n di ge n ous pe opl es c ont in ue t o be ‘‘th e poor es tof the po or’’ ( Psacharopo ulos and Patrinos 1994). In Guatemala, while53.9 pe r c e n t of t h e popul a t i on i s poor , 86.6 pe r c e n t of i n di g e n ous pe opl ef al l u nd er t he p ov er ty l in e. T he g ap i s s im il ar i n Me xi co , w he re 8 0. 6percent of the indigenous population is poor, as well as in Peru

241



(79 percent) and in Bolivia (64.3 percent) (Psacharopoulos and Patrinos1994) . Thus , i f c oun te r- he ge moni c g l oba li za ti on f ocus es on t he popul a-t ion s m os t h a rm ed by h eg em on ic g l oba li za ti on ( Sa nt os a nd Rodr ıguez-

G ara vi to ’s c ha pt er i n t hi s v ol um e) , t he n t he st ru gg le o f i nd ige no uspe opl e s i s on e of i t s c or e c om pon e n t s .

M or eo ve r, a s w e e xp la in b el ow , t he r is e o f t he t ra ns na ti on al i nd i-g e n o u s m o v e m e n t i s e x p l i c i t l y r o o t e d i n a r e a c t i o n a g a i n s t t h e e x p a n -s io n o f t he f ro nt ie rs o f p re da to ry f or ms o f g lo ba l c ap it al is m i nt o n ewt er ri to r ie s ( e. g. t he A ma zo n) a nd e co n om ic a ct iv i ti es ( e. g. t he c o m-m e rc i al e x p lo i ta t io n o f t r ad i ti o na l k n o wl e dg e a n d b i o di v e rs i ty ) . T h ise x p a n s i o n , i n t u r n , i s l i n k e d t o t h e p r e s s u r e s t o s t e p u p t h e e x p l o i t a t i o n

o f n at ur al r es ou rc es a ss oc ia te d w it h i nc re as in g c on su mp ti on i n t he North and economic dependence in the South. The examination of t he i nd ig en ou s m ov em en t t hu s a ll ow s u s t o s ee t he n ew f ro nt ie rs o f n e o l i b e r a l g l o b a l i z a t i o n a n d o f t h e r e s i s t a n c e t o i t .

T h e i n d i g e n o u s c a u s e i l l u s t r a t e s t w o p a r t i c u l a r l y p r o m i s i n g f e a t u r e so f t he g lo ba l j us ti ce mo ve men t. O n th e o ne h an d, i t i ll us tra tes t hec o mb i na t io n o f s t ru g gl e s a n d s c al e s o f m o bi l i za t io n t h at c h ar a ct e ri z es

c o u nt e r- h eg e mo n i c g l o ba l iz a ti o n . I n di g en o u s p e o pl e s r a is e c l ai m s f o rs el f- de te rm in at io n a nd l an d t ha t v in d ic at e l oc al c us to ms , l aw s, a nda n c e s t r a l t e r r i t o r i e s . H o w e v e r , i n p u r s u i n g t h e s e l o c a l c l a i m s t h e y h a v en ot o nl y m ob il iz ed g lo ba ll y i n a ll ia nc e w it h i nd ig en ou s p eo pl es a ndt ra ns na ti on al i nd ig en ou s r ig ht s o rg an iz at io ns b ut h av e a ls o j oi ne df or ce s w it h t he g lo ba l e nv ir on me nt al is t m ov em en t, t he s tr ug gl e o f n a ti o na l e t hn i c m i no r it i es a n d o t he r c o un t er - he g em o ni c m o v em e nt s .B y b ri dg in g m ov em en t f ra me s a nd i ss ue s, i nd ig en ou s p eo pl es h av e

c ha ll en ge d h eg em on ic a ct or s a t e ve ry s ca le , f ro m l oc al c ol o ni st s a ndd i sc r im i na t or y n a ti o na l s t at e s t o t r an s na t io n al c o rp o r at i o ns ( T NC s )s e e k i n g t o e x p l o i t n a t u r a l r e s o u r c e s i n t h e i r h o m e l a n d s . O n t h e o t h e rh an d, t he f ac t t ha t t he i nd ig en ou s m ov em en t i s i de nt it y- ba se d b ri ng si n to r e li e f t h e d i st i nc t iv e l y c u lt u ra l d i me n si o n o f c o u nt e r- h eg e mo n icg lo ba li za ti on – t ha t i s, t he f ac t t ha t g lo ba l s oc ial m ov e me nt s a re a sm u c h a b o u t d i f f e r e n c e a s t h e y a r e a b o u t e q u a l i t y .1 I n de e d, t h e i c on i cc h a r a c t e r o f t h e Z a p a t i s t a s t r u g g l e ( a n d t h e i n d i g e n o u s m o v e m e n t w r i t

l a r g e ) w i t h i n t h e g l o b a l j u s t i c e m o v e m e n t l i e s i n i t s c a p a c i t y t o b r i n gt o g e t h e r t h e a s p i r a t i o n t o e c o n o m i c j u s t i c e ( a s e v i d e n t i n i t s l a u n c h i n go n t h e o c c a s i o n o f t h e e n t e r i n g i n t o f o r c e o f N A F T A i n 1 9 9 4 ) a n d t h ea s pi r at i on t o e t h n ic , r a c i al , a n d g e n de r j us t i ce ( C e c e na 1999 ).

1 O n t h i s i s s u e , s e e c h a p t e r 2 b y S a n t o s .

R O D R I G U E Z - G A R A V I T O A N D A R E N A S

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T he v ery location of the ind igenous cau se at the cro ssro ads of d i ff e re n t m o ve m en t s, s c al e s, a n d h i st o ri c al t r aj e ct o ri e s t h at a c co u n tsf o r i t s v i s i b i l i t y a n d i m p o r t a n c e a l s o e x p l a i n s i t s d i f f i c u l t i e s . T h e r e f o r e ,

t h e s t u d y o f t h e i n d i g e n o u s m o v e m e n t i n a c t i o n i l l u s t r a t e s s o m e o f t h em a i n t e n s i on s a n d c on t r a di c t i on s wi t h i n c oun t e r - h e g e m on i c g l oba l i z a -t i o n . A m o n g t h e m a r e t h e d i f f e r e n c e s b e t w e e n t h e t i m e f r a m e s a n d t h ea ge nd as o f N or th er n N GO s a nd i nd ig en ou s p eo pl es , a nd t he a mb ig uo use f f e c t s o f t h e j u d i c i a l i z a t i o n o f i n d i g e n o u s r i g h t s s t r u g g l e s .

F i na ll y, a nd p a rt ic ul ar ly i mp o rt an t f or t he p u rp o se s o f t hi s c ha pt er ,t he t ra ns na ti on al m ob i li za ti on o f i nd i ge no u s p eo p le s h as u n le as he d ap ro ce ss o f l eg al i nn ov a ti o n w i th p ro f ou n d i mp l ic at io n s f or n at io na l

c on st it ut io na l s ys te ms a nd t he i nt er na ti on al h um an r ig ht s r eg im e.Ce nt ere d o n t he r ec ogn it io n o f c ol le ct iv e r ig hts a nd e mb od ie d b ym y r i a d c on s t i t ut i on a l r e f or m s a n d n e w i n t e r n a t i on a l l e g a l i n s t r um e n t s ,t h is ‘‘ r en a is s an c e o f i n d ig e no u s p e op l e s f o r t h e l a w’’ ( M ar es 2000) h a ss ha ke n t he i nd i vi d ua li st a nd W es te rn -c en tr ic t en et s o f l ib er al l eg alt h o u g h t a n d i n s t i t u t i o n s a n d h o l d s o u t t h e p r o s p e c t f o r a c o s m o p o l i t a nr e co n st r uc t io n o f h u ma n r i gh t s ( A na y a 1996; K y m l i c k a 1999; S a n t o s

2002a , 2002b ).I n t hi s c ha pt er , w e e xa mi ne t he c on ne ct io n b et we en p ol it ic s a nd l awi n t he t ra ns na ti on al i nd ig en ou s m ov em en t. T o t ha t e nd , w e o ff er a c as estud y o f the struggle of the U’wa, an indigenou s p eop le of 5 ,0 00m e m b e r s l i v i n g i n n o r t h e a s t e r n C o l o m b i a , a g a i n s t o i l d r i l l i n g i n t h e i rt er ri to ry . W ag ed i n c ol la bo ra ti on w it h n at io na l a nd t ra ns na ti on alen vi ro nm en ta li st NG Os a nd i nd ig en ou s r ig hts a nd hu ma n r ig htso r g a n i z a t i o n s , t h e d e c a d e - l o n g , o n g o i n g c a m p a i g n o f t h e U ’ w a p e o p l e

a g ai n st O c ci d e nt a l P e tr o l eu m ( O xy ) a n d t h e C o lo m bi a n g o ve r nm e ntv iv i dl y i ll u st ra te s t he p o te nt ia l a nd t he l im it at io ns o f t ra ns na ti on alp o li ti ca l m ob il i za ti on i n s up p or t o f i nd i ge no u s r ig ht s. G iv en t ha t t hes tr ug gl e h as r ev o lv ed a ro un d t he i nt er pr et at io n o f t he U ’w a’ s c ol l ec ti ver i g h t o v e r t e r r i t o r y , i t h a s c r u c i a l l y i n v o l v e d j u d i c i a l a n d q u a s i - j u d i c i a li n s t i t u t i o n s ( f r o m t h e C o l o m b i a n C o n s t i t u t i o n a l C o u r t a n d C o u n c i l o f S ta te t o t he I nt er -A me ri ca n C om mi ss io n o n H um an R ig ht s a nd t heI n te r na t io n al L a bo u r O r ga n iz a ti o n) a d v an c in g c o nt r as t in g d i sc o ur s es

a n d a g e n d a s o n l a w a n d h u m a n r i g h t s .O ur a na ly ti ca l f oc us i s t wo fo ld . F ir st , w e e xa mi ne t he c on ne ct io n

b e t w e e n l o c a l , n a t i o n a l , r e g i o n a l , a n d g l o b a l c o n t e n t i o u s m o b i l i z a t i o ni n s u p p o r t o f t h e U ’ w a . T h u s , w e g i v e e s p e c i a l a t t e n t i o n t o t h e t r a n s -f or ma ti on o f t he m em be rs hi p, s tr at eg ie s, a nd i mp a ct o f t he p ro -U ’w ac o a l i t i o n a s i t s h i f t e d f r o m t h e l o c a l a n d n a t i o n a l s c a l e s t o t h e r e g i o n a l

T H E S T R U G G L E O F T H E U ’ W A P E O P L E I N C O L O M B I A

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a n d g l oba l s c a l e s – a n d t h e n , i n a ‘‘boom e r a n g e f f e c t ’’ ( Ke c k a n d S i kki n k1998) , r et ur ne d t o C o lo mb ia n p o li ti ca l a nd l eg al v en ue s. S ec on dl y, w ee ng ag e t he n as ce nt l it er at ur e o n t he r o le o f l a w i n c ou nt er -h eg em on ic

g lo ba li za tio n ( se e S an to s a nd Ro drıg u ez -G ar av it o’ s c ha pt er i n t hi sv ol um e) b y f oc us in g o n t he d ist inc ti ve ly l eg al s tr ate gi es o f t he U ’w ac oa li ti on a nd a sse ss in g t he p ot en ti al a nd l imi ta ti on s o f s uc h s tr at eg ies f ort he a dv an ce me nt o f t he U ’w a c au se a nd t he m o ve me n t f or g l ob al j u st ic ewrit large.

T h e c h a p t e r i s o r g a n i z e d a s f o l l o w s . I n t h e f i r s t s e c t i o n , w e l o c a t e t h eU ’ w a s t r u g g l e i n t h e b r o a d e r e c o n o m i c , p o l i t i c a l , a n d l e g a l c o n t e x t o f t h e t u r n t o n e o l i b e r a l i s m a n d t h e r i s i n g i n d i g e n o u s m o v e m e n t i n L a t i n

A me ri ca. In th e s eco nd , w e z ero i n o n th e U ’w a c amp ai gn as i t h asu n f o l d e d i n n a t i o n a l a n d i n t e r n a t i o n a l s e t t i n g s . I n t h e t h i r d s e c t i o n w es t e p b a c k t o a s s e s s t h e a c h i e v e m e n t s a n d l i m i t a t i o n s o f t h e c a m p a i g na l o n g o u r t w o a n a l y t i c a l a x e s . F i n a l l y , w e o f f e r s o m e c o n c l u s i o n s .

10.2 R E S I S T I N G T H E ‘ ‘ S E C O N D C O N Q U E S T ’ ’ :

N E O L I B E R A L I S M , H U M A N R I G H T S , A N D T H E

I N D I G E N O U S M O V E M E N T

The simultaneity o f the tu rn to neo liberalism and the ri se of thei nd i ge no u s m ov em en t i n L at in A me ri ca i s n ot a cc id en ta l. B eg in ni ngi n th e m id -1 97 0s a nd g ai ni ng mo me nt um i n th e 1 98 0s, t he se tw op ro ce ss es h av e d ev el o pe d i n e xp l ic it c o nf ro n ta ti on w i th e ac h o th er ,a s s ho w n b y t he m as si v e i nd i ge no u s p ro te st s a ga in st n eo l ib er al i sm s in cet he e ar ly 1 99 0 s, f ro m t ho se t ha t h av e d ri v en n eo li b er al p r es id en ts i n

B o l i v i a a n d E c u a d o r o u t o f o f f i c e t o t h o s e o f t h e Z a p a t i s t a s i n M e x i c o .T h e c o nn e ct i on b e tw e en ‘‘ s tr u ct u ra l a d j us t me n t’’ p r og r am s a n d t h e

p l i g h t a n d r e s i s t a n c e o f i n d i g e n o u s p e o p l e s i s m a n i f o l d . I t i n c l u d e s , f o ri ns ta nc e, t he e ff ec ts o f n eo li b er al p o li ci es t ha t h av e r ol le d b a ck l an dr e f o r m t h r o u g h o u t t h e r e g i o n a n d l i b e r a l i z e d r u r a l p r o p e r t y r i g h t s t h a tp ro te ct ed c o ll ec ti v e i nd i ge no u s h ol d in gs s uc h a s t he ejido s ys te m i nM e xi c o ( B a r t r a 2005) . T o g e t h e r w i t h t h e t u r n t o e x p o r t c r o p s a n d t h ee r o s i o n o f a g r i c u l t u r a l c o m m o d i t y p r i c e s i n g l o b a l m a r k e t s , t h e u n c o n -

d it io na l o pe ni ng o f d om es ti c e co no mi es h as f ur th er d ep re ss ed t hem a r g i n a l i z a t i on of i n di g e n ous pe opl e s ( S t a ve n h a g e n 2002).

F or o u r p u rp o se s, t he m os t r el ev an t l in k b et we en g lo b al iz at io n a ndt he i nd i ge no u s c au se c on ce rn s t he e sc al at io n o f r es ou rc e e x tr ac ti o n.T he c om bi na ti on o f p re ss ur e f or d eb t s er vi ce a nd t he d wi nd li ng i nc om ef r om a g ri c ul t ur a l p r od u c ts c o mp e ti n g w i th h e av i ly s u bs i di z ed e x p or t s


244



f ro m th e U S h av e e nc ou ra ge d La ti n A me ri ca n st ate s to i nc re aser es ou rc e e xt ra ct io n, f ro m t im be r t o m in in g a nd o i l. I n C ol om bi a, o ilr e v e n u e s a m o u n t t o 2 5 p e r c e n t o f a l l e x p o r t e a r n i n g s . E c u a d o r d e p e n d s

o n o il f or a pp ro xi ma te ly h al f o f i ts e xp or t e ar ni ng s, w hi le d ev ot in ga b o u t h a l f o f t h e l a t t e r t o s e r v i c e t h e d e b t ( B r y s k 1 9 9 8 : 1 5 1 ) .

T he b ro ad er n eg at iv e e ff ec ts o f a c ou nt ry ’s d ep en d en ce o n r es ou rc ee xt r a c t i on ( t h e s o- c a l l e d ‘‘r e s our c e c ur s e ’’) f or e c on om i c g r owt h , e qui t y ,a nd d em oc ra cy h av e b ee n w el l d o cu me nt ed ( K ar l 1999) . S pec i fi c al l yw i t h r e g a r d t o i n d i g e n o u s p e o p l e s , w h a t i s s t r i k i n g a b o u t t h i s p r o c e s s i sth e o ve rl ap b et we en th e lo ca ti on o f th e mo st so ug ht-a ft er n at ur alr eso ur ce s a nd i nd ig en ou s t er ri to ri es ( Ji me no 2002). T he re fo re , as

Maybury-Lewis (1984: 1 29 ) h as p ut i t, t he o n go in g, ‘‘ se co nd c o nq u es t’’of i n di g e n ous pe opl e s , ‘‘un l i ke t h e f i r s t on e , i s n ot pa r t i c ul a r l y i n t e r e s t e di n I n d i a n l a b o r . I t i s i n t e r e s t e d i n I n d i a n l a n d . T h e t h r e a t t o t h e I n d i a n si s n ot t hi s t ime o ne o f s la ve ry , b ut o f e xp ro pr ia ti on o f t hei r l and s a nd[ t h e ] t o t a l d e s t r u c t i o n o f t h e i r w a y o f l i f e , i f n o t t h e i r p e r s o n s a s w e l l . ’ ’

I t i s n o t s u r p r i s i n g , t h e r e f o r e , t h a t s o m e o f t h e m o s t i n t e r n a t i o n a l l yv i s i b l e a n d l o c a l l y e f f e c t i v e n a t i v e u p r i s i n g s h a v e i n v o l v e d i n d i g e n o u s

p eo p le s r es is ti ng r es ou rc e e xt ra ct io n i n t he ir t er ri to ri es . A ls o, s in cef or ei gn i nv est me nt a nd t ech no lo gy a re i nv ar ia bl y n ee ded f or th ee xp l oi ta ti o n o f t he m os t p ro fi ta bl e n at ur al r es ou rc es , T NC s h av e j oi ne dn at io nal g ov ern men ts a s ta rg et s o f i nd ige no us m ob il iza ti on . F ori n s t a n c e , t h e M a y a g n a s i n N i c a r a g u a h a v e w a g e d a n a t i o n a l a n d t r a n s -n at io na l s tr ug gl e a ga in st K or ea n T NC s s ee ki ng t o e xp lo it t im be r i nt he ir t er ri to ri es , w hi l e t he H ua o ra ni , t he S ec oy a, a nd t he C of an i nE c u a d o r h a v e b e e n i n v o l v e d i n a d e c a d e - l o n g i n t e r n a t i o n a l c a m p a i g n

t o h o l d T e x a c o a c c o u n t a b l e f o r m a s s i v e o i l s p i l l s i n t h e i r t e r r i t o r i e s .T h u s , f a c e d w i t h t h e d e e p e n i n g p e n e t r a t i o n o f ‘ ‘ t h e g l o b a l t r i a d o f

m o d e r n i t y ’ ’ ( s t a t e s , m a r k e t s , a n d W e s t e r n c u l t u r e ) e m b o d i e d b y n e o -l i b e r a l g l o b a l i z a t i o n , t h e s e a n d o t h e r s t r u g g l e s h a v e s h a p e d t h e i n d i -g en o us m ov e me nt ’s ‘‘ tr io o f c o re d e ma nd s: s el f -d e te rm in at io n, l an dr ig ht s, a nd c ul tu r al s u rv i va l ’’ ( B ry sk 2 0 0 0: 5 9 ) . S e l f- d et e rm i na t io ne nt ai ls p o li ti c al s el f -g ov e rn me nt i n a cc o rd a nc e w i th i n di ge no u s t ra di -t i o n s a n d l a w s . I n t h e l a r g e m a j o r i t y o f c a s e s , t h i s c l a i m p o i n t s t o s o m e

f o r m o f a u t o n o m y w i t h i n a l a r g e r n a t i o n a l s t a t e , r a t h e r t h a n s e c e s s i o n( Ky m l i c ka 1 9 9 9:2 8 1) . T h e v i nd ic at io n o f c u lt u ra l d i ff er en ce c o nc er nst h e r i g h t o f i ndi g en ou s pe op le s to n e g o ti a t e o n f ai r t e r ms t h e i re ng ag em e nt w i th t he l ar g er w o rl d , i n o p po si t io n t o a ss im il a ti o ni stp ro je ct s a nd o th er f or ms o f i mp os it io n o f W es te rn c ul tu re ( An ay a1996 ).


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P a rt i cu l a rl y p r om i ne n t i n s t ru g gl e s a g ai n st p r ed a to r y d e v el o p me n ts u c h a s t h e o n e w a g e d b y t h e U ’ w a i s t h e d e m a n d o n l a n d . T h i s c l a i m i sc l o s e l y r e l a t e d t o t h e a f f i r m a t i o n o f c u l t u r a l d i f f e r e n c e , f o r t h e b r o a d e r

i n d i g e n o u s n o t i o n o f ‘ ‘ t e r r i t o r y ’ ’ r a d i c a l l y d e p a r t s f r o m t h e c o n c e p t i o nof land as a factor of production and private property. From thei nd i ge no u s p er sp ec ti v e, ‘‘ te rr it or y’’ i nc lu d es b o th t he s pa ce a nd t hen at ur al r es ou rc es t ha t a re n ec es sa ry t o r ep ro du ce t he e co no my a ndc u l t u r e o f a c o m m u n i t y . T h u s , a s B r y s k h a s p u t i t , ‘ ‘ i n d i g e n o u s c o n c e p t so f l an d a ls o e nc om pa ss l oc at io n a s a s ou rc e o f c ul tu ra l r ep ro du ct io n:t er ri to r y a s i de nt it y’’ ( 2000: 6 1) . T hi s n ot io n i nc lu d es e nv i ro n me nt alc on si d er at io n s, f or l an d ( ‘‘ Mo th er E ar th ’’ ) i s v i ew ed a s a l iv in g o rg an i sm

w ho se e xi st en ce a nd i nt eg ri ty m us t b e r es p ec te d. ‘‘ Am on g o u r p ri nc i-p l es – e x pl ai ne d G il b er to C ob ar ıa , t he U ’w a’ s s po ke sp er so n – i s t hea w a r e n e s s t h a t w e , t h e U ’ w a , a r e h e r e t o p r o t e c t , t a k e c a r e a n d m a i n -t ai n t he b al an ce o f t he e ar th a nd o f th e ex is te nc e i n t hi s p la ne t. ’’2

I d e n t i t y , l a n d , a n d e n v i r o n m e n t a l p r e s e r v a t i o n t h u s c o m e t o g e t h e r i nt h e r a d i c a l i n d i g e n o u s d e f e n s e o f c o l l e c t i v e l a n d r i g h t s ( B a r t r a 2005).

I n d i g e n o u s c l a i m s h a v e r a i s e d a f o r m i d a b l e p o l i t i c a l a n d l e g a l c h a l -

l e n g e t o L a t i n A m e r i c a n s t a t e s a n d T N C s w i t h i n t e r e s t s i n t h e r e g i o n .I n p u rs ui ng t he ir d e ma nd s, i nd ig en ou s p e op l es h av e c om bi ne d n at io na la nd i nt er na ti o na l m ob il i za ti on . A t t he n at io na l s ca le , i nd ig en ou s u pr is -i ng s h av e b ee n t he m os t e ff ec ti ve f or m o f c on te st at io n o f s tr uc tu ra la dj u st me nt p ro gr am s a nd p la ce d t he i ss ue o f i nd ig en ou s r ig ht s a t t hec e n t e r o f p o l i t i c a l d e b a t e . T h e p o w e r o f t h e n a t i o n a l m o v e m e n t s a n di nd i ge no u s o rg an iz at io ns , e sp e ci al ly i n c ou n tr ie s w it h a l ar ge n at iv ep o pu la ti o n, h as r is en s in ce t he 1 99 0 M ar ch f o r T e rr it or y a n d D ig ni ty i n

B o l i v i a a n d t h e n a t i o n w i d e levantamiento ( u p r i s i n g ) i n E c u a d o r i n t h es a m e y e a r . T o d a y , t h e p o w e r o f t h e B o l i v i a n K a t a r i s t a m o v e m e n t a n dt h e E c ua d o ri a n P a ch a ku t ic p a rt y t o d e st a bi l i ze n a ti o na l g o v er n me n tsa nd p re ss f or s tr uc tu ra l c on st it ut io na l r ef or ms b ea rs w it ne ss t o t heg r ow i ng p o l it i ca l c l ou t o f i n d ig e no u s p e o pl e s ( D av a lo s 2005; T ap ia2005; V a n C o t t 2003) . L o c a l a n d n a t i o n a l p r o t e s t s , m a r c h e s , a n d a c t so f c iv i l d i so b ed ie nc e h av e b ee n a rt ic ul at ed w i th s ol id ar it y c am pa ig nsp u t t o g e t h e r b y c o a l i t i o n s o f t r a n s n a t i o n a l i n d i g e n o u s r i g h t s o r g a n i z a -

t i o n s ( e . g . t h e I n t e r n a t i o n a l G r o u p o n I n d i g e n o u s A f f a i r s , a n d S u r v i v a lI nt er na ti o na l) , h um an r ig ht s N GO s ( e. g. H um an R i gh ts W at ch a ndt h e W a s h i n g t o n O f f i c e o n L a t i n A m e r i c a ) , a n t i - p o v e r t y o r g a n i z a t i o n s( e . g . O x f a m ) , f a i t h - b a s e d c o a l i t i o n s ( t h e W o r l d C o u n c i l o f C h u r c h e s ) ,

2 I n t e r v i e w w i t h G i l b e r t o C o b a r ı a , B o g o t a, J u n e 1 5 , 2 0 0 0 .


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a nd e nv ir on me nt al is t o rg an iz at io ns a nd n et wo rk s ( e. g. R ai nf or es tA c t i o n N e t w o r k a n d O i l w a t c h ) .

A s f o r t h e d i s t i n c t i v e l y l e g a l d i m e n s i o n o f t h e m o v e m e n t , t r a n s n a -

t i o n a l i n d i g e n o u s m o b i l i z a t i o n h a s g i v e n r i s e t o o n e o f t h e m o s t p o t e n tc ha ll en ge s t o n at io n al a nd i nt er na ti o na l l eg al s ys te ms . A ga in st t hei n d i v i d u a l i s t i c a n d m o n o c u l t u r a l s l a n t o f m o d e r n l e g a l o r d e r s , i n d i g e n -o u s p e o p l e s h a v e v i n d i c a t e d a r e l a t i o n a l a n d c o l l e c t i v e u n d e r s t a n d i n go f ri gh ts ( th us a dd in g c ol le cti ve r ig hts t o t he l ib era l re per to ir e o f i nd iv i du a l g ua ra nt ee s) a nd p ro p os ed m ul ti cu lt ur al l eg al f ra me wo rk sg u a r a n t e e i n g t h e r i g h t t o d i f f e r e n c e ( K y m l i c k a 1999; Santos 2002a).

D em an d s f or t he p ro te ct io n o f i nd i ge no u s p e op l es ’ c o ll ec ti v e e nt it le -

m en ts h av e l ed t o p ro f ou n d t ra ns fo rm at io n s o f n at io na l a nd i nt er na -t io n al l aw . S in ce t he l at e 1 9 80 s, c o ns ti tu t io ns a cr os s L at in A me ri cah av e r ec og ni ze d f or t he f ir st t im e t he m ul ti cu lt ur al c ha ra ct er o f t hep o p u l a t i o n a n d i n c o r p o r a t e d i n d i g e n o u s r i g h t s ( V a n C o t t 2000) . A f t e rt h e p i o n e e r i n t r o d u c t i o n o f i n d i g e n o u s e n t i t l e m e n t s i n t h e N i c a r a g u a nc o n s t i t u t i o n i n 1 9 8 7 i n t h e w a k e o f t h e c o n f l i c t b e t w e e n t h e M i s k i t oa nd t he S an di ni st a g ov er nm en t, a w av e o f n ew c on st it ut io ns i nt ro -

d u ce d s pe ci f ic p ro v is io ns o n i nd i ge no us r ig ht s: B ra zi l ( 1 98 8 ), C o lo mb ia( 19 9 1) , M ex i co ( 19 9 1) , P er u ( 19 9 3) , B ol iv i a ( 1 99 4 ), a nd V en ez ue la( 20 00 ). A s sh ow n b el ow i n th e d es cri pti on o f th e w ay i n w hi ch th eU ’ w a r e s o r t e d t o t h e C o l o m b i a n C o n s t i t u t i o n a l C o u r t t o d e f e n d t h e i rr ig ht t o t er ri to ry , i nd i ge no u s m ov e me nt s h av e i nt eg ra te d t he n ew lye s t a bl i s h e d c on s t i t ut i on a l f r a m e wor ks i n t o t h e i r pol i t i c a l s t r ug g l e .

A p ar al le l t ra ns fo rm a ti on h as b ee n t ak in g p la ce w it hi n t he i nt er na -t i o n a l s y s t e m o f h u m a n r i g h t s . G i v e n t h e f a i l u r e o f t h e e x i s t i n g h u m a n

r igh ts s yst em t o d eal w it h t he c la ims o f i nd ig en ou s p eo pl es , o ne o f t hec en tr al g oa ls o f t he t ra ns na ti o na l a dv o ca cy n et wo rk f o r i nd ig en ou s r ig ht sh a s b e e n t h e r e f o r m o f t h e s y s t e m ( A n a y a 1996; Ky ml i cka 1999) . T w ok ey i n st ru me n ts h av e r es ul te d f ro m t hi s e ff or t. F i rs t, t he I nt er na ti on alL ab ou r O rg an iz at io n ( ILO ) a pp ro ve d C on ve nti on N o. 1 69 i n 1 98 9,w hi ch r eco gn iz es n ati ve p eo pl es’ r ig ht t o p ol iti ca l a nd c ult ur al s el f-de te r mi n at i on a n d t e rr i tor y wi th i n n a ti ona l s t at e s. S i nc e e n te r in g i n tof o r c e i n 1 9 9 1 , t h e c o n v e n t i o n h a s m a r k e d t h e t u r n o f i n t e r n a t i o n a l l a w

a way f r om a s si mi l at i oni s t vi e ws a n d pr ovi ded a bl uepr i nt f or l e ga l r e for ma nd a dj ud ic at io n i n f av or o f i nd ige no us r ig ht s i n L at in A me ri ca a nde l se whe r e. S e con dly , t h e m ost c ompr eh e ns i ve a tt e mpt a t i n cor por at i ngi nd ig en ou s c la im s i nt o t he i n te rn at io na l s ys te m o f h u ma n r ig ht s i s t heU N D ra ft D ec lar at io n o n t he R ig ht s o f I nd ig en ou s P eo pl es. T he o utc om eo f t en y ea rs o f d el ib er at io n o f t he U N W ork in g G ro up o n I nd ig en ou s


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P op u la ti o ns a nd v i go ro u s N GO l o bb yi ng , t he D ra ft D ec la ra ti on i s s ti llw o r k i n g i t s w a y u p t o t h e U N G e n e r a l A s s e m b l y .

The f in al pie ce of t he n ew l eg al r eper toir e use d by c ross -bor de r s ol idar it y

c oa li ti on s i s tr an sn at io na l l it ig at io n. I n s om e c as es , s ui ts h av e b ee nbr oug h t be f or e t h e c our t s of t h e c oun t r y of or i g i n of t h e TN C a c c us e d of viola ti ng i ndig en ous r ig ht s. Thi s i s i ll us tr at ed by t he f ai le d Aguinda v.Texaco case, in which the participants in the above-mentioned campaignt o h ol d Texac o r es pons ible f or e nvir on me nt al deg ra da ti on i n E cuador f il eds ui t a ga in st T ex ac o i n t he U S c ou rt s. I n o th er i ns ta nc es , t he st ra te gyconsists in bringing cases involving violations of indigenous rights beforer eg iona l j udic ia l bodie s. I n L at in A me ri ca , i ndig en ous r ig ht s a dvoc at es

h av e r es or te d o n s ev er al o cc asi on s ( in cl ud in g i n t he U ’w a c as e) to t heInter-American Commission/Court of Human Rights. Despite the limita-t io ns o f t he l eg al i ns tr um en ts t ha t p ro vi de t he b as is f or t he se s ui ts ( na me ly ,t he f ac t t ha t t he y prote ct onl y c ivil l iber ti es a s oppos ed t o c ol le ct ive r ig ht s) ,litigation-oriented organizations participating in international indigenousc oa li ti on s ( e.g. t he U S- ba se d I ndia n L aw Res ourc e C en te r a nd t he t ra ns na -tional Center for Social and Economic Rights) have creatively extended

the interpretation of such instruments to include indigenous rights. Thiss tra te gy l ed to t he l an dma rk d ec is io n o f th e In te r- Am er ic an Co urt o f H um an Rig ht s a ga in st N ic ar ag ua i n 2001 t ha t s upport ed t he c as e of t heAwas Tingni against logging in their ancestral territory, which expandedthe notion of private property to encompass the collective entitlement of indigenous people to territory (Anaya and Grossman 2002).

I n s u m , i n d i g e n o u s p e o p l e s h a v e a l l i e d w i t h t r a n s n a t i o n a l c o a l i t i o n st o r es is t t he s ec on d c o nq u es t t hr ou gh p o li ti ca l a nd l eg al s tr at eg ie s a t

t h e l o c a l , n a t i o n a l , r e g i o n a l , a n d g l o b a l s c a l e s . I n s o d o i n g , t h e y h a v eg ai ne d u n pr ec ed en te d p o li ti ca l c lo u t a nd p r om pt ed a r ad i ca l r ev i si o n o f n a t i o n a l c o n s t i t u t i o n s a n d i n t e r n a t i o n a l l a w . A l l o f t h e s e p r o c e s s e s a r ev iv id ly i ll us tr ate d b y th e i ntr ic ate p ath o f t he st ru gg le o f t he U ’w ap e o p l e , t o w h i c h w e n o w t u r n .

10.3 T H E U ’ W A C A S E

10.3.1 Acting locally: the grassroots mobilization for territoryT he U ’w a (a na me t hat me an s ‘‘ pe op le w ho th in k, p eop le w ho k no w h owt o s pe ak ’’ ) c urr en tl y o cc up y a s wat h o f l an d o f a pp ro xi ma te ly 6 0, 00 0h e c t a r e s i n n or t h e a s t e r n C ol om bi a . H owe ve r , t h e i r a n c e s t r a l t e r r i t or y i sconsiderably larger, encompassing areas of several Colombian provincesa n d e x t e n d i n g t o t h e w e s t e r n p a r t o f V e n e z u e l a ( O s b o r n 1985).


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T h e f i r s t s i g n s o f t h e s e c o n d c o n q u e s t o f t h e U ’ w a t e r r i t o r y a n d t h eo r i g i n s o f t h e i r p o l i t i c a l m o b i l i z a t i o n p r e d a t e d O x y ’ s a r r i v a l b y s e v e r a ld e c a d e s . I n t h e 1 9 4 0 s , i m p o v e r i s h e d c o l o n i s t s f l e e i n g f r o m p o v e r t y a n d

v i o l e n c e i n t h e C o l o m b i a n h i n t e r l a n d b e g a n s l o w l y t o e a t a w a y a t t h eU ’w a t er ri to ry . A lb ei t c oe xi st in g p ea ce fu ll y w it h t he n ew co me rs , t heU ’ w a b e g a n t o o r g a n i z e i n t h e e a r l y 1 9 7 0 s t o r e s i s t t h e t h r e a t s t o t h e i rc ul tu re a nd t he e nv ir on me nt p os ed b y t he c ol on iz at io n p ro ce ss . I n ap r o c e s s p a r a l l e l t o t h e o n e t a k i n g p l a c e a c r o s s L a t i n A m e r i c a , t h e U ’ w af ou n de d t he ir f i rs t p o li ti ca l a ss oc ia ti o n i n 1 9 76 , w hi ch l at er b e ca mep a r t o f t h e r i s i n g n a t i o n w i d e i n d i g e n o u s m o v e m e n t a n d t h e N a t i o n a lI nd i ge no u s O rg an iz at io n o f C ol om bi a ( ON IC ). T he p ro ce ss o f p o li ti ca l

o r g a n i z a t i o n s w e n t h a n d i n h a n d w i t h a p r o c e s s o f c u l t u r a l a f f i r m a t i o n ,a s s h o w n b y t h e c o m m u n i t y ’ s d e c i s i o n i n 1 9 9 0 t o r e p u d i a t e t h e n a m ethe Sp anish had giv en them (Tuneb o) and revert to the originali n d i g e n o u s n a m e o f t h e i r p e o p l e ( U ’ w a ) ( M e s a 1996).

T h e v i n d i c a t i o n o f t h e r i g h t t o t e r r i t o r y h a s b e e n a t t h e h e a r t o f t h eU ’ w a m o v e m e n t s i n c e i t s i n c e p t i o n . T h r o u g h o u t t h e 1 9 7 0 s a n d 1 9 8 0 s ,t he U ’w a p r es se d t he C ol o mb i an g ov er nm en t t o r ec og ni ze t he ir c ol -

l e c t i v e e n t i t l e m e n t o n t h e i r l a n d . T h i s l e d t o t h e c r e a t i o n o f a 4 5 , 4 4 0 -h ec ta re r es er va ti on i n 1 97 4, w hi ch w as e xp an de d, a ft er c on ti nu ou smo bi li za ti on b y t he U’ wa a nd ON IC, t o 6 1, 11 5 h ect are s i n 1 98 7.This solu tio n, howev er, was far short of what the U’ wa had beend em an di ng , f or t he n ew r es er va ti on d id n ot i nc lu de t he t er ri to ri eso cc up ie d b y t he d if fe re nt U ’w a c om mu ni ti es, w hi ch , t he re fo re ,r e m a i n e d s e p a r a t e d . T h u s , i n t h e e a r l y 1 9 9 0 s , e n c o u r a g e d b y t h e r e c o g -n i t i o n o f i n d i g e n o u s r i g h t s i n t h e 1 9 9 1 C o n s t i t u t i o n , t h e U ’ w a a n d t h e

n at io n al i nd ig en o us m ov e me nt ( th ro u gh O NI C) r es um ed t he c am -p ai gn f or t he ir ri gh t t o l iv e t og eth er i n a u ni fi ed r ese rv at io n i n a p ort io no f t h e i r a n c e s t r a l t e r r i t o r y ( I D E A D E 1996).

I t w as a t t he h ei gh t o f t hi s t wo -d ec ad e- lo ng s tr ug gl e i n 1 99 2 t ha tO x y e n t e r e d t h e s c e n e , e v e n t u a l l y p r o m p t i n g t h e i n t e r n a t i o n a l i z a t i o na nd j ud ic ia li za ti on o f t he c as e. U po n s ig ni ng a j oi nt v en tu re a gr ee -m e n t w i t h C o l o m b i a ’ s o i l c o m p a n y ( E c o p e t r o l ) a n d S h e l l t o e x p l o i t ad r il l s i te ( c al l ed S a mo r e B l oc ) t h at p a rt i al l y o v er l ap p e d w i th t h e U ’ wa

h om el an d , O xy a pp l ie d f or a l ic en se f ro m C ol o mb i a’ s e nv i ro n me nt alau tho ri ti es i n Ma y 1 99 2. A t a ro un d t he sa me t ime , O xy b eg an g eo -l o g i c a l t e s t i n g o n t h e s i t e t h r o u g h a c o n t r a c t o r ( P r o j e c t U n d e r g r o u n d1998).

T he se d ev el o pm en ts p ro mp te d t he f i rs t U ’w a d ec la ra ti on a ga in stOxy, released in March 1993. In it, the U’wa announced their


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o pp os iti on t o a ny k ind o f o il e xp lo ra ti on o r e xp lo it ati on i n t hei rt er ri to ri es . A s B er it o K ub ar u’ wa , a c om mu ni ty l ea de r, p ut i t i n o uri nt er vi ew ( an d a s t he o ff ic ia l U ’w a c om mu ni q ues h av e r ep ea te dl y

s ta te d) , t he ra di cal n at ur e o f t hi s s tan ce s tem s f ro m t he U ’w a v ie wt h a t t h e l a n d ‘ ‘ i s a l i v i n g o r g a n i s m l i k e a n y o f u s . . . S o , j u s t a s w e h a v ev e i n s t h r o u g h w h i c h o u r b l o o d c i r c u lat e s a n d k e e p s o u r b o d y w a r m , o i li s f o r u s t h e b l o o d o f M o t h e r E a r t h . ’ ’3

B e t w e e n 1 9 9 3 a n d e a r l y 1 9 9 5 , t h e c o n f l i c t a n d t h e U ’ w a c a m p a i g nw o u l d r e m a i n w i t h i n C o l o m b i a n b o r d e r s . O v e r t h a t p e r i o d , t h e U ’ w ap o l i t i c a l a u t h o r i t i e s ( o r g a n i z e d i n t h e c o m m u n i t y ’ s c o u n c i l o r cabildo)e n g a g e d t h e C o l o m b i a n g o v e r n m e n t t o h a l t O x y ’ s p r e p a r a t i o n s f o r o i l

d r i l l i n g . I n v o k i n g t h e i r n e w l y a c q u i r e d c o n s t i t u t i o n a l r i g h t to b e c o n -s ul te d b ef or e t he l ic en se f or o il e xp lo ra ti on c ou ld b e g ra nt ed ,4 t he U ’w a( wi th t he s up po rt o f O NI C a nd C ol om bi an h um an r ig ht s o rg an iz a-t i o n s ) p e r s u a d e d t h e n a t i o n a l o f f i c e f o r i n d i g e n o u s a f f a i r s t o o r g a n i z e am e e t i n g w i t h O x y a n d r e p r e s e n t a t i v e s o f E c o p e t r o l , t h e M i n i s t r y o f t h eE nv i ro n me nt , a nd t he M in is tr y o f M in in g a nd E ne rg y. T he m ee ti ng ,h el d i n J an ua ry 1 9 95 , c on cl ud e d w it h a j oi nt c om mu n iq u e w he re by

O xy a nd t he C ol om bi an g ov er nm en t o st en si bl y a ck no wl ed ge d t heU ’w a’ s ri gh t t o p ar ti ci pa te i n a p ro ces s a im ed a t m od if yi ng t he o ile x p l o r a t i o n p r o j e c t . T h e d e c l a r a t i o n a l s o a n n o u n c e d a s e c o n d m e e t i n go f t h e p a r t i e s i n F e b r u a r y o f t h e s a m e y e a r .

In a s urp ri sin g t wi st o f e ve nt s, th e M ini st ry o f th e En viro nme ntg ra nt ed t he l i ce ns e f or o il e x pl or at io n o n F e br u ar y 3 , 1 9 95 . A cc or d in gt o t he M in is try , t he J an ua ry m eet in g h ad f ul fi ll ed t he c on st it uti on alr eq ui re me nt o f c on su lt at io n w it h t he U ’w a. T he b l oc ka ge o f i ns ti tu ti o na l

a ve nue s t h at t h is de ci si on e n ta i le d would r a di c al i ze t h e pol it i ca l m obi -l iza ti on o f th e U’ wa, p ro mp t th e ju di ci al iza ti on o f th e ca se , a nd br in g th eU ’w a c au se t o t he a tt en ti on o f i nte rn at io na l a ud ie nc es. T he t ur ni ngp oi nt ca me tw o we ek s l at er, wh en th e s ec ond me etin g o f th e U’ waw it h O xy a nd t he g ov er nme nt t oo k p la ce a s s ch ed ul ed. C or ne re d b yt he e xe cu ti ve ’s a nd O xy ’s c ol lu si on i n v io la ti n g t he C on st it u ti on a nds en si ng t he i mm in en ce o f o il d ri ll ing , t he U ’w a a nn ou nc ed t ha t t heyw ou ld c ol lec ti ve ly c omm it s ui cid e u nl es s p la ns f or e xp lo ra ti on w ere

h al te d, j ust a s s ome o f t he ir c om mu ni ti es h ad d on e s ev er al c ent ur ie se a r l i e r t o a voi d be i n g e n s l a ve d by S pa n i s h c on qui s t a dor e s :

3 I n t e r v i e w w i t h B e r i t o K u b a r u ’ w a , M a d i s o n , W i s c o n s i n , J u l y 2 0 , 2 0 0 0 .4 T hi s r ig ht i s a ls o e st ab li sh ed i n I LO C on ve nt io n N o. 16 9, w hi ch , a s w e w il l s ee , w ou ld a ls o p la y a

r o l e i n t h e c a s e .


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In view of a secure death as a res ult of the loss of our lands, thee xt er mi na t io n o f o ur n at ur a l r es ou rc es , t he i nv as io n o f o ur s ac r ed p la ce s,t h e d i s i n t e g r a t i o n o f o u r f a m i l i e s a n d c o m m u n i t i e s , t h e f o r c e d s i l e n c e o f o u r s o n g s a n d t h e l a c k o f r e c o g n i t i o n o f o u r h i s t o r y , w e p r e f e r a d e a t hw i t h d i g n i t y : The collective suicide of our communities.5

T h e w i de d i f fu s io n o f t h is d e cl a ra t io n i n t h e n a t i o na l a n d i n te r na t io n alm e d i a e s c a l a t e d t h e c o n f l i c t t o t h e p o i n t t h a t i t e v e n t u a l l y b e c a m e a ni co n o f t he w o rl d wi d e r es is ta nc e o f i nd ig en ou s p e op l es a ga in st p re d a-t o ry d e v el o p me n t a n d c o rp o r at e g l ob a l iz a ti o n. H o w ev e r, t h e i m me d i -a te o ut co me o f i nt er na ti on al p ub li ci ty w as n ot t he m ob il iz at io n o f t ra ns na ti on al a dv o ca cy n et wo rk s ( a d ev e lo p me nt t ha t w ou l d h av e t ow ai t t wo m or e y ea rs ), b ut r at he r t he j ud ic ia li za ti on o f t he s tr ug gl e a t t henatio nal scale. F ro m then o n, legal mo bilizati on wou ld be a co rec o m p o n e n t o f t h e m o v e m e n t i n s u p p o r t o f t h e U ’ w a .

10.3.2 Suing locally: the judicialization of the U’wa caseT he en te ri ng o f t he h ig hes t c ou rts o f t he l an d i nt o t he d isp ut e w asp ro mp te d b y t he C ol om bi an O mb u ds ma n’ s O ff ic e, w hi ch i n A ug u st

1 9 95 b ro u gh t t wo l eg al c ha ll en ge s a ga in st t he g ov e rn me nt , a rg u in gt h a t t h e l i c e n s e g r a n t e d t o O x y v i o l a t e d t h e U ’ w a ’ s c o n s t i t u t i o n a l r i g h tt o e ff ec ti v el y p ar ti ci p at e i n t he p ro c es s. T he O mb ud s ma n’ s O ff ic e’ sl eg al s tr at eg ie s o n b eh al f o f t he U ’w a a nd t he j ud ic ia l p ro ce ss es t he yu n l e a s h e d i l l u s t r a t e t h e t e n s i o n s a n d c o n t r a d i c t i o n s w i t h i n s t a t e a p p a -ra tu se s w ith r ega rd to th e h an dl in g o f t he co nf li ct in g d ema nd s o f r e s o u r c e e x t r a c t i o n a n d i n d i g e n o u s a n d e n v i r o n m e n t a l r i g h t s . O n t h eo n e h a n d , t h e O m b u d s m a n ’ s O f f i c e a s k e d t h e C o n s t i t u t i o n a l C o u r t t o

i ss ue a w ri t t o o rd er t he i mm ed i at e s us pe ns io n o f s ei sm ic p ro sp ec ti ngo p e r a t i o n s i n t h e U ’ w a ’ s h o m e l a n d u n t i l a p r o p e r c o n s u l t a t i o n p r o c e s sw as i mp le me nt ed . C re at ed b y t he 1 9 91 C on st it u ti o n, t he C ou rt h adq u i c k l y e s t a b l i s h e d i t s e l f a s t h e v a n g u a r d o f a n a c t i v i s t j u d i c i a r y a n d ap r og r es s iv e ‘‘ n ew c o ns t it u ti o na l is m ’’ e m br a ci n g a n e x p an s iv e u n de r -s ta nd in g o f h u ma n r ig ht s ( Ro d rıg ue z - Ga r a vi to, G a r cıa a nd U pr im ny2003) . O n t h e o t h e r h a n d , s i n c e t h e l i c e n s e h a d b e e n g r a n t e d b y a na d m i n i s t r a t i v e a g e n c y ( t h e M i n i s t r y o f t h e E n v i r o n m e n t ) , C o l o m b i a nl a w r e q u i r e d t h a t t h e s u i t a g a i n s t t h e e x e c u t i v e b e b r o u g h t b e f o r e t h eh i g h e s t a d m i n i s t r a t i v e c o u r t , t h e C o u n c i l o f S t a t e . F a s h i o n e d a f t e r t h eF r e n c h l e g a l m o d e l , t h e C o u n c i l o f S t a t e h a d f o r d e c a d e s r e p r e s e n t e dt he t ra di ti on o f j ud i ci al r es tr ai nt a nd t he c on se rv a ti v e c o nc ep ti o n o f

5 U ’ wa c o m m u n iq u e 1 9 9 5 ; e m p h a sis in t h e o r ig in al.


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r i g h t s e m b r a c e d b y t h e C o l o m b i a n j u d i c i a r y u n t i l t h e 1 9 9 0 s . W i t h t h ec as e r un ni ng o n o pp os it e j ud ic ia l t ra ck s, a d is ti nc tl y l eg al l ay er o f g lo ba lc on te st at io n – t he c o nf li ct p it ti n g n at io na l g ov e rn me nt s a nd t ra di -

t io na l c ou rt s a ga in st t he ‘‘ ne w c o ns ti tu ti o na li sm ’’ o f a ct iv is t c ou rt sa r o u n d t h e w o r l d ( H i r s c h l 2004) – w a s a d d e d t o t h e U ’ w a s t r u g g l e .

T h e t i m i n g a n d t h e e f f e c t s o f t h e f o r e t o l d c o l l i s i o n o f t h e r u l i n g s o f t h e C o u r t a n d t h e C o u n c i l r e v e a l t h e h i g h p o l i t i c a l s t a k e s ( f o r s o c i a lm ov em en ts , s ta te s, a nd c or po ra ti on s a li ke ) o f t he l oc al c on te st s f orj ud ic ia l s up re ma cy a nd t he i nt er pr et at io n o f r ig ht s t ak in g p la ce i n L at inA m e r i c a a n d e l s e w h e r e . A f t e r m o r e t h a n o n e a n d a h a l f y e a r s o f l e g a lp ro ce ed i ng s t ha t s lo we d d o wn b o th t he U ’w a’ s p o li ti ca l m ob i li za ti on

a nd O xy ’s p rep ara ti on s f or o il ex pl ora ti on , i n F eb ru ar y 1 99 7 t heConsti tutional Court ruled in favor of the U’wa. Invoking theC o n s t i t u t i o n a n d I L O C o n v e n t i o n N o . 1 6 9 , t h e C o u r t c o n c l u d e d t h a ti nd ig en ou s c ol le ct iv e r ig ht s s ta nd o n a p ar w it h i nd iv id ua l h um anr ig ht s. T hu s, t he s ta te ’s a nd a c or po ra ti on ’s i nt er es ts i n o i l d ri ll i ng i st o b e b a l a n c e d w i t h i n d i g e n o u s p e o p l e s ’ r i g h t s t o c u l t u r a l s u r v i v a l a n dt er ri to r y t hr o ug h a n e ff ec ti v e p ro ce ss o f c on su l ta ti o n w it h t he a ct iv e

p ar ti ci pa ti on o f t he a ff ec te d c om mu ni ti es ( Co rt e C on st it uc io na l1997) . S i n c e t h e J a n u a r y 1 9 9 5 m e e t i n g h a d f a l l e n f a r s h o r t o f a m e a n -i n g f u l c o n s u l t a t i o n p r o c e s s , t h e C o u r t o r d e r e d t h a t a n e w m e e t i n g b eh e l d w i t h i n t h i r t y d a y s t o j u m p - s t a r t s u c h a p r o c e s s .

C ar ef ul ly t im ed t o e ro de t he e ff ec ti ve ne ss o f t he C ou rt ’s d ec is io n, t her u l i n g o f t h e C o u n c i l o f S t a t e w a s h a n d e d d o w n o n l y o n e m o n t h l a t e r .F oc us in g o n n at io na l l aw s r at he r t ha n o n c on st it ut io na l o r i nt er na -t io na l l aw t ex ts o n i nd ig en ou s r ig hts , th e C ou nc il f ou nd t ha t th e

C ol omb ia n s tat e w as n ot l eg al ly o bl ig ate d t o c on su lt a nd r eac h a na gr ee me nt w it h n at iv e c om mu n it ie s b ef o re g ra nt in g l ic en se s f or o i ld r il l i ng . I n fo r mi n g t h e a f fe c te d c o mm u ni t ie s a b o ut p l an s f o r r e so u r cee x t r a c t i o n a n d e l i c i t i n g t h e c o m m u n i t y ’ s f e e d b a c k , a s t h e s t a t e a u t h o -r it ie s h ad d on e, s at is fy t he s ta nd ar d s et b y n at io na l l aw s ( Co ns ej o d eEstado 1997) . M a k i n g c l e a r t h a t i t s d e c i s i o n w a s t o b e r e g a r d e d a s t h ed ef i ni ti v e o n e ( th us d i sp u ti ng t he j u ri sd i ct io n o f t he C on st it ut io n alC o u r t o v e r t h e c a s e ) , t h e C o u n c i l a u t h o r i z e d o i l e x p l o r a t i o n t o r e s u m e .

T he h ea d- on c la sh b et we en t wo o f C ol om bi a’ s h ig he st c ou rt s l ef tthe U’wa in a limb o. In fact, their struggle had metamorphosedi nt o a c on te st f o r j ud i ci al s up re ma cy . M ag ni fy in g t he c o nf u si on a ndd i sa p po i nt me nt w it h t he a mb i gu o us o u tc om e w as t he g eo g ra p hi c a ndc u l tu r al d i st a nc e b e tw e en t h e B o go t a c o u rt s a n d t h e U ’ wa c o mm u ni -t i e s . E v a r i s t o T e g r ı a , a U ’ w a l a w y e r w h o w o r k e d a s l e g a l c o u n s e l i n t h e


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c as e, d es cr ib ed t he e pi so de a s f ol lo ws : ‘‘ wh en t he U ’w a w on t he c as eb e f o r e t h e C o n s t i t u t i o n a l C o u r t , t h e y w e n t u p t o t h e m o u n t a i n s , f u l l o f j o y , t o e x p l a i n t h e d e c i s i o n t o t h e c o m m u n i t i e s . O n t h e i r w a y d o w n ,

t h e y r a n i n t o f e l l o w U ’ w a w h o w e r e m a k i n g t h e h i k e t o b r i n g t h e n e w so f t he d ec is io n o f t he C ou nc il o f S ta te [ ov er tu rn in g t he C ou rt ’s r ul -ing].’’6 B ey on d t he c on tr ad i ct io n b et we en t he r ul in gs , t he U ’w a w er eb a f f l e d t h a t b o t h c o u r t s h a d f o c u s e d o n t h e i r r i g h t t o p a r t i c i p a t e i n t h ec on su lt at io n p ro ce ss r at he r t ha n o n t he s ub st an ce o f t he ir c la im , t ha t i s,t h e i r o p p o s i t i o n t o o i l d r i l l i n g o n p r i n c i p l e d ( a s o p p o s e d t o p r o c e d u r a l )g r o u n d s , w h i c h t h e y s a w a s n o n n e g o t i a b l e . A s t h e U ’ w a p u t i t i n t h e i rc o mm u ni q u e o n t h e C o ns t it u ti o n al C o u rt ’ s r u li n g, ‘‘ w e d o n o t u n de r -

s t a n d w h y t h e y w i l l c a l l u s t o p a r t i c i p a t e i n a n a u d i e n c e i f t h e y a l r e a d yk no w w ha t we have to say, which i s what we have b een saying since thebeginning.’’7

I n a ss es si ng t he p ot en ti al a nd t he l im it s o f l aw -c en te re d t ac ti cs i n t heU ’ w a c a m p a i g n i n t h e n e x t s e c t i o n , w e w i l l r e t u r n t o t h e p o l i t i c a l a n dc ul tu ra l c o nt ra di ct io ns e xp o se d b y t he j u di ci al iz at io n o f t he s tr ug gl e.F o r t h e p u r p o s e s o f t h e d e s c r i p t i o n o f t h e c a s e i n t h i s s e c t i o n , w h a t i s

w or th n ot in g i s t ha t t he o ut co me o f t he j ud ic ia l p ha se e ff ec ti ve ly c lo se do f f t h e r e m a i n i n g i n s t i t u t i o n a l a v e n u e s w i t h i n C o l o m b i a . T h i s c r e a t e dt h e t y p e o f d o m e s t i c b l o c k a g e t h a t , a s K e c k a n d S i k k i n k ( 1998) h a v en o t e d , u n d e r l i e s t h e t r a n s n a t i o n a l i z a t i o n o f r e s i s t a n c e . T h e U ’ w a c a u s ew as n o e xc ep ti o n t o t hi s p at te rn , a s s ho w n b y t he s ub se q ue nt s ca li ng u po f p o l i t i c a l a n d l e g a l t a c t i c s t o t h e g l o b a l l e v e l .

10.3.3 Acting and suing globally: the transnational coalition in

support of the U’waI n c on tr as t t o t he s eq ue nc e o f p ol it ic al a nd l eg al t ac ti cs a t t he n at io na ls c a l e , t h e t r a n s n a t i on a l i z a t i on of t h e U ’wa s t r ug g l e t ook pl a c e s i m ul t a n -e ou sl y t hr ou gh p ol it ic al a nd j ur id ic al r ou te s. R ea ct in g q ui ck ly t o t heoutcome of the judicial impasse in Colombia, the transnational advocacyn et wo rk ( TA N) t ha t h ad b ee n a ss em bl in g p ur su ed t wo s tr at eg ie s. O n t heo ne h an d, i n M ay 1 99 7, t he Am az on C oa li ti on , a US -b as ed e nv iro nm en -ta li st N GO , i nv ite d U ’w a a nd O NIC l ea de rs o n a s pe ak in g to ur o f s ev era l

U S c i t i e s . Th e pr e s e n t a t i on of t h e c a s e by U ’wa l e a de r B e r i t o Kuba r u’wah el pe d e st abl is h di re ct r el a ti on s wit h t ra n sn at ion al a ct ivis ts a n d N GO st h a t woul d pr ove i n s t r um e n t a l i n f ut ur e ph a s e s of t h e c a m pa i g n . O n t h e

6 I n t e r v i e w w i t h E v a r i s t o T e g r ı a , B o g o t a, J u n e 1 5 , 2 0 0 0 .7 U ’ wa c o m m u n iq u e, F e b r u ar y 1 0 , 1 9 9 7 .


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o th er h an d, w hi le i n W ash in gt on , D C o n t he s am e t ri p, B eri to K ub ar u’ waand the head of ONIC submitted a formal complaint against theC ol om bi an g ov er nm en t b ef or e t he I nt er -A me ri ca n C om mi ss io n o f

Human Rights. Drafted by experts from transnational litigation-oriented NGOs (the Earth Legal Defense Fund, the Center for Justice andInternational Law, and the Colombian Commission of Jurists), the com-pl a i n t a dde d a r e g i on a l l a y e r t o t h e pr ot r a c t e d l e g a l ba t t l e of t h e U ’wa .

After the first visit o f the U’w a to the US, the memb ership anda ct iv it ie s o f t he T AN g re w e xp o ne nt ia ll y. T u rn ed i nt o i co n s o f i nd i-g e no u s r e si s ta n ce a g ai n st e n vi r on m en t al d e g ra d at i on a n d e t hn o c id e ,B er it o K u ba ru ’w a a nd o th er U ’w a s po k es pe op l e h av e s in ce s pl it t he ir

t im e b et we en w o rk i n t he ir c om mu n it y a nd p a rt ic ip at io n i n m ul ti p lei nt er na ti on al f or a. T he n um be r o f U ’w a i nt er na ti on al t ou rs a t t heh ei gh t o f th e c amp ai gn b etw ee n 1 99 7 an d 2 00 0 ( se ve n i n th e U S,s ev en i n E uro pe , a nd m an y m or e i n L ati n Am eri ca ) i ll ust rat es th ed y n a m i s m o f t h e t r a n s n a t i o n a l c a m p a i g n .

T h e T A N ’ s m e m b e r s h i p a n d s t r a t e g i e s a r e h i g h l y h e t e r o g e n e o u s . I nt h e U S , t h e k e y o r g a n i z a t i o n s h a v e b e e n R a i n F o r e s t A c t i o n N e t w o r k

( RA N) a nd A ma zo n W at ch, as w el l a s t he c oa li ti on o f N GO s t hate st ab l is he d t he U ’w a D ef en se P ro j ec t t o s er ve a s a c oo rd i na ti ng n o defo r the camp aign. To p ut p ressu re on Ox y to withdraw fro m U’wat er ri to ry , U S a ct iv i st s h av e p u rs ue d n um er ou s s tr at eg ie s a nd f or ms o f d ir ec t a ct io n. T he y h av e i nc lu de d n eg at iv e p ub li ci ty c am pa ig ns i nv is ib le m ed ia o ut le ts s uc h a s t he New York Times, the award of theU S $ 1 0 0 , 0 0 0 G o l d m a n E n v i r o n m e n t a l P r i z e i n 1 9 9 8 t o t h e U ’ w a , w e l l -a t t e n d e d r a l l i e s a g a i n s t p r e s i d e n t i a l c a n d i d a t e A l G o r e ( w h o h a s l o n g -

s ta nd in g t ie s w it h O xy ) d ur in g t he 2 00 0 c am pa ig n, p ro te st s a t O xy ’ss ha re ho ld e rs ’ m ee ti ng s, a nd t he t ar ge ti ng o f O xy ’s m ai n i ns ti tu ti o na li n v e s t o r , m u t u a l f u n d c o n g l o m e r a t e F i d e l i t y I n v e s t m e n t s , a n d d e m o n -s tr at io n s a nd d i re ct a ct io n s a t o v er s ev e nt y- fi ve l o ca ti on s i n t he U S,

Japan, and the UK (Reinsborough 2004).A c c i on E c ol og i c a , a t r a n sn a t i ona l e n vi r on m e n ta l i s t N G O ba s e d i n

E cu ad o r, c oo rd in at ed t he L at in A me ri ca n a nd E ur op ea n b ra nc he s o f t he T AN . T hr ou g h O il wa tc h ( a t ra ns na ti on al c oa li ti on f oc us in g o n

c re at in g d ir ec t g ra ss ro ot s l in ks a mo ng c om mu ni ti es h ar me d b y o ilexploration), Accion Ecologica sponsored a trip by Colombian indigen-o u s S e n a t o r L o r e n z o M u e l a s t o N i g e r i a i n 1 9 9 9 , a s w e l l a s a s u b s e q u e n tt rip b y M uel as and B eri to K ub ar u’ wa t o t he l and o f t he E cu ad ori anS ec oy a, a n i nd ig en ou s c om mu ni ty a ff ec te d b y O xy ’s d ri ll in g i n t he irt er ri to ry . I n E ur op e, a ct iv is m b y T AN m emb er s i nc lu di ng t he I tal i an


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G re en P ar ty a nd L on do n’ s R ec lai m t he S tr ee ts l ed t o t he d ec isi on o f t heS pa ni sh g ov er nm en t t o a wa rd t he U ’w a t he B ar to lo me d e l as C as as P ri zef o r t h e i r r o l e i n t h e d e f e n s e o f i n d i g e n o u s r i g h t s .

T h u s i n t e g r a t e d i n t o t h e g l o b a l j u s t i c e m o v e m e n t , t h e U ’ w a c a s e h a sb ee n f ea tu re d p ro mi ne nt ly a t s ev er al e ve nt s, f ro m t he r al li es a ga in st t heW o r l d B a n k i n W a s h i n g t o n i n 2 0 0 0 t o t h e 2 0 0 4 S o c i a l F o r u m o f t h eA m e r i c a s i n Q u i t o a n d t h e a n n u a l W o r l d S o c i a l F o r u m . I n a ‘ ‘ b o o m e r -a ng e ff ec t’’ ( K ec k a nd S ik k in k 1998) , t he n ew s tr en gth t ha t s uc h a no u t b r e a k o f t r a n s n a t i o n a l s o l i d a r i t y i n f u s e d i n t o t h e m o v e m e n t s h i f t e dth e c orr el ati on o f f or ces a t t he l oca l sc al e i n t he n ex t r ou nd o f c on -f ro n ta ti on b et we en t he U ’w a, O xy , a nd t he C ol om bi an g ov e rn me nt .

F ro m t hi s p o in t o n , t he l o ca l, n at io n al , a n d i nt er na ti o na l t hr ea ds o f t hec on fl ic t w ou ld b ec om e w ov en t og et he r i n a n i nt ri ca te p at te rn t ha te xp o se s t he c om pl ex i ty , p o te nt ia l, a nd l im it s o f p ol i ti ca l c on te nt io na n d l e g a l m o b i l i z a t i o n a c r o s s b o r d e r s .

10.3.4 The boomerang effectW it h a c om pl ai nt a ga in st t he C ol om bi an s ta te p en di ng b ef or e t he I nt er -

A me ri ca n C om mi ssi on o n H um an R ig ht s, a d yn am ic t ra ns na ti on alc oa li t i on m obil i z in g a g a in s t O xy , a n d i n t er n a ti on al a wa rds e n h an c i ngt he m ov em ent ’s s ym bo li c a nd e co no mi c c ap it al , t he g ov er nm enta nd O xy f elt t he p re ss ur e t o r eo pe n t he l oc al p ro ce ss o f n eg oti ati ont ha t t he c la sh b etw ee n t he C ol om bia n c ou rt s h ad l eft a ll b ut d ea d.T he re fo re , i n M ay 1 9 97 , t he g ov er nm en t r eq ue st ed t he i nt er ve nt io no f t h e O r g a n i z a t i o n o f A m e r i c a n S t a t e s ( O A S ) t o c a r r y o u t a s t u d y o f t h e c o n f l i c t a n d t o m a k e r e c o m m e n d a t i o n s t o p u t a n e n d t o i t .

T he O AS p ut t og et he r a j oi nt p ro je ct w it h e xp er ts f ro m H ar va rdU n iv e rs i ty ’ s P r og r am o n N o nv i o le n t S a nc t io n s a n d C u lt u ra l S u rv i v al(Macdonald 1998) . B a s e d o n r e s e a r c h in situ, t h e O A S / H a r v a r d g r o u pi s s u e d a r e p o r t i n S e p t e m b e r 1 9 9 7 r e c o m m e n d i n g , a m o n g o t h e r m e a -s ur es : ( 1 ) a n i mm ed i at e s us pe ns io n o f o i l e xp l or at io n i n t he t er ri to ryu nd er d is pu te ; ( 2) t he g ra nt in g o f t he l on g- st an di ng p et it io n o f t heU ’ w a t o l i v e i n a u n i f i e d r e s e r v a t i o n ; ( 3 ) t h e e s t a b l i s h m e n t o f a t w o -p h a s e c o n s u l t a t i o n p r o c e s s , w h e r e b y n e g o t i a t i o n s w o u l d b e c o n d u c t e d

first to i dentif y the l imits of U’ wa territory (o utsid e o f which thesu sp en si on o f o il o pe rat io ns c ou ld b e l if ted ), a nd t hen to d ev el opm e a s u r e s t o p r e v e n t h a r m t o t h e U ’ w a t h a t m i g h t r e s u l t f r o m r e n e w e do i l e x p l o r a t i o n ; a n d ( 4 ) t e c h n i c a l a s s i s t a n c e t o t h e U ’ w a t o e n s u r e t h a tt h e y a r e ‘ ‘ a d e q u a t e l y p r e p a r e d t o e v a l u a t e a n d t o d e c i d e o n t h e i s s u e su n d e r c o n s i d e r a t i o n ’ ’ ( M a c d o n a l d , A n a y a , a n d S o t o 1998).


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T he C ol om b ia n g o ve rn me nt a nd O xy a cc ep te d t he r ec om me nd at io nsa nd i nf or me d t he O AS o f t he ir i nt er es t i n t he c on ti nu at io n o f t hep ro p os ed p ro c es s. T he U ’w a ’s a nd O NI C’ s r ea ct io n w as c au ti o us , a s

t h e y w e r e w a r y t h a t t h e r e p o r t c o u l d o p e n t h e w a y t o o i l e x p l o r a t i o ni ns id e U ’w a t er ri to ry . A rg ui ng t ha t ‘‘ a d ia lo gu e i n w hi ch o ne g ro upc on v in c e s t h e ot h e r i s n ot a d ia l og ue , bu t a n i mp os i t i o n,’’ t h e ye xp re ss ed d ou bt s a bo ut t he d e li b er at iv e c ha ra ct er a nd o p en ne ss o f t h e p r o p o s e d c o n s u l t a t i o n .8 T h e U ’ w a n e v e r s e n t t h e O A S t h e f o r m a ls t a t e m e n t o f i n t e r e s t t h a t , a c c o r d i n g t o t h e r e p o r t , w o u l d b e n e c e s s a r yf o r t h e i m p l e m e n t a t i o n o f t h e r e c o m m e n d a t i o n s o f t h e O A S / H a r v a r dg r o u p . H e n c e , t h e O A S ’ m e d i a t i o n p r o j e c t w a s a b o r t e d a n d t h e c a s e

s t a l l e d o n c e a g a i n .T h e g o v e r n m e n t s o u g h t t o w r e s t i t s e l f o u t o f t h e d i l e m m a p o s e d b y

t he U ’w a’ s r ad ic al r es is ta nc e b y p u rs ui ng a c ar ro t- an d- st ic k a pp ro ac ht ha t e nt ai le d s el ec ti v el y i mp l em en ti ng t he r ec o mm en d at io ns o f t heO A S / H a r v a r d r e p o r t . O n t h e o n e h a n d , i t r e v i v e d t h e p r o c e s s o f l a n dt it li ng t ha t t he U ’w a h ad b ee n p re ss in g f or s in ce t he e ar ly 1 97 0s . I nm e e t i n g s b e t w e e n t h e U ’ w a a n d r e p r e s e n t a t i v e s o f t h e M i n i s t r y o f t h e

E nv i ro n me nt a nd t he n at io na l a gr ar ia n r ef or m a ge nc y i n e ar ly 1 99 9 ,l on g d or ma nt p la ns f or a u ni fi ed U ’w a r es er va ti on w er e r ec on si de re d o nt h e b a s i s o f a r e c e n t ‘ ‘ s o c i o e c o n o m i c s t u d y ’ ’ o n t h e l i m i t s o f t h e U ’ w at e r r i t o r y c a r r i e d o u t b y C o l o m b i a n a c a d e m i c s ( I D E A D E 1996) . A l b e i te xp li ci tl y e xc lu di ng f ro m t he t er ri to ry t hu s d em ar ca te d t he s it e o f a n o ilw el l ( ca ll ed ‘‘ Gi b ra lt ar I ’’ ) t ha t E co p et ro l a nd O xy w er e p la nn in g t oe x p l o r e , i n A u g u s t 1 9 9 9 t h e g o v e r n m e n t f i n a l l y g r a n t e d t h e U ’ w a t h et i tl e o v e r t h e u n i fi e d r e se r va t io n . T he U ’w a c el eb ra te d t he g ov er nm en t’ s

d e c i s i o n , b u t m a d e c l e a r t h a t i t ‘ ‘ i n n o w a y c o m p r o m i s e s o u r p o si t i on of disagreement vis-a-vis oil exploration either on or off our land.’’9

O n t he o th er h an d, o ne m on th l at er , t he g ov er nm en t w en t a he adw i t h p l a n s f o r o i l d r i l l i n g b y g r a n t i n g O x y a n e w e n v i r o n m e n t a l l i c e n s et o e x p l o r e t h e G i b a l t r a r I s i t e . T h e f a c t t h a t t h e d r i l l s i t e i s l o c a t e d o n l y1 , 0 0 0 f e e t o f f t h e n e w r e s e r v a t i o n ( a n d w i t h i n t h e c o m m u n i t y ’ s h o m e -land as mapp ed in the ab ov e-mentioned socio eco nomic stud y)i n c e n s e d t h e U ’ w a a n d t h e i r l o c a l , n a t i o n a l a n d t r a n s n a t i o n a l s u p p o r -

t er s, t hu s s pa rk in g a n ew r ou nd o f l eg al m ob il iz at io n a nd l it ig at io n.On ce a gai n, th e U’ wa b ec ame e nta ng le d i n a ma ze o f b ure au cra ticp ro ce d ur es a nd i n t he t ec hn ic al it ie s o f t he s tr ug gl e b et w ee n c o ns er va ti vea nd p ro gr es si ve b ra nc he s o f t he j u di ci ar y t o a u th or it at iv el y d et er mi n e

8 ONIC communique, October 1997. 9 U ’ wa c o m m u n iq u e, A u g u s t 2 3 , 1 9 9 9 .


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t he c on te nt o f i nd ig en ou s r ig ht s. N ow , t he r ul es w er e l es s f av or ab le t o t heca use o f t he U’w a, f or the C olo mb ian g ov er nme nt h ad i ssue d ne wr egu la ti on s t ha t h ea vil y c urt ai led t he r ig ht o f i nd ig en ou s p eo pl es ( as

e st ab li sh ed b y I LO C on v en ti on N o. 16 9 ) t o p ar ti ci pa te i n t he p ro ce ssl e a d i n g t o t h e g r a n t i n g o f l i c e n s e s f o r r e s o u r c e e x t r a c t i o n i n t h e i r t e r r i -t ori es . T he re fo re , a ft er o ne a nd a h alf y ea rs m ore o f n eg ot ia ti ons w it h t heg ove r n m e n t a n d a ppe a l s t o t h e c our t s , t h e U ’wa pe t i t i on f or t h e r e voc a -t i o n o f t h e l i c e n s e w a s r e j e c t e d i n M a y 2 0 0 0 , t h u s o p e n i n g t h e w a y f o re xpl or a t i on of oi l i n i n di g e n ous t e r r i t or y .

T h i s t i m e a r o u n d , h o w e v e r , l i t i g a t i o n d i d n o t p r e c l u d e o r s l o w d o w npol i t i c a l m obi l i z a t i on wi t h i n a n d wi t h out C ol om bi a . I n r e s pon s e t o t h e

g r a n t i n g o f t h e n e w l i c e n s e t o O x y , t h e U ’ w a l a u n c h e d a ‘ ‘ c i v i l d i s o b e d i -e nc e c a mp a ig n ’’ i n vo l v in g n o n vi o l en t d i re c t a c ti o ns b y m e mb e rs o f t h ec omm un ity as w el l a s r al li es a nd r oa d b lo ck s b y p ea sa nt s f ro m th eA r a u c a p r o v i n c e , a n e i g h b o r i n g r e g i o n w i t h a l o n g r e c o r d o f v i o l e n c ea nd e nv ir on me nt al d eg ra da ti on a ss oc ia te d w it h o il d ri ll in g. A ft ero cc up yi ng t he Gi bal tr ar I d ri ll s ite i n l ate 1 99 9 an d b ei ng e vi ct edf ro m i t b y t he m il it ar y, t he U ’w a c al le d t hr ee g en er al p ea sa nt s tr ik es

d u r i n g t h e f i r s t s e m e s t e r o f 2 0 0 0 t h a t b r o u g h t t h e l o c a l e c o n o m y t o ah al t a nd i nt er ru p te d c om mu n ic at io ns a nd t ra ns po rt at io n w it hi n t her eg io n. A t t he n at io na l l ev el , i n 2 00 0 O NI C a nd o th er C ol om bi ani n d i g e n o u s f e d e r a t i o n s l a u n c h e d a ‘ ‘ n a t i o n a l m o b i l i z a t i o n f o r i n d i g e n -o u s r i g h t s , ’ ’ i n w h i c h t h e U ’ w a s t r u g g l e w a s f e a t u r e d p r o m i n e n t l y a l o n gw i th n e w c a se s o f t h re a ts t o i n d i g en o us c u l tu r es a n d t e rr i to r ie s ( n o t ab l yt ho se o f t he E mb er a K at ıo p eo p le ) s te mm in g f ro m d am b u il d in g a ndo t h e r d e v e l o p m e n t p r o j e c t s ( O N I C 2003).

T h e s t a k e s o f t h e l o c a l a n d n a t i o n a l c o n f l i c t a n d t h e r i s k o f v i o l e n tc on fr on ta ti o n h ad b ee n r ai se d b y t he e nt er in g i n to o p er at io n o f P la nCo lo mb ia i n 1 99 8, a U S-f un de d m il it ar y i ni ti at iv e t o c rac k d ow no n d r u g t r a f f i c k i n g a n d g u e r r i l l a g r o u p s . P a r t i c u l a r l y i m p o r t a n t f o r U Soil companies, which were among the main supporters of PlanColombia,10 w as a n i nc re as ed m il it ar y p re se nc e i n o il -r ic h p ro vi n ce sw h e r e g u e r r i l l a g r o u p s h a d c o n t i n u o u s l y s a b o t a g e d t h e i r o p e r a t i o n s b yb lo w in g u p o il p ip e li ne s. T he U ’w a f ea re d t ha t o il e x pl o ra ti on w ou l d

b r i n g w i t h i t t h e p a n o p l y o f a c t o r s o f t h e C o l o m b i a n c i v i l w a r – f r o mt he C ol om bi an m il it ar y a nd U S m il it ar y a dv is or s t o g ue rr il l a g ro up s,p ar am il it ary sq ua ds, a nd d ru g tr af fi ck er s. T hei r su sp ic io ns w ere

10 O x y V i c e - P r e s i d e n t t e s t i f i e d b e f o r e t h e U S C o n g r e s s i n f a v o u r o f P r e s i d e n t C l i n t o n ’ s U S $ 1 . 3b il li on m il it ar y a id p ac ka ge t o C ol om bi a ( Ge di ck 2003 :97).


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c o n f i r m e d b y t w o e p i s o d e s t h a t m a r k e d a t r a g i c t u r n i n t h e c a s e . T h efirst sign o f the link b etween oil and v iolence (and o f the risk s o f g ra ss ro o ts t ra ns na ti o na l a ct iv i sm ) w as t he m ur de r o f t hr ee U S m em be rs

o f t h e p r o - U ’ w a c o a l i t i o n b y t h e F A R C , t h e l a r g e s t g u e r r i l l a g r o u p i nC ol om bi a, d ur in g a v is it t o t he c om mu ni ty ’s t er ri to ry . T he s ec on de p i s o d e c a m e i n F e b r u a r y 1 9 9 9 w h e n , d u r i n g t h e e v i c t i o n o f t h e U ’ w aa nd th e p ea sa nt s tri ker s f ro m t he d ri ll s it e i n F eb ru ary 2 00 0, t hre ei n d i g e n o u s c h i l d r e n w e r e k i l l e d b y t h e C o l o m b i a n m i l i t a r y .

C a u g h t i n t h e m i d d l e o f t h e f i r e a n d u n d e r p r e s s u r e f r o m t h e g o v e r n -m e n t a n d O x y t o n e g o t i a t e , U ’ w a r e s i s t a n c e b e c a m e a t t h e s a m e t i m em o r e e n t r e n c h e d a n d m o r e v u l n e r a b l e . W i t h i n s t i t u t i o n a l a v e n u e s a l l

b u t e x h a u s t e d , t h e c a m p a i g n e n d u r e d o w i n g t o a c o m b i n a t i o n o f g r a s s -r o o ts s u pp o r t, c o nt i nu o u s m o bi l iz a ti o n b y t h e C o lo m b ia n i n di g en o u sm o v e m e n t , a n d t h e s u p p o r t o f a n a t i o n a l c o a l i t i o n o f e n v i r o n m e n t a l i s ta nd h um an r ig ht s N GO s ( no ta bl y C en sa t- Ag ua vi va a nd M IN GA )w o r k i n g i n c o l l a b o r a t i o n w i t h t h e o r g a n i z a t i o n s r e s p o n s i b l e f o r c o o r d i -nating the ab ov e-mentio ned inte rn at io na l c am pa ig n, i nc lu di ngF r i e n d s o f t h e E a r t h a n d O i l w a t c h .11 B y t h e e n d o f 2 0 0 0 , t h e s t a l e m a t e

b e t w e e n t h e U ’ w a c o a l i t i o n a n d t h e g o v e r n m e n t a n d O x y b r o u g h t t h ec ase t o a st and sti ll e ve n a s t he e co no mi c a nd p ol it ica l s ta ke s o f o ile x p l o r a t i o n i n t h e a r e a c o n t i n u e d t o i n c r e a s e .

10.3.5 Breaking the stalemate: the withdrawal of Oxy and the‘‘victory’’ of the U’wa coalitionI t w o u l d t a k e a n u n e x p e c t e d t u r n o f e v e n t s t o c h a n g e t h e c o u r s e o f t h ec as e. D ur in g i ts a nn ua l s ha re ho ld er s’ m ee ti ng o n M ay 3 , 2 00 1, O xy

a nn ou nc ed t ha t i t w as r et ur ni ng o il c on ce ss io ns o n U ’w a l an d t o t heC o l o m b i a n g o v e r n m e n t a n d a b a n d o n i n g i t s p l a n s t o d r i l l i n t h e r e g i o n .A l t h o u g h O x y d e c l a r e d t h a t i t w a s w i t h d r a w i n g b e c a u s e i t h a d f o u n dno oil in the area, the decision p ro bably had mo re to d o w ith thep er si st en ce o f t he f ou r- ye ar t ra ns na ti on al c am pa ig n i n s up p or t o f t heU ’ w a a n d t h e r i s k i t r e p r e s e n t e d f o r O x y ’ s c o r p o r a t e i m a g e .

O xy ’s a nn ou nc em en t m ea nt t ha t t he i mm ed ia te g oa l o f t he c am -p ai gn ( th e h al ti ng o f O xy ’s e xp lo ra ti on a ct iv i ti es ) h ad b ee n a cc om -

p l is he d . H ow ev e r, i t i s w o rt h n o ti ng t he c on tr as ti ng r ea ct io n s o f t heU ’ w a a n d t h e i n t e r n a t i o n a l m e m b e r s o f t h e T A N , f o r t h e y e x p o s e a nimportance di vergence between local and gl obal struggles.T ra nsn at io na l NG Os , i n n ee d o f s ho rt- ter m v ic to ri es c ap ab le o f

11 I n t e r v ie w wit h H ild e b r an d o V ele z a n d Ta t ia na Ro a , B o g o t a, J u n e 1 , 2 0 0 0 .


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s us ta in in g l o ng -d i st an ce s ol id ar it y, c el eb ra te d t he e pi so d e a s t he c u l-m in at io n o f t he c am pa ig n ( Re in sb o ro u gh 2004) . G iv en th e m yr ia do th er u rg en t c as es c o mp et in g f or t ra ns na ti on al N GO s’ a tt en ti on a nd

r es ou rc es , i nt er na ti on al m em be rs o f t he U ’w a c oa li ti on f oc us ed o no t h e r c a m p a i g n s . W i t h O x y ’ s w i t h d r a w a l , t h e r e f o r e , t h e c y c l e o f t r a n s -n a t i o n a l c o n t e n t i o u s m o b i l i z a t i o n t h a t s t a r t e d i n 1 9 9 7 c a m e t o a n e n d .

T h e U ’w a r ea ct ed d i ff er en tl y. A cc u st om ed t o p ro tr ac te d s tr ug gl esa nd w ar y o f t he i nt en ti on s o f t he C ol om bi an g ov er nm en t a nd O xy ,t h e y d e c l a r e d t h a t , a l t h o u g h ‘ ‘ a b a t t l e h a s b e e n w o n , t h e w a r t o d e f e n dt he e ar th a nd o ur t er ri to ri es i s o n. ’’12 T he y s us pe nd e d t he ir c iv i l d i s-o b e d i e n c e c a m p a i g n , b u t e x p r e s s e d t h e i r c o n c e r n t h a t t h e g o v e r n m e n t

w o u l d n o t a b a n d o n f o r l o n g t h e p l a n s f o r o i l d r i l l i n g .T h e U ’ w a ’ s f e a r t h a t O x y ’ s a n n o u n c e m e n t d i d n o t m e a n t h e e n d o f

t he s tr ug gl e m at er ia li ze d w he n, i n e ar ly 2 0 02 , E co p et ro l, t he s ta te o i lc om pa ny , r es um ed s ei sm ic p ro sp ec ti ng i n t he d ri ll s it e t ha t O xy h adt u r n e d o v e r t o i t . S i n c e t h e n , t h e U ’ w a hav e i s su e d r e pe a te d ‘‘ u rg e ntc a ll s ’’ t o ‘‘ r es u me i n te r na t io n al s o li d ar i ty . ’’13 T he f ac t t ha t i nt er na ti o na lr e s p o n s e h a s n o t b e e n n e a r l y a s e n t h u s i a s t i c a s d u r i n g t h e f i r s t p h a s e o f

t he c am pa ig n b ea rs w it ne ss t o t he p re ma tu re d em ob il iz in g e ff ec t o f O xy ’s wi t h dr a wa l .T he slo wing d ow n of the camp aign is visible al so in the l atest

i nt er na ti on al l eg al d ev el op me nt s i n t he c as e. I n l at e 2 00 1, t he I LOd e c i d e d a c o m p l a i n t s u b m i t t e d b y t h e C o l o m b i a n n a t i o n a l f e d e r a t i o no f t r a de u ni o ns ( CU T) i n s u p po rt o f t he U ’w a. T he I LO f o un d t h a t t h en ew C ol om bi an l eg is la ti on v io la te s I LO C on ve nt io n N o. 16 9 i n a sm u c h a s i t f a i l s t o e s t a b l i s h a c l e a r o b l i g a t i o n f o r t h e s t a t e t o c o n s u l t

w it h i nd ig en ou s g ro up s b ef or e g ra nt in g l ic en se s t o e xp lo re n at ur alre so urc es i n i nd ig en ou s t err it or ie s. W ith th e c am pa ig n i n a l ul l,n at io na l a nd i nt er na ti on al o rg an iz at io ns f ai le d t o u se t hi s d ec is io nto a dv an ce t he U’ wa ’s c ase . A lso , t he U ’w a c om pl ai nt a ga in st th eC ol om bi an g ov er nm en t b ef o re t he I nt er -A me ri ca n C om mi ss io n o f H um an R ig ht s h as s ta ll ed i n t he p ro tr ac te d p ro ce du re s o f t he I nt er -A me ri ca n s ys te m, d es pi te t he U ’w a’ s d ec la ra ti on s i n 2 00 3 a nd 2 00 4t h a t t h e y w e r e i n t e r e s t e d i n p u s h i n g t h e c a s e f o r w a r d .

A t t h e c l o s e o f 2 0 0 4 , t h e r e w e r e s i g n s o f r e a c t i v a t i o n o f t h e t r a n s n a -t i o n a l c a m p a i g n i n r e s p o n s e t o e s c a l a t i n g v i o l e n c e a s s o c i a t e d w i t h t h e

12 U ’ wa c o m m u niq u e, J u ly 3 1 , 2 0 0 1 .13 U ’w a c om mu n iq u es , O ct ob er 2 0 02 ; F eb ru ar y 1 2 , 2 0 03 ; M ar ch 4 , 2 0 03 ; M ar ch 6 , 2 0 03 ;

November 12, 2003; January 16, 2004; January 21, 2004; and August 25, 2004.


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e xp an si on t o U ’w a t er ri to ry o f t he f ou r- de ca de -o ld c iv il w ar a nd t hes t r ug g l e ove r oi l - r i c h a r e a s pi t t i n g U S - t r a i n e d m i l i t a r y un i t s ( s uppor t e dt h r o u g h f r e s h P l a n C o l o m b i a f u n d s e a r m a r k e d f o r t h e p r o t e c t i o n o f o i l

p i pe li ne s) a nd g ue rr il la g ro up s . T he l at es t c as ua lt y o f t he se d ev el o p-m ent s f or th e U ’w a w as th e k il li ng o f o ne o f th ei r f em al e l ea de rs i n

January 2004 by the ELN, the second-largest guerrilla group in thecountry.

A s sh ow n b y t he d es cr ip ti on o f t he t w is ts a nd t ur ns o f t he c as e i n t hi ss ec ti on , t he i ti ne ra ry o f t he U ’w a s tr ug gl e o ff er s c om pe ll in g e vi de nc e o f t h e c o m p l e x i t y , t h e p o t e n t i a l , a n d t h e l i m i t s o f t r a n s n a t i o n a l m o b i l i z a -t i o n i n d e f e n s e o f i n d i g e n o u s r i g h t s . I n t h e n e x t s e c t i o n , w e b r i e f l y s t e p

b a c k t o t a k e s t o c k o f t h e c a s e i n t h e l i g h t o f m y a n a l y t i c a l f o c u s o n t h ec o mb i na t io n o f l o c al , n a ti o n al , a n d t r an s na t io n al p o l it i ca l m o b il i za t io na n d o n t h e r o l e o f t h e l a w i n i t .

10.4 L A W A N D P O L I T I C S I N T H E U ’ W A S T R U G G L E

W h a t d o e s t h e U ’ w a c a s e t e l l u s a b o u t t h e p o t e n t i a l a n d d i f f i c u l t i e s o f

c ou n te r- he ge mo n ic g lo b al iz at io n ? W ha t r ol e d id t he l aw p l ay i n t hestruggle, and what is the balance of the co mb inatio n of l egal andp o l i t i c a l s t r a t e g i e s p u r s u e d b y t h e p r o - U ’ w a c o a l i t i o n ? A s s o c i a l m o v e -m e n t a n a l y s t s h a v e o b s e r v e d , a s s e s s i n g t h e r e s u l t s o f c r o s s - b o r d e r m o b i -l iz at io n i s n ot s im pl e, a s t he re i s n o s in gl e i nd i ca to r o f s uc ce ss o r f ai lu re ,a n d p e r c e p t i o n s o f t h e r e s u l t m a y v a r y a m o n g l o c a l a n d i n t e r n a t i o n a la c t o r s ( K h a g r a m , R i k e r , a n d S i k k i n k 2002) . A l s o , a s s o c i o l e g a l a n a l y s t sh a v e n o t e d , t h e n e t e f f e c t s o f l e g a l m o b i l i z a t i o n f o r s o c i a l m o v e m e n t s

c an no t b e e v al u at ed s im pl y b y e xa mi ni ng t he i mm ed i at e o u tc om e o f m ob i li za ti on . I nd i re ct a nd m ed i at e e ff ec ts ( e. g. c o ns ol id at io n o f a ct iv i stc oa li ti on s t hr ou gh c ol la bo ra ti ve w or k o n l eg al c as es ) m us t a ls o b e t ak eni n t o c on s i de r a t i on ( M c C a n n 1994).

T h es e c a ve a ts n o tw i th s ta n di n g, s o me o b se r va t io n s o n t h e a c hi e ve -m e n t s a n d s h o r t c o m i n g s o f t h e U ’ w a c a m p a i g n c a n b e m a d e t h a t a r e o f g en er al r el ev an ce f o r a na ly se s o f t he g lo b al j u st ic e m ov em en t a nd o f s u b al t er n c o sm o po l i ta n l e ga l it y ( s ee S a nt o s a n d R o d rı guez-Garavito’s

c ha pt er i n t h i s v o lu me ). I n t er ms o f K e ck a nd S i k ki nk ’ s f iv ef o ld c ri te ri af o r e v a l u a t i n g t h e o u t c o m e o f t r a n s n a t i o n a l c o a l i t i o n s , t h e U ’ w a c a m -p a i g n h a s b e e n l a r g e l y s u c c e s s f u l i n s o f a r a s i t h a s m a n a g e d t o ( 1 ) c r e a t et he i ss ue o f i nd i ge no us r ig ht s v i s- a- v i s r es ou rc e e xt ra ct io n i n C ol om bi a,a nd r ai se i nt er na ti o na l a wa re ne ss a bo u t s im il ar c on fl i ct s e ls ew he re ,( 2 ) i n f l u e n c e t h e d i s c o u r s e s o f t a r g e t a c t o r s ( O x y a n d t h e C o l o m b i a n


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g o v e r n m e n t ) , ( 3 ) h a v e a n i m p a c t o n i n s t i t u t i o n a l p r o c e d u r e s ( i n p a r t i -c u l a r , t h e p r o c e s s o f c o n s u l t a t i o n ) , ( 4 ) b r i n g a b o u t ( t e m p o r a r y ) p o l i c yc ha ng es i n t ar ge t a ct or s, a nd ( 5) i nf lu e nc e t ar ge t a ct or s’ b eh av io r ( as

s h o w n b y O x y ’ s w i t h d r a w a l ) .T he r el ati ve s uc ce ss o f th e c am pa ig n h as s tem me d f ro m t he tw o

f ac to rs h ig hl ig ht ed t hr ou gh ou t t hi s c ha pt er : ( 1 ) t he c om bi n at io n o f g ra ss ro o ts m ob il iz at io n a t t he l oc al l ev el w it h n at io na l a nd i nt er na -t i o n a l s u p p o r t a n d s o l i d a r i t y a c t i o n s , a n d ( 2 ) t h e s i m u l t a n e o u s p u r s u i to f p o l i t i c a l a n d l e g a l s t r a t e g i e s . H o w e v e r , t e n s i o n s a n d c o n t r a d i c t i o n sw i t h i n e a c h o f t h e s e d i m e n s i o n s o f t h e m o v e m e n t a r e a p p a r e n t . T h e yh e l p e x p l a i n t h e w a n i n g o f s o l i d a r i t y a f t e r O x y ’ s w i t h d r a w a l i n 2 0 0 1 ,

a n d t h e o n g o i n g t h r e a t t o t h e l i v e s a n d t e r r i t o r y o f t h e U ’ w a .Dislocations between local and transnational mobilization stem from

di ff er en ce s a mong c oa li ti on par ti ci pa nt s c onc er ni ng t im e f ra me s a ndt ar ge ts . W hi le t he U ’w a v ie w t he ir c ur re nt s tr ug gl e a s t he l at es t p ha seof a r es is ta nc e m ovem en t s pa nn i ng s eve ra l dec ades ( i f n ot s ever al c en -turies), transnational supporters tend to view it as a short-term campaignto b e e va lu at ed i n th e l ig ht o f i mm ed ia te re su lt s. T he r ea so ns f or t hi s

d iv er ge nc e a re a s m uc h c ul tu ra l a s t he y a re o rg an iz at io na l. G iv en t ha tt ra ns na ti on al N GO s a re unde r pre ss ur e t o c om pe te f or s ca rc e f undi ng ,m ed ia a tt en ti on , a nd a ct iv is ts ’ t im e, a nd a re c al le d t o i nt er ve ne i n e qu al lyi m por t a n t c a s e s a r oun d t h e wor l d, i t i s n ot s ur pr i s i n g t h a t t h e y c h oos e t of oc us on s h or t - t e r m g a i n s a n d s h i f t t h e i r pr i or i t i e s a s t h e s e n s e of ur g e n c yw an es . F or a ff ec te d c om mu ni ti es s uc h a s t he U ’w a, h ow ev er , t hi s m aym e a n t h a t vi c t or i e s a r e s h or t - l i ve d a n d t h a t t h e c a us e s of t h e s t r ug g l e a n dt h e t h r e a t s t h e y pos e t o c ul t ur a l s ur vi va l a n d t h e e n vi r on m e n t r e m a i n as

a c ut e a n d i n n e e d of i n t e r n a t i on a l s ol i da r i t y a f t e r t h e ‘‘vi c t or y ’’ a s e ve r .14

A r el at ed d is ju nc tu re i s o bs er va bl e w it h r eg ar d t o t he t ar ge t o f t hel o c a l a n d t r a n s n a t i o n a l s t r u g g l e s . W h i l e f o r t h e t r a n s n a t i o n a l c o a l i t i o nt h e c a m p a i g n c l e a r l y f o c u s e d o n O x y , f o r t h e U ’ w a t h e c a m p a i g n w a sn o t j u s t a g a i n s t O x y b u t a g a i n s t t h e C o l o m b i a n g o v e r n m e n t a n d a n yc o m p a n y ( p u b l i c o r p r i v a t e , n a t i o n a l o r i n t e r n a t i o n a l ) e x p l o r i n g f o r o i li n t he ir te rri to ry , a s w el l a s a ga in st a ny l eg al o r i ll eg al a rm ed gr ou pt hr ea te ni ng t o d is ru pt p ea ce i n t he ir t er ri to ri es . A ga in , t hi s c ho i ce o f

t a r g e t i s e x p l a i n e d b y t h e c o m p a r a t i v e l o g i s t i c a l a d v a n t a g e o f t r a n s n a -t io na l N GO s t o t ar ge t T NC s. T hi s f ac t a ls o a cc ou nt s f or t he r el at iv ed e c l i n e o f t h e c o a l i t i o n a f t e r O x y ’ s w i t h d r a w a l . H o w e v e r , a s s h o w n b y

14 P h on e i n t er v i ew w i t h H i l de b r an d o V el e z a n d T a t ia n a R o a, C e ns a t- A gu a V i v a, B o go t a,S e p t e m b e r 6 , 2 0 0 4 .


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t he r ec ur re nt c al ls o f t he U ’w a f or i nt er na ti on al s ol id ar it y a nd t he irincreased exp osure to the Co lombian ci vil war, the fact that theC o l o m b i a n o i l c o m p a n y ( r a t h e r t h a n O x y ) i s n o w o s t e n s i b l y i n c h a r g e

o f o il e xp lo ra ti on h as n ot r ed uc ed t he r is ks f o r t he s ur vi va l a nd t er ri to ryo f t he U ’w a a nd f or t he s oc ia l a nd e nv ir on me nt al e qu il ib ri um o f t her eg io n. T ar ge ti ng t he s ta te -o wn ed o il c om pa ny i n a c ou nt ry i n d ir en ee d o f f or ei gn re ve nu e h as p ro ve n m or e d if fi cu lt t ha n t ar ge ti ng aw e a l t h y T N C .

W it h r eg ar d t o t he r ol e o f l aw i n c ou nt er -h eg em on ic g lo b al iz at io n ,t h e U ’ w a c a s e a l s o o f f e r s a w i n d o w i n t o t h e p o t e n t i a l a n d l i m i t s o f l e g a ls tr at eg ie s. T h e U ’w a’ s r es is ta nc e h as r ai se d a p o te nt c ha ll en ge t o a nd

h el pe d t ra ns fo rm n at io na l a nd i nt er na ti on al l eg al f ra me wo rk s a ndc on ve nt io na l c on ce pt io ns o f h um an r ig ht s. W it hi n C ol om bi a, t hec as e u nl ea sh ed o ne o f t he m os t v is ib le r ou nd s i n t he c on fr on ta ti onb e t w e e n t h e ‘ ‘ o l d c o n s t i t u t i o n a l i s m ’ ’ o f l i m i t e d r i g h t s a n d c o n s e r v a t i v ec o u r t s a n d t h e ‘ ‘ n e w c o n s t i t u t i o n a l i s m ’ ’ o f e x p a n d e d s o c i a l a n d c o l l e c -t iv e r ig ht s e nf or ce d b y p ro gr es si ve c ou rt s ( Ro dr ıguez-Garavito et al.2003) . T o ge th er wi th s ev er al o th er ca se s, it ha s m ar ke d a t ur n t ow ar d

‘‘m ul t i c ul t ur a l c on s t i t ut i on a l i s m ’’ i n t h e c oun t r y ( V a n C ot t 2000).D es pi te c on tr ad i ct or y c ou rt r ul in gs a nd l o ng -w i nd ed p ro ce du re s,l e ga l m o b il i za t io n b e fo r e n a ti o na l c o u rt s h a s c o ns i de r ab l y h e ig h te n edthe symbo lic cap ital and the v isibility o f the mo vement, and hasd el ayed o il exp lorati on. At the regional level, the U’wa case hasc on tr ib u te d t o t he a bo v e- me nt io n ed t re nd t ow ar d t he p r ot ec ti on o f i nd ig en ou s r ig ht s b y L at in A me ri ca n c on st it ut io ns a nd t he I nt er -A m e r i c a n s y s t e m . I t r e m a i n s t o b e s e e n w h e t h e r t h e U ’ w a p e t i t i o n t o

t he I nt er -A me ri ca n C om mi ss io n o n H um an R ig ht s w il l l ea d t o a r ul in go f t he I nt er -A me ri ca n C ou rt o f H um an R ig ht s i n l in e w it h t he p re -cedent set by the latter in its 20 01 decision in the Awas Tingni v.

Nicaragua c a se , w h ic h r e co g ni z ed i n d ig e no u s p e o pl e s’ c o ll e ct i ve r i gh tt o t e r r i t or y .

S o m e o f t h e l i m i t a t i o n s o f t h e u s e o f t h e l a w b y s o c i a l m o v e m e n t st h a t s o c i o l e g a l s c h o l a r s h a v e d o c u m e n t e d a r e a l s o e v i d e n t i n t h e c a s e .I n p ar ti cu la r, t he U ’w a c am pa ig n w as e xp os ed t o t he f am il ia r r is ks o f

d em ob il iz ati on an d f ru st ra ti on i n t he f ac e o f p ro tra cte d s ui ts an dadv erse resu lts. During the first rou nd of j udi ciali zation o f thes t r u g g l e , l i t i g a t i o n t e n d e d t o d i s p l a c e p o l i t i c a l m o b i l i z a t i o n . A l s o , t h ec ou rt s’ d ec is io ns r ev o lv ed a ro u nd t he p ro ce du ra l i ss ue o f t he c o mm u-n it y’ s p ar ti ci pa ti on i n t he c on su lt at io n p ro ce ss , r at he r t ha n o n t hep r i n c i p l e d o p p o s i t i o n o f t h e U ’ w a t o n e g o t i a t i n g ( e v e n i n p a r t i c i p a t o r y


262



c on su lt at io ns) t he e xp lo rat io n o f o il i n th ei r t err ito ri es . F in al ly ,t he n eg at iv e e ff ec t o f t he l on g p ro ce ed in gs b ef or e l ow er a nd h ig h c ou rt sa nd t he c on fu si on r es ul ti ng f ro m c la sh in g c ou rt o pi ni on s w as c om -

p o un de d b y t he g eo gr ap h ic a nd c ul tu ra l d i st an ce b et we en t he c ou rt sa n d t h e U ’ w a .

O n b a l a n c e , h o w e v e r , p h y s i c a l d i s t a n c e a n d c u l t u r a l d i f f e r e n c e h a v ew o r k e d i n f a v o r o f t h e U ’ w a ’ s l e g a l c a s e a n d p o l i t i c a l s t r u g g l e . F o r t h e yu n d e r l i e t h e r a d i c a l r e s i s t a n c e o f t h e c o m m u n i t y t o o i l d r i l l i n g a n d t h eU ’ w a ’ s u n c o m p r o m i s i n g v i n d i c a t i o n o f t h e collective c h a r a c t e r o f t h e i rr ig ht t o l an d. T he re fo re , c on tr ar y t o t he i nd iv id ua li zi ng e ff ec t t ha t,a c co r d in g t o c r it i ca l l e ga l s t ud i es s c ho l a rs , ‘‘ r ig h ts t a lk ’’ a n d l i ti g at i o n

h av e o n s oc ia l m ov em en ts ( K en ne d y 1997), in the U’wa case legalm ob il iz at io n h as g on e h an d i n h an d w it h t he a ss er ti on o f c ol le ct iv ec la im s. T he r ec ou pl in g o f c ol le ct iv e a ct io n a nd l eg al m ob il iz at io nth ro ug h a r ad ic al re def in iti on o f r ig ht s i s t hu s o ne o f t he m ai n c on -t ri bu ti on s o f t he U ’w a c as e ( an d o f t he i nd ig en ou s r ig ht s m ov em en tw r i t l a r g e ) t o s u b a l t e r n c o s m o p o l i t a n l e g a l i t y .


I n t h i s c h a p t e r w e a n a l y z e d t h e r e l a t i o n o f p o l i t i c s a n d l a w i n c o u n t e r -h eg em on ic g lo ba li za ti on b y l oo ki ng i nto t he U ’w a c ase , o ne o f t he mo stp ro mi ne nt i ns ta nc es o f t ra ns na ti on al p o li ti ca l a nd l eg al m ob i li za ti o n i nd e f e n s e o f i n d i g e n o u s r i g h t s . W e l o c a t e d t h e r o o t s o f t h e s t r u g g l e i n t h et wi n p ro ce ss es o f i nc re as ed r es ou rc e e xt ra ct io n l in ke d t o n eo li b er alg lo ba li za ti on a nd t he r is e o f i nd ig en ou s r es is ta nc e a nd i nd i ge no u s r ig ht s

i n L a t i n A m e r i c a o v e r t h e l a s t t h r e e d e c a d e s . W e f o l l o w e d t h e m o v e -m e n t a s i t s h i f t e d f r o m t h e l o c a l t o t h e i n t e r n a t i o n a l s c a l e , l e a d i n g t oOx y’ s d ec is io n t o a ban do n ( at l ea st f or th e ti me b ei ng ) p la ns f or o ild r i l l i n g i n U ’ w a t e r r i t o r y . T h i s s u c c e s s n o t w i t h s t a n d i n g , t h e c a s e i s s t i l lo pe n, a s o ng oi ng p la ns o f C ol om bi a’ s s ta te -o wn ed o il c om pa ny f ore xp lo ra ti on , a lo ng w it h t he i nc re as in g e xp os ur e o f t he U ’w a t o t heo p p o s i t e f i r e s i n t h e w a r o v e r o i l i n C o l o m b i a , c o n t i n u e t o t h r e a t e n t h ec om m un i t y ’s s ur vi va l a n d t e r r i t or y .

T he c on si de ra bl e g ai ns o f t he U ’w a c oa li ti on b ea r w it ne ss t o t hep o w e r f u l c h a l l e n g e t h a t i n d i g e n o u s p e o p l e s ( i n a l l i a n c e w i t h i n d i g e n -o u s r ig ht s, h um an r ig ht s, a nd e nv i ro n me nt al is t o rg an iz at io n s) h av era is ed t o T NC s a nd co rp or ate -f ri en dl y go ve rn me nt s a ro un d t hew or ld . A ls o, t he u ni qu e c ou pl in g o f c ol le ct iv e a ct io n a nd l it ig at io nf or co ll ec ti ve r igh ts e vi de nt i n i nd ig en ou s s tru gg le s h ol ds o ut th e


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p r o m i s e o f a g r a s s r o o t s , m u l t i c u l t u r a l r e d e f i n i t i o n o f h u m a n r i g h t s . A tt h e s a m e t i m e , d i v e r g e n c e s b e t w e e n i n d i g e n o u s m o v e m e n t s a n d t r a n s -n a t i o n a l s u p p o r t e r s w i t h r e g a r d t o t i m e f r a m e s a n d t a r g e t s p o s e i m p o r t -

a nt o bs ta cl es t o t he a dv an ce me nt o f t he c au se o f i nd ig en ou s r ig ht s.W he th er o r n ot t he c al ls o f t he U ’w a f or r en ew ed p ol it ic al a nd l eg alm o b i l i z a t i o n a r e h e e d e d b e y o n d C o l o m b i a n b o r d e r s w i l l l a r g e l y d e t e r -m i n e t h e o u t c o m e o f t h e n e x t b a t t l e i n t h e i r l o n g s t r u g g l e f o r t e r r i t o r ya n d c u l t u r e .

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Utopıa y M ov im ie nt o I nd ıg en a e n E cu ad or .’’ P p. 3 59 –4 04 i n La NuevaIzquierda en America Latina: Orıgenes y Trayectoria Futura, edited by CesarA. Rodrıguez-Garavito, Patrick Barret, and Daniel Chavez. Bogota: Norma.

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Jimeno, Gladys. 2002. ‘‘Possibilities and Perspectives of Indigenous Peoples withRegard to Consultations and Agreements within the Mineral Sector in Latin

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K a r l , T e r r y . 1 9 9 9 . ‘ ‘ T h e P e r i l s o f t h e P e t r o - S t a t e : R e f l e c t i o n s o n t h e P a r a d o xo f P l e n t y .’ ’ Journal of International Affairs 53:31–48.


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Inequality in Latin America, e d i t e d b y S . H a l e s b y a n d R i c h a r d L . H a r r i s .B o u l d e r : W e s t v i e w P r e s s .

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Press.K e n n e d y , D u n c a n . 1 9 9 7 . A Critique of Adjudication. C a m b r i d g e , M A : H a r v a r d

U n i v e r s i t y P r e s s .Khagra m, Sa njeev, James Riker, and Kathryn Sikkink (Eds.). 2002.

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Diplomacy. ’ ’ ’ D R C L A S N e w s . C a m b r i d g e , M A : H a r v a r d U n i v e r s i t y .M ac do na ld , T he od or e , S . J am es A na ya , a nd Y ad ir a S ot o. 1 99 8. The Samore

Case: Observations and Recommendations. Washingt on, DC: OAS/H a r v a r d U n i v e r s i t y .

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M c M i c h a e l , P h i l i p . 2 0 0 0 . Development and Social Change: A Global Perspective.T h o u s a n d O a k s : P i n e F o r g e P r e s s .

M es a, G re go ri o. 1 99 6. ‘‘ Lo s U ’w a: P ue bl o I nd ıg en a A nc es tr al d el N or te d eBoyaca.’’ Pp. 156–175 in Memorias Ambientales de las Provincias de Norte yGutierrez, Boyaca (1990–1996), e d i t ed b y I D E A DE . B o g o ta : I D E AD E .

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Rodrı guez-Garavito, Cesar A., Mauricio Garcı a , a n d R o d r i g o U p r i m n y . 2 0 0 3 .‘‘ J us t ic e a n d S o ci e ty i n C o lo m bi a : A S o ci o le g al A n al y s is o f C o lo m bi a nC o ur t s. ’’ P p . 1 3 4– 1 83 i n Legal Culture in the Age of Globalization, e d i t e d b yL a w re n c e M . F r i e d ma n a n d R o g e l io P er e z - P er d o m o . S t a n f or d : S t a n fo r dU n i v e r s i t y P r e s s .

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2 0 0 3 . ‘ ‘ I n s t i t u t i o n a l C h a n g e s a n d E t h n i c P a r t i e s i n S o u t h A m e r i c a . ’ ’ Latin American Politics and Society 45:1–39.


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CHAPTER 11

DEFENSIVE AND OPPOSITIONALCOUNTER-HEGEMONIC USES OF

INTERNATIONAL LAW: FROM THE

INTERNATIONAL CRIMINAL COURT TO

THE COMMON HERITAGE OF HUMANKIND

Jose Manuel Pureza


C ha rl es C ha um on t i de nt if ie d t wo m ai n f ea tu re s i n c la ss ic al i nt er na -

tional law – that is, ‘‘the set of legal rul es and concepts that werep re do mi na nt b ef or e t he e nd o f t he 1 91 4 w ar ’’ ( Ch au mo nt 1970 :343).T h e f i r s t w a s t h e ‘ ‘ l i m i t e d p a r t i c i p a t i o n i n t h e c r e a t i v e p r o c e s s , ’ ’ m e a n -i ng t he E ur o- ce nt ri c a nd c ol on ia l n at ur e o f i nt er na ti on al l aw b y t ha tt i m e . T h e s e c o n d f e a t u r e w a s t h e f o r m a l i s t c h a r a c t e r o f t h e e m e r g e n c ea n d e n f o r c e m e n t o f i n t e r n a t i o n a l l e g a l r u l e s , a p p a r e n t l y i n d i f f e r e n t t ot he e co no mi c, p ol it ic al , a nd s oc ia l c on te xt s w it hi n w hi ch t he y w er epr od uc ed. T he c on ve rg en ce of th es e t wo f ac to rs de ter mi ned, i n

C h a u m o n t ’ s v i e w , a c e r t a i n i d e n t i t y o f i n t e r n a t i o n a l l a w : ‘ ‘ a n a b s t r a c ts y st e m, a s e t o f f o rm a l r u l es d i sc o nn e ct e d f r om t h ei r c o n c re t e c o n te n ts ’’(Chaumont 1970 :343).

I n t e r n a t i o n a l l a w w a s b e i n g s h a p e d a s a s o r t o f ‘ ‘ m i x b e t w e e n c y n i -c i s m a n d i l l u s i o n i s m ’’ ( C h a u m o n t 1970:3 4 5 ) , w i t h i n w h i c h t h e a t t r a c -t iv e f or ce o f s uc h b ro ad c on ce pt s a s s ol id ar it y o r c oo pe ra ti on w ou lds e r v e m a i n l y a s a d i s g u i s e f o r t h e a c c u m u l a t i o n o f v i o l e n c e s , i n j u s t i c e s ,a nd e xp lo it at io ns t ha t a re t he t ru e c on te nt s o f t he s o- ca ll ed i nt er na -

t io na l s oc ie ty . I t s ho ul d b e u nd er li ne d t ha t t hi s f or ma li st n at ur e – l aw a st h e f o r m a l i z a t i o n o f p o w e r r e l a t i o n s b e t w e e n s t r o n g a n d w e a k – h a s n o tb e e n a b o l i s h e d t o g e t h e r w i t h t h e o v e r c o m i n g o f c l a s s i c a l i n t e r n a t i o n a ll a w a s a n h i s t o r i c a l p r o d u c t . I n f a c t , t h e t w e n t i e t h c e n t u r y w i t n e s s e d ap ro gr es si ve r ep la ce me nt o f a l ib er al , d ec en tr al iz ed , a nd o li go cr at ici n te r na t io n al o r de r b y a s o ci a l, i n st i tu t io n al i ze d , a n d d e mo c ra t ic o n e

267



(Pastor 1996: 84 ). T he re h as a ls o b ee n a t ra ns it io n f ro m a n i nt er na -t io na l l aw p oi nt ed a t g ua ra nt ee in g c o- ex is te nc e ( ‘‘ ho w t o k ee p t he mp e ac e fu l ly a p ar t ’’ ) t o wa r d a n i n te r na t io n al l a w a i me d a t b e in g a n a c ti v e

i ns tr um en t o f c oo pe ra ti on ( ‘‘ ho w t o b ri ng t he m a ct iv el y t og et he r’’ ) . Notwithstanding these substantive changes, it is of the utmost impor-t an ce t o r ec og ni ze t he a mb iv al en ce o f t hi s r he to ri c o f i nn ov at io n.S o l i d a r i t y a n d c o o p e r a t i o n m a y b e e i t h e r a c a m o u f l a g e f o r d o m i n a t i o np r a c t i c e s o r h o r i z o n s o f a t r u e a l t e r n a t i v e f o r m o f s o c i a l r e l a t i o n w i t h i nt h e i n t e r n a t i o n a l s y s t e m .

I t i s p r e c i s e l y a t t h i s p o i n t t h a t t h e q u e s t i o n c o n c e r n i n g t h e p o s s i b i -l it y o f a n e ma nc ip at or y r ol e o f i nt er na ti on al l aw b ec om es e xt re me ly

u se fu l. I n 1 97 0, C ha um on t h ad a lr ea dy s ta te d t ha t o ne o f t he b as icc on tr ad ic ti on s o f t he i nt er na ti on al l eg al s ys te m o f t ho se d ay s w as o neb et we en t he pr im ac y of o rd er – a s an o ut pu t of pe ace , s ec uri ty , a ndf r i e n d l y r e l a t i o n s a m o n g s t a t e s – a n d t h e a c c e p t a n c e o f r e v o l u t i o n a s ar ad ic al e xp re ss io n o f s el f- de te rm in at io n. T he s am e s tr at eg ic d ua li sms h o u l d b e s e e n a s a c r u c i a l f e a t u r e o f c o n t e m p o r a r y i n t e r n a t i o n a l l a w .

S h a r i n g S a n t o s ’ n o n - e s s e n t i a l i s t p e r s p e c t i v e o n l a w, a n d c o n v e r g i n g

w i t h h i m o n t h e b e l i e f t h a t a n a l t e r n a t i v e u s e o f l a w i s p o s s i b l e a s l o n ga s i t i s i nc lu de d i n a b ro ad er p ol it ic al m ob il iz at io n s tr on g e no ug h t oa ll ow s tr ug gl es t o b e p ol it ic iz ed b ef or e t he y b ec om e l eg al iz ed ( Sa nt os2002; see also Santos and Rodrıg ue z- Ga ra vi to’ s c ha pt er i n t hi sv ol um e) , I i nt en d t o e xp lo re i n t hi s c ha pt er t wo d if fe re nt s en se s o f ac o un t er - he g em o ni c u s e o f i n te r na t io n al l e ga l it y . M y p u rp o se i s t o u s ei n t e r n a t i o n a l l a w t o t e s t S a n t o s ’ h y p o t h e s i s a c c o r d i n g t o w h i c h c o s m o -p o l i t a n l e g a l i t y m a y b o t h b e d e f e n s i v e o f t h e l e g a l s t a t u s q u o a n d b e a

v eh ic le o f a r ad ic al s oc ia l c ha ng e. T hi s c ro ss ro ad s i s a c ru ci al o ne f orc on te mp or ar y i nt er na ti on al l eg al p ol i cy . B as ed o n t hi s a ss um pt io n,I w il l a na ly ze t wo d if fe re nt i nt er na ti on al l eg al r eg im es – u ni ve rs alj u r i s d i c t i o n c o n c e r n i n g c r i m e s a g a i n s t h u m a n i t y a n d c o m m o n h e r i t a g eo f h um an ki nd – a nd t ry t o c at ch s im il ar it ie s a nd d if fe re nc es b et we enc ou nt er -h eg em on ic u se s o f i nt er na ti on al l aw w it h a d ef en si ve a nd a noppositional character.

T h e r e a r e c l e a r d i f f e r e n c e s b e t w e e n t h e s e t w o r e g i m e s . T h e f i r s t o n e ,

d ea li ng w it h c ri me s a ga in st h um an it y a nd i nc lu di n g a s tr on g i ns ti tu -t i o n a l d i m e n s i o n , t h e I n t e r n a t i o n a l C r i m i n a l C o u r t , i s a n e x p r e s s i o n o f t h e d e m o - l i b e r a l t r a d i t i o n a n d a i m s o n l y a t b r i n g i n g t h e s t r u c t u r a l t r a i t so f t ha t t ra di ti on i nto t he g lo ba l s phe re . T he s ec on d r egi me – de sp it eh a v i n g i n c o m m o n w i t h t h e f o r m e r t h e r e f e r e n c e t o h u m a n k i n d , w h i c hp us hes to wa rd a po st-We st ph al ia n un de rsta ndi ng of th e l ega l a nd

P U R E Z A

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p o l i t i c a l l a n d s c a p e – s h o ws a n a m b i t i o n o f r a d i c a l c u t wi t h t h e h e g e m o -n i c i n t e r n a t i o n a l l e g a l m o d e l s a t b o t h a n o r m a t i v e a n d a p o l i t i c a l l e v e l .That is why I classify the first as ‘‘defensive’’ and the second as

‘‘oppositional.’’T he m ai n ob je cti ve of t hi s c ha pte r i s to de mo ns tra te t ha t i n i nt er-

n at io na l l aw a s w el l, t he i nt en si ty o f c ou nt er -h eg em on ic u se s o f l aw d if fe rsa cc or di ng t o t he c on cr et e c on te xt s o f h eg em on y. A nd t ha t d ef en si ve u se sc a n h a v e a n i m p r e s s i v e m e a n i n g , m a i n l y i n t i m e s o f g e n e r a l d e v a l u a t i o nof t he l eg al re gul ator y m ech an is ms . E ve n a m in im al ist us e o f i nt er-national legal regulation assumes nowadays a counter-hegemonic nature.How eve r, th is doe s no t me an th at mi ni ma li sm h as b ec ome t he on ly

c ou nt er -h eg em on ic u se o f l aw w it hi n t he n eo li be ra l c on te xt . T he re i sa ls o o bv io us r oo m f or a n o pp os it io na l c ou nt er -h eg em on ic u se o f i nt er -national law in contemporary international relations.

11.2 M A I N T A I N I N G T H E S T A T U S Q U O

A S A C O U N T E R - H E G E M O N I C G O A L

Th e Ro m e S t a t u t e t h a t c r e a t e s t h e I n t e r n a t i o n a l C r i m i n a l C o u r t i s t h ef in al s ta ge o f a c om pl ex p ro ce ss o f i nt er na ti on al iz at io n o f t he j ur is di ct io no n c ri me s a ga in st h um an it y. T ha t p ro ce ss i s c er ta in ly t he m os t i mp or ta ntd im en si on o f t he a ff ir ma ti on o f h um an it ar ia n v al ue s i n i nt er na ti on all aw . I t i s, t her ef ore , s ome th ing f ar f ro m r ec en t. I ts o ri gi ns d ate b ac kto 1872 and the proposal then presented by the Director of theI nt er na ti o na l C om mi tt ee o f t he R e d C ro ss , G us ta ve M oy ni er , o f c re at in ga n i n te r na t io n al c o ur t f o r t h e j u dg me n t o f t h e i n f r in g em en ts o f t h e 1 86 4

G en e va C on v en t io n f o r t h e p r ot e ct i on o f s o ld i er s wo un d ed i n c o mb a t.T ha t i de a – l ate r r ec ov er ed i n t he de cl ar at io n o f 2 8 M ay 1 915 b y t heg o ve r nm e nt s o f F ra n ce , G r ea t B r it a in , a n d Ru ss i a c o nc e rn i ng t h e m a s-s a c r e s o f t h e A r m e n i a n p o p u l a t i o n i n Tu r k e y ( C l a r k 2001: 7 7 ) – w a s p u tin p ra ct ice o nl y a ft er th e e nd o f W orl d Wa r I I w it h t he S ta tu te th atc re at ed t he N ur em be rg I n te rn at io na l M il it ar y T ri bu na l. A rt i cl e 6 o f t ha tS ta tu te d ef in ed c ri me s a ga in st h um an it y a s ‘‘ mu rd er , e xt er mi na ti on ,e ns la ve me nt , d ep or ta ti on o r o th er i n hu ma ne a ct s c om mi tt ed a ga in st

a ny c ivi li an p op ula ti on , w he th er b ef or e o r d ur in g t he w ar , o r p er se cu ti ono n p ol it ic al , r ac ia l o r r el ig io us g ro un ds i n e xe cu ti on o r i n c on ne ct io nw it h a c ri me w it hi n t he j ur is dic ti on o f t he t ri bun al , w het he r o r n ot i nv i o l a t i o n o f t h e d o m e s t i c l a w o f t h e c o u n t r y wh e r e p e r p e t r a t e d .’’

T he a d h oc I nt er na ti on al C ri mi na l T ri bu na ls f or R wa nd a a nd t hef or me r Y ug os la vi a f ol lo we d t ha t p at h. T he i nt en si fi ca ti on o f t hi s

C O U N T E R - H E G E M ON I C U S E S O F I N T E R N A T I O N A L L A W

269



p ro ce ss , a t t he e nd o f t he 1 99 0s , c or re sp on ds t o a m om en t o f b if ur ca ti oni n t he u nd er st an di ng o f i nt er na ti on al r el at io ns a nd t he ir d om in an tpracti ces. In the words of Cassese (2003), never had the tension

b et we en a G ro ti an a nd a K an ti an v is io n o f i nt er na ti on al r el at io nshad such a political appeal as after the end of the Cold War. Thef orm er i s b ase d o n t hr ee m ai n a ssu mp ti on s: ( 1) st ate s ar e th e on lyr el ev an t a ct or s i n t he w or ld s ce ne ; ( 2) r es pe ct f or s ta te s ov er ei gn ty i st he f un da me nt al v al ue i n i nt er na ti on al r el at io ns ; a nd ( 3) i nt er -s ta ter el at io ns a re f ou nd ed u po n a l og ic o f r ec ip ro ci ty , w it hi n w hi ch e ac hs t a t e a i m s a t m a x i m i z i n g i t s o w n i n d i v i d u a l i n t e r e s t s a n d r e c o g n i z e s i t sp a r t n e r s ’ l e g i t i m a c y t o b e h a v e i n t h e s a m e w a y .

W i t h i n t h i s f r a m e w o r k , t h e e x i s t e n c e o f r e g i m e s , r u l e s , a n d i n s t i t u -t i o n s l i e s o n t h e c o i n c i d e n c e b e t w e e n i n d i v i d u a l s t a t e s ’ i n t e r e s t s . T h ea b s e n c e o f s u c h a c o i n c i d e n c e i m p l i e s a t o t a l l y d e - c e n t r a l i z e d ( b y e a c hi nd iv id ua l s ta te ) w ay o f e xe rc is in g t he t hr ee c la ss ic al p ow er s: l eg is la -t i v e , e x e c u t i v e , a n d j u d i c i a r y . O n t h e o t h e r h a n d , t h e K a n t i a n p e r s p e c -t i v e i n c l u d e s t h r e e o p p o s i t e c h a r a c t e r i s t i c s : ( 1 ) i n d i v i d u a l s a l s o p l a y am aj or r ol e w it hi n t he i nt er na ti on al s ph er e; ( 2) u ni ve rs al ly s ha re d

v al ue s ( pe ac e, s el f- de te rm in at io n, h um an r ig ht s r es pe ct ) g iv e r is e t or i g h t s a n d d u t i e s o f t h e i n t e r n a t i o n a l c o m m u n i t y a s a w h o l e ; ( 3 ) a l o n g -s ide t he l og ic o f r ec ipr oc it y, t her e i s a l og ic o f ordre public emerging( t h o u g h i n a v e r y a m b i v a l e n t w a y ) .

T h e a c t i v e r o l e p l a y e d b y N G O s a n d s e v e r a l o t h e r d i f f e r e n t f o r m s o f h um an r ig ht s a ct iv is m i n t he c re at io n o f t he I nt er na ti on al C ri mi na lC ou rt s ee ms t o s up po rt C as se se ’s p oi nt . A cc or di ng t o G la si us (2003),

NGOs and activist coalitions have privileged four strategies. First,

g en er al i de ol og ic al s up po rt , n am el y, t hr ou gh t he d is se mi na ti on o f f av or ab le o pi ni on s t o t he ir m em be rs . S ec on dl y, t he p ro du ct io n o f s p e c i a l i z e d d o c u m e n t a t i o n ( j o u r n a l a r t i c l e s a n d r e p o r t s , a n d t h e o r g a n -i za ti on o f m ee ti ng s a nd c on fe re nc es ) t o i nf or m a nd i nf lu en ce t ar ge tg r o u p s . T h i r d l y , a f o l l o w - u p t o t h e w h o l e p r o c e s s o f i n t e r - s t a t e n e g o t i a -t ion , t he re by c on tr ibu ti ng t o t he t ra ns pa re nc y o f t he p ro ce ss ( fori ns ta nc e, t he C oa li ti on f or a n I nt er na ti on al C ri mi na l C ou rt i mp le me n-t ed a m od el o f t we lv e s ha do w t ea ms c or re sp on di ng t o t he d if fe re nt p ar ts

o f t he n eg ot ia ti on p ro ce ss , w ho se m et ho ds i nc lu de d d eb ri ef in g w it hf ri en dl y s ta te d el eg at io ns a ft er c lo se d m ee ti ng s o r k ee pi ng ‘‘ vi rt ua lv o t e ’ ’ t a l l i e s o n s o m e c r u c i a l a s p e c t s o f t h e p r o c e s s ) . F i n a l l y , d i r e c t o ri n d i r e c t s u p p o r t t o d e l e g a t e s a n d s p e c i a l i s t s f r o m t h e S o u t h , f o r e x a m p l et he t ec hn ic al a ss is ta nc e p ro gr am o rg an iz ed b y t he N GO , N o P ea ceWi t h o u t J u s t i c e .

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T h is s tr on g i nv ol ve me nt o f h um an r ig ht s N GO s i n t he c re at io n o f t h e I n t e r n a t i o n a l C r i m i n a l C o u r t a n d t h e a l l e g e d K a n t i a n p e r s p e c t i v et ha t i t h as e xp re ss ed w ou ld s ug ge st t ha t t he se d ev el op me nt s c on ce rn in g

c r i m e s a g a i n s t h u m a n i t y c o n s t i t u t e a c o u n t e r - h e g e m o n i c u s e o f i n t e r -n at io na l l aw . T he re a re , h ow ev er , s ev er al a sp ec ts w it hi n t he R om eS t a t u t e t h a t e v i d e n c e t h e p e r m a n e n c e n o t o n l y o f a t r a d i t i o n a l t h e o r e -t i c a l c o n s t r u c t i o n o f i n t e r n a t i o n a l g o v e r n a n c e b u t a l s o o f a h e g e m o n i cu n de r st a nd i ng o f i n te r na t io na l l e ga l it y . T h e f o rm e r i s r e fl e ct e d i n t h el i m i t s i m p o s e d t o t h e l e g a l s t a n d i n g b e f o r e t h e C o u r t , i n t h e p r e c o n d i -t io ns t o t he e xe rc is e o f j ur is di ct io n b y t he C ou rt , a nd i n t he a do pt io n o f a p r i n c i p l e o f c o m p l e m e n t a r i t y b e t w e e n n a t i o n a l j u r i s d i c t i o n s a n d t h e

C o u r t . O n t h e o n e s i d e , t h e s t r u g g l e c o n d u c t e d b y N G O s f o r t h e e s t a b -l is hm en t o f a n i n de pe nd en t p ro se cut or w as n ot s tr on g e no ug h t o a vo idt h e i n v i s i b i l i t y o f t h e i n d i v i d u a l c l a i m a n t s b e f o r e t h e C o u r t . O n l y s t a t ep ar ti es o r t he S ec ur it y C ou nc il ma y r ef er t he c omm iss io n o f a c ri mea g ai n st h um a ni t y t o t h e P r os e cu to r ( A rt i cl e 1 3) , u n le s s t h e P r os e cu to rh im se lf d ec id es t o i ni ti at e a n i n ve st ig at io n. A ls o, i n t he c as es i n it ia te d b yt he P ro se cut or o r b y a m em ber s ta te , t he a cce pt an ce o f t he j ur is dic ti on o f

t he C ou rt e it he r b y t he s tat e o n t he t er ri to ry o f w hic h t he c on du ct i nq u e s t i o n h a s o c c u r r e d o r b y t h e s t a t e o f w h i c h t h e p e r s o n a c c u s e d o f t h ec ri me i s a n at ion al i s r eq ui re d f or t he C ou rt t o e xe rc is e i ts j ur is di ct io n(Ar ti cle 12 ). A s a w ho le , th es e p ro ce du ra l op ti on s re fl ec t a ra th erd e f e n s i v e v i e w o f g l o b a l g o v e r n a n c e , i n wh i c h t h e i n t e r e s t s t h a t s u p p o r ta c o n s e r v a t i v e v i e w o f s t a t e s o v e r e i g n t y s t a n d o p p o s e d t o t h e t r a n s f e r o f crucial state powers to supranational mechanisms.

H ow ev er, a c los er l oo k i nto th e c on cr et e ac tor s t ha t v oi ce th is

G r o t i a n p e r s p e c t i v e a g a i n s t t h e K a n t i a n o n e s h o w s t h a t t h e f a u l t l i n e so f t h i s d i s p u t e a r e m u c h m o r e o f a p o l i t i c a l t h a n o f a t e c h n i c a l n a t u r e .I n f a c t , w h a t s o m e c o u n t r i e s s u c h a s t h e U n i t e d S t a t e s c r i t i c i z e i n t h eR o m e S t a t u t e i s i t s i n t e n t i o n o f b e c o m i n g a s o r t o f p l a n e t a r y j u d i c i a r yw it h e ff ec ti ve p ow er s, o ve rc om i ng t he h eg em on ic v ie w o f g lo ba l g ov er n-a nc e a s s ome thi ng vo id o f p ol it ic al a nd e thi ca l s ubs ta nc e a nd w ho se o nlyp ec ul ia rit y i s i ts m ini ma l f or m a nd m in im al c on te nt s ( th e s o- ca ll ed‘‘g ov e rn a nc e wi th o ut g o ve r nm en t ’’ a l lu de d t o i n S a nt o s a n d Ro dr ıguez-

G a r a v i t o ’s c h a p t e r i n t h i s v o l u m e ) .W h a t i s a t s t a k e h e r e i s t h e r e f o r e t h e d e b a t e o n g l o b a l g o v e r n a n c e

itself. The concept of global governance is an empty one. TheC om mi ss io n o n G lo ba l G ov er na nc e r ef er s t o i t a s c on st it ut in g ‘‘ th es u m o f t h e m a n y w a y s i n d i v i d u a l s a n d i n s t i t u t i o n s , p u b l i c a n d p r i v a t e ,m a na g e t h ei r c o mm o n a f fa i rs , ’’ n o t o n ly i n vo l vi n g i n te r go v er n me n ta l


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r e la t io n s b u t ‘‘ a s a l so i n vo l vi n g n o n- g ov e rn m en t al o r ga n iz a ti o ns , c i ti -z e ns ’ m o ve m en t s, m u lt i na t io n al c o rp o ra t io n s, a n d t h e g l ob a l c a pi t alm a r k e t ’ ’ ( 1 9 9 5 : 2 – 3 ) . T h i s s a m e e m p h a s i s o n a m i x b e t w e e n f o r m a l a n d

i n f o r m a l m e c h a n i s m s i s s t r e s s e d b y R o s e n a u ( 1998:2 9 ) : ‘‘g l o b a l g o v e r n -a nc e d oe s n ot r ef er o nl y t o t he f or ma l i ns ti tu ti on s a nd o rg an iz at io nst hr ou gh w hi ch t he m an ag em en t o f i nt er na ti on al a ff ai rs i s o r i s n ots us ta in ed ,’’ b ut i nc lu de s a ny ‘‘ sy st em s o f r ul e a t a ll l ev el s o f h um ana c t i v i t y f r o m t h e f a m i l y t o t h e i n t e r n a t i o n a l o r g a n i z a t i o n i n w h i c h t h ep ur su it o f g oal s t hr oug h t he ex erc is e of co ntr ol h as t ran sn ati on alr e pe r cu s si o ns . ’’ T h e a l le g ed p o li t ic a l n e ut r al i ty o f t h is c o nc e pt o f g l ob a lg ov er na nc e a nd i ts d is ta nc e f ro m t he t ra di ti on al c on ce pt o f g ov er n-

m en t h as b ee n u se d t o s up po rt a r ep re se nt at io n o f g lo ba l g ov er na nc es u it e d t o m i ni m iz i ng r e gu l at o ry o b st a cl e s t o n e ol i be r al g l ob a li z at i on .T h e r e i s a m a j o r t r e n d i n c o n t e m p o r a r y w o r l d p o l i t i c s t o v o i d i n t e r n a -t io na l i ns ti tu ti on al m ec ha ni sm s o f t he ir m at er ia l c om pe te nc es a ndr ed uc e t he m t o p la ce s o f f or ma l r at if ic at io n o f d ec is io ns p re vi ou sl yt ake n out si de t he m. T he ‘‘ mo ve t o i ns ti tut ion s’’ o f t he 1 94 0s an d1 95 0s h as b ee n r ep la ce d b y t he ‘‘ mo ve f ro m i ns ti tu ti on s’’ ( th e e st ab li sh -

m e nt o f t r an s na t io na l n o rm a ti v e m e ch a ni s ms t o p r om o te e f fi c ie n cy ,s t a b i l i t y , a n d g r o w t h , a s w o r t h y p i l l a r s o f n e o l i b e r a l g l o b a l g o v e r n a n c e )s i nc e t h e 1 9 90 s . T h e i n st i tu t io n al a n d c o ns t it u ti o na l s c en a ri o o f n e o-l i b e ra l g l o b al i z a ti o n p r o mo t e s i n s t i tu t i o na l d i s i nv e s t me n t a n d c o n f or -m i t y t o u n i v e r s a l d e r e g u l a t i o n r e g i m e s ( P u r e z a 2002).

I t i s a g a i n s t t h i s i d e o l o g i c a l a n d p o l i t i c a l b a c k g r o u n d t h a t t h e c r e a -t i on o f t h e I n te r na t io n al C r im i na l C o ur t a s su m es a c o un t er - he g em o ni cm ea ni ng . A nd o nl y a ga in st t hi s b ac kg ro un d: t he r ea l r ea so n t o t hi nk

t hi s w ay i s t hat t he a ctu al a lt ern at ive i s an a bso lut e i ne xi ste nc e o f e t hi c al - no r ma t iv e r e le v an c e o f c r im e s a g ai n st h u ma n it y a t t h e i n te r -n a t i o n a l l e v e l . W i t h i n t h i s c o n t e x t , t h e a f f i r m a t i o n o f t h e d e m o l i b e r a ls ta tu s q uo i s i n i ts el f c ou nt er -h eg em on ic . T he s ym bo li c r ef er en ce s o f t h e s u p p o r t e r s o f t h e I n t e r n a t i o n a l C r i m i n a l C o u r t a r e m a i n l y t h o s e o f rule of law, and their strategic goal is to expand the scope of thed em ol ib er al t ra di ti on t o t he g lo ba l s ph er e. I t s ho ul d b e u nd er li ne dt h at t h e a b ov e -m e nt i on e d n o rm a ti v e a n d i n st i tu t io n al d e ve l op m en t s

c o n c e r n i n g c r i m e s a g a i n s t h u m a n i t y o c c u r a t a t i m e w h e n a t e n d e n c yt ow ar d t he g lo ba li za ti on o f t he r ul e o f l aw a nd t he h ar mo ni za ti on o f j u d i c i a l m o d e l s a n d p r a c t i c e s i s t a k i n g p l a c e . S a n t o s ( 1999:5 1 ) s u g g e s t st ha t t hi s t en de nc y i s a n i nd is pe ns ab le e le me nt f or t he p ra ct ic e o f t het hr ee c on se ns us es t ha t f ue l h eg em on ic g lo ba li za ti on : t he n eo li be ra le co no mi c c on se ns us , t he w ea k s ta te c on se ns us , a nd t he d em ol ib er al

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c on se ns us . W it hi n t hi s f ra me wo rk , c ou rt s t en d t o b e s ee n a s c ru ci alm ec ha ni sm s o f ‘‘ go od g ov er na nc e, ’’ a s n ec es sa ry p il la rs f or t he s af eg ua rdo f s ec ur it y a s a b as ic v al ue f or m ar ke t- or ie nt ed e co no mi es a nd s oc ie ti es .

I n a c er ta in w ay , t he p ro li fe ra ti on o f i nt er na ti on al c ou rt s – a nd t heI n t e r n a t i o n a l C r i m i n a l C o u r t i s o n l y o n e m a j o r e x a m p l e o f t h i s m o v e -me nt – r epr od uc es a t a n i nte rn ati on al sc al e t hi s te nde nc y f or th ej u di c ia l iz a ti o n o f p o li t ic a l c l as h es . A n d t h e i d eo l og i ca l b a ck g ro u nd i sa ls o t he d em ol ib er al o ne . A s S an to s w ri te s, ‘‘ th e n eo li be ra l l eg al g lo -b al iz at io n u nd er w ay i s r ep la ci ng t he h ig hl y p ol i ti ci ze d t en si on b et we ens o c i a l r e g u l a t i o n a n d s o c i a l e m a n c i p a t i o n w i t h a d e p o l i t i c i z e d c o n c e p -t i o n o f s o c i a l c h a n g e w h o s e s o l e c r i t e r i o n i s t h e r u l e o f l a w a n d j u d i c i a l

a d j u d i c a t i o n b y a n h o n e s t , i n d e p e n d e n t , p r e d i c t a b l e a n d e f f i c i e n t j u d i -c i ar y ’’ (2002: 44 5) . I n s um , i t s ho ul d b e s ai d t ha t t he c ou nt er -h eg em on icm e a n i n g o f t h e I n t e r n a t i o n a l C r i m i n a l C o u r t i s a d e f e n s i v e o n e , a s i t ssc ope i s on ly t o i mp os e – i n te rms of g lo ba l go ve rn anc e – m in im ale t h i c a l a n d n o r m a t i v e l i m i t s t o t h e a c t i v i t i e s o f s t a t e s a n d o t h e r i n t e r -n a ti o na l a c to r s. D e fe n si v e b e ca u se t h e d e mo l ib e ra l s t ra t eg y ‘‘ a ss u me dt h e f o r m o f t h e r u l e o f l a w a n d t r a n s l a t e d i t s e l f i n t o a v a s t p r o g r a m o f

l ib er al c on ce ss io ns t ha t a im ed a t e xp an di ng b ot h t he a mb it a nd t heq u a l i t y o f t h e i n c l u s i o n i n t h e s o c i a l c o n t r a c t w i t h o u t t h r e a t e n i n g t h eba si c s tr uc tur e o f t he e co no mi c an d po li ti ca l s yst em i n f orc e – th at i s, of c a p i t a l i s m a n d l i b e r a l d e m o c r a c y ’’ ( S a n t o s 2002: 4 4 1 ) . T h e j u d i c i a l i z a -t io n o f s er io us b re ac he s a ga in st b as ic h um an r ig ht s f ol lo ws p re ci se ly t hi sp a t h. Th e ‘‘N u r em b e rg p a r a di g m ’’ ( P u r ez a 2001: 1 3 4 ) a d o p t s a d e o n t o -l og ic al v ie w o f i nt er na ti on al l aw a cc or di ng t o w hi ch t he p ol it ic alc li ma te m us t a lw ay s b e r ed uc ed t o t he r es po ns ib il it y o f i nd iv id ua ls

a n d t h e i r d e v i a n t b e h a v i o r . Th e r e f o r e , t h i s N u r e m b e r g p a r a d i g m c a n o -n i z e s a m o d e l o f r e t r i b u t i v e j u s t i c e a i m e d a t e s t a b l i s h i n g a m i c r o s c o p i ct r ut h , d e co n te x tu a li z ed f r om t h e d o mi n an t g e no c id a l c u lt u re i n c o m-p le x p ol it ic al e me rg en ci es . I ns te ad o f g iv in g p ri or it y t o a p ol it ic ala pp ro ac h t o t he s oc ia l a nd p ol it ic al r oo ts o f t he e nv ir on me nt t ha tf a v o r e d t h o s e c r i m e s o r a c o n t e x t u a l i z a t i o n e f f o r t – f a v o r e d , f o r e x a m -p le , b y t he ‘‘ tr ut h c om mi ss io ns ’’ – t he I nt er na ti on al C ri mi na l C ou rt a ndt h e N u r e m b e r g p a r a d i g m h a v e a m u c h m o r e l i m i t e d s c o p e . T h e y a r e a

c o u n t e r - h e g e m o n i c c o n s t r u c t i o n , b u t a d e f e n s i v e o n e a t t h a t .

11.3 E M A N C I P A T I O N T H R O U G H E M A N C I P A T O R Y M E A N S

The common heritage of humankind regime is perhaps the mostadvanced expression of subaltern cosmopolitan legality at the


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i n t e rn a t i on a l l e v e l.1 T h e f i r s t s t e p s t o w a r d t h e c o m m o n h e r i t a g e l e g a lc on ce pt w ere t ak en b y th e Ma lt ese re pre sen ta ti ve to th e Un it ed

Nations, Arvid Pardo, who in 1967 raised the need for some interna-

t ion al re gi mes f or c om mu nal n atu ra l r eso ur ce s ( suc h as t he d eeps ea be d, t he m oo n a nd o th er c el es ti al b od ie s, a nd c er ta in c ul tu ra l a nde nv ir on me nt al a ss et s) t o b e a do pt ed . F ol lo wi ng c lo se ly t he p er sp ec ti ve sd r a w n b y P a r d o , c o n t e m p o r a r y i n t e r n a t i o n a l l a w a s s u m e s t h e c o m m o nh e ri t ag e o f h u ma n ki n d r e gi m e i n s o me n o n- c on s en s ua l i n te r na t io n alt r e a t i e s l i k e t h e 1 9 8 2 U n i t e d N a t i o n s C o n v e n t i o n o n t h e L a w o f t h eS ea o r t he 1 97 9 I nt er na ti on al A gr ee me nt o n t he A ct iv it ie s o f S ta te s o nt h e M o o n a n d o t h e r C e l e s t i a l B o d i e s .

T he c or e o f t hi s l eg al i nt er na ti on al r eg im e i nv ol ve s a c le ar b re akw it h t he d om in an t r eg ul at or y s ch em e f or t ho se s pa ce s a nd r es ou rc es .T he t ra di ti on al i nt er na ti on al r eg ul at io n o f t ho se a re as w as a l ib er alo ne , c on st ru ct ed a s a t oo l o f t he E ur o- ce nt ri c i nt er na ti on al s ys te m o f m o d e r n t i m e s . A c o m b i n a t i o n b e t w e e n n o n - a p p r o p r i a t i o n a n d f r e e u s eo f t he c omm on s w as t he m os t i mp or ta nt tr ai t o f t hi s r egi me of rescommunis. Ha vi ng i ts an ci en t r oo ts i n R oma n l aw , i t w as de ve lo pe d

b y i nt er na ti on al l eg al s ch ol ar s d ur in g t he f or ma ti on o f m od er n i nt er -n a t i o n a l l a w , n a m e l y , w i t h i n t h e d e b a t e b e t w e e n s t a t e s ( P o r t u g a l a n dS pa in ) s up po rt in g t he mare clausum d oc tr in e a nd t ho se ( Ho ll an d)s u pp o rt i ng t h e mare liberum d oc tr in e. T ha t c ru ci al c on tr ov er sy c on -f ro nt ed t he e xp an si on o f n at io na l s ov er ei gn ti es o f c oa st al s ta te s w i tht h e s a f e g u a r d o f t h e f r e e u s e o f t h e o c e a n s . T h e t r i u m p h o f t h e f r e e d o mof the seas may be view ed as a major sign of the emergence of modernitya n d c a p i t a l i s m a t t h e i n t e r n a t i o n a l l e v e l . I n f a c t , t h e b a l a n c e b e t w e e n

n on -a pp ro pr ia ti on an d f re e u se i s a p ecu li ar o ne, th e f or me r b ei ngu n d e r s t o o d a s a m e r e i n s t r u m e n t o f t h e s e c o n d . A l r e a d y P l a u t u s o f f e r e da p i c t u r e o f t h i s i n a c u r i o u s d i a l o g u e b e t w e e n a s l a v e a n d a f i s h e r m a n :t h e f o r m e r a r g u e d t h a t t h e s e a w a s e v e r y b o d y ’ s g o o d a n d t h e f i s h e r m a na g r e e d ; b u t w h e n t h e s l a v e c o n c l u d e d t h a t e v e r y t h i n g f o u n d i n t h e s e aw a s a l s o e v e r y b o d y ’ s o w n , t h e f i s h e r m a n r e p l i e d t h a t t h e f i s h c a u g h t b yh i s n e t s w o u l d d e f i n i t e l y b e o n l y h i s . . .

T hi s d om in an t u nd er st an di ng o f res communis h ad a ll t he c ru ci al

f e a t u r e s o f a l i b e r a l r e g i m e . F o r m a l e q u a l i t y b e f o r e t h e l a w a n d m a t e r i a li n e q u a l i t y w e r e t h e t w o s i d e s o f t h e s a m e c o i n . F r e e u s e f o r a l l h a d a s i t sr ev er se a n o bv io us f ir st -c om e- fi rs t- se rv ed c on se qu en ce . A pa rt f ro m

1 O n t h e c o nc e pt o f s u b al t er n c o sm o p ol i t an l e ga l i ty , s e e S a nt o s (2002:Chapter 9) and Santos andRodrı g ue z - G a r a vit o’ s c h a pt e r in t h is volum e .

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t ha t, t hi s t ra di ti on al f re ed om o f t he s ea s d oc tr in e t re at ed t he o ce an s a s am e r e r o u t e f o r n a v i g a t i o n a n d t h e f r e e f l o w o f g o o d s , t h e c o r r e s p o n d e n tl aw o f t he s ea be in g on ly a ‘‘ la w o f th e s urf ac e’’ ( Dupu y 1979). The

g r o w i n g c o n s c i e n c e o f t h e t h r e e - d i m e n s i o n a l n a t u r e o f t h e o c e a n s – awealth reserve and not only a route – together with the growingc on sc ie nc e o f t he l im it s f or t he e xp lo it at io n o f o ce an r es ou rc es h av ef o r c e d t h e c r i t i q u e o f t h i s l i b e r a l m a i n s t r e a m .

T hi rd W or ld c ou nt ri es h av e b ee n a t t he f or ef ro nt o f t hi s c ri ti ca lm ov em en t, d em an di ng a r ep la ce me nt o f t he d er eg ul at ed f re ed om o f t h e s e a s b y a r e g i m e o f n o n - a p p r o p r i a t i o n p r o v i d e d w i t h a s e t o f b a s i ca ff ir ma ti ve r ul es . T he i nn ov at io n c la im ed b y t ho se c ou nt ri es w as t he re -

f o r e t h e n e e d t o c h a n g e t h e p r i o r i t i e s b e t w e e n t h e t w o s i d e s o f t h e rescommunis r e g i m e . T a k i n g t h e ‘ ‘communis’ ’ a s p e c t s e r i o u s l y w o u l d m e a ne mp ha si zi ng n on -a pp ro pr ia ti on a s a n a ut on om ou s g oa l a nd m ak in g f re eu s e e f fe c ti v e for all, d es pi te t he ir e co no mi c o r t ec hn ol og ic al d if f er en ce s.W i t h i n t h i s f r a m e w o r k , e q u i t a b l e s h a r i n g b e c a m e t h e l e i t m o t i v o f t h en e w r e g i m e , b r i n g i n g b a c k t h e n o t i o n o f bonum commune humanitatis tot h e r o l e o f a n e t h i c a l a n d p o l i t i c a l g u i d e l i n e f o r t h e p r o g r e s s i v e d e v e l -

o p m e n t o f i n t e r n a t i o n a l l a w .T he counter-hegemonic meani ng of the common heritage of h um an ki nd r eg im e a nd i ts s pe ci fi ci ty a s a f or m o f c os mo po li ta n l awl i e m o s t o f a l l i n i t s a b i l i t y t o e x p r e s s i n i n n o v a t i v e t e r m s t h e p r i n c i p l eo f c o m m u n i t y – a s o p p o s e d t o t h e p r i n c i p l e s o f t h e m a r k e t a n d o f t h es ta te – a t t he i nt er na ti on al r eg ul at or y l ev el . I ts t wo m ai n n or ma ti vep il la rs a re a n u nd if fe re nt ia te d t ra ns pa ti al a nd a n u nd if fe re nt ia te d t ra ns -t e m p o r a l c o n c e p t o f h u m a n k i n d ( P u r e z a 1998 ) . T h e f i r s t i n v o l v e s t h e

a pp oi nt me nt o f a ll h um an ki nd a s o wn er s a nd m an ag er s o f t he s pa ce sa n d r e s o u r c e s q u a l i f i e d a s c o m m o n h e r i t a g e . R a d i c a l l y o p p o s e d t o t h eres communis l i b e r a l u n d e r s t a n d i n g – t o w h i c h ‘ ‘ e a c h o n e o n i t s o w n ’ ’ i st h e l e g e n d – t h i s t r a i t o f i d e n t i t y o f t h e c o m m o n h e r i t a g e r e g i m e i s a l s oo p p o s e d t o t h e l i m i t e d p a r t i c i p a t i o n s t r a t e g y p r a c t i c e d f o r e x a m p l e i nt h e A n t a r c t i c c o n t e x t .

O n t h e o t h e r s i d e , t h i s t r a n s p a t i a l u n i t y a l s o i n c l u d e s a n a f f i r m a t i v ea c t i o n s t r a t e g y : t h e effective i n c l u s i o n o f a l l h u m a n k i n d i n t h e m a n a g e -

m e n t a n d s h a r i n g o f b e n e f i t s o f t h e c o m m o n h e r i t a g e r e q u i r e s p o s i t i v ed is cr im in at io n i n f av or o f t he p oo re st c ou nt ri es , a s r eg ar ds b ot h t he irp r e s e n c e a t t h e i n s t i t u t i o n a l m a n a g e m e n t m e c h a n i s m s a n d t h e i r s h a r -i ng i n t he ma te ri al b en ef its o bt ai ne d f ro m t he e xp loi ta ti on o f th ec o m m o n h e r i t a g e . T h e t r a n s t e m p o r a l u n i t y o f a l l m a n k i n d a s a n o r m a -t iv e c on ce pt i nc lu de s t wo f un da me nt al o pt io ns : t he r es er ve o f t ho se


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s pa ce s a nd r es ou rc es f or p ea ce fu l p ur po se s a nd t he s af eg ua rd o f t her i g h t s a n d o p p o r t u n i t i e s o f f u t u r e g e n e r a t i o n s . H u m a n k i n d i s t h e r e f o r ep er ce ive d n ot o nl y as t he s um o f i ts c on te mp or ary me mbe rs bu t a lso a s a

b i o l o g i c a l u n i t y o f d i f f e r e n t g e n e r a t i o n s . B y t h u s c o n s t r u c t i n g h u m a n -k in d, t he c om mo n h er it ag e r eg im e h as d et er mi ne d a n i nn ov at iv ea p p r o a c h t o t h e i n t e r t e m p o r a l l a w d o c t r i n e : i t i s n o l o n g e r a t e c h n i q u eo f r e l a t i n g t h e p r e s e n t t o t h e p a s t ( v e r y f r e q u e n t i n t e r r i t o r i a l c l a i m s o ri n c on fl ic t o f l aw r ul es ) b ut i s r at he r a f or m o f b ri ng in g t og et he r t hep r e s e n t a n d t h e f u t u r e i n t e r m s o f c o m m u n i t a r i a n r i g h t s a n d d u t i e s .

I n h er a na ly si s o f i nt er ge ne ra ti on al e qu it y, W ei ss (1989) i d en t if i est w o o p p o s i t e m o d e l s . O n t h e o n e s i d e , t h e p r e s e r v a t i o n i s t m o d e l g i v e s

a bs ol ut e p ri or it y t o t he s ta tu s q uo o ve r a ny k in d o f c ha ng e, s in ce i tsm ai n c on te nt s i s t ha t ‘‘ th e p re se nt g en er at io n d oe s n ot c on su me a ny -t h i n g ; r a t h e r i t s a v e s a l l r e s o u r c e s f o r f u t u r e g e n e r a t i o n s a n d p r e s e r v e st h e s a m e l e v e l o f q u a l i t y i n a l l a s p e c t s o f t h e e n v i r o n m e n t ’ ’ ( 1989:22).O n t h e o t h e r s i d e , t h e o p u l e n t m o d e l o v e r l o o k s t h e l o n g - t e r m d e g r a d a -t i o n o f t h e r e s o u r c e s , s i n c e i t p o s i t s t h a t t h e p r e s e n t g e n e r a t i o n s h o u l dc o n s u m e ‘ ‘ a l l t h a t i t w a n t s t o d a y a n d g e n e r a t e a s m u c h w e a l t h a s i t c a n ,

e i t h e r b e c a u s e t h e r e i s n o c e r t a i n t y t h a t f u t u r e g e n e r a t i o n s w i l l e x i s t o rb ec au se m ax im iz in g c on su mp ti on t od ay i s t he b es t w ay t o m ax im iz ew e al t h f o r f u tu r e g e ne r at i on s ’’ (1989: 23 ). L oc at ed b et we en t he se t woe xt re me s, t he p ri nc ip le o f i nt er ge ne ra ti on al e qu it y i mp li es a d em an df o r a r e s t r i c t i v e m a n a g e m e n t t h a t c o m b i n e s p r e s e r v a t i o n w i t h c h a n g e ,i n o r d e r t o s a f e g u a r d t h e o p p o r t u n i t i e s o f f u t u r e g e n e r a t i o n s .

W it h t he se n or ma ti ve c on te nt s, t he c om mo n h er it ag e o f h um an ki ndr eg im e i s n o d ou bt a n a dv an ce d e xp re ss io n o f a c ou nt er -h eg em on ic

i n t e r n a t i o n a l l e g a l i t y . Th e c a m p a i g n o r g a n i z e d b y a d v a n c e d i n d u s t r i a -l i z e d c o u n t r i e s a g a i n s t i t s f o r m a l i n c o r p o r a t i o n i n i n t e r n a t i o n a l t r e a t i e si s c le ar e vi de nc e o f t hi s s ub al te rn n at ur e. T h er e i s a r em ar ka bl e s im i-l a ri t y b e tw e en t h e s t ra t eg i es f o ll o we d b y i n du s tr i al i ze d c o un t ri e s w i thr eg ar d t o b ot h t he I nt er na ti on al C ri mi na l C ou rt a nd t he c om mo nh er it ag e r eg im e. I n b ot h c as es , t he i ns ti tu ti on al p il la r o f t he r eg im eh as b ee n t he m ai n t ar ge t o f t ho se c ou nt ri es . T hi s r ev ea ls t ha t t he irm ai n o bj ec ti ve s a re t he e li mi na ti on o f e nf or ce me nt m ec ha ni sm s a nd

t he c on ti nu at io n o f i nt er na ti on al s of t l aw . T he r ec en t c as es o f d ra ma ti cd e ci s io n s c o n c er n in g p e ac e a n d s e c u ri t y t a ke n o u ts i de t h e U N S e cu r it yC o u n c i l ( e . g . K o s o v o a n d I r a q ) c l e a r l y c o n f i r m t h i s .

I n t h e c a s e o f t h e c o m m o n h e r i t a g e o f h u m a n k i n d r e g i m e , t h i s a n t i -i n s t i t u t i o n a l s t r a t e g y h a s b e e n m o s t v i s i b l e i n t h e r e f u s a l o f t h e m a j o rp ow er s t o a cc ep t t he r ea l e st ab li sh me nt o f t he I nt er na ti on al S ea be d

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A u t h o r i t y , c r e a t e d b y P a r t X I o f t h e 1 9 8 2 U n i t e d N a t i o n s C o n v e n t i o non t he L aw of th e S ea , w hi ch w as g iv en un us ua ll y ef fec ti ve l eg al p ow er st o c on tr ol t he a ct iv it ie s o f s ta te s a nd p ri va te c om pa ni es i n t he d ee p

s e a b e d . F i r s t W o r l d c o u n t r i e s h a d s h o w n t h e i r p r e f e r e n c e f o r a s o r t o f r ub be r- st am p a ut ho ri ty , i n c on tr as t t o t he p os it io n o f T hi rd W or lds ta te s t ha t p re fe rr ed a s up ra na ti on al i ns ti tu ti on al m od el , c le ar lyi ns pi re d b y t he E ur op ea n C oa l a nd S te el C om mu ni ty . H av in g b ee nde fe ate d by T hi rd W orl d c oun tr ies , w hi ch m an ag ed to e st abl is h as tr on g i ns ti tu ti on al d es ig n f or t he S ea be d A ut ho ri ty , r ic h c ou nt ri esa nd t ra ns na ti on al c ap it al s ta rt ed a n i nt en si ve c am pa ig n a ga in st i tt ha t r es ul te d i n t he s ig ni ng o f a n i nt er na ti on al a gr ee me nt t ha t p re -

v e n t e d t h e e n t r y i n t o f o r c e o f P a r t X I o f t h e 1 9 8 2 C o n v e n t i o n , i n c l u d -i ng a c om pl et e n eu tr al iz at io n o f t he o ri gi na l r eg ul at or y p ow er s o f t heI nt er na ti on al S ea be d A ut ho ri ty . A ll t he p ro gr es si ve p ol ic ie s e st ab -lished in the Convention – the monopoly of the InternationalS ea be d A ut ho ri ty o ve r a ct iv it ie s t ak in g p la ce a t t he s ea be d, m in er alp ro du ct io n l i mi ts t o c om pe ns at e l an d- ba se d p ro du ce rs , t ec hn ol og yt ra ns fe r, e tc . – h av e b ee n h ol lo we d o ut a nd ‘‘ sh al l n ot a pp ly .’’ T he y

w er e r ep la ce d b y t he e nf or ce me nt o f ‘‘ so un d c om me rc ia l p ri nc ip le s’’s u c h a s t h e p r o h i b i t i o n o f s u b s i d i z a t i o n , t h e e l i m i n a t i o n o f d i s c r i m i n a -t i o n b e t w e e n m i n e r a l s d e r i v e d f r o m t h e s e a b e d a n d f r o m o t h e r s o u r c e s ,th e pr oh ib iti on o f t he u se of t ar if f an d n on -ta ri ff ba rri er s, a nd th ep ur ch as e o f d ee p s ea be d m in in g t ec hn ol og y ‘‘ on f ai r a nd r ea so na bl ec om me rc ia l t er ms a nd c on di ti on s o n t he o pe n m ar ke t. ’’ O nc e a ga in ,t h e m a j o r c o n t r a d i c t i o n h a s b e e n t h a t b e t w e e n a n i n t e r v e n t i o n i s t a n de f f e c t i v e r e g u l a t o r y a n d s o l i d a r i s t i c u n d e r s t a n d i n g o f i n t e r n a t i o n a l l a w

a n d a l i b e r a l m a r k e t - o r i e n t e d laissez faire.T hus far, I have tried to show that, at the end of the day, the intensity

o f c ou nt er -h eg em on ic u se s o f i nt er na ti on al l aw i s v er y m uc h c on di -t i o n e d b y t h e i n t e n s i t y o f t h e r e s i s t a n c e c o n f r o n t i n g h e g e m o n i c f o r c e s .W h e n t h e s u b s t a n t i v e a i m i s i n t r a - a n d i n t e r g e n e r a t i o n a l e q u i t y , s u c hf o r c e s p r e f e r t h e t r a d i t i o n a l l y ‘ ‘ s o f t ’ ’ n a t u r e o f i n t e r n a t i o n a l l a w o v e r ar e g u l a t o r y o r d e r e n d o we d wi t h i n s t i t u t i o n a l e n f o r c e m e n t m e c h a n i s m s .T hu s, i t s ho ul d b e n o s ur pr is e t ha t t he e ff ec ti ve c ou nt er -h eg em on ic

sc ope of i nt er na ti on al r eg ime s be com es e ro de d by a ll th e f orm s o f h e g e m o n i c r e s i s t a n c e .

L oo ki ng a t t he t wo c as es r ef er re d t o a bo ve – c ri me s a ga in st h um an it ya nd t he I nt er na ti on al C ri mi na l C ou rt o n t he o ne s id e, a nd t he c om mo nh e r i t a g e o f h u m a n k i n d a n d t h e I n t e r n a t i o n a l S e a b e d A u t h o r i t y o n t h eo th er – i t m us t b e u nd er li ne d t ha t o nl y a s ma ll p ar t o f t he ir o ri gi na l


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t r a n s f o r m a t i v e p r o j e c t h a s b e e n p u t i n t o p r a c t i c e , d u e t o t h e r e s i s t a n c eo f h eg em on ic c ou nt ri es a nd e co no mi c e li te s. W it hi n t hi s c on te xt ,o p po s it i on a l c o un t er - he g em o ni c u s es o f i n te r na t io n al l a w c a n a s su m e

a d ef en si ve s ta tu s. T he c as e o f t he c om mo n h er it ag e o f h um an ki ndr eg im e i ll us tr at es q ui te w el l t hi s d ow ng ra di ng d yn am ic s o f c ou nt er -hegemony.

T he d if fe re nt c on st ru ct io ns o f a l eg al r eg im e f or t he c om mo n h er i-t a g e o f h u m a n k i n d r e v e a l a t r a j e c t o r y i n w h i c h t w o d i s t i n c t p h a s e s c a nb e d et ec te d. T o d if fe re nt ia te t he se t wo p ha se s I t ak e t he i nt en si ty o f t hec o n t r a s t w i t h t h e d o m i n a n t t e r r i t o r i a l i s t l o g i c a s a c r i t e r i o n . I w i l l c a l lt h e s e t w o p h a s e s t h e two ages of the common heritage of humankind.

T he f irs t a ge i nc lu de s al l t he a tte mpt s to bu il d a n orm ati ve an di ns ti tu ti on al d es ig n r eg ul at in g s uc h c om mo ns a s o ut er s pa ce a nd t hed ee p s ea be d, w hi ch h ad r em ai ne d o ut si de t he e xp an si ve t er ri to ri ala mb it io ns o f n at io na l s ta te s. T he re fo re , t he ir c om mo n f ea tu re w ast he ir l oc at io n o ut si de t er ri to ri es u nd er s ov er ei gn p ow er s o r s ta te j ur -i sd ic ti on . T he ir c la ss if ic at io n a s c om mo n h er it ag e o f h um an ki ndi nt en de d to u nde rl in e th at t he y w er e r ema in der s o f t he pr oc ess o f

a p p r o p r i a t i o n o f a l l s p a c e s b y t h e s t a t e s . T h e d i s c r e p a n c y b e t w e e n t h ei n i t i a l M a l t e s e p r o j e c t – w h i c h a i m e d t o c l a s s i f y a l l t h e o c e a n s p a c e a st he c om mo n h er it ag e o f h um an ki nd – a nd t he a ct ua l i nc re as e o f t hea p p r o p r i a t i o n d y n a m i c s ( c o n t i n e n t a l s h e l f , t e r r i t o r i a l s e a , a n d , m o s t o f a l l , e x c l u s i v e e c o n o m i c z o n e s ) c l e a r l y i l l u s t r a t e s t h i s v i e w . I n f a c t , o n l ya m i n i m a l p a r t o f t h e o c e a n ( t h e d e e p s e a b e d ) h a s b e e n m a i n t a i n e d a sc o m m o n s i n P a r t X I o f t h e 1 9 8 2 C o n v e n t i o n . T h e c o n s i s t e n c y o f t h en or ma ti ve a nd t he i ns ti tu ti on al c om po ne nt s o f t he c om mo n h er it ag e o f

h u m a n k i n d r e g i m e m a k e s i t a l a n d m a r k i n t h e c o u n t e r - h e g e m o n i c u s eo f i n t e r n a t i o n a l l a w . H o w e v e r , i t s o p p o s i t i o n a l c h a r a c t e r a s a c o u n t e r -h e g e m o n i c r e g i m e g o e s h a n d i n h a n d w i t h i t s r e s i d u a l v a l u e i n s p a t i a lt er ms ( an i sl an d o f r es is ta nc e w i th in a n o ce an o f p ri va te a pp ro pr ia ti on ).

T he s it ua ti on s I i nc lu de i n t he s ec on d a ge o f t he c om mo n h er it ag e o f h u m a n k i n d h a v e i n c o m m o n t h e a p p l i c a t i o n o f t h e b a s i c p r i n c i p l e s o f i nt ra - a nd i nt er ge ne ra ti on al e qu it y t o c ul tu ra l a nd e nv ir on me nt alr es ou rc es a nd g oo ds t ha t a re l oc at ed w i th in t he s pa ti al j ur is di ct io n o f

s ta te s. S pa ce s a nd g oo ds c la ss if ie d a s w or ld h er it ag e u nd er t he 1 97 2U NE SC O C on ve nt io n o n W or ld N at ur al a nd C ul tu ra l H er it ag e a ree xa mp le s o f t hi s n ew g en er at io n o f t he c om mo n h er it ag e o f h um an -k i n d . I n t h e s e c a s e s , t h e t e r r i t o r i a l r e f e r e n c e – e i t h e r w i t h a d o m i n a n to r a re si du al va lue – c ea se s t o be t he c om mo n ba ckg rou nd o n w hi ch th es t ru g gl e b e tw e en h e ge m on i c a n d c o un t er - he g em o ni c u s es o f l a w t a ke

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p l ac e . T h e c o mm o n h e ri t ag e o f h u ma n ki n d r e gi m e n o w a c t s w i th i n t h es tr on gh ol d o f s ta te t er ri to ri al s ov er ei gn ty , a nd i ts s ig ni fi ca nc e l ie sp re ci se ly i n t he d ee p c ha ng e t ha t t hi s e nt ai ls f or t he g en er al o ri en ta ti on

o f t h e e x e r c i s e o f s t a t e s o v e r e i g n t y .Wh at i s at t he h ea rt o f th is se con d ag e o f the common h er ita ge reg ime

i s a r ad ic al t ran sf or ma ti on i n t he l ogi c a nd l imi ts o f s ta te a ct io n c on-c e r n i n g t h e s e a s s e t s a n d r e s o u r c e s . Te r r i t o r i a l i s t l o g i c – e x p r e s s e d e i t h e rt hr ou gh t he t er ri to ri al s ov er ei gn ty o f i nd iv id ua l s ta te s o r t hr ou gh t hec o m m o n m a n a g e m e n t o f n o n - a p p r o p r i a t e d t e r r i t o r i e s – c e a s e s t o b e t h ed e f i n i n g e l e m e n t o f t h e r e g i m e . T h e n e w f o c u s i s o n t h e m a n a g e m e n t o f t he se s pa ce s a nd a ss et s. T he c ru ci al e le me nt o f t hi s s ec on d a ge o f t he

c om mo n h er it ag e i s t he re fo re t he n ot ion o f s oc ia l a nd e co lo gi ca l f un c-t ion o f s ov er ei gn ty , u nd er st oo d a s a s or t o f p lan et ar y e xt en si on o f t hes oci al a nd e co lo gi ca l f un ct io n o f i ndi vi du al pr op er ty . T he c la im t o ar adi ca l c h an g e o f t he b as ic p il la rs o f t he i de ol og ic al a nd l e ga l- po li ti c ali nte rn at io na l o rde r c ea se s t o e xi st a nd i s r ep la ce d b y a m uc h m ore l im it edg oa l: t he g en er al r ef or m o f t he w ay s ov er ei gn ty i s e xe rc is ed w or ld wi de ,w it h n o p ri vil eg ed p ol iti ca l t arg et s a nd n o pr iv il ege d p ol it ic al a ct or s. I t i s

t rue t ha t w ha t h ad pr ev io us ly e me rge d a s a c lea r op po si ti on al f or m of c o u n t e r - h e g e m o n i c u s e o f i n t e r n a t i o n a l l a w h a s b e e n d i l u t e d a n d t u r n e di n t o a d e f e n s e o f t h e p o l i t i c a l s t a t u s q u o . N o t wi t h s t a n d i n g t h i s , i t s h o u l db e a c k n o wl e d g e d t h a t s u c h a d e f e n s i v e s t r a t e g y c a r r i e s s o m e t r a n s f o r m a -ti ve p ot en tia l w it h it a nd i s th er ef ore t o b e co ns id er ed a s a co un te r-h e g e m o n i c e l e m e n t wi t h i n t h e c o n t e m p o r a r y wo r l d s y s t e m .

F ro m i ts o ri gi ns , i nt er na ti on al l aw h as a lw ay s b ee n a n a mb iv al en ti ns tr um en t. I ts r el at io n w it h i nt er na ti on al p ow er h as a lw ay s b ee n

t w o f o l d : o n t h e o n e s i d e , i t h a s b e e n f o r m e d t o e x p r e s s , i n l e g a l t e r m s ,t he p re fe re nc es o f t he m os t p ow er fu l c ou nt ri es ; o n t he o th er , i t h as b ee nf or me d t o p ut l im its o n t he i nt er na ti ona l be ha vi or of th ose sa mecountries.

T h i s d i a l e c t i c o f l a w a n d p o w e r h a s b e e n p e r m a n e n t i n t h e h i s t o r yo f t he m od er n i nt er -s ta te s ys te m. T he e me rg en ce o f p eo pl es , t hi rdw or ld s ta te s, a nd t ra ns na ti on al s oc ia l m ov em en ts a s c ru ci al a ct or s o nt h e i n t e r n a t i o n a l s c e n e i n t h e t w e n t i e t h c e n t u r y h a s p u t t h i s d i a l e c t i c

i n a n e w p o l i t i c a l a n d i d e o l o g i c a l c o n t e x t . L e g a l i t y a n d l e g i t i m a c y a r e ,more than ever, privileged i nstruments to be used by counter-h eg em on ic f or ce s i n t he ir s tr ug gl e f or a m or e d ec en t a nd b al an ce di n t e r n a t i o n a l c o m m u n i t y . T h e d e f e n s i v e c h a r a c t e r t h a t t h e u s e s t h o s ei ns tr um en ts c ur re nt ly a ss um e i s s tr on g e vi de nc e o f t he r ea l s co pe o f h e g e m o n y i n t h e c o n t e m p o r a r y w o r l d o r d e r .


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International Criminal Court: A Challenge to Impunity, edited byM . P o l i t i a n d G . N e s i . A l d e r s h o t : A s h g a t e .

C om m is si on o n G lo ba l G ov er na nc e. 1 99 5. Our Global Neighborhood. New

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D up u y, R . J . 1 97 9. L’ocean partage . Paris: Pedone.G l as i us , M . 2 0 03 . ‘‘ H ow A c ti v i st s S h ap e d t h e C o ur t .’’ Crimes of War Project

Magazine (www.crimesofwar.org).Past or Ridru ejo, J. A. 1996 . Curso de Derecho Internacional Publico y

Organizaciones Internacionales. M a d r i d : T e c n o s .P ur ez a, J . M . 1 99 8. O patrimonio comum da humanidade: Rumo a um direito

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2001. ‘‘Da cultura da impunid ade a judicia lizac ao global .’’ Revista Crıtica de

Ciencias Sociais 60:121–139.2 0 02 . ‘‘ T ow a rd s a P o st - We s t ph a li a n I n te r na t i on a l S o li d ar i t y. ’’ Eurozine( w w w .e u r o z i n e .c o m ) , A p r i l 2 6 .

R os en au , J . 1 99 8. ‘‘ Go ve rn an ce i n a G lo ba li zi ng W or ld .’’ I n Re-Imagining

Political Community: Studies in Cosmopolitan Democracy, edit ed byD . A r c h i b u g i . C a m b r i d g e : P o l i t y P r e s s .

S an to s, B oa ve nt ur a d e S ou sa . 1 99 9. ‘‘ Th e G AT T o f L aw a nd D em oc ra cy :

( Mi s) tr us ti ng t he G lo ba l R ef or m o f C ou r ts .’’ I n Globalization and LegalCultures, e d it e d b y J . F e es t . O na t i: I I SL .

2002. Toward a New Legal Common Sense. L o n d o n : B u t t e r w o r t h s .Weiss, E. B. 1989. In Fairness to Future Generations: International Law,

Common Patrimony and Intergenerational Equity. T o k y o : U N U n i v e r s i t y .

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PA R T T H RE E

LAW AND PARTICIPATORY DEMOCRACY:

BETWEEN THE LOCAL AND THE GLOBAL



CHAPTER 12

POLITICAL AND LEGAL STRUGGLES OVERRESOURCES AND DEMOCRACY: EXPERIENCES

WITH GENDER BUDGETING IN TANZANIA

Mary Rusimbi and Marjorie Mbilinyi *


D ur in g t he s tr ug gl es f or i nd ep en de nc e, p ol it ic al a nd s oc ia l a ct iv is ts

su ch a s M wa li mu J ul iu s N ye re re a nd Bi bi Ti ti M oh ame d b ro ug htw om en ’s a nd p oo r p eo pl e’ s e xp er ie nc es i nt o t he p ub li c d eb at e, a lb ei tw i t h i n t h e l i m i t a t i o n s o f t h e i r t i m e s . N o w , o v e r f o r t y y e a r s l a t e r , m a n yw om en a nd m en i n T an za ni a a re c on ce rn ed w it h h ow g en de r, r ac e,e t h n i c , c l a s s , a n d i m p e r i a l d i f f e r e n c e s a f f e c t a n d a r e a f f e c t e d b y p o l i c yd e v e l o p m e n t s a n d e c o n o m i c c h a n g e s a t t h e l o c a l , n a t i o n a l , a n d g l o b a ll e v e l s . C r i t i c a l f e m i n i s t a c t i v i s t s a r e a c t i v e l y s t r u g g l i n g t o a n a l y z e a n di n f l u e n c e t h e d e c i s i o n s t h a t a f f e c t t h e i r l i v e s a t a l l l e v e l s .

T hi s c ha pt er e xa mi n es f em in is t s tr ug gl es i n T an za ni a o ve r i ss ue s o f o wn er sh ip a nd c on tro l o f r eso ur ce s w hi ch h av e b ee n l ed by t he T an zan iaG en de r N et wo rk in g P ro gr am me ( TG NP ) a nd t he F em in is t A ct iv is tcoalition (FemAct), as they relate to corporate-led globalization, equity,social justice, people’s participation, and social transformation. The GBI ni ti at iv e ( GB I) i s h ig hl ig ht ed i n o rd er t o i ll us tr at e e ff or ts b y a ct iv is to rg an iz at io ns t o c ha ll en ge a nd c ha ng e t he s tr uc tu re s o f p ow er w hi ch

* T hi s a rt ic le i s b as ed o n a r ev is io n a nd u pd at in g o f a n e ar li er a rt ic le w ri tt en b y M ar y R us im bi(2003 ) a nd p ub li sh ed i n A c t i vi s t V o i c es ( M bi l in y i, R u si m bi , C h ac h ag e a n d K i tu n ga 2003). Activist Voices w a s b a s e d o n a c o l l e c t i v e p r o c e s s o f r e f l e c t i o n o n t e n y e a r s o f f e m i n i s t a c t i v i s mi n T a nz a ni a , l e d b y t h e T a nz a ni a G e nd e r N e tw o rk in g P r og r am m e a n d t h e F e mi n is t A c ti v is tC o a l i t i o n . T h i s a r t i c l e h a s a l s o i n c o r p o r a t e d k e y i s s u e s r a i s e d b y K i t u n g a ( 2003) a n d M b i l i n y i(2003 ) i n t h e c on cl ud in g p ar t o f t h ei r r es pe ct iv e a rt ic le s i n t h e s am e c ol le ct io n. A pp re ci at io n i se x pr e ss e d h e re f o r t h e s u pp or t iv e s u gg e st i on s p r ov i de d b y B o av e nt u ra d e S o us a S a nt o s a n dCesar A. Rodrı guez-Garavito.

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c re at e po li cy an d i nven t l aw . T he a na ly si s s ha re s th e e xpe ri en ce o f f em in is t e f fo rt s i n l in ki ng p ol ic y e ng ag em en t a nd l eg al p ro ce ss es t o s oc ia lt r ans fo r mat io n, p art icipato ry d emo cracy, and p eop le- o wned d evelop -

m ent p r o ces s es . O f p ar t icu lar co ncer n has b een t he s ys t em at ic ex clu s io no f t he m ajo r it y o f p eo p le fr o m d ir ect p ar t icip at io n in t he fo r m u lat io n o f p o licy and law , and t heir im p lem ent at io n and m o nit o r ing.

Th e TG NP a nd Fe mAc t h av e e nd ea vor ed to a dva nc e c oun ter -hegemonic processes by openly challenging state hegemony from ‘‘outside’’t h e c o r r i d o r s o f p o w e r , o n t h e o n e h a n d , a n d a l s o b y e n g a g e m e n t w i t h i nt o p- lev el d ecis io n-m aking s p aces lo cat ed w ithin go vernm ent inst itu tio nso n the othe r. Th ere i s in evit able tension i n bal an ci ng th es e two

a pp ro ac he s. O f p ri me c on ce rn i s t he i ss ue o f r et ai ni ng i nd ep en de nc ea nd c re di bi li ty a s a n a ut on om ou s a ct iv is t o rg an iz at io n, g iv en t he r ea ld an ger s o f co opt at ion . T he g ov ern me nt an d it s d ono r ‘‘p ar tn er s’’u se e xa mp le s o f N GO p ar ti ci pa ti on i n p ol ic y c on su lt at iv e p ro ce ss es a se vi de nc e o f g ro wi ng d em oc ra ti za ti on a nd ‘‘ ow ne rs hi p’’ o f p ol ic ie s b y‘‘ ci vi l s oc ie ty .’’ T o w ha t e xt en t i s N GO i nv ol ve me nt m er el y w in do wd re ss in g, t hus c on tr ib ut in g t o t he r ep ro du ct io n o f t he s ta tu s q uo , a nd n ot

a r e a l c h a l l e n g e t o t h e s y s t e m ?I n r e s p o n s e t o t h e s e q u e r i e s , t h e T G N P a n d F e m A c t h a v e s o u g h t t og r o u n d t h e i r a d v o c a c y a c t i v i t i e s a t t h e ‘ ‘ l o c a l ’ ’ l e v e l , b y i n c r e a s i n g t h ep a rt i ci p at i on o f g r as s ro o ts o u tr e ac h g r ou p s a n d d i st r ic t -l e ve l n e tw o rk si n a l l a s p e c t s o f t h e p r o c e s s . I n c r e a s i n g p r i o r i t y h a s b e e n g i v e n t o t h eco ncer ns o f u nem p lo yed yo u t h, d is enfr anchis ed p eas ant p r o d u cer s , ands m a l l t r a d e r s i n b o t h u r b a n a n d r u r a l a r e a s . T o g e t h e r , o u r a n a l y s e s a n da c t i o n s h a v e c o n f r o n t e d t h e l i n k a g e s b e t w e e n m a c r o e c o n o m i c r e f o r m

p o li c ie s a n d p o li t ic a l ‘‘ l ib e ra l iz a ti o n’’ a t t h e n a ti o na l a n d g l ob a l l e ve l sa nd t he e sc al at in g c ri si s o f l iv el ih oo ds , r es ou rc es , a nd H IV /A ID S a t t hel o c a l a n d i n d i v i d u a l l e v e l s . I n v o l v e m e n t i n t h i s p r o c e s s h a s a l s o l e d t os tr on ge r t ie s w it h a nt i- gl ob al i za ti on m ov em en ts e ls ew he re i n A fr ic aa nd w or ld wi de . I n t hi s w ay , t he c as e i n h an d i ll us tr at es t he a dv an ce -m en t o f c os mo po li ta n f or ms o f l eg al it y ( Sa nt os 2002; Santos andRodrı gu ez - G ar av it o ’s chap t er in t his v o lu m e).

T h e s e s t r u g g l e s t a k e p l a c e i n t h e c o n t e x t o f d e e p e n i n g s t r u g g l e s o v e r

n eo li be ra li sm a s a n i de ol og y a nd t he s tr uc tu re s o f p ow er i t s up po rt s.F ol lo wi ng se ven l on g y ea rs of r ef us al to ‘‘ si gn ’’ wi th t he IM F, t heg o v e r n m e n t o f M w a l i m u J u l i u s N y e r e r e w a s f o r c e d t o a c c e p t t h e c o n -d it io na li ti es o f S tr uc tu ra l A dj us tm en t p ol ic ie s ( SA P) i n t he m id -1 98 0s .D e b t a n d d o n o r d e p e n d e n c e o f t h e p o s t - c o l o n i a l s t a t e l e f t l i t t l e r o o mf o r m a n e u v e r . T h e r e s u l t i n g c o m b i n a t i o n o f S A P , t r a d e l i b e r a l i z a t i o n ,

R U S I M B I A N D M B I L I N Y I

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a n d p r i v a t i z a t i o n h a s l e d t o a r a d i c a l c h a n g e i n t h e p a t t e r n s o f o w n e r -s hi p a nd c on tr ol o f b as ic n at ur al r es ou rc es , i nc lu di ng l an d, m in er al s,w i l d l i f e a r e a s , a n d w a t e r , a n d p r o d u c t i v e r e s o u r c e s i n c l u d i n g t h e b a n k -

i ng a nd i ns ur an ce s ec tor , ma nuf ac tur in g i ndu str ie s, a nd t he l ike .T ra ns na ti on al c or po ra ti on s ( TN Cs ) h av e g ai ne d f ar m or e c on tr olo v e r b a s i c r e s o u r c e s i n t h e 1 9 9 0 s a n d 2 0 0 0 s t h a n t h e y e v e r h a d i n t h ec ol on ia l e ra w hi ch e nd ed i n 1 96 1. A s ma ll g ro up o f T an za ni an s a ndn on -T an za ni an s b en ef it f ro m m ac ro ec on om ic r ef or ms , w he re as t hem aj or it y i n t he l ow a nd m id dl e i nc om e g ro up s h av e b ee n e xc lu de d –e x c l u d e d f r o m t h e l a b o r m a r k e t , f r o m q u a l i t y s o c i a l s e r v i c e s , a n d f r o mp a r t i c i p a t i o n i n d e c i s i o n - m a k i n g a b o u t p o l i c y a n d t h e l a w .

12.2 T H E T A N Z A N I A G E N D E R N E T W O R K I N G

P R O G R A M M E A N D T H E F E M I N I S T A C T I V I S T C O A L I T I O N

S in ce 19 93 , t he TG NP h as b ee n a mo ng t he l ea di ng c iv il s oc ie ty or ga ni za -tions in the country in bringing gendered and pro-poor agendas to the toplevels of decision-making at all levels. Since its inception, the TGNP has

r ecognized t hat gender, class , imp er ial, and r ace iss ues are ins ep ar ab le. T heo rg an iz at ion al ph il os op hy r ef le ct s c ri ti ca l f em in is m w hi ch l in ks th eo pp ress io n and exp lo it at io n o f gir ls and w om en w it h t hat o f all m ar gin-alized p eo ple and t he ass au lt o n nat io nal s ov er eignty its elf. T he T GN Padopted a critical feminist transformative agenda, which is reflected in itsv is io n s ta te me nt : t o s ee a T an za ni an s oc ie ty i n wh ic h t he re i s g en de requ alit y and equ it y, equ al o pp or tu nities , and acces s t o and contr ol o verresources for all citizens, both women and men (Mbilinyi e t a l. 2003).

F ro m t he o ut se t, t he T GN P’ s f ou nd er s r ea li ze d t ha t t he ir v is io nc o u l d n o t b e a c h i e v e d b y o n e o r g a n i z a t i o n a l o n e , b u t r e q u i r e d c o l l e c -t i v e a c t i o n l e d b y a c o a l i t i o n o f l i k e - m i n d e d o r g a n i z a t i o n s s o a s t o b u i l da ma ss s oc ia l m ov eme nt . P ar tn er sh ip s b eg an to b e bui lt wi th l ike -m in de d o rg an iz at io ns f ro m t he s ta rt , w it hi n T an za ni a a nd b ey on d.A n i m p o r t a n t s t e p w a s t a k e n i n 1 9 9 4 w h e n a m e e t i n g w a s c a l l e d w i t ht h e s e o r g a n i z a t i o n s s p e c i f i c a l l y t o e x p l o r e t h e p o s s i b i l i t y o f t h e f o r m a -t io n o f a c oa li ti on . T op o rg an iz at io na l l ea de rs s ha re d e xp er ie nc es ,

a gr ee d w it h t he n ee d t o e st ab li sh a m or e f or ma l c ol le ct iv e p ro ce ss ,a n d b e g a n t o o u t l i n e t h e m a i n o b j e c t i v e s o f t h e c o a l i t i o n . T h i s w a s t h eb eg in ni ng o f F em Ac t, w hi ch h as c on ti nu ed t o p ro vi de l ea de rs hi p o nk ey s oc ia l i ss ue s t o t hi s d ay ( Ki tu ng a 2003 ; M bi li ny i 2003) . F em Ac tc o n s i s t s o f m o r e t h a n f o r t y o r g a n i z a t i o n s s i t u a t e d m a i n l y b u t n o t s o l e l yi n D ar e s S al aa m, wi th di ve rs e g oa ls a nd pe rsp ec ti ve s. S eve ra l a re

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s ep ar at e w om en ’s a nd /o r y ou th o rg an iz at io ns , w hi le o th er s a re c om -posed of both women and men of all ages and f ocus on key human rightsa nd o th er i ss ue s. T he d iv er si ty w it hi n t he c oa li ti on h as h el pe d t o e nr ic h

it s w o r k and m aintain a cr it ical p o s itio n v is -a- v is m ainst r eam w o m en-i n - d e v e l o p m e n t p o s i t i o n s a s w e l l a s t h e o v e r a l l n e o l i b e r a l a g e n d a .

I n i ts p ur su it o f t hi s f ar -r ea ch in g v is io n o f s oc ia l t ra ns fo rm at io n f org en de r e qu al ity a nd d ev el opm en t th at be ne fi ts a ll so ci al s ec tor s, t heT GN P and F em Act hav e r ecognized t hat o rganiz ed p ress ur e gro up s areneeded at all lev els t o r ed ir ect m ains tr eam p olicies and r es ou rce allocat io npatterns into a progressive people-centered direction, and to democratizethe policy-making process. Given these broad goals, intermediate objec-

t iv es ha ve b ee n i de nti fi ed th at w il l b ri ng c le an w at er c lo se r t o h om es ,provide quality education and health care for all, and ensure employmenta nd s us ta in ab le l iv el ih oo ds f or a ll w om en a nd m en i n b ot h r ur al a nd u rb anareas . T he T GN P has t ar geted all lev els w here d ecis io ns are m ad e abo utpolicies and laws that affect the day-to-day lives of ordinary people.

P o l i c i e s , l a w s , b u d g e t s , t a x e s , a n d l o a n s a r e a t t h e h e a r t o f g o v e r n m e n td ec is io ns a bo ut r es ou rc e a ll oc at io n. P ol ic ie s d es cr ib e t he n ee ds a nd

p ri or it iz e t he s tr at eg ie s f or m ee ti ng t ho se n ee ds . W he n d ec is io n- ma ke rsmake pol ici es and laws, they are deciding who and what is mosti mpo rt an t t o f oc us on a nd wh at ki nd o f f oc us th ey s hou ld r ec ei ve .B ud ge ts a ll oc at e r es ou rc es t o m ee t t he s oc ia l a nd e co no mi c n ee ds o f d if fe re nt s eg me nt s o f s oc ie ty a cc or di ng t o p ri or it ie s o ut li ne d i n p ol ic ie s.T ax es a re c ol le ct ed t o f un d t he b ud ge ts , a nd l oa ns a dd m on ey t o t heb u d g e t i n t h e s h o r t t e r m a n d t a k e m o n e y f r o m i t i n t h e l o n g t e r m b yb ec omi ng d ebt s to be re pa id. A ll of t he se w il l h av e a n en orm ou s i mp act

o n t he l ive s a nd wo rk o f t he p oor a nd di se mp owe red , wh ic h ma y bec os tl y o r b en ef ic ia l. I n g en er al , b ud ge ts , t ax es , a nd l oa ns a re n ot n eu tr ali ns tr um en ts ; t he y h av e d if fe re nt r es ul ts f or d if fe re nt s oc ia l g ro up s,a cc or di ng t o t he ir g en de r, c la ss , r ac e, a nd g lo ba l- im pe ri al l oc at io n.A cc or di ng ly , e ac h o f t he se – p ol ic ie s, l aw s, r es ou rc es , b ud ge ts , t ax es ,a nd l oa ns – n ee ds t o b e a na ly ze d a nd i n m an y c as es , r ad ic al ly s hi ft edf r o m a p r o - r i c h t o a p r o - p o o r , f e m i n i s t a p p r o a c h .

12.3 P O L I C I E S , L A W , R E S O U R C E G E N E R A T I O N ,

A L L O C A T I O N , A N D O W N E R S H I P : W H Y A R E

T H E S E A C O N C E R N F O R F E M I N I S T S ?

T ra di ti on al ly , p ol ic ie s, l aw s, b ud ge ts , t ax es , a nd d eb ts h av e b ee n t her e a l m o f a f e w e c o n o m i s t s a n d p l a n n i n g e x p e r t s w h o s e d e c i s i o n s h a v e


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p r o f o u n d e f f e c t s o n t h e a v e r a g e c i t i z e n . W i t h t h e g r o w i n g d o m i n a n c eo f d on or d ev el op me nt a ge nc ie s, a l ar ge n um be r o f t he se e xp er ts a re s ta ff a nd /o r c on su lt an ts ( fo re ig n a nd n at io na ls ) w or ki ng f or t he i nt er -

n at io na l f in an ci al i ns ti tu ti on s ( IF Is ), o th er U ni te d N at io ns a ge n-c ie s, a nd b il at er al i ns ti tu ti on s. T he ‘‘ do no r c om mu ni ty ’’ a s a w ho le i sd o m i n a t e d b y a f e w p o w e r f u l a n d r i c h n a t i o n - s t a t e s l e d b y t h e U n i t e dS t a t e s . T h e s e i n s t i t u t i o n s a r e h e a v i l y i n f l u e n c e d b y t h e m a t e r i a l n e e d sa nd i nt er es ts o f T NC s ( Ch ac ha ge 2003) . T h e ‘‘ f re e m a rk e t’’ i d eo l og ye s p o u s e d b y c a p i t a l i s t f o r c e s , a n d t h e r e f o r m s a s s o c i a t e d w i t h s t r u c t u r a lad ju s t m ent , lib er aliz at io n, and p r iv at iz at io n at t ained a d o m inant p o s i-t i o n n o t o n l y i n A f r i c a b u t w o r l d w i d e f r o m t h e 1 9 8 0 s o n w a r d s .

H ow ev er , t he re i s g ro wi ng r es is ta nc e t o n eo li be ra l r ef or ms a ndc or po ra te -l ed g lo ba li za ti on a t a ll l ev el s, w hi ch h as c oa le sc ed i nt o a ni nt er na ti on al a nt i- gl ob al iz at io n m ov em en t l i nk in g a ct iv is ts i n t he

North and the South. In this context, a growing number of activist,o ft en f em in is t, o rg an iz at io ns a t t he l oc al , n at io na l, a nd g lo ba l l ev el si n s i s t t h a t d e c i s i o n s a b o u t r e s o u r c e s , p o l i c i e s , b u d g e t s , t a x e s , a n d d e b t sh a v e t o i n v o l v e g r a s s r o o t s c o m m u n i t i e s a n d t h e p o o r , d i r e c t l y , a n d c a n

n o l o n g e r b e l e f t t o a s m a l l e l i t e g r o u p o f p e o p l e .W he n t he T GN P a nd F em Ac t c oa li ti on p ar tn er s s ta rt ed w or ki n gt o g e t h e r i n t h e e a r l y 1 9 9 0 s , t h e y w e r e c o n v i n c e d t h a t u n f a i r a n d u n j u s td e ci s io n s w e re b e in g m a de a b ou t T a nz a ni a ’s d e ve l op m en t t h at w ou l dh a v e a l a r g e l y n e g a t i v e i m p a c t o n m o s t w o m e n w h o w e r e p o o r , a n d o no th er m ar gi na li ze d g ro up s. M or eo ve r, t he f ou nd er s w er e c on ce rn ed t ha tt h e s e p o l i c i e s a n d t h e l a w s t o i m p l e m e n t t h e m w e r e t a k i n g T a n z a n i a nc iti ze ns d ow n t he r oa d o f i nc re as in g c la ss , e th nic , a nd g en de r i neq ua li ty –

t he o pp os it e d ir ec ti on t o ‘‘ de ve lo pm en t. ’’ A s tr on g c ri ti qu e o f n eo -l i b e r a l p r o - m a r k e t r e f o r m s w a s a d o p t e d f r o m t h e s t a r t , a n d i s r e f l e c t e di n t h e f i r s t m a j o r p u b l i c a t i o n o f t h e T G N P , n a m e l y , t h e G en der Pr ofileof T an zan ia, p u b l i s h e d i n 1 9 9 3 .

A t t hi s t im e, S AP s a nd th e m ech an is ms of c os t s har in g i n ba si c s oc ia ls er vi ce s a nd r et re nc hm en t i n t he p ub li c s ec to r h ad l ed t o a d ra ma ti cr ed uc ti on i n a cc es s b y t he p oo r, b ot h w om en a nd m en , t o s oc ia l s er vi ce s( h ea l th c a re a n d e d uc a ti o n) . L i be r al i za t io n a n d p r iv a ti z at i on p o li c ie s

r es ul te d i n m as si ve l ay -o ff s o f g ov er nm en t w or ke rs a s w el l a s t ho see m p l o y e d i n t h e p r i v a t e s e c t o r . T h e i n c o m e s o f t h e m a j o r i t y d e c l i n e da s a re sul t of h ar d f isc al a nd ec on om ic po li ci es an d a p ol iti ca l s hi ftw hi ch g av e i nc re as in g p ro mi ne nc e t o t he n ee ds a nd i nt er es ts o f b igc a p i t a l i s t i n v e s t o r s , e s p e c i a l l y T N C s . T h e m a j o r i t y o f m e n a n d w o m e nf el t ov erwh el me d by t he se c han ge s a nd c omp le te ly l ef t o ut of th e


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s t r u c t u r e s o f d e c i s i o n - m a k i n g r e s p o n s i b l e f o r t h e s e p o l i c i e s a n d s t r a t e -gies (Chachage 2003).

I n 1 99 4, t he T GN P o rg an iz ed a n o pe n p ub li c s ym po si um t o c ri ti ca ll y

e xa mi ne S AP s a nd t he e co no mi c r ul es a nd r eg ul at io ns p re sc ri be d b yt h e W o r l d B a n k a n d t h e I M F i n t e r m s o f t h e i r i m p a c t o n w o m e n a n dt he p oo r. T hi s e ve nt m ar ke d t he T GN P’ s f ir st m aj or e ff or t t o r ai se ap ub li c d eb at e a bo ut m ac ro ec on om ic p ol ic ie s. A p ro mi ne nt w om anp ol it ic ia n o pe ne d t he s ym po si um w it h a c ri ti ca l s ta te me nt o n m ac ro -r e f o r m s . A h i g h l e v e l o f p a r t i c i p a t i o n r e s u l t e d f r o m t h e c o m b i n a t i o n o f m e th o ds u s ed t o p r ov o ke d i sc u ss i on , i n cl u di n g t h e p r es e nt a ti o n o f a na n al y ti c al p a pe r , a d r am a , a n d s m al l g r ou p d i sc u ss i on s ( T GN P 1994).

T h e m e d i a w e r e i n v o l v e d a n d e n s u r e d t h a t t h e k e y i s s u e s r a i s e d w e r ep u b l i c i z e d n a t i o n w i d e . T h e r e w e r e t w o c o n c r e t e r e s u l t s f r o m t h i s s y m -p os iu m. F ir st , t he i ss ue o f S AP s w as r ai se d t o a h ig he r l ev el o f p ub li cd eb at e. S ec on dl y, t he T GN P r ec og ni ze d m or e c le ar ly i ts m an da te t oa d d r e s s m a c r o - l e v e l p o l i c y i s s u e s a n d a c h i e v e d a g r e a t e r u n d e r s t a n d i n go f h o w t o m o v e f o r w a r d .

I n s u b s eq u ent year s , t he T G N P, w o r k ing clo s ely w it h s ev er al F em A ct

p ar tn er s, b ui lt o n e ar ly e ff or ts s uc h a s t hi s s ym po si um t o u nd er st an dm ac ro -l ev el p ol ic y a nd , m or e s pe ci fi ca ll y, i ts m an if es ta ti on s i n n at io na lp ol ic ie s, b ud ge ts , t ax es , a nd d eb ts , a nd t he ir i mp ac t o n w om en a ndo th er m ar gi na li ze d g ro up s a nd o n g en de r c la ss r el at io ns . I n 1 99 5, f ore xa mp le , t he T GN P u nd er to ok s ys te ma ti c f ie ld r es ea rc h a ss oc ia te dw it h i ts v ot er e du ca ti on d ri ve i n o rd er t o f in d o ut w ha t t he p ri or it yi s s u e s w e r e f r o m t h e p o i n t o f v i e w o f t h e p o o r a n d d i s e m p o w e r e d a t t h eg ra ss ro ot s l ev el i n v il la ge s a nd t ow ns . P eo pl e, b ot h w om en a nd m en

and young people, denounced the dramatic decline in access tos oc ia l s er vi ce s ( es pe ci al ly e du ca ti on a nd h ea lt h c ar e) a s a r es ul t o f c os t- sh ar in g a nd r ed uc ti on o f p ub li c s up po rt f or s oc ia l s er vi ce s. T he yt e s t i f i e d o n h o w m u c h p o o r e r t h e y h a d b e c o m e d u r i n g t h e y e a r s a s s o -c i a t e d w i t h m a c r o e c o n o m i c r e f o r m s . A t a F e m A c t f e e d b a c k s e s s i o n i n1 9 96 , m e mb e r o r ga n iz a ti o ns i n it i al l y a g re e d t o c a mp a ig n t o ge t he r f o rg en de r e qu it y i n p ri ma ry e du ca ti on a nd h ea lt h. H ow ev er , f ur th era n a l y s i s b r o u g h t t h e r e a l i z a t i o n t h a t e q u i t y w a s m e a n i n g l e s s i n a s i t u a -

t io n w he re t he m aj or it y o f a l l c hi ld re n, b ot h g ir ls a nd b oy s, w er e d en ie da cc es s t o e du ca ti on . F em Ac t a gr ee d t o l ob by f or a m aj or i nc re as e o f g ov er nm en t r es ou rc es t o b as ic s oc ia l s er vi ce s i n t he p ub li c s ec to r,t h er e by c h al l en g in g m a cr o ec o no m ic r e fo r m p r oc e ss e s. T h is p r oc e ss o f r ef le ct io n l ed t he c oa li ti on t o d i sc ov er ‘‘ GB ’’ a s a m ea ns f or a na ly si s a n da d v o c a c y t o a c h i e v e t h e s e g o a l s .


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12.4 W H A T I S G B ?

‘ ‘ G B ’ ’ ( g e n d e r b u d g e t i n g ) i s n o t a b o u t d e m a n d i n g a s e p a r a t e b u d g e t f o r

w om en . R at he r, i t i s a bo ut u si ng a ‘‘ ge nd er l en s’’ t o a na ly ze n at io na lp ol ic ie s a nd a ss oc ia te d p ub li c e xp en di tu re s a nd r ev en ue s. G B i s ac on ce pt ua l t oo l f or c ri ti ca l f em in is t a ct iv is ts t o u se i n a na ly zi ng p ol ic ie sand budgets, including taxes and debts, so as to promote a moree q u i t a b l e a l l o c a t i o n o f r e s o u r c e s . F o r e x a m p l e , t h r o u g h a G B a n a l y s i s ,f em in is ts c an u nd er st an d a nd c ri ti qu e h ow r es ou rc es a re r ai se d a ndallocated. Which taxes create an unfair burden on the poor andw om en ? H ow a re r ev en ue s a ll oc at ed ? W hi ch s oc ia l g ro up s b en ef it

mo re , wh ic h l ea st? Ar e th e f un ds c ol le ct ed re ac hi ng t he pe op le i nw ay s t ha t i mp ro ve t he ir l iv es ? W ha t p ro po rt io n o f b ud ge t a ll oc at io nsf ro m t he c en ter a ct ua ll y r ea ch th e d ist ri ct ? Th e co mm un ity ? T hehealt h facilit y, s cho o l o r d em o ns t r at io n far m ? W hat co ncr et e im p r o v e-m e n t s h a v e o c c u r r e d i n w o m e n ’ s , m e n ’ s , a n d c h i l d r e n ’ s l i v e s a s a r e s u l to f a g i v e n p o l i c y a n d i t s b u d g e t ?

F ur th er mo re , a g en de r b ud ge t a na ly si s c an c ri ti qu e t he w ay s i n w hi chp ol ic ie s, l aw s, a nd b ud ge ts a re d ev el op ed . W ho w as i nv ol ve d i n t hep r o c e s s ? D i d w o m e n , y o u t h , a n d p o o r p e o p l e p a r t i c i p a t e ? A G B i n i t i a -t iv e t ak es t he a na ly si s f ur th er b y a ct iv el y p ro mo ti ng e qu al it y f or w om ena n d y o u t h , a m o r e e q u i t a b l e u s e o f p u b l i c r e s o u r c e s f o r a l l m a r g i n a l i z e dp e o p l e , g r e a t e r a c c o u n t a b i l i t y o f p u b l i c l e a d e r s a t a l l l e v e l s , a n d m o r ed i r e c t p a r t i c i p a t i o n i n d e c i s i o n - m a k i n g a n d t h e p r o d u c t i o n o f l a w .

G B s ta rt ed i n A us tr al ia , f ol lo we d b y S ou th A fr ic a, a nd h as b ee n u se db y s ev er al d if fe re nt c ou nt ri es a nd r eg io ns i n t he w or ld t o a ch ie ve a

b r o a d e r p o l i c y f o c u s o n g e n d e r i s s u e s a s w e l l a s t o r e f o c u s t h e g o v e r n -m en t’ s c om mi tm en t o n g en de r a nd p ro -p oo r n ee ds . T he T GN P w asa m o n g t h e f i r s t o r g a n i z a t i o n s i n A f r i c a t o p r o m o t e G B , a n d h a s s i n c ep a r t i c i p a t e d i n s e v e r a l f o r u m s a t r e g i o n a l a n d n a t i o n a l l e v e l t o s h a r e i t se xp er ie nc es a nd l ea rn f ro m o th er s. T he a mo un t o f a tt en ti on g iv en t oG B c ar ri es w it hi n i t o pp or tu ni ti es a nd t hr ea ts , a p oi nt w hi ch w il l b ee xpl or ed a t th e en d o f th is c ha pte r. S uf fi ce i t to sa y h ere t hat t he T GN Ph as h ad t o r em ai n c on ti nu al l y v ig il an t a ga in st t he d an ge rs o f c oo pt a-

t io n r es ul ti n g f ro m g en de r m ai ns tr ea mi ng , a nd c om pl ac en cy w hi chco u ld r es u lt fr o m claim ing ‘‘eas y v ict o r ies .’’

T he G en de r B ud ge t I ni ti at iv e ( GB I) i n T an za ni a b eg an i n 1 99 7w he n s om e t we nt y N GO s t he n c om pr is in g F em Ac t d ec id ed t o m ak ei t a p r i o r i t y c a m p a i g n i s s u e , w i t h t h e T G N P i n t h e l e a d . T h e b r o a d a i mw a s t o c h an g e p o li t ic a l a n d e c on o mi c g o ve r na n ce p r oc e ss e s ( p ol i ci e s,


289



b u d g e t s , t a x e s , a n d d e b t s ) , t o m a k e t h e m m o r e d e m o c r a t i c a n d r e s p o n -s i v e t o t h e n e e d s a n d d e m a n d s o f t h e p o o r , w o m e n , a n d o t h e r d i s e m -p ow er ed g ro up s. T he a na ly si s w ou ld b e c ar ri ed o ut f ro m a p ro -p oo r,

f em in is t, a nt i- im pe ri al p er sp ec ti ve . T he T GN P a nd i ts k ey F em Ac tp a r t n e r s d e v o t e d c o n s i d e r a b l e t i m e t o l e a r n i n g m o r e a b o u t t h e b u d g e t -m a ki n g p r oc e ss i n T a nz a ni a , c o ll e ct i ve l y, b e fo r e d e ci d in g t o ge t he r o ne ff ec ti ve s tr at eg ie s t o b e u se d t o i nv es ti ga te p ol ic y a nd b ud ge ts , t od is se mi na te t he i nf or ma ti on a s w id el y a s p os si bl e, a nd t o i nf lu en cet he b ud get -ma ki ng pr oc es s d ur in g t he f ir st y ea rs o f r ese ar ch an dadvocacy.

Gr ad ua ll y, i t be cam e c le ar th at t he G BI ob je ct iv es w er e a bo ut

d e mo c ra t iz i ng g o ve r na n ce a n d l a w- m ak i ng p r oc e ss e s i n t h e p o li t ic a la nd e co no mi c a re na b y e m po we ri ng p oo r m e n a nd w om en t o c h al le ng em a cr o ec o no m ic p o li c i es a n d p o li c y p r oc e ss e s a t d i ff e re n t l e ve l s. O n er e s u l t w a s i n t e n d e d t o b e m o r e c o n c r e t e p u b l i c s u p p o r t f o r b a s i c s o c i a la nd e co no mi c s er vi ce s w hi ch w er e o f s pe ci al p ri or it y t o t he p oo r a ndd is em po we re d, i nc lu di ng w om en a nd y ou th . F ur th er mo re , t he G BId is co ur ag ed g ov er nm en t’ s u nu su al ly h ig h d ep en de nc e o n e xt er na l

l oa ns a nd g ra nt s, a nd i ns te ad l ob bi ed f or i nc re as ed m ob il iz at io n o f l o c a l r e s o u r c e s f o r a m o r e s u s t a i n a b l e d e v e l o p m e n t p l a n . A s t h e i n i t i a -t i v e s h i f t e d i t s f o c u s f r o m a d v o c a c y a n d r e s e a r c h d u r i n g t h e f i r s t p h a s e ,t o a n a c t i v i s t c a m p a i g n i n t h e s e c o n d p h a s e , i t h a s s o u g h t t o a c t i v a t et he p ot en ti al o f g ra ss ro ot s c om mu ni ti es ( pa rt ic ul ar ly , p oo r w om en ,m en , a nd y ou th ) t o c ha ll en ge I MF /W or ld B an k p ol ic y f ra me wo rk s,s u c h a s p o l i c i e s o n u s e r f e e s i n h e a l t h a n d e d u c a t i o n .

T he G BI l ob by in g i ni ti at iv e h as d ev el op ed i nt o a t wo -p ha se p ro -

g r a m . T h e f i r s t p h a s e t o o k p l a c e b e t w e e n 1 9 9 7 a n d 2 0 0 0 a n d i n v o l v e dc o a l i t i o n b u i l d i n g a m o n g N G O s ; o p e n i n g d o o r s t o d e c i s i o n - m a k e r s a tt he n at io na l l ev el ; i ni ti at in g s tr at eg ie s f or p ub li c p ar ti ci pa ti on a t t hel oc al l ev el ; l in ki ng w it h r eg io na l a ll ie s; a nd e ng ag in g w it h i nt er na -t i o n a l a d v o c a c y a c t i o n s . T h e s e c o n d p h a s e o f t h e c a m p a i g n s t a r t e d i n2 00 1, a nd i s a im ed a t b ui ld in g a b ro ad er p ub li c c am pa ig n o n t he k eyi s s u e s i d e n t i f i e d d u r i n g t h e f i r s t p h a s e . G B I a c t i v i t i e s a r e t o o n u m e r o u st o b e a n a l y z e d i n d e t a i l h e r e ; o n l y a f e w k e y l a n d m a r k s a r e h i g h l i g h t e d .

12.4.1 Phase I: opening the doorsI n t he e ar ly y ea rs of bo th t he TGN P a nd Fe mAc t, i t wa s s ti ll un us ua l f orf em in is ts t o o rg an i ze t he ms el ve s c ol l ec ti ve ly a nd c ar ry o ut l ob by in gand ad v o cacy act ivit ies co ncer ning m acr oeco nom ic p o licies v is - a- v ish i g h - r a n k i n g m e m b e r s o f t h e g o v e r n m e n t a n d p a r l i a m e n t o n a r e g u l a r


290



b as is . T he d ec is io n- ma ke rs ’ d oo rs w er e c lo se d, a nd a cc es s t o b as ici nf or ma ti on a bo ut k ey p ol ic ie s, l aw s, b ud ge ts , t ax es , a nd d eb t i ss ue sw a s h i gh l y c o ns t ra i ne d . F ur t he r mo re , m o st o f t h e i m po r ta n t d e ci s io n -

m ak in g n eg ot ia ti on s b et we en t he g ov er nm en t a nd I FI s a nd o th er d on orag enc ie s w er e h el d ou ts id e T an za ni a wi th no in vol ve me nt b y c iv ils oc ie ty . T hi s i nc lu de d t he a nn ua l d is cu ss io ns i n W as hi ng to n D C w it ht he Wo rl d B an k a nd t he I MF , a nd t he a nn ua l c on su lt at io ns i nv ol vi ng a lld o no r s w hich w er e t r ad it io nally held in Par is (t he ‘‘Par is Clu b ’’ t alk s ).

A t t hi s s ta ge , f em in is ts w er e j us t b eg in ni ng t o n et wo rk a nd f or mc o al i ti o ns a r ou n d m a cr o ec o no m ic i s su e s, d e ve l op r e gi o na l a l li e s, a n dg at he r g ra ss ro ot s s up po rt . T he re fo re , t he f i rs t p ha se o f t he G BI c am -

p ai gn i nv ol ve d o pe ni ng t he d oo rs a t s ev er al l ev el s: n at io na ll y, i nt er -n a ti o na l ly , r e gi o na l ly , a n d l o ca l ly . P h as e I e s ta b li s he d t h e f o un d at i onf or a b ro ad er n at io na l c am pa ig n t ha t i s c ur re nt ly b ei ng i mp le me nt edu n d e r P h a s e I I .

1 2 .4 . 1. 1 C o al i ti o n b u il d in g a m on g c i vi l s o ci e t y o r ga n iz a ti o nsO n e o f t h e p r i m a r y o b j e c t i v e s o f t h e G B I ’ s f i r s t p h a s e w a s t o s t r e n g t h e n

u nd er st an di ng , c on se ns us , a nd c ol le ct iv e a ct io n a mo ng c iv il s oc ie tyo r ganiz at io ns . G B is a p o w er fu l t o o l fo r t r ans fo r m ing r es o u r ce allo cat io nd e c i s i o n s a n d p r o c e s s e s s o a s t o m e e t t h e n e e d s o f p o o r m e n a n d w o m e n .B u t i t i s j u s t a t o o l . T h e o n l y w a y t h a t i t c a n m a k e a r e a l d i f f e r e n c e a n dl ead t o r adi ca l s oci al t ra ns fo rm ati on i s w he n i t i s e mp loy ed by a b ro ads o cial m o v em ent w hich is w ell gr o u nd ed at all lev els .

A s a f i r s t s t e p , a s e r i e s o f c a p a c i t y b u i l d i n g a n d o r g a n i z i n g a c t i v i t i e sw e r e p l a n n e d t o d e v e l o p a n d s t r e n g t h e n F e m A c t m e m b e r s . D u e t o t h e

d iv er s it y o f co alit io n m em b er s ’ b ack gr o u nd s and ex p er iences , cap acit yb ui ld in g w as s ee n a s a n ec es sa ry s te p t o wa rd c re at in g a n d m ai nt ai ni ng as u c c e s s f u l c o a l i t i o n . M e m b e r s w i t h e x p e r t i s e a n d o u t s i d e p e r s o n s f r o mt he g ov er nm en t a nd a ca de mi a w er e i nv it ed t o o rg an iz e t ra in in g s es -s io ns a nd p ub li c s em in ar s. W it h m uc h e ne rg y a nd e xc it em en t, t hec o a l i t i o n s p e n t m o n t h s c o l l e c t i n g a n d s h a r i n g a s m u c h i n f o r m a t i o n a sp os si bl e a bo ut G B i ss ue s a nd a ct iv it ie s a ro un d t he w or ld ; l ea rn i ng a bo utg en de re d e co no mi cs , l aw , p ol i cy p ro ce ss es , l ob by in g, a nd a dv oc ac y

s t r a t e g i e s . I n t h e p r o c e s s , t h e y i d e n t i f i e d a n d s u p p o r t e d o r g a n i z a t i o n a ls tr en gt hs a nd w ea kn es se s a nd c on du ct ed n um er ou s r ef le ct io n a ndp l an n in g s e ss i on s . A f te r t h is i n te n si v e c a pa c it y b u il d in g e x er c is e , t h eT G N P a n d F e m A c t p a r t n e r s h a d g e l l e d i n t o a w e l l - c o n s o l i d a t e d t e a m ,i n f o r m e d w i t h i n f o r m a t i o n , s p e c i f i c t a s k s , a n d a g r o u p o f i m p l e m e n t e r sw h o w e r e c o n c e p t u a l l y p r e p a r e d f o r t h e p r o g r a m a h e a d o f u s .


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A t t h e s a m e t i m e a s t h e c o a l i t i o n w a s e n h a n c i n g i t s c a p a c i t y , i t w a sa l s o a c t i v e l y d e v e l o p i n g t h e G B I ’ s c o n c e p t u a l a n d o r g a n i z a t i o n a l s t r a -t e g i c p l a n . T h e c o a l i t i o n w a s f o r t u n a t e t o h a v e t i m e a n d r e s o u r c e s t o

c ar ry o ut e xt en si ve p la nn in g a nd o rg an iz in g a ct iv it ie s, t ha nk s t o t hes up po rt o f a s ym pa th et ic b il at er al d on or w ho a t t ha t t im e w as t ak in gw h a t o t h e r d o n o r s c o n s i d e r e d t o b e a b i g r i s k . F o r o v e r s i x m o n t h s , t h ec oa li ti on e ng ag ed i n o pe ra ti on al a nd c on ce pt ua l s tr at eg ic p la nn in g,d e b a t e , a n d r e f l e c t i o n . G i v e n t h e c o m p l e x i t y o f t h e i s s u e s , t h e r e w a s an e e d t o a t t a i n c o n c e p t u a l c l a r i t y a n d s o m e l e v e l o f e q u a l u n d e r s t a n d -i n g . O n e o f t h e m o s t i n t e r e s t i n g a s p e c t s o f t h i s s t r a t e g i c p l a n n i n g w a s ad eb at e t ha t c en te re d a ro un d w ha t t he p ro po se d a ct io n w as a bo ut –

a ‘‘ wo me n’ s b ud ge t’’ o r a ‘‘ ge nd er b ud ge t. ’’ ? T he T GN P a nd F em Ac tm em be rs a gr ee d t ha t t he c on ce pt o f a ‘‘ ge nd er b ud ge t’’ w as t he o nl y on ec on si st en t w it h t he o ri gi na l c on ce pt ua l f ra me wo rk a nd i de ol og ic alp os it io n w hi ch l in ke d g en de r a nd c la ss ( an d i mp er ia l/ ra ce /e th ni c)i ss ue s. M or eo ve r, i n p ra ct ic al t er ms , a p ro gr am w hi ch f oc us ed s ol el yon women’s a cc es s t o re sour ce s wo ul d b e m arg in al iz ed , an d l os e ap o pu l ar f o ll o wi n g. T h e c o al i ti o n d e ci d ed t h at , i n T a nz a ni a ’s c o nt e xt ,

a g e n d e r - b u d g e t a p p r o a c h t h a t i n c l u d e d t h e n e e d s a n d i n t e r e s t s o f p o o rm en a nd yo ut hs wou ld be m or e ap pr op ri at e, c on si de ri ng th at t hem a j o r i t y o f t h e p o p u l a t i o n w a s d i s e m p o w e r e d a n d l a c k e d e q u a l a c c e s st o r es o u r ces and d ecis io n- m ak ing p o w er .

T hi s e ar ly p er io d o f l ea rn in g, r ef l ec ti on , a nd i nv es ti ga ti on l ai d a ni m p o r t a n t f o u n d a t i o n o f c a p a c i t y , o w n e r s h i p , l e g i t i m a c y , a n d m o m e n -t u m u p o n w h i c h G B I o b j e c t i v e s c o u l d b e p u r s u e d . T h e e n e r g y o f m o r et ha n t hi rt y N GO s w or ki ng t og et he r c ol le ct iv el y a s a c oa li ti on l en t

l eg it im ac y t o t he p ro ce ss , a nd w on m or e a tt en ti on f ro m g ov er nm en ta n d t h e p u b l i c . O n c e t h e c o a l i t i o n h a d t h i s r e c o g n i t i o n , i t w a s a b l e t oc on ti nu e b ui ld in g u po n t he i nt er es t a nd c om mi tm en t i t w as g en er at in g.

Not only did this foundational work enhance the capacities of them e m b e r o r g a n i z a t i o n s a n d f e m i n i s t a c t i v i s t s i n v o l v e d t o c a r r y o u t t h eG BI c am pa ig n, i t a ls o s tr en gt he ne d t he c oa li ti on ’s c ap ac it y t o w or kt og et he r o n o th er i mp or ta nt i ss ue s s uc h a s s ex ua l o ff en se s a nd t he a bu seo f w o m e n a n d c h i l d r e n .

1 2. 4. 1. 2 G ro un di ng w it h t he g ra ss ro ot s a t t he d is tr ic ta n d c o m m u n i t y l e v e l sA no th er a sp ec t o f c oa li ti on b ui ld in g w as f or mi ng s tr on g p ar tn er -s h i p s w i t h l o c a l l e v e l c i v i l s o c i e t y a c t o r s . A s n o t e d e a r l i e r , t h e T G N Pa do pt ed a t wo -p ro ng ed s tr at eg ic a pp ro ac h w hi ch c om bi ne d p ol ic y


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e ng ag em en t w it h c on te nt io us a ct iv is m a t a ll l ev el s. I n o th er w or ds , i ti nv ol ve d l eg al m ob il iz at io n a s w el l a s d ir ec t a ct io n. T he b ui ld in g o f s t r o n g l i n k s a n d n e t w o r k s a t t h e l o c a l l e v e l w a s s e e n a s a n i m p o r t a n t

s te p b ec au se ( 1) t he l oc al i ni ti at iv es c ou ld i nf or m t he o ng oi ng p ol i cya d v o c a c y a c t i v i t i e s a t n a t i o n a l a n d i n t e r n a t i o n a l l e v e l s , ( 2 ) t h e k n o w -l e d g e a n d i n f o r m a t i o n d e r i v e d f r o m p o l i c y e n g a g e m e n t a t t h e n a t i o n a la nd i n te rn at io na l l ev el s c ou ld b e s ha re d w it h t ho se o rg an i zi ng a t t hel oc al l e v el , a nd ( 3 ) g ro un di ng a t t h e g ra ss ro ot s l e ve l c o ul d e ns ur e t h at asound social base was provided for the GBI, as steps towards thec r e a t i o n o f a p o p u l a r s o c i a l m o v e m e n t .

S p e c i f i c d i s t r i c t s a n d a c t i o n s w e r e i d e n t i f i e d f o r i n v o l v e m e n t d u r i n g

t he p la nn in g p ro ce ss es . T he se w er e p ar tl y d et er mi ne d b y t he l oc at io n o f I n t e r m e d i a r y G e n d e r N e t w o r k s ( I G N s ) a t t h e d i s t r i c t a n d / o r r e g i o n a land z o nal lev els (Mb ilinyi 2003). Co ns is t ing o f lo cal co m m u nit y- b as edo r g a n i z a t i o n s , N G O s , a n d o t h e r c i v i c a s s o c i a t i o n s , l o c a l I G N s p a r t i c i -p a t e d i n t h e e a r l y f o r m u l a t i o n p r o c e s s e s o f t h e G B I . O t h e r p a r t i c i p a n t si nc lu de d o ut re ac h g ro up s o f t he T GN P a nd l oc al p ar tn er s o f o th erFe mA ct me mbe rs i n t he di str ic ts su ch a s th ose of TA MWA . Th e

c oa li ti on f oc us ed t he ir a tt en ti on o n e le ct ed d is tr ic t c ou nc il or s, t hew ho le d is tr ic t l e ad er sh ip ( pl an ne rs , b ud ge t o ff ic er s, a nd o th er s) , a ndt he co m m u nit ies (b o t h m en and w o m en). Co u ncilo r s and d is t r ict t ech-n ica l pe rs on nel w er e impo rt an t as a p oi nt o f e nt ry , so a s t o be a bl e toengage d ir ect ly in d is t r ict lev el p lanning and go v er nance p r o ces s es .

T h e f i r s t G B I a c t i v i t i e s u n d e r t a k e n a t t h e d i s t r i c t l e v e l w e r e c a r r i e do ut t hr ou gh p ar ti ci pa to ry a ct io n r es ea rc h. K on do a R ur al D is tr ic t i nD o d o m a R e g i o n a n d K i n o n d o n i D i s t r i c t i n D a r e s S a l a a m w e r e c h o s e n

t o b r i n g o u t t h e d i v e r s i t y i n l o c a l s i t u a t i o n s , K o n d o a b e i n g a m o n g t h ep oo re st d is tr ic ts , a nd K in on do ni o ne o f t he m os t d ev el op ed a nd f ra g-m en te d i n s oc ia l c la ss t er ms . T he f in di ng s d oc um en te d t he s ho ck in ge f f e c t s o f p o l i c i e s a n d e c o n o m i c r e f o r m s o n s o c i a l s e r v i c e s . F o r e x a m -p l e , i n K o n d o a , o u r l o c a l p a r t n e r s , t o g e t h e r w i t h t h e T G N P a n i m a t o rf a ci l i ta t or s , w e re a b le t o e x po s e t h e c o mp l et e ly r u n- d ow n s i tu a ti o n i nl o c a l h o s p i t a l s a n d d i s p e n s a r i e s . M a n y l a c k e d e v e n o n e d o c t o r ; p r o f e s -s i o n a l p e r s o n n e l h a d t o l e a v e t h e i r p o s t s t o l o o k f o r n e e d e d d r u g s ; a n d

n i gh t g u ar d s w e re i n j ec t in g p a ti e nt s w i th m e di c in e . P r eg n an t w om e nw e r e b e i n g t u r n e d a w a y a t h o s p i t a l d o o r s b e c a u s e t h e y c o u l d n o t a f f o r dt o b u y g l o v e s a n d o t h e r e q u i p m e n t f o r t h e c h i l d b i r t h , a s c a l l e d f o r b yc os t- sh ar in g m ea su re s. T he r es ul ts o f t he r es ea rc h w er e s ha re d l oc al ly a tf e ed b ac k w or k sh o ps i n vo l vi n g l o ca l a c ti v is t s, m e mb e rs o f p a rl i am e nt ,d is tr ic t a ut ho ri ti es a nd c ou nc il or s, a nd t he m ed ia . I nf la me d b y t he


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e n o r m i t y o f t h e p r o b l e m s i n t h e h e a l t h s e c t o r , t h e K o n d o a M P r a i s e d as t o r m i n P a r l i a m e n t b y d e s c r i b i n g h o w d r u g s w e r e n o w b e i n g a d m i n i s -tered by unskil led nightwatchmen. The people in Kondoa have

c o n t i n u e d t o l o b b y t h e i r o w n d i s t r i c t l o c a l c o u n c i l s u s i n g t h e a d v o c a c ys k i l l s d e v e l o p e d d u r i n g t h e e a r l y p h a s e o f G B I .

T h e s e a r e s o m e o f t h e a c t i v i t i e s t h a t c o n t r i b u t e d t o t h e g r o w t h a n di ns ti tu ti on al iza ti on of I GN s. In so me c as es , IG Ns h ave be en a bl et o ch an ge t he bud ge ts i n t he ir di str ic ts . F or e xam pl e, i n Ki sa ra we( Co as t R eg io n) , K in on do ni a nd S on ge a ( Ru vu ma R eg io n) , a n i nt en -s i v e p r o g r a m o f s u p p o r t i n g l o c a l c i v i l s o c i e t y o r g a n i z a t i o n s a n d d i s t r i c tc ou nc il or s w as u nd er ta ke n t o b ui ld t he ir c ap ac it ie s o f p ol ic y a na ly si s

a nd G B a nd t o r ai se a wa re ne ss o f t he l in ks t o b ro ad er c on st it ue nc yi n t e r e s t s ( H I V / A I D S , p o v e r t y , e t c . ) . T h e K i n o n d o n i I G N w a s a b l e t os uc ce ss fu ll y l ob by t he ir l oc al c ou nc il t o a do pt i ss ue s s uc h a s y ou the mp lo ym en t, s tu de nt t ra ns po rt at io n, a nd v io le nc e. T he K is ar aw eI GN c hos e to f oc us o n HI V/ AI DS an d i ts r el ati on sh ip to p ove rt y.T he y h av e i ni ti at ed w ee kl y s em in ar s a nd a n o ut re ac h p ro gr am w hi chworks with poor women and men i n the community. These were

i m p o r t a n t p r o c e s s e s f o r b u i l d i n g l o c a l c a p a c i t y , i n f o r m i n g t h e n a t i o n a ll e v e l w i t h g r a s s r o o t s c o n c e r n s , a n d b r o a d e n i n g t h e m o v e m e n t .

1 2 .4 . 1. 3 N a ti o na l g o ve r nm e nt s e ct o rs , p a rl i am e nt a ri a ns , a n d p r oc e ss e sI n th e ea rl y y ea rs , mu ch of t he G BI e ff or t a t t he n at ion al l ev el wa sn ec es sa ri ly f oc us ed o n o pe ni ng t he d oo rs f or d ia lo gu e a nd b ui ld in gs pa ce f or c on su lt at io n w it hi n g ov er nm en t c ir cl es ( an d i n t he p ar li a-m e n t ) . F o r t h i s t o h a p p e n , t h e c a m p a i g n n e e d e d s e v e r a l l a y e r s o f a c c e s s

w it hi n t he g ov er nm en t i n t er ms o f p eo pl e, i nf or ma ti on , t im e, a ndp ar ti ci pa ti on . T hi s a cc es s w as e ss en ti al b ec au se G B r eq ui re s a na ly si so f r es ou rc e a ll oc at io n s tr uc tu re s, i nf or ma ti on t ha t o nl y t he g ov er nm en tc a n p r ov i de . F u rt h er m or e , a c ti v is t s n e ed e d t o b e a b le t o i d en t if y p o te n -t ia l a ll ie s, s ym pa th iz er s a nd o pp on en ts w it hi n g ov er nm en t; a nd t od e v e l o p w i t h a l l i e s a m e c h a n i s m f o r g e n d e r b u d g e t t r a i n i n g a n d i n t e r -n a l i z a t i o n w h i c h c o u l d b e s u s t a i n e d b y r e l e v a n t a c t o r s .

O n e o f t h e c a m p a i g n ’ s f i r s t s t e p s a t t h e n a t i o n a l l e v e l w a s t o c o n d u c t

a l ar ge n at io na l l ev el r es ea rc h e ff or t, o n s pe ci fi c s ec to rs a nd p ol ic ie s.T h e s e c t o r s e x a m i n e d w e r e t h o s e c o r r e s p o n d i n g t o t h e c o n c e r n s r a i s e db y g ra ss ro ot s p ar tn er s: h ea lt h, e du ca ti on , a gr ic ul tu re , a nd l at er t ra dea nd i nd us tr y. A t ea m c om pr is in g o f N GO s, i nd ep en de nt r es ea rc he rs ,e co no mi st s, a nd g ov er nm en t o ff ic ia ls e mb ar ke d o n a n i n- de pt h a na ly si so f b u d g e t a r y p o l i c i e s a n d p r o c e s s e s s u r r o u n d i n g g e n d e r a n d c l a s s i s s u e s


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w it hi n e ac h o f t he s el ec te d s ec to rs . T he r es ea rc h f in di ng s w er e p ac k-a g e d a s r e p o r t s t o t h e s e c t o r s a n d p o p u l a r r e p o r t s f o r t h e p u b l i c . T h e nt h e p u b l i c a t i o n s w e r e d i s s e m i n a t e d a n d p u b l i c i z e d w i d e l y t o c r e a t e a n

e n v i r o n m e n t f o r p u b l i c d e b a t e o n i s s u e s o f p o l i c y , b u d g e t s , a n d d e m o c -r a c y . O n c e t h e i s s u e s w e r e d e f i n e d a n d h a d g a i n e d t h e a t t e n t i o n o f t h eg o v e r n m e n t a n d t h e p u b l i c , a s e r i e s o f f o r m a l a c t i v i t i e s w e r e o r g a n i z e dt o d is cu ss t he r es ea rc h a nd t o t ak e t he n ex t s te ps t ow ar d i de nt if yi nge n t r y p o i n t s f o r c h a n g e .

F or e xa mp le , i n N ov em be r 2 00 0, t he T GN P a nd F em Ac t i ss ue d ap u b l i c s t a t e m e n t t o t h e W o r l d B a n k w h i c h r e f u t e d t h e c o n t i n u a t i o n o f u se r f ee s i n he al th a nd e du ca ti on . C os t- sh ar in g a nd p ri va ti za ti on , a lo ng

with budget cuts, had l ed to a drastic reduction in social servi cedelivery, and contributed to impoverishment of the majority. Therefore,according to the statement, ‘‘international donor policies that intend tos up po rt t he p ro cess es o f d ev elop ment in T anzania s ho uld s up po rt t hesesectors rather than targeting them for budget cuts and privatization.’’

B ui ldi ng o n th e a ve nu es ex pa nd ed wi th in th e g ov ern me nt, th eT G N P a n d F e m A c t o r g a n i z e d i n f o r m a l a n d f o r m a l m e e t i n g s w i t h k e y

a c to r s w i th i n t h e g o ve r nm e nt , p a rl i am e nt , a n d o t he r s e le c te d i n st i tu -t io ns i n o rd er t o r ei nf or ce t he i ni ti al g ai ns m ad e f ro m t he r es ea rc hpr oc ess . Th e st rat eg y f or t he se f ol lo w- up m ee ti ng s wa s to t ake a naw arenes s- r aising ap p ro ach, ho p ing t o s t r engt hen t he co ncep t u al cap a-c ity a nd kn owl edg e ba se of k ey g ov ern men t a cto rs a bo ut th e l in kb et we en g en de r a nd e co no mi cs , w it h t he a ss um pt io n t ha t p ro -p oo rde ci si on s an d pol ici es w ou ld f ol lo w. H en ce , p art of t he a gen da of s u ch m e et i ng s c o nc e rn e d h o w t h e p o li c y- m ak i ng , p l an n in g , a n d b u d-

g e t i n g p r o c e s s e s c o u l d p o t e n t i a l l y s u p p o r t p r o g r e s s i v e p r o c e s s e s f o r t h em a j o r i t y o f w o m e n , y o u t h , a n d p o o r m e n i n t h e c o u n t r y . T h i s i n f o r m a -t io n w as p re se nt ed t hr ou gh s en si ti za ti on w or ks ho ps , a s a c on sc io ust act ic fo r no n- aggr es s iv e lo b b ying.

D ur in g a nd a ft er t he se t ra in in g/ wo rk in g s es si on s, t he T GN P a ndF em Ac t p ar tn er s e ng ag ed i n l ob by in g s pe ci fi c g ov er nm en t a ct or s i nth e s el ec te d s ec to rs o n s eve ra l ke y i ssu es. O ne of t he ma jor i ss uesl ob bi ed f or a t t he n ati on al ( an d l oc al ) l ev el s wa s o n h avi ng m or e

o pe n, p ar ti ci pa to ry , a nd r es po ns iv e s ys te ms o f g ov er na nc e a nd l aw -m ak in g. T hi s w as b as ed o n o ne o f t he m aj or r es ea rc h f in di ng s, t ha tp ol ic y a nd b ud ge t p ro ce ss es i n t he c ou nt ry w er e n on -p ar ti ci pa to ry ,e x c l u s i v e , a n d o f t e n t o o k p o s i t i o n s a g a i n s t t h e i n t e r e s t s o f p o o r g r o u p si n t he c ou nt ry i nc lu di ng w om en a nd g ir ls . T he T GN P a nd F em Ac tlobbied for the government to provide more space for direct


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p a r t i c i p a t i o n o f t h e p o o r a n d w o m e n i n p o l i c y a n d p l a n n i n g p r o c e s s e so f t h e c o u n t r y , a n d f o r g r e a t e r t r a n s p a r e n c y a n d a c c o u n t a b i l i t y i n t h ea l l o c a t i o n o f p u b l i c r e s o u r c e s ( b o t h e x p e n d i t u r e s a n d r e v e n u e s ) .

Ot her ke y i ss ue s l obb ie d f or i nc lud ed th e r emo va l o f u se r f ee s i nh e a l t h a n d e d u c a t i o n , t h e e l i m i n a t i o n o f c o r r u p t i o n , a n d p a r t i c i p a t o r yd e m o c r a c y i n g e n e r a l . T h e c o a l i t i o n p i c k e d u p t h e d e m a n d s o f p e a s a n tp r o d u c e r s f o r t h e r e i n t r o d u c t i o n o f p r o d u c e r s u b s i d i e s t o s u p p o r t t h e i ra cc es s t o f ar m i np ut s, f ai r p ri ce s, a nd g ov er nm en t r eg ul at io n o f t hem a r k e t . W h e n t h e g o v e r n m e n t i n t r o d u c e d n e w l e g i s l a t i o n t o l i b e r a l i z el a n d l a w , t h u s j e o p a r d i z i n g t h e l a n d r i g h t s o f p e a s a n t p r o d u c e r s a n d a l lT a n z a n i a n s , t h e c o a l i t i o n b e c a m e p a r t o f a b r o a d c a m p a i g n l e d b y o n e

o f i t s m e m b e r s , H a k i A r d h i ( C h a c h a g e a n d M b i l i n y i 2003).A t t he s ame t im e, t he c oa li ti on c on ti n ue d t o r ei te ra te t he p rob le ms

a ss oc ia te d w it h t he c on st ra in ts g en er at ed b y t he m ac ro ec on om i c a ndf is ca l po li cy f ra me wor ks a nd p ro ce ss es a dop te d b y g ov er nm en t wi thp re ss ur e f rom t he d on or c omm un it y. T he r ese ar ch h ad s how n t hat ,w it h t he a do pt io n o f t he W or ld B an k/ IM F- le d s tr uc tu ra l a dj us tm en ta nd m a cr oe co no mi c s ta bi li za ti on p ro gr am s, t he r ol e o f t he s ta te i n t he

e co no my h ad b ee n r ed uc ed . P ri va ti za ti on , d er eg ul at io n, a nd d ef ic itr ed u ct io n as s o ciat ed w it h cu t t ing ex p end it u r es o n s o cial s er v ices m eantt ha t t he s ta te wa s l es s a bl e t o gu id e t he d ev el op men t pr oc es s a nd tor e s p o n d t o t h e n e e d s o f p o o r m e n a n d w o m e n . T h e T G N P a n d F e m A c ts ou gh t t o m ak e n at io na l d ec is io n- ma ke rs a wa re o f t he n eg at iv e i mp ac t o f m ac ro p ol ic ie s a nd p ro ce ss es o n w om en a nd p oo r p eop le , a nd c al le d f or areview of the whole SAP/liberalization/privatization package.

Th us t he sh ort -te rm e mp ha si s of t he GB I wa s o n re fo rm in g t he

p ol ic y a nd b ud ge t f ra me wo rk s s o a s t o p ro vi de q ua li ty p ub li c s oc ia la nd e co no mi c s er vi ce s f or p oo r g ro up s a nd w om en , t o e li mi na te u se rf e e s a n d t o b r i n g b a c k s u b s i d i e s f o r s m a l l - s c a l e f a r m e r s . T h e l o n g - t e r me m p h a s i s w a s o n a d v o c a t i n g f o r a r e d u c e d r o l e o f I F I s a n d o t h e r d o n o r si n p o l i c y a n d f i n a n c i a l m a n a g e m e n t o f t h e n a t i o n ’ s e c o n o m y , a n d t h eg r ea t er p a rt i ci p at i on o f t h e p oo r a n d d i se m po w er e d. U l ti m at e ly , b o ths t r a t e g i e s a d v o c a t e d f o r n a t i o n a l r e s o u r c e s t o b e p u t b a c k i n t h e h a n d so f t h e p e o p l e .

T he T GN P a nd i ts p ar tn er s h av e a ls o r ea li ze d t ha t l ob by in g a nda wa re ne ss r ai si ng a re n ot o ne -t im e a ct iv it ie s b ut r eq ui re o ng oi nge n g a g e m e n t a n d s u p p o r t . F o r e x a m p l e , n e w M P s j o i n e d t h e p a r l i a m e n ti n 2 00 0 a nd n ee de d n ew s ki ll s a nd i nf or ma ti on . M an y o th er p ar li a-m ent ari an s s ti ll n ee d to be s up por ted a nd i nf or me d o n ge nd er a ndt ech ni ca l i ssu es r el at in g t o bu dg ets , p ol ici es , de bts , po ve rty , a nd


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p ar ti ci pa to ry d em oc ra cy , i nc lu di ng t he r ol e o f c iv il s oc ie ty o rg an iz a-t i o n s . A m a j o r c h a l l e n g e i s h o w t o m a k e e l e c t e d r e p r e s e n t a t i v e s a t a l llev els, inclu ding MPs , d is tr ict cou ncilor s, and v illage gov er nm ent leaders ,

m or e accou nt ab le t o t he p eo ple. T raining and awareness -r aising alo new il l n ot l ea d p ar li am en ta ri an s a nd c ab in et m in is te rs t o a do pt c ri ti ca lfem inis t p ro gr es sive agend as . Str ong p ub lic p ress ur e is needed o n m anyfronts, which requires the growth of a popular social movement.

T h e p a r l i a m e n t i t s e l f i s f a c i n g g r o w i n g c h a l l e n g e s r e l a t i n g t o i t s r o l e ,e s p e c i a l l y i n h o l d i n g t h e g o v e r n m e n t a c c o u n t a b l e i n i t s p o l i c y / b u d g e ti m p l e m e n t a t i o n p r o c e s s e s . M u l t i - p a r t y p o l i t i c a l r e f o r m s a n d t h e h e g e -mo ni c p os iti on of n eol ib er al pr o-m ar ket i de ol og y h ave l ed to t wo

d if fe re nt o ut co me s w hi ch s ee m t o b e v yi ng w it h e ac h o th er . O n t heo ne h an d, m an y a rg ue t ha t t he l ev el o f d eb at e a nd s oc ia l c ri ti qu e w it hi np ar li am en t h as d ra ma ti ca ll y r ed uc ed , w it h t he e xe cu ti ve b ra nc h o f g o v e r n m e n t a s s e r t i n g m u c h m o r e p o w e r t h a n b e f o r e t h r o u g h m e c h a n -i s m s o f p a r t y d i s c i p l i n e a t t a c h e d t o t h e r u l i n g p a r t y . S o - c a l l e d o p p o s i -t i o n p a r t i e s h a v e f a i l e d t o p r o v i d e a p o w e r f u l a l t e r n a t i v e v o i c e . D u r i n gth e l as t t wo y ea rs , h owe ve r, a g ro wi ng n umb er of MP s i n t he r ul ing

p ar ty , C CM , a lo ng w it h o th er p ar ti es , h av e b eg un t o m ob il i ze t he m-s el ve s t hr ou gh p ar li am en ta ry s ub -c om mi tt ee s t o c ha ll en ge s pe ci fi ca sp ec ts o f m ac ro ec on om ic r ef or m. A r ec en t e xa mp le i s p ar li am en t’ sre je cti on o f t he g ove rnm en t’ s st ra te gi es f or pr iva ti za ti on of th e

National Micro-Finance Bank in 2002/2003, led by members of theF inance and Eco no m ics Su b - Co m m it t ee.

W it hi n t hi s k in d o f e nv ir on me nt , i t h as r em ai ne d a c ha ll en ge t oc ri ti ca l f em in is t a ct iv is ts a nd t he ir p ar tn er s t o i de nt if y a nd s up po rt

p ro gr es si ve M Ps , t o e nc ou ra ge t he m t o r ai se g en de r c la ss i ss ue s, a ndt o c h a l l e n g e t h e e n t i r e s t r u c t u r e o f d e c i s i o n - m a k i n g . T h a t f i n a l s t e p i su n l i k e l y u n d e r p r e s e n t c o n d i t i o n s , a s i t w o u l d m e a n c o m m i t t i n g ‘ ‘ c l a s ss ui ci de ’’ , i .e . u nd er mi ni ng t he p ri vi le ge s a nd p ow er w hi ch M Ps a ndo t h e r g o v e r n m e n t o f f i c i a l s n o w h a v e .

1 2 .4 . 1. 4 R e gi o na l a n d i n te r na t io n al n e tw o rk i ng t o i m pa c tI FI fr amew or ks

I n s ub se qu en t y ea rs , t he l ob by in g e mp ha si s h as e xp an de d t o i nc lu deo t he r p ol i cy p r oc e ss e s w h ic h i n fl u en c e n a ti o na l a n d s e ct o ra l b u dg e ts .T h e s e o t h e r p r o c e s s e s i n c l u d e t h e P o v e r t y R e d u c t i o n S t r a t e g y ( P R S ) ,t h e P u b l i c E x p e n d i t u r e R e v i e w ( P E R ) , t h e C o n s u l t a t i v e G r o u p ( C G ) ,L o c a l G o v e r n m e n t R e f o r m , a n d o t h e r s . T h e P R S i s a k e y p r o c e s s t h a tse eks to sh if t mo re n at io nal r eso ur ce s to p ov ert y r edu cti on g oa ls .


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H ow ev er , f ro m o ur p oi nt o f v ie w, t hi s p ro ce ss i s c on tr ol le d a nd i nf lu -e n c e d b y I F I p o l i c y f r a m e w o r k s , a n d i t s v e r y n o m e n c l a t u r e ( r e d u c t i o no f p o v e r t y ) a t t r a c t s a t t e n t i o n a w a y f r o m t h e r e a l i s s u e o f p a r t i c i p a t o r y

d e v e l o p m e n t a n d t h e e r a d i c a t i o n o f e x p l o i t a t i o n a n d o p p r e s s i o n . T h eP E R p r oc e ss i s r e sp o ns i bl e f o r e n su r in g i n cr e as i ng f i na n ci a l t r an s pa r -e nc y, c oor di na ti on , a nd a cc ou nta bi li ty wi th in th e g ove rn me ntm ach in er y. Th is p ro ces s, f rom o ur vi ew, i s al so f ar t oo di re cte d bydonors. The CG process is supposed to be a consultative avenueb et we en g ov er nm en t a nd d on or s o n i ss ue s r el at ed t o f in an ci ng t hed e ve l op m en t b u dg e t. T h e p a rt i ci p at i on o f c i vi l s o ci e ty o r ga n iz a ti o nsi s h ig hl y l im it ed i n b ot h t he P ER a nd C G p ro ce ss es , w it h v er y l it tl e

r o o m t o inv o lv e co m m u nit y- b as ed o r ganiz at io ns .Each of the processes noted above has been imposed on the

T an za ni an g ov er nm en t a s c on di ti on al it ie s f or l oa ns , j us t a s S AP sw er e i n t he e ar ly 1 99 0s . A ls o, l ik e S AP s, t he se p ro ce ss es d ir ec t t heg o ve r nm e nt ’ s d e ve l op m en t p r io r it i es a n d r e so u rc e a l lo c at i on d e ci s io n s.A t t h e s a m e t i m e , t h e y a l s o c r e a t e p o t e n t i a l o p p o r t u n i t i e s t o e n g a g e i np ro ce ss es h av in g p ro fo un d g en de r a nd c la ss e ff ec ts . E ac h h as b ee n

o pe ne d u p t o p ar ti ci pa ti on b y c iv il s oc ie ty o rg an iz at io ns . T he re fo re ,t h e c o a l i t i o n d e c i d e d t o g e t i n v o l v e d w i t h t h e m a c r o e c o n o m i c f r a m e -works and processes that constrain the national government’sa u t o n o m y . H o w e v e r , i t a l s o r e c o g n i z e s t h e d a n g e r t h a t d o n o r - l e d c o n -s u lt a ti v e p r oc e ss e s m a y a c tu a ll y u n de r mi n e d e mo c ra t iz a ti o n p r oc e ss e si nt er na l t o n at io na l p ol it ic s. L im it ed p ar ti ci pa ti on i n a m an ag em en te xe rc is e i s n ot t he u lt im at e g oa l, a nd g ov er nm en t o ff ic ia ls c an c or re ct lyd is mi ss i t a s n eo co lo ni al p ol it ic s. U lt im at el y, c iv il s oc ie ty o rg an iz at io ns

n e e d t o e n g a g e w i t h , a n d d e m o c r a t i z e , t h e g o v e r n m e n t i t s e l f t h r o u g h ap o p u lar d em o cr at ic s t r u ggle.

F or a ll I FI s’ a nd d on or s’ t al k a bo ut e co no mi c l ib er al iz at io n g oi ngh a n d i n h a n d w i t h d e m o c r a c y , n o n e o f t h e I F I s ’ p r o c e s s e s c a m e a l o n gw it h d em oc ra ti c s tr uc tu re s. T he d oo rs o f t he W or ld B an k, t he I MF , a ndt h e W T O h a v e b e e n t h e h a r d e s t o n e s t o o p e n , a n d t h i s i s s t i l l t h e m o s tc h a l l e n g i n g a r e a i n w h i c h t o s e e t a n g i b l e r e s u l t s . M o r e o v e r , t h e y c o n -t in ue t o s tr ug gl e t o d om in at e d ec is io n- ma ki ng p ro ce ss es a t t he n at io na l

l ev el . Th es e s pa ce s h av e t o b e c re ate d, j ust a s t he y w er e wi th in th en at io na l g ov er nm en t, b ut , i n t hi s c as e, t he b ar ri er s a re e ve n g re at er .A f te r m u ch p r ot e st a n d m a n y c o ns u lt a ti v e m e et i ng s , w e h a ve y e t t o s e ea ny r ea l c ha ng e i n m ac ro ec on om ic p ol ic y. T he I FI -l ed p ro ce ss es a re t oob i g , t o o f a r a w a y , a n d t o o s t r o n g f o r o n e c o u n t r y - l e v e l f e m i n i s t n e t w o r kt o i nf lu en ce – a nd w in . P ar ti ci pa ti on i n l ar ge r n et wo rk s w it hi n t he


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c ou nt ry , r eg io na ll y, a nd i nt er na ti on al ly n ee ds t o b e i nc re as ed a ndi mp ro ve d s tr at eg ic al ly s o a s t o b ui ld u p e no ug h p ub li c p re ss ur e p ow erf o r r e a l c h a n g e .

A t t he r eg io na l l ev el , t he T GN P a nd F em Ac t h av e j oi ne d a ct iv ec oa li ti on s, a nd h av e b ee n e ng ag ed i n c ol le ct iv e a ct io n a ro un d k eyi ss ue s. F or e xa mp le , t he T GN P i s a n a ct iv e m em be r o f t he S ou th er nR e g i o n a l C i v i l S o c i e t y N e t w o r k o n t r a d e i s s u e s . T h r o u g h t h i s n e t w o r k ,i t h a s o r g a n i z e d l o b b y i n g a c t i v i t i e s o n i s s u e s o f t r a d e a n d S A P s a n d t h ei mp ac ts t he y h av e o n w om en a nd p oo r g ro up s. A t t he i nt er na ti on all ev el , t he T GN P h as b ee n a ct iv e i n b ui ld in g s tr at eg ic p ar tn er sh ip s w it hl i ke - mi n de d o r ga n iz a ti o ns a n d n e tw o rk s a r ou n d t h e w or l d, i n cl u di n g

t he ‘‘ 50 Y ea rs i s E no ug h’’ e ng ag em en t w it h W or ld B an k i ss ue s a ndo r g a n i z i n g w i t h r e s p e c t t o t h e W T O .

T he m aj or c on tr ib ut io n o f s uc h p ar tn er sh ip s h as o cc ur re d a t t wol e v e l s . F i r s t , t h e s e c o a l i t i o n s h a v e g r e a t e r a c c e s s t o t h e t a r g e t e d i n s t i t u -ti on s t han a c ou ntr y-l eve l c oa li ti on . Th er ef or e, we h ave s en t ourc ri ti qu es o f I FI p ow er a nd p ol i ci es t hr ou gh t he se i nt er na ti on al c oa li -t i o n s . A s e c o n d i m p o r t a n t c o n t r i b u t i o n w a s r e c i p r o c a l i n n a t u r e : i n t e r -

n a t i o n a l c o a l i t i o n s h a v e i n v i t e d a n d s u p p o r t e d m e m b e r s o f t h e T G N Pa nd F em Ac t t o p ar ti ci pa te a nd c on tr ib ut e t o i nt er na ti on al e ve nt s. I nt hi s w ay , G BI i ss ue s h av e b e co me m or e v is ib le a t t he n at io na l a s w el l a st h e i n t e r n a t i o n a l l e v e l s , a n d o u r p r e s e n c e h a s s t r e n g t h e n e d t h e i n t e r -nat io nal m o v em ent .

12.4.2 Phase II: consolidating and strengthening our voicesand collective action

Th e ma jo r w or k o f th e s ec ond ph as e o f t he GB I i n Ta nz an ia s ta rte d i n200 0/ 200 1 w it h a de ep ene d f oc us o n a ct iv is t a ct ion s a nd o rg an iz in gt hr ou gh a b ro ad -b as ed cam paign. T his p hase continu ed t o emp lo y t hesa me a na ly ti ca l t ool s an d a dvo ca cy st ra te gi es of GB wi th a n a dd edc om po ne nt o f i nc re as ed c ol le ct iv e a ct io n a t b ot h t he n at io na l a nd t hel oc al l eve ls . B ac k i n 19 94, w hen p la nn in g t he G BI c am pa ig n, we h adalr ead y t ho u ght t hat , aft er b u ild ing b r id ges , w e w o u ld t u r n t he G B w o r ki nt o a f oc us ed n at io nw id e c am pa ig n. A t t he b eg in ni ng o f P ha se I I, w e

incorporated the strategies and lessons learned from Phase I into our newf oc us . O ne of t he m ai n l es so ns g ai ne d f rom P ha se I w as a h ei gh te ne dr eco gnit io n o f t he need t o gr o u nd t he m o v em ent at t he gr as s r o o t s lev el.T he p ol ic y a nd l eg al i ss ue s a nd p ro ce ss es b ei ng c ha ll en ge d w er e m uc hl ar ge r t ha n ou r n et wor ks . T he se is su es re qu ir ed t he we ig ht of a broad s ocialmovement, w it h t he p eo ple’s p er sp ectives and exp er iences in t he lead.


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T h e p r o c e s s o f c o l l e c t i v e r e f l e c t i o n o n a c h i e v e m e n t s a n d c h a l l e n g e st h a t h a d a r i s e n d u r i n g t h e f i r s t p h a s e o f G B I w a s a n e x t r e m e l y i m p o r -t an t p ar t o f t he o ve ra ll c am pa ig n p ro ce ss . I nv ol vi ng g ra ss ro ot s p ar tn er s,

d i st r ic t n e tw o rk s ( I GN s ), F e mA c t p a rt n er o r ga n iz a ti o ns , a n d T G NPm em be rs a nd s ta ff , p ar ti ci pa to ry p ro ce ss es w hi ch w e c al l a ni ma ti onw e r e u s e d t o a s s e s s t h e s i t u a t i o n , a n d t o a n a l y z e a n d p l a n a p p r o p r i a t ea ct io n t o m ov e t he c am pa ig n f or wa rd . A lw ay s u nd er ly in g t hi s r ef le c-t i o n p r o c e s s w a s t h e u l t i m a t e a i m o f r e a l , s u b s t a n t i v e s o c i a l c h a n g e a tl o c a l a n d n a t i o n a l l e v e l s .

The TGNP and FemAct have continually emphasized the significanceof participatory and collective ways of organizing and decision-making in

t hei r wo rk . A ni ma ti on e na bl es pe op le c om in g f rom op pre ss ed a ndexp lo it ed p os it io ns t o r ecognize t he k no wled ge w hich t hey hav e and t ou s e it t o o r ganiz e t hem s elv es and t o act fo r r eal s t r u ct u r al change. I t als op ro vi de s a s pa ce w it hi n w hi ch p eo pl e c om in g f ro m d if fe re nt l oc at io ns a nddifferent perspectives can communicate with each other while breakingd ow n s ocial b ar rier s. T he com bination o f logic and art is tr y, t heor y andp r act ice, analys is and em o t io n, lead s t o an am az ing effer v es cence o f jo y,

a ng er , a nd a ng ui sh , c om bi ne d w it h r ef le ct io n, a nd a g ro wi ng c la ri ty o f purpose and commitment to ac t, indeed, the desire to act, and to act now.S tr on g b on ds r esu lt f ro m t hi s br ew , a lon g wi th s el f- es te em , m utu alrespect, and fun (Mbilinyi 2003).

T h e p l a n n i n g a n d i m p l e m e n t a t i o n o f t h e P h a s e I I c a m p a i g n o n G Bwas enriched by the Phase I GBI experiences. The TGNP and itsp a r t n e r s ’ e n g a g e m e n t w i t h t h e g o v e r n m e n t , p a r l i a m e n t , a n d t h e l o c a la u t h o r i t i e s g e n e r a t e d a r i c h b a s e o f d a t a , i n f o r m a t i o n , a n d e x p e r i e n c e s

p er ti ne nt f or e nh an ci ng t he P ha se I I c am pa ig n o bj ec ti ve s. F or e xa mp le ,t he k no wl ed ge o f h ow g ov er nm en t o pe ra te s, a nd o f p ol ic y e nv ir on -m en ts , l eg al p ro ce du re s, a nd s tr at eg ie s f or r es po nd in g t o t he n ee ds o f t h e m a j o r i t y o f i t s p o p u l a t i o n , w a s p a r t i c u l a r l y u s e f u l i n s h a r p e n i n g t h es tr at eg ie s a nd p ro ce ss es o f t he P ha se I I c am pa ig n. A ls o, t hr ou gh t hee ar li er e ff or ts o n c oa li ti on b ui ld in g a nd n et wo rk in g w it h o th er l ik e-m in de d c iv il s oc ie ty o rg an iz at io ns , a d at ab as e o f p ro gr es si ve c iv ils oc ie ty a ct or s h ad b ee n c re at ed . T he d at ab as e w as r eg ar de d a s a k ey

i n g r e d i e n t f o r b u i l d i n g t h e s o c i a l m o v e m e n t . I n t h i s w a y , t h e i n f o r m a -t i o n a n d d a t a b a s e l i n k s a s s i s t e d i n p r o v i d i n g d i f f e r e n t a v e n u e s f o r t h ee x pa n si o n a n d n o ur i sh m en t o f p a rt n er s hi p b ui l di n g a n d m o bi l iz a ti o ns tr at eg ie s a t b ot h t he n at io na l a nd l oc al l ev el , w it h a b ro ad er -b as edo w ne r sh i p a n d p a rt i ci p at i on o f c i vi l s o ci e ty o r ga n iz a ti o ns i n t h e c a m-p aign p r o ces s es .


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1 2 .4 . 2. 1 T h e ‘‘ R et u rn R e so u rc e s t o t h e P e op l e’’ c a mp a ig nT he c oa li ti on ’s o ve ra ll t ra ns fo rm at ion g oa ls r em ai n t he s am e a s i nP ha se I : t he d em oc ra ti za ti on o f p ol it ic al a nd e co no mi c g ov er na nc e

i ns ti tu ti on s a nd p ro ce ss es , i nc lu di ng t he d ev el op me nt o f a p ar ti ci pa to ryd e v e l o p m e n t p r o c e s s , w i t h g e n d e r e q u i t y a n d j u s t i c e a t a l l l e v e l s .

T h e T G N P a n d F e m A c t d e c i d e d t o f o c u s t h e c a m p a i g n o n a s i n g l ee n t r y p o i n t w h e r e a l l t h e i s s u e s o f i n t e r e s t c o n v e r g e d . T h i s w a s i m p o r -t an t b ec au se t he G B i ss ue s o f p ol ic y, r es ou rc e a ll oc at io n, a nd d em o-c r at i c g o ve r na n ce w e re c o ns i de r ed t o o a b st r ac t t o a t tr a ct b r oa d -b a se di n t e r e s t . T h e r e f o r e , t h e c o a l i t i o n d e c i d e d u p o n t h e e n t r y p o i n t o f H I V /A I D S , b e c a u s e i t a f f e c t e d e v e r y s o c i a l g r o u p a n d m o s t f a m i l i e s , a n d w a s

c on ne ct ed t o b ro ad er p ol ic y a nd d em oc ra cy i ss ue s. T he c am pa ig nw o u l d c h a l l e n g e t h e w a y i n w h i c h H I V / A I D S h a s b e e n r e d u c e d t o a ni nd iv id ua l p ro bl em c on ce rn in g s ex ua li ty a nd c ul tu re , w hi ch c an b es ol ve d t hr ou gh c ha ng es i n i nd iv id ua l b eh av io r a lo ne . T he h ig he rv u ln e ra b il i ty t o i n fe c ti o n r e su l ti n g f r om c h ro n ic i l l h e al t h, m a ln u tr i -t io n, a nd p re va le nt s ex ua l d is ea se , t he l ac k o f a de qu at e e mp lo ym en ta n d i n c o m e s t o e n s u r e a c c e s s t o f o o d s e c u r i t y a n d g o o d h e a l t h c a r e , t h e

h i g h e x p o s u r e t o c o n t a m i n a t e d b l o o d , s y r i n g e s , a n d o t h e r f a c t o r s , a n dth e l ow a cce ss t o d ru gs a nd h ea lt h c are a sso ci ate d w ith s tr uc tur ala d j u s t m e n t i n h e a l t h c a r e – a l l o f t h e s e w e r e b e i n g i g n o r e d b y r e s e a r c h -er s and p o licy- m ak er s .

U nd er t he b an ne r o f ‘‘ Re tu rn R es ou rc es t o t he P eo pl e: B re ak t heS i l e n c e o n t h e L i n k a g e s b e t w e e n G e n d e r , R e s o u r c e s a n d H I V / A I D S , ’ ’t h e t w o m a i n a s s u m p t i o n s o f t h e c a m p a i g n a r e t h a t H I V a n d A I D S a r ea p r o b l e m o f u n e q u a l o w n e r s h i p a n d c o n t r o l o v e r r e s o u r c e s a s w e l l a s a

gender issue. The campaign is aimed at (1) contri buting to ands t re n gt h en i ng i n fo r me d p u bl i c d e ba t es a n d d i sc u ss i on s t h at g e ne r at ea l te r na t iv e t h in k in g a r ou n d i s su e s o f d e mo c ra c y, e c on o mi c s, p o ve r ty ,r es ou rc es , p ol ic y, b ud ge ts , g en de r, a nd H IV /A ID S, ( 2) l in ki ng w it ho ng oi ng f em in is t a nd o th er p ro gr es si ve i ni ti at iv es a t t he n at io na l,r eg io na l, a nd g lo ba l l ev el s t o c ha ll en ge a nd p re ss ur e i nt er na ti on alg ov er nm en ts a nd I FI s t o a do pt m or e e qu it ab le p ol it ic al , e co no mi c,a nd s oc ia l p ol ic ie s w it h r es pe ct t o p oo r c ou nt ri es s o a s t o r ed uc e t he

m ar gi n al i za ti on o f t he p eo pl e, e sp ec ia ll y p oo r w om en , m en , a nd y ou th s,( 3) s tr en gt he ni ng s tr at eg ie s f or e ns ur in g t ha t t he T an za ni an g ov er n-m e n t a n d i t s k e y d o n o r p a r t n e r s d i r e c t r e s o u r c e s t o t h e m a j o r i t y o f t h epeople, so that women and men can manage their own lives in as u st a in a bl e w a y, a n d ( 4 ) o r ga n iz i ng c o ll e ct i ve l y a n d b u il d in g s t ro n ge rl in ka ge s b et we en f em in is t a ct iv is ts a nd o th er c iv il s oc ie ty o rg an iz at io ns


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i n o r d e r t o e n s u r e t h a t n a t i o n a l r e s o u r c e s a r e d i s t r i b u t e d a c c o r d i n g t othe priorities and needs of the majority, and that there is deeperp a r t i c i p a t o r y d e m o c r a c y a n d g o v e r n a n c e , e s p e c i a l l y a t t h e l o c a l l e v e l ,

t o a ll ow f or e nh an ce d co ll ec ti ve de ci si on -m aki ng a nd a m or e f ai rd is t r ib u t io n o f r es o u r ces .

A t t he o pe ra ti on al l ev el , t he t ar ge te d f oc us o f t he c am pa ig n h as b ee np la nn ed a t t hr ee l ev el s. A t t he i nt er na ti on al l ev el , t he c oa li ti on i sj oi ni ng h an ds w it h o th er p ro gr es si ve s oc ia l m ov em en ts t o t ac kl e t heq ue st io n of g lo ba li zat io n an d u nf ai r tr adi ng sy ste ms i n th e wor ld ,p ar ti cu la rl y t ho se p er pe tu at ed t hr ou gh t he W TO a nd c om me rc ia ll yd r i v e n p h a r m a c e u t i c a l c o m p a n i e s ( e . g . d r u g s f o r H I V / A I D S ; s e e K l u g ’ s

c ha pt er i n t hi s v ol ume ). A t t he n ati on al l eve l, th e TGN P a nd th eF e m A c t c o a l i t i o n a r e a c t i v a t i n g a b r o a d e r g r a s s r o o t s - b a s e d m o v e m e n tf o r c h al l en g in g a n d t r an s fo r mi n g t h e u n de m oc r at i c t o p- d ow n d e ci s io n -m a k i n g p r o c e s s e s o f g o v e r n m e n t a n d r e s o u r c e m a n a g e m e n t , i n o r d e r t opromote equity and social justice at all level s. At the public andc o mm u ni t y l e ve l s, t h e c a mp a ig n i s g e ne r at i ng a n e m po w er i ng d e ba t ea r o u n d c r i t i c a l i s s u e s o f c o n c e r n t o t h e m a j o r i t y . T h e s e i n c l u d e i n c o m e

a nd f oo d s ec ur it y f or a ll ; q ua li ty h ea lt h, w at er , a nd e du ca ti on f or a ll ;g ra ss ro ot s c on tr ol o ve r k ey r es ou rc es , i nc lu di ng l an d, f or es ts , a nd w at er ;i nc re as ed r ev en ue f ro m l ar ge -s ca le i nv es tm en ts t o c om mu ni ti es a ndl oc al / ce nt ra l g ov er nm en t a pp ar at us es ; a nd t he r ig ht t o a s us ta in ab lel i v e l i h o o d i n r u r a l a n d u r b a n a r e a s .

1 2 .4 . 2. 2 H i gh l ig h ts o f t h e c a mp a ig nT he ‘‘ Re tu rn R es ou rc es t o t he P eo pl e’’ c am pa ig n w as f or ma ll y l au nc he d

b y a m a r c h a n d r a l l y o n I n t e r n a t i o n a l W o m e n ’ s D a y ( M a r c h 8 , 2 0 0 3 ) ,w hi ch i nv ol ve d m or e t ha n 2 ,5 00 w om en a nd m en f ro m a ll s ec to rs o f s oc ie ty . M or e t ha n 1 20 p eo pl e d ir ec tl y p ar ti ci pa te d i n t he p la nn in g a ndp re pa ra ti on f or t he m ar ch a nd t he r al ly w hi ch f ol lo we d, i nc lu di ngr e pr e se n ta t iv e s f r om n e ar l y a l l t h e m e mb e r o r ga n iz a ti o ns o f F e mA c t.Y o ut h g r ou ps t o ok o n r e sp o ns i bi l it y f o r m a ki n g h a nd - pa i nt e d p o st e rsp ro cl ai mi ng t he m ai n m es sa ge s, s uc h a s ‘‘ Br ea k t he s il en ce – H IV /A ID Si s a b o u t r e s o u r c e s a n d g e n d e r ! ’ ’ a n d ‘ ‘ T h e p r o b l e m o f t h e w o r l d t o d a y i s

n ot p ov er ty , i t i s e xp lo it at io n! ’’ a nd ‘‘ HI V/ AI DS i s a s tr uc tu ra l p ro -b le m! ’’ a nd ‘‘ Th e r es ou rc es o f A fr ic a s ho ul d r em ai n i n A fr ic a! ’’ a nd‘ ‘ W o m e n a r e e s p e c i a l l y v u l n e r a b l e t o H I V / A I D S – s t o p s e x u a l a b u s e ! ’ ’

L at er i n t he y ea r, p ol ic y- ma ke rs a nd o th er g ov er nm en t a ut ho ri ti esw er e i nv it ed t o p ar ti ci pa te i n a p an el d is cu ss io n w it h a ct iv is ts o n t hei ss ue o f p ol ic y, r es ou rc es , a nd H IV /A ID S, f oc us in g o n m ac ro p ol ic ie s


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s uc h a s t he P ov er ty R ed uc ti on S tr at eg y. H un dr ed s o f a ct or s p ar ti ci -p at ed , i nc lu di ng r ep re se nt at iv es f ro m t he I GN s w ho t oo k t he l ea d i nr a is i ng g r as s ro o ts i s su e s a n d i n c h al l en g in g g o ve r nm e nt e n do r se m en t o f

neo lib er al p o licies .I n S e p t e m b e r 2 0 0 3 , t h e b i a n n u a l G e n d e r F e s t i v a l p r o v i d e d a n i n t e r -

national forum at which to seek wide support for the campaign.F em A ct and o t her p ar t ner s p ar t icip at ed in p lanning and im p lem ent ingt h e f e s t i v a l , w h i c h i s h e l d a t t h e T G N P ’ s G e n d e r R e s o u r c e C e n t e r i nD ar e s S al aa m. M or e t ha n 1 ,0 00 p ar ti ci pa nt s a tt en de d f ro m a ll o ve rT an za ni a a nd f ro m n ei gh bo ri ng c ou nt ri es i n A fr ic a a nd w or ld wi de . K eyc a mp a ig n p u bl i ca t io n s w e re l a un c he d , t h er e w a s a s p ec i al c e le b ra t io n

of ‘‘ ten y ea rs o f f em in is t a ct iv ism ,’’ a nd t he GB I c amp ai gn so ng ,‘‘ Re tu rn R es ou rc es t o t he P eo pl e’’ ( in K is wa hi l i) w as l au nc he d w it he n t h u s i a s t i c d a n c i n g d u r i n g t h e f o r m a l o p e n i n g .

A second march and rally was organized on April 24, 2004 ins ol id ar it y w it h a ct io ns a ll o ve r t he w or ld t o p ro te st t he Wo rl d B an ka n d I M F , o n t h e o c c a s i o n o f t h e s i x t i e t h a n n i v e r s a r y o f t h e i r f o u n d i n g .M o r e t h a n 5 0 0 w o m e n a n d m e n t o o k p a r t i n t h e m a r c h , a n d m o r e t h a n

80 0 p eop le pa rti ci pa te d i n t he ra ll y. Th e gu est o f h ono r, a n ot abl en at io na l f ig ur e, e nd or se d t he m ai n p os it io n t ak en b y t he c am pa ig n,a rg ui ng t ha t p os t- co lo ni al g ov er nm en ts i n A fr ic a c an s ay n o t o e xt er na l‘ ‘ d o n o r s ’ ’ a n d r e m a i n a c c o u n t a b l e t o t h e i r p e o p l e , n o t t h e b i g i n v e s t o r s .

O n e o f t h e m a j o r d e v e l o p m e n t s f r o m 2 0 0 3 t o 2 0 0 4 w a s t h e i n c r e a s -i n g l y s i g n i f i c a n t r o l e o f y o u t h n e t w o r k s a n d g r a s s r o o t s o u t r e a c h g r o u p si n h el pi ng t o de fi ne t he ma in i ssu es t o b e a ddr es sed , p re pa ri ng f ort he m ar ch /r al ly a nd m ak in g p re se nt at io ns . T he w ee kl y G en de r a nd

D ev el op me nt S em in ar S er ie s h as b ec om e a n i mp or ta nt s pa ce w it hi nw hi ch g ra ss ro ot s p eo pl e i nt er ac t w it h a ct iv is ts o pe ra ti ng a t l oc al a ndn a t i o n a l l e v e l t o d i s c u s s a n d c o n s i d e r s t r a t e g i e s o f a c t i o n a n d p l a n t h e i ri mp le me nt at io n. T he i nv ol ve me nt o f F em Ac t p ar tn er s, d is tr ic t n et -w o r k s , a n d l o c a l o u t r e a c h g r o u p s h a s a l s o b e e n e n h a n c e d b y s y s t e m a t i cp r o g r a m s t o d e v e l o p c a p a c i t y i n t e r m s o f c o n c e p t u a l a n a l y s i s – i n t h i sc as e, o f t he c on ne ct io ns b et we en m ac ro p ol ic ie s, g lo ba l c ap it al is m,r e s o u r c e s , g e n d e r , a n d H I V / A I D S – t h r o u g h a p r o c e s s o f d i a l o g u e .

T h e m a r c h a n d r a l l y o n A p r i l 2 4 w a s t h e c u l m i n a t i o n o f a f u l l w e e kof a ct io n, t ha t i nv ol ve d T V a nd r adi o t al k sh ows a nd i nt erv ie ws , a pr es sc o n f e r e n c e , a n d a b o o k l a u n c h a n d p a n e l d i s c u s s i o n o n g l o b a l c a p i t a l -i sm a nd t he I FI s. O f s pe ci al i mp or ta nc e i n t er ms o f t he f ut ur e o f t hec am pa ig n w as t he c ir cu la ti on o f a p et it io n d en ou nc in g t he W or ld B an ka nd t he I MF a nd c al li ng f or t he ir r ad ic al t ra ns fo rm at io n o r a bo li ti on .


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M or e t ha n 2 ,9 00 s ig na tu re s w er e c ol le ct ed , m ai nl y b y l oc al g ro up sc a r r y i n g o u t d o o r - t o - d o o r c a n v a s s i n g – o r i n m a n y c a s e s , f r o m h a w k e rt o h aw ke r, f oo d s ta ll t o f oo d s ta ll . T he p ro ce ss o f e xp la in in g t he p ur po se

o f t he p et it io n a nd t he a ct o f s ig ni ng w er e f ar m or e s ig ni fi ca nt t ha na n t i c i p a t e d . M a n y p e o p l e w e r e f r i g h t e n e d , a n d w a n t e d t o k n o w , ‘ ‘ i s i tl e g a l t o s i g n a p e t i t i o n ? ’ ’ ‘ ‘ w h a t d o e s t h e r u l i n g p a r t y s a y o n t h i s ? ’ ’ W ea ls o r ea li zed j us t h ow va lua bl e t he m arc h a nd r al ly h ave be com e a s wa yst o s t r engt hen co nt ent io u s o r ganiz ing and co nt ent io u s d is co u r s e.

T he c am pa ig n h as a ls o g en er at ed a n a ma zi ng d iv er si ty a nd n um be r o f p ub li ca ti on s i n a s ho rt t im e. T he m aj or it y a re p op ul ar m at er ia ls w ri tt eni n ac ce ss ib le K iswa hi li wi th g ra ph ic i ll ust rat io ns. Th ey i ncl ude

U ta nd aw az i n a W ew e ( Gl ob al iz at io n a nd Y ou ), R as il im al i, J in si a n aUkimwi ( Re so ur ce s, G en de r a nd H IV /A ID S) , a nd M wo ng oz o w aKu ib ua Md ah al o wa Ki ta if a J uu y a S er a z a U ch um i na M ah us ia no y aUkimwi, Rasil imal i na Jinsi a ( Gu id el in es o n F ac il it at in g P ub li cD is cu ss io ns o n E con omi c P ol ic y an d th e L ink ag es be tw ee n H IV /A ID S, R es ou rc es a nd G en de r) . C am pa ig n p os te rs w er e p ro du ce d i nK i s w a h i l i i n 2 0 0 3 , c a p t u r i n g k e y m e s s a g e s o f t h e c a m p a i g n – i n c l u d i n g

s o m e m e n t i o n e d a b o v e i n r e l a t i o n t o t h e 2 0 0 3 m a r c h a n d r a l l y .D u r i n g 2 0 0 3 , s e v e r a l a c t i v i s t s e n g a g e d c o l l e c t i v e l y i n a r e f l e c t i o n o nt e n y e a r s o f f e m i n i s t a c t i v i s m a s s o c i a t e d w i t h t h e T G N P a n d F e m A c t ,w hi ch l ed t o t he p ub li ca ti on o f t wo f ul l -l en gt h b oo ks , Activis t V oices(Mbilinyi et al. 2003) and Agains t N eo- Liber alis m (Chachage et al.2003) . A n a na ly ti ca l r epo rt of th e f ir st ph ase of th e c amp ai gn wa sp ub li sh ed i n 2 00 4, a lo ng w it h a s ho rt c ri ti qu e o f s o- ca ll ed d eb t r el ie f a s c o n t r o l l e d b y t h e W o r l d B a n k a n d t h e I M F .

S id e b y s id e w it h p ri nt ed m ed ia h as b ee n t he p ro du ct io n o f v id eo sa n d a n a s s o r t m e n t o f d r a m a s a n d s o n g s c r e a t e d a n d p e r f o r m e d b y y o u t hp a r t n e r s a t t h e l o c a l l e v e l . C a p s a n d T - s h i r t s h e l p e d t o m o b i l i z e p a r t i -c i p a t i o n i n t h e 2 0 0 3 l a u n c h i n g o f t h e c a m p a i g n . S t r o n g l i n k s w i t h t h em edi a h av e h el pe d t o pu bl ic iz e t he c am pa ig n a t th e n at io nal a ndint er nat io nal lev els .

12.5 R E F L E C T I O N S F O R F U T U R E A C T I V I S M1

O ng oi ng r ef le ct io n o n t he p ro gr es s o f t he c am pa ig n h as h ig hl ig ht eds ev er al i ss ue s w hi ch a re p re se nt ed b el ow . A lt ho ug h b as ed o n e xp er i-e nc es i n Ta nza ni a, we be li ev e th at t he se i ss ue s a re r el eva nt t o th e

1 T h i s s e c t i o n i s b a s e d o n K i t u n g a ( 2003) , M b i l i n y i (2003) , a n d R u s i m b i ( 2003).


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e xp er ie nc es o f a ct iv is ts e ng ag ed i n t he b ui ld in g o f s oc ia l m ov em en tsa nd t ra ns fo rm at iv e l eg al p ra ct ic es e ls ew he re – e sp ec ia ll y i n A fr ic aw h e r e , i n m o s t c o u n t r i e s , t h e r e i s s t i l l a w e a k d e v e l o p m e n t o f p o p u l a r

o r ganiz at io ns and m o v em ent s .F rom th e fore go in g, i t i s c le ar that the T GNP an d F emAct h ave

inject ed s o m et hing new int o t he w o m en’s m o v em ent and t he d em o cr a-ti za tion mo vemen t in ci vil s oc ie ty as a whole in Tanz an ia . It h asr eclaimed t he p o lit ical co ntent w hich w as lo st w hen t he w om en’s m o v e-m ent w as co op t ed into t he gend er and d evelop ment m ains tr eam s afet yz on e. Ge nd er, a c on ce pt b or n o ut o f c ri ti ca l f em ini st d is co ur se a nd m ea ntt o clar ify t he s o cial co ns tr u ct ion o f w om en’s s ub o rd inat io n in co nju nc-

t io n w it h clas s , et hnicit y, and im p er ial r elat io ns , has b een r ehab ilit at edt o s er ve t he e ma nc ip at or y p ur pos es f or w hi ch i t w as c oi ne d. S ta te a ndd ev elo pm ent b u reaucr acies, in co nt ras t, ju st ified t ok enis m as a s t rat egyfo r w om en’s ad vancem ent . T hes e b u reaucracies have u s ed gend er ana-lysis t o init iat e ‘‘gend er and d ev elo pm ent ’’ p ro ject s, w hich are s afe andn on -t hr ea te ni ng t o t he s ta tu s q uo . T he d is co ur se a do pt ed r ed uc es g en de rt o a m an ag em en t p ro je ct , a n d g en de r t ra in in g t o t he t ra ns mi ss io n o f a

b u nd le o f t echniq u es and t o o ls o f analys is .C ri ti ca l f em in is m c ha ll en ge s t he s ta tu s q uo ; a nd w it hi n F em Ac t,g en de r a na ly si s i s u se d t o i de nt if y w hi ch e le me nt s i n t he p at ri ar ch ala nd i mp er ia l s oc ia l s tr uc tu re s ho ul d b e t ar ge te d a nd d is ma nt le d. T hec oa li ti on h as p ut i nto p ra ct ic e an a pp ro ach wh ic h c hal len ge s th ei nt er lo ck in g f ea tu re s o f p at ri ar ch y a nd g lo ba l c ap it al is m a nd o th erf o r m s o f o p p r e s s i o n i n o u r p r e s e n t c o n t e x t i n T a n z a n i a .

T he T GN P a nd Fe mAc t h av e a ls o ma rke d a t ur ni ng p oi nt i n th e

d em oc ra ti za ti on m ov em en t i n c iv il s oc ie ty b y s ho wi ng t ha t, i ns te ado f w or ki ng i n i so la ti on a nd c om pe ti ng w it h e ac h o th er , j oi nt a ct io na ct ua ll y w or ks . B ef or e i ts i nc ep ti on , a ct iv is t N GO s w or ke d p re tt y m uc hi n i so la ti on , d up li ca ti ng e ff or ts , a nd , g iv en t he d if fe re nt a pp ro ac he sa n d o u tl o ok s , s o me t im e s u n do i ng e a ch o t he r ’s s u cc e ss e s. T h is c r ea t edp s ycho lo gical v u lner ab ilit y and inv it ed d iv is iv e t end encies and m anip -u la ti on b y s ta te a nd d on or a ge nt s w ho se a ct io ns ( de li be ra te ly o r n ot )p i t t e d o n e N G O a g a i n s t a n o t h e r . S i n c e t h e c o n s o l i d a t i o n o f F e m A c t ,

t h er e i s m o re s h ar i ng o f m e th o do l og i es , a p pr o ac h es , a n d i n f or m at i on ;b ut , m or e i mp or ta nt ly , a c ol le ct iv e c om mi tm en t t o a ct iv is t l ob by in gand advocacy as a necessary political component of NGO work.T hi s h as s ti mu la te d s om e o f t he p ar ti ci pa ti ng N GO s w hi ch s ta rt edas service organizati ons to add an advocacy component to theirstrategies.


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F em Ac t s ta nd s a s a r ol e m od el f or c iv il s oc ie ty o rg an iz in g w he rea c t i v i s m i s n o t s p o r a d i c a n d d e p e n d e n t o n a s i n g l e c h a r i s m a t i c v i s i o n -a ry l ea de r o r o rg an iz at io n b ut i s g ro up -c en te rd a nd c ol le ct iv e. I t h as

s h o w n b y e x a m p l e t h a t n e t w o r k i n g a t n a t i o n a l , r e g i o n a l , a n d i n t e r n a -t io na l l ev el s i s u se fu l a nd e ff ec ti ve i f t he re i s a s tr on g o rg an iz at io na lb as e w hi ch l in ks g ra ss ro ot s s tr ug gl es a nd p er sp ec ti ve s a nd t ho se o f a ct iv is ts l oc at ed a t o th er l ev el s o f s oc ie ty i nt o a s in gl e a ct iv is t m ov e-m en t. T he o rg an iz in g p ri nc ip le s n ee d t o b e o pe n a nd f le xi bl e e no ug h t oe n ab l e d i ff e re n t g r oo v es a n d s t ra n ds t o c o ns o li d at e t h em s el v es w i th i ni t a nd t o d ra w s tr en gt h a nd s up po rt f ro m o th er s. A ll t he m em be rs o f t he c oa li ti on a re i n n et wo rk s w it h g ra ss ro ot s a nd i nt er me di ar y l ev el

o r ganiz at io ns t hr o u gh w hich co ncer ns ar e s har ed and act io n m o b iliz ed .T ho ug h n ot y et f ul ly c on so li da te d t hr ou gh ou t t he c ou nt ry , t he se a res ig ns t ha t a g ra ss ro ot s- ba se d m ov em en t i s i n t he m ak in g. T he c ha ll en gei s f or F em Ac t t o i nc re as e i ts c ap ac it y f or l ea rn in g a nd i nt er ac ti ng .I t a ls o n ee ds t o c on sc io us ly s up po rt t he n et wo rk in g a nd o rg an iz in gcap acit ies o f gr as s r o o t s and int er m ed iar y o r ganiz at io ns w hich fu nct io na s i ts f oc al p oi nt s; a nd t hr ou gh t he m r ec ru it m or e o rg an iz at io ns a nd

i n d i v i d u a l s a t t h e g r a s s r o o t s l e v e l i n t o t h e m o v e m e n t .Th e TG NP a nd Fe mAc t pa rt ne rs h ave d el ibe ra te ly a dop te d at w o - p r o n g e d s t r a t e g y f o r o p e n i n g u p l o b b y i n g s p a c e w i t h i n t h e g o v e r n -m e nt ( i .e . l e g a l m o b il i za t io n ) a n d c h a ll e ng i ng t h em f r om t h e o u ts i de a tt h e s a m e t i m e ( i . e . d i r e c t a c t i o n ) . T h e i n e v i t a b l e t e n s i o n s i n h e r e n t i nd o in g b o th c o ll a bo r at i on a n d c o nt e nt i on v i s- a- v i s g o ve r nm e nt ( a ndd on or s) p re se nt a c on ti nu al c ha ll en ge t ha t r eq ui re s c on ti nu al r ef le ct io nand s t r at egy m o d ificat io n.

T h e p r oc e ss o f ‘‘ g en d er m a in s tr e am i ng ’’ i n he r en t t o p o li c y e n ga g e-m e n t o f t h i s n a t u r e h a s b e e n c r i t i c i z e d f o r a s s o c i a t i n g o t h e r w i s e a c t i v i s to r g a n i z a t i o n s , i n c l u d i n g t h e T G N P , t o o c l o s e l y w i t h t h e g o v e r n m e n t .P ar ti ci pa nt s i n t he p ro ce ss , i .e . m em be rs o f t he T GN P a nd F em Ac t,h a v e r a i s e d t h e s e c o n c e r n s a s p a r t o f t h e c o n t i n u i n g r e f l e c t i o n p r o c e s s(Kitunga 2003). The danger is that GB may provide legitimacy top r o c e s s e s t h a t a r e b e i n g c h a l l e n g e d , t h u s c o o p t i n g t h e a c t i v i s t a g e n d a .A s s o m e h a v e a r g u e d , w e m i g h t w i n t h e b a t t l e f o r g e n d e r m a i n s t r e a m -

i n g , b u t l o s e t h e w a r f o r t r a n s f o r m a t i v e c h a n g e . F o r e x a m p l e , m e s s a g e sa b o u t g e n d e r a n d p o v e r t y m a y b e a c c e p t e d a n d k e y ‘ ‘ g e n d e r - s e n s i t i v e ’ ’p hr as es s pr in kl ed i nt o p ol i ci es , b ut t he r ea l g oa ls a nd v is io n r un t he r is ko f b ei ng d iv er te d. M or eo ve r, b y o pp os in g t he p ow er o f I FI s a nd t heco nd it io nalit ies t hat co ns t r ain go v er nm ent , t he cam p aign m ay p r o v id eg ov er nm en t w it h a n e xc us e f or i ts f ai lu re t o t ak e s ig ni fi ca nt s te ps o n


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behalf of its own citizens, and women, poor men, and youths inparticular.

A t t h e s a m e t i m e , t h e r e i s n o d e n y i n g t h e f a c t t h a t t h e o v e r a l l p o l i c y

f r a m e w o r k i s d e t e r m i n e d b y t h e I M F , t h e W o r l d B a n k , t h e W T O , a n dt h e d o n o r c o m m u n i t y a s a w h o l e . W i t h i n t h i s p o l i c y f r a m e w o r k , p o l i c ya d v o c a c y a n d l o b b y i n g h a v e a l i m i t e d i m p a c t i n a f f e c t i n g f u n d a m e n t a lc ha ng es . A ch ie ve me nt s t hr ou gh t hi s s tr at eg y c an no t h av e a l as ti nge ff ec t u nl es s a n a lt er na ti ve d ev el op me nt p ar ad ig m i s a do pt ed . T hec o a l i t i o n f a c e s t h e u r g e n t c h a l l e n g e o f w o r k i n g w i t h o t h e r s t o d e v e l o pa n e w d e v e l o p m e n t v i s i o n , a n d o f m o b i l i z i n g a s o c i a l f o r c e t o p u s h f o rit s act u aliz at io n.

B ec au se g lo ba l p ol it ic al a nd e co no mi c f or ce s h av e a g re at i mp ac tl oc al ly , e sp ec ia ll y i n r el at io n t o t he s ta te –c it iz en r el at io ns hi p, l oc all ev el a ct io n n ee ds t o b e s up po rt ed b y i nt er na ti on al a dv oc ac y. F ore xa mp le , g ai ns m ad e t hr ou gh i nt er na ti on al l ob by in g h av e t o b e f ol -l o w e d u p a t t h e l o c a l l e v e l b y p u t t i n g p r e s s u r e o n t h e g o v e r n m e n t a f t e ra c c e s s i o n o r r a t i f i c a t i o n o f a n i n t e r n a t i o n a l t r e a t y t o m a k e a p p r o p r i a t ec ha ng es i n t he d om es ti c l eg al a nd i ns ti tu ti on al f ra me wo rk s. T hi s

i mp li es t ha t F em Ac t e ff or ts t o s tr en gt he n g ra ss ro ot s l ev el n et wo rk sa nd a ct ivi sm h av e to b e m at ch ed wi th a n e qu al ly ri go ro us e ff ort t of o rg e a n d c o ns o li d at e m u tu a ll y s u pp o rt i ve l i nk a ge s a t n a ti o na l , r e gi o -n al , a nd g lob al l eve ls . Gr ass ro ot s p ers pe cti ve s wi ll i n t hi s wa y beb r o u g h t t o t h e a t t e n t i o n o f n a t i o n a l , r e g i o n a l , a n d i n t e r n a t i o n a l a c t i o na g en d as a n d s t ra t eg i es . G i ve n t h e l i mi t ed a u to n om y o f t h e n a ti o n- s ta t ew it hi n t he c on te xt o f i mp er ia l g lo ba li za ti on , a s tr at eg y i s n ee de d f orp r o a c t i v e a c t i v i s m w h i c h i s t i g h t l y l i n k e d t o o t h e r T h i r d W o r l d g l o b a l

actions.

12.6 C O N C L U S I O N : T H E W A Y F O R W A R D

A t t h e e n d o f P h a s e I I , t h e T G N P a n d F e m A c t p a r t n e r s w o u l d l i k e t os e e a b r o a d - b a s e d m o v e m e n t t h a t i s e n g a g e d e f f e c t i v e l y i n o r g a n i z i n g ,a ct s c ol le ct iv el y, a nd h as i nc re as ed s pa ce i n w hi ch p eo pl e c an p la y am or e e ff ec ti ve r ol e i n l oc al a nd n at io na l d ec is io n- ma ki ng p ro ce ss es a nd

o u t c o m e s . D e l i b e r a t e s t e p s n e e d t o b e t a k e n t o s t r e n g t h e n c o n t e n t i o u so r ga n iz i ng a n d c o nt e nt i ou s d i sc o ur s e a t a l l l e ve l s, i n vo l vi n g a l l s o ci a lgroups.

W it hi n t hi s c on te xt , t he n ee d f or c ri ti ca l r ef le ct io n o n t he c am -p a i g n ’ s a g e n d a , i s s u e s , a n d s t r a t e g i e s a t d i f f e r e n t l e v e l s c a n n o t b e o v e r -e mp ha si ze d. F ac ed w it h t he p ow er o f n eo li be ra l e co no mi c m od el s o f


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d ev el op me nt , i t c an be ve ry e as y f or a c am pa ig n l ik e t hi s t o ad op tm ainst r eam d is cou r s e ab o ut ‘‘go o d go v ernance,’’ ‘‘p o ver t y r ed u ct io n,’’a nd ‘‘ ge nd er a nd d ev el op me nt ’’ w hi ch h as l os t t he o ri gi na l p eo pl e-

cent er ed p o lit ical co nt ent .T he c am pa ig n c oa li ti on n ee ds t o fo st er n ew w ay s of t h in ki ng , a ct in g,

a nd d oi ng p ol it ic s. A m aj or c ha ll en ge i s t o s tr en gt he n c ap ac it ie s i nb o t h c o n t e n t i o u s a c t i o n s a n d r i g o r o u s s o c i a l a n a l y s i s . P o l i c y a n a l y s i s i so n e a s p e c t , b u t d e m o c r a t i z a t i o n o f s o c i e t y a n d g o v e r n a n c e w i l l c a l l f o rf a r m o r e , m o v i n g b e y o n d t h e c o n s t r a i n t s o f e x i s t i n g g o v e r n m e n t s t r u c -t ur es a nd p ol ic ie s t o i ma gi ne a nd c re at e a d if fe re nt w or ld a nd a d if fe re ntf o rm o f g o ve r na n ce . P a rt i ci p at o ry p r oc e ss e s o f a n im a ti o n w i ll c o nt r i-

b u t e t o t h i s ‘ ‘ s e a r c h f o r a l t e r n a t i v e s . ’ ’What is sharply noticeable in the experiences of the TGNP,

F em Ac t, a nd t he G BI c am pa ig n i s g ro up -c en te re d l ea de rs hi p a ndp ar t icip at o r y ap p r o aches in t he p r o d u ct io n and r ep r o d u ct io n o f k no w l-e d g e , a n d i n o r g a n i z i n g i t s e l f . T h i s i s e s p e c i a l l y e v i d e n t i n t h e c a s e o f t h e T G N P , w h e r e a n i m a t i o n g u i d e s t h e w a y i n w h i c h k e y d e c i s i o n s a r em ad e w it hi n t he o rg an iz at io n i ts el f, a s w el l a s i n i ts s oc ia l r el at io ns w it h

o th er or gan iz ati on s a t l oc al a nd n ati on al l ev el s. T he pr oc es s i s a si m p o r t a n t a s t h e o u t p u t o r r e s u l t s o f a g i v e n a c t i v i t y .I n t he s ho rt t er m, t he c am pa ig n w il l c on ti nu e t o a dv oc at e f or p op ul ar

c o n t r o l o f n a t i o n a l r e s o u r c e s i n o r d e r t o e n s u r e t h a t t h e b e n e f i t s r e a c ht he m aj or it y o f t he c it iz en s o f t hi s c ou nt ry . W it hi n t he se p ar am et er s,t h e c a m p a i g n w i l l r e j e c t e c o n o m i c p o l i c y c o n t e x t s t h a t c o n s t r a i n a n dm ar gi na li ze t he m aj or it y o f t he p op ul at io n, w it h s pe ci fi c a tt en ti on t op o o r w o m e n , m e n , a n d y o u t h s .

O ne o f t he m aj or c ha ll en ge s a he ad i s t o b ec om e e ve n m or e c on sc io uso f t h e l i n k b e t w e e n s o c i a l b a s e a n d s o c i a l m o v e m e n t s , a n d t o c o n c e n -t r a t e o n t h e f a c i l i t a t i o n o f s e l f - o r g a n i z i n g a m o n g t h e p o o r a n d d i s e m -p o w e r e d t h e m s e l v e s . B e i n g g r o u n d e d i n a m a s s m o v e m e n t o f g r a s s r o o t sl ev el g ro up s a nd o rg an iz at io ns w il l p ro vi de t he n ec es sa ry f ou nd at io n f ora m a s s s o c i a l m o v e m e n t a t t h e n a t i o n a l a n d P a n - A f r i c a n l e v e l s . I n t h i sr e ga r d, s t ra t eg i es a r e b e in g d e ve l op e d t o ‘‘ d ec e nt r al i ze ’’ t h e c a mp a ig na n d t o s t r e n g t h e n t h e i n v o l v e m e n t o f n e i g h b o r h o o d g r o u p s .

T he d oc um en ta ti on o f t he se s tr ug gl es f ro m a c ri ti ca l f em in is t p er -s pe ct iv e w il l b e e ss en ti al s o t ha t a ct iv is ts a nd c ri ti ca l s ch ol ar s l ea rnf r o m p r o g r e s s , c o n t r i b u t i o n s , a n d c h a l l e n g e s , a n d d e v e l o p s t r a t e g i e s t ot ak e t he s tr ug gl e f or wa rd . T he c am pa ig n a ls o r ec og ni ze s t he n ee d t od o c u m e n t i t s s t r u g g l e s f o r f u t u r e g e n e r a t i o n s o f a c t i v i s t s . W h e r e w o u l dw e b e n ow w it ho ut t he c on tr ib ut io ns m ad e – a nd d oc um en te d – b y


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e a r l y w o m e n a c t i v i s t s s u c h a s B i b i T i t i M o h a m e d , a m a j o r l e a d e r o f t h ea n t i - c o l o n i a l m o v e m e n t i n t h e 1 9 5 0 s ? T h e s t o r i e s a b o u t t h i s c a m p a i g nw il l p ro vi de l es so ns f or f ut ur e g en er at io ns a s t he y s tr ug gl e f or e qu it y a nd

justice.

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TGNP and AJM. D ar e s S al aa m: D ev el op me nt P ol ic y M an ag em en tForum.

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C ha ch ag e, S ei th y L ., a nd M ar jo ri e M bi li ny i ( Ed s. ). 2 00 3. A ga in st N eo -Liberalism. D a r e s S a l a a m : T G N P a n d E & D L i m i t e d .

G e i g e r , S u s a n . 1 9 9 7 . T A N U W o m e n . O x f o r d : J a m e s C u r r e y .K I H AC H A . 2 0 0 2 . F o od i s P o li t ic s. D a r e s S a l a a m : I D S , U n i v e r s i t y o f D a r e s

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a n d E c o n o m i c R e f o r m s i n A f r i c a P r o g r a m m e .

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T G N P , m i m e o .2004. G e n d e r B u d g e t A n a l y s i s i n T a n z a n i a : 1 9 9 7 – 2 0 0 0 . D a r e s S a l a a m : E & D

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W i g n a r a j a , P o o n a . 1 9 9 3 . ‘ ‘ R e t h i n k i n g D e v e l o p m e n t a n d D e m o c r a c y . ’ ’ I n NewS o c i a l M o v e m e n t s i n t h e S o u t h , e d i t e d b y P o o n a W i g n a r a j a . L o n d o n : Z e dBooks.


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CHAPTER 13

TWO DEMOCRACIES, TWO LEGALITIES:PARTICIPATORY BUDGETING

IN PORTO ALEGRE, BRAZIL

Boaventura de Sousa Santos

T o d a y , t w o f o r m s o f g l o b a l i z a t i o n c o n f r o n t e a c h o t h e r : t h e h e g e m o n i cn eo li be ra l g lo ba li za ti on d ri ve n b y t he i nt er es ts o f g lo ba l c ap it al is m, a nd

t he c ou nt er -h eg em on ic g lo ba li za ti on , o r g lo ba li za ti on f ro m b el ow ,d r i v e n b y t h e t r a n s n a t i o n a l l y n e t w o r k e d r e s i s t a n c e o f s u b a l t e r n c l a s s e sa n d s o ci a l g r ou p s a g ai n st t h e e x cl u si o ns , d i sp o ss e ss i on s , a n d d i sc r im i -n at io ns c au se d o r a gg ra va te d b y n eo li be ra l g lo ba li za ti on ( Sa nt os 2002).I f o c u s o n t h e p o l i t i c a l a n d l e g a l n a t u r e o f t h e i n i t i a t i v e s a n d s t r u g g l e sc o n s t i t u t i n g c o u n t e r - h e g e m o n i c g l o b a l i z a t i o n , w h i c h I r e f e r t o a s s u b -a lt er n c os mo po li ta n p ol it ic s a nd l eg al it y. I n t hi s v as t s oc ia l f ie ld o f c on fr on ta ti on al p ol it ic s a nd l aw , I d is ti ng ui sh t wo b as ic p ro ce ss es o f

g l o b al i z a ti o n : g l o b al c o l l e ct i v e a c t i on t h r o ug h t r a n sn a t i on a l n e t wor k -i ng t hr ou gh l oc al /n at io na l/ gl ob al l in ka ge s, o n o ne s id e, a nd l oc al o rn a t i o n a l s t r u g g l e s w h o s e s u c c e s s p r o m p t s r e p r o d u c t i o n i n o t h e r l o c a l e so r n e tw o rk i ng w i th p a ra l le l s t ru g gl e s e l se w he r e. I n c h ap t er 2 a b o v e , Id e a l t w i t h t h e f i r s t p r o c e s s , i l l u s t r a t i n g i t w i t h t h e a n a l y s i s o f t h e W o r l dS oc ia l F or um . I n t hi s c ha pt er , I d ea l w it h t he s ec on d p ro ce ss . I i ll us tr at ei t w i t h t h e a n a l y s i s o f p a r t i c i p a t o r y b u d g e t i n g ( P B ) i n P o r t o A l e g r e , al o ca l i n it i at i ve o f s o ci a l r e di s tr i bu t io n t h ro u gh p a rt i ci p at o ry d e mo c ra c y

c o n s i d e r e d b y t h e U n i t e d N a t i o n s a s o n e o f t h e m o s t s u c c e s s f u l e x p e r i -m e n t s o f u r b a n m a n a g e m e n t a n d w h i c h h a s b e e n a d o p t e d i n 1 9 4 c i t i e si n B r a z i l a n d a l s o i n L a t i n A m e r i c a a n d E u r o p e .

T h e c h a p t e r i s o r g a n i z e d a s f o l l o w s . I n t h e f i r s t s e c t i o n , I p r o v i d e t h ea na ly ti ca l f ra me wo rk . I n t he s ec on d a nd t hi rd s ec ti on s, I p re se nt t hem a i n t r a i t s o f P B c o n c e i v e d o f a s a f o r m o f p a r t i c i p a t o r y r e d i s t r i b u t i v e

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d em oc ra cy . I n t he f ou rt h s ec ti on , I a na ly ze t he c on fr on ta ti on al l eg alp l u r a l i t y i n v o l v e d i n P B .

13.1 T H E S T A T E A N D D E M O C R A C Y A S C O N T E S T E D

T E R R A I N S

In t he l ast tw en ty or t hi rt y y ea rs, t he st ate u nde rw ent a p ro fou ndt ra ns fo rm at io n w hi ch c an b e s um ma ri ze d i n t he f ol l ow in g w ay : f ro mb ei ng t he s ol ut io n t o s oc ia l p ro bl em s, t he s ta te b ec om es the problem,t h e s o l u t i o n o f w h i c h i s a n e c e s s a r y ( i f n o t a l s o a s u f f i c i e n t ) c o n d i t i o nfor the solution of all the other socia l p ro bl em s. W hi le u nd er b ot h

d e m o- l i b er a l i sm a n d d e m o- s o ci a l i s m1 a s tr on g d em oc ra ti c s ta te w as an e c e s s a r y ( i f n o t a s u f f i c i e n t ) c o n d i t i o n f o r a s t r o n g c i v i l s o c i e t y , u n d e rt h e c o n d i t i o n s o f n e o l i b e r a l i s m a w e a k d e m o c r a t i c s t a t e i s a n e c e s s a r y( if no t a s uf fi ci en t) c on di ti on f or a st ro ng c iv il s oci et y. W hi le t hem od er n c ap it al i st s ta te g ai ne d l eg it im ac y a mo ng t he p op ul ar c la ss esb y c re at in g n on -m er ca nt il e i nt er ac ti on s a mo ng c it iz en s t hr ou gh a ne ve r e xp an si ve c on ce pt io n o f p ub li c g oo ds , t he n eo li be ra l s ta te m us t

w it hd ra w a s m uc h a s p os si bl e f ro m s oc ia l r eg ul at io n ( no t t o m en ti one c o n o m i c r e g u l a t i o n ) , a n d p r o m o t e t h e m u l t i p l i c a t i o n o f m a r k e t i n t e r -a c t i o n s a m o n g c i t i z e n s t h r o u g h t h e p r o v i s i o n o f p r e d i c t a b l e l e g a l r u l e s .W h i l e u p u n t i l n o w t h e s t a t e g r o u n d e d i t s p r i v i l e g e d p o l i t i c a l r o l e i n i t ss ov er ei gn p re ro ga ti ve a nd i ts p ow er o f c oe rc io n, t he n eo li be ra l s ta tem u s t b e c o m e w h e n e v e r f e a s i b l e ( v i r t u a l l y i n a l l i s s u e s e x c e p t t h o s e o f i n t e r n a l o r e x t e r n a l s e c u r i t y ) a p a r t n e r a m o n g o t h e r s i n b r o a d c o n t e x t so f s oc ia l g ov er na nc e i n w hi ch s ta te a nd n on -s ta te a ct or s p ar ti ci pa te i n a

t e n d e n t i a l l y e q u a l f o o t i n g .2

T h e s e t r a n s f o r m a t i o n s h a v e b e e n s o m a s s i v e ( t h o u g h m u c h m o r e i nd is co ur se t ha n i n p ra ct ic e) t ha t m uc h p ro gr es si ve p ol it ic al t hi nk in g h asd ec la re d t he s ta te a s a r el at iv el y o bs ol et e e nt it y, s tr ug gl in g t o s ur vi vemo re f or th e sa ke of i ts ow n i nt ere sts t ha n f or t he sa ke of s oc ie ty’ si n t e r e s t . I h a v e c l a i m e d t h a t t h i s i s t h e w r o n g c o n c l u s i o n t o d r a w f r o mt he p ro fo un d t ra ns fo rm at io n t ha t t he s ta te h as u nd er go ne i n r ec en td e c a d e s ( s e e S a n t o s 2002) . R a t h e r t h a n a n e r o s i o n o f t h e s t a t e ’ s s o v e r -

e i g n t y o r o f i t s r e g u l a t o r y c a p a c i t i e s , w h a t i s o c c u r r i n g i s a t r a n s f o r m a -t i o n o f s o v e r e i g n t y a n d t h e e m e r g e n c e o f a n e w m o d e o f r e g u l a t i o n , i nw h i c h t h e p u b l i c g o o d s u p u n t i l n o w p r o d u c e d b y t h e s t a t e ( l e g i t i m a c y ,

1 O n t h es e c on ce pt s se e S an t os (2002:Chapter 9).2 O n t h e q u e s t i o n o f g o v e r n a n c e , s e e c h a p t e r 2.

P A R T I C I P A T O RY B U D G E T I N G I N B R A Z I L

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s oc ia l a nd e co no mi c w el fa re , s ec ur it y, a nd c ul tu ra l i de nt it y) a re t heo bj ec t o f p er ma ne nt c on te nt io n a nd p ai ns ta ki ng n eg ot ia ti on a mo ngd i f f e r e n t s o c i a l a c t o r s u n d e r s t a t e c o o r d i n a t i o n . H a v i n g l o s t t h e m o n o -

p ol y o f r eg ul at io n, t he s ta te s ti ll k ee ps t he m on op ol y o f m et a- re gu la -t io n, t ha t i s t o s ay , t he m on op ol y o f a rt ic ul at io n a nd c oo rd in at io na m on g s u bc o nt r ac t ed p r iv a te r e gu l at o rs . T h is m e an s t h at , t o da y , n o t-w it hs ta nd in g a pp ea ra nc es t o t he c on tr ar y, t he s ta te i s m or e t ha n e ve ri nv ol ved i n th e pol iti cs of s oc ia l r edi st ri but ion – a nd h en ce i n t hed et er mi na ti on o f t he c ri te ri a o f i nc lu si on a nd e xc lu si on . I n t hi s n ewp o l i t i c a l o r g a n i z a t i o n t h e s t a t e i s a p a r t i a l i n s t i t u t i o n , b u t a c r u c i a l o n es i n c e i t h a s b e c o m e a s o c i a l f i e l d o p e n t o c o m p e t i t i o n a m o n g a g e n t s o f

p o li t ic a l s u bc o nt r ac t in g a n d f r an c hi s in g c a rr y in g a l te r na t iv e c o nc e p-t io ns o f t he p ub li c g oo ds t o b e d el iv er ed . T he s tr ug gl e f or t he p ub li cc o n t r o l o f t h e s t a t e a n d f o r t h e d e m o c r a t i c r e f o r m o f t h e s t a t e – a n d ,m o r e b r o a d l y , o f t h e p o l i t i c a l s o c i e t y , i n G r a m s c i ’ s t e r m s – h a v e n e v e rb e e n s o i m p o r t a n t f o r t h e p r o t e c t i o n o f t h e s o c i a l i n t e r e s t s a n d r i g h t s o f t h e s u b a l t e r n c l a s s e s . P B i n P o r t o A l e g r e o r i g i n a t e s f r o m t h i s p o l i t i c a lu n de r st a nd i ng a n d s h ow s t h at a s u cc e ss f ul s t ru g gl e m u st i n vo l ve b o th

p o l i t i c a l a n d l e g a l r e s o u r c e s a n d t h a t s t a t e l e g a l i t y m u s t b e r e s o r t e d t oi n t a n d e m w i t h n o n - s t a t e l e g a l i t y .W hi l e t he s ta te h as b ec om e a h ig hl y c on te st ed i ns ti tu ti on , d em oc -

r ac y h as k no wn i n t he s am e p er io d a n u np re ce de nt ed r ec og ni ti on ,r e a c h i n g o u t i n t o t h e w h o l e g l o b e a n d b e i n g t r a n s f o r m e d i n t o a p o l i -t ic al c on di ti on al i ty o f f un di ng b y t he i nt er na ti on al f in an ci al i ns ti tu -t ion s. He re a ls o th e tr an sf orm ati on s a re ma ss iv e: f ro m a po li ti calp r i v i l e g e o f a f e w c o u n t r i e s i n t h e N o r t h A t l a n t i c t o a p o l i t i c a l r e g i m e

a va il ab le t o a ll c ou nt ri es ; f ro m a g en er al n am e f or d if fe re nt t yp es o f d e m o c r a c y t o j u s t o n e t y p e , l i b e r a l o r r e p r e s e n t a t i v e d e m o c r a c y ; f r o m ap o l i t i c a l r e g i m e i n s o m e t e n s i o n w i t h c a p i t a l i s m , t o t h e p o l i t i c a l f a c e o f c a p i t a l i s m ; f r o m a r e g i m e w i t h s o m e p o t e n t i a l f o r s o c i a l r e d i s t r i b u t i o n ,t o a n on -d is tr ib ut iv e r eg im e; f ro m a r eg im e w ho se l eg it im ac y i s b ot ht he c aus e a nd t he c on se qu en ce of th e so ci al c on tr ac t, t o a r eg im el e g i t i m a t e d b y t h e a u t o n o m y o f t h e i n d i v i d u a l , f r e e t o e n t e r i n d i v i d u a l( n o t s o c i a l ) c o n t r a c t s .

T h es e t r an s fo r ma t io ns h a ve n o t o c cu r re d w i th o ut c o nt r ad i ct i on s,g roun de d n ot so mu ch o n n ew f or ms o f d em oc ra ti c th eor y ( wh ic hh av e n ot p ro li fe ra te d) b ut r at he r o n g ra ss ro ot s p ol it ic al p ra ct ic es ,p ar ti cu la rl y i n t he g lo ba l S ou th w he re d em oc ra cy a pp ar en tl y h ad n od e e p r o o t s . S u c h p r a c t i c e s h a v e b e e n , i n g e n e r a l , c h a r a c t e r i z e d b y t h ef ol lo wi ng f ea tu re s: r ef us al o f t he i de a o f r ep re se nt at iv e d em oc ra cy a s t he

S A N T O S

312



o n l y f o r m o f d e m o c r a c y a n d r e l i a n c e o n a n a l t e r n a t i v e f o r m , d e f i n e d a sp ar ti ci pa to ry o r d el ib er at iv e d em oc ra cy o r, m or e g en er al ly , a s g ra ss ro ot sd e m o c r a c y ; p r a g m a t i c c o n c e p t i o n o f t h e r e l a t i o n s b e t we e n r e p r e s e n t a -

t i ve d e mo c ra c y a n d p a rt i ci p at o ry d e mo c ra c y w h ic h m a y i n cl u de c o n-f ro nt at io n a s w el l a s c om pl em en ta ri ty ; f oc us o n s oc ia l r ed is tr ib ut io nb a s e d o n a n e w e q u a t i o n b e t w e e n p a r t i c i p a t i o n a n d s o c i a l b e n e f i t , a ne qua ti on t ha t, co ntr ary to t he m od ern i de a of th e s oc ia l co ntr ac t,r ee na ct s t he a sp ir at io n a nd t he d em an d f or s oc ia l j us ti ce i n r ep ea te d,t ra ns pa re nt , a nd o nl y m in im al l y m ed ia te d a ct s o f p ol it ic al p ar ti ci pa ti on( se e S an to s, fo rt hc om in g) . P or to Al eg re ’s PB is pr ob ab ly o ne o f t hem o st s u cc e ss f ul p r ac t ic e s o f p a rt i ci p at o ry d e mo c ra c y. T h e r e la t io n sh i p

w it h r ep re se nt at iv e d em oc ra cy i s m os tl y o f c om pl em en ta ri ty b ut , a sl e g a l c o n t r o v e r s i e s s u r r o u n d i n g P B s h o w , m a y a l s o i n v o l v e m o m e n t s o f confrontation.

13.2 P A R T I C I P A T O R Y B U D G E T I N G I N A C T I O N 3

13.2.1. Antecedents

B ra zi l i s a s oc ie ty w it h a l on g t ra di ti on o f a ut ho ri ta ri an p ol it ic s. T hep r e d o m i n a n c e o f a n o l i g a r c h i c , p a t r i m o n i a l i s t , a n d b u r e a u c r a t i c m o d e lo f d om in at io n h as r es ul te d i n a s ta te f or ma ti on , a p ol it ic al s ys te m, a nd ac u l t u r e c h a r a c t e r i z e d b y t h e f o l l o wi n g : p o l i t i c a l a n d s o c i a l m a r g i n a l i z a -t io n o f t he p op ul ar c la ss es , o r t he ir i nt eg ra ti on b y m ea ns o f p op ul is ma nd c li en te li sm ; e li ti sm o f t he d em oc ra ti c g am e a nd l ib er al i de ol og yr es ul ti ng i n a h ug e d is cr ep an cy b et we en t he ‘‘ le ga l c ou nt ry ’’ a nd t he‘ ‘ r e a l c o u n t r y ; ’ ’ e n o r m o u s o b s t a c l e s a g a i n s t t h e c o n s t r u c t i o n o f c i t i z e n -

s h i p , t h e e x e r c i s e o f r i g h t s , a n d p o p u l a r a u t o n o m o u s p a r t i c i p a t i o n .B r az i l i s a l so a s o ci e ty c h ar a ct e ri z ed b y o u tr a ge o us s o ci a l i n e q ua l it i es .

I n 1 9 6 4 , a m i l i t a r y coup d’etat a g a i n s t t h e d e m o c r a t i c a l l y e l e c t e d l e f t i s tg ov er nm en t l ed t o a m il it ar y d ic ta to rs hi p t ha t l as te d u nt il t he e ar ly1 98 0s . W it h t he d em oc ra ti c t ra ns it io n, t he p ol i ti ca l d eb at e c en te re d o nt h e d e m o c r a t i z a t i o n o f B r a z i l i a n p o l i t i c a l l i f e a n d t h e a c t u a l c o n s t r u c -t io n o f c it iz en sh ip . T he e mp ha si s o n r ig ht s o f c it iz en sh ip , p ol it ic ald ec en tr al iz at io n, a nd s tr en gt he ni ng o f l oc al p ow er l ed t o t he 1 98 8

C on st it ut io n. T hi s n ew p ol it ic al c on te xt c re at ed t he c on di ti on s f orp o l i t i c a l f o r c e s o n t h e l e f t t o s e t u p i n n o v a t i v e e x p e r i m e n t s i n p o p u l a r

3 I p res en t h er e a s um mar y o f t he r es ul ts o f my e mp ir ic al r es ear ch o n P B i n P or to A le gr ec on d uc te d b et w ee n 1 99 5 a nd 2 0 02 . T he m os t i n te ns iv e f i el d wo r k w as c ar r ie d o ut b et we en1 99 5 a nd 1 99 7, b ut I f ol lo we d t he e vo lu ti on o f t he p ar ti ci pa to ry b ud ge t u nt il J an ua ry 2 00 2. F or am o r e d e ta i l ed a n a ly s i s, s e e S a nt o s (1998; forthcoming).


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p a r t i c i p a t i o n i n m u n i c i p a l g o v e r n m e n t . Th i s p o l i t i c a l o p p o r t u n i t y wa sf a c i l i t a t e d b y t h e f a c t t h a t t h e p o l i t i c a l f o r c e s i n q u e s t i o n w e r e c l o s e l yr el ate d t o t he po pu la r mo ve me nt s t ha t i n t he 19 60 s a nd 19 70 s h ad

s t ru g gl e d f o r t h e e s ta b li s hm e nt a n d r e co g ni t io n o f c o ll e ct i ve s u bj e ct sa m o n g t h e s u b a l t e r n c l a s s e s .

A m o n g s u c h p o l i t i c a l f o r c e s t h e Partido dos Trabalhadores (Workers’P a r t y , h e n c e f o r t h , P T ) i s t o b e s i n g l e d o u t . T h e P T w a s f o u n d e d i n t h ee ar ly 1 98 0s o ut o f t he l ab or m ov em en t, w hi ch w as p ar ti cu la rl y s tr on g i nt he st ate o f S ao P aul o a nd on e of th e m os t i mpo rt an t f orc es i n t hes tr ug gl e a ga in st t he m il i ta ry d ic ta to rs hi p. T he e le ct or al g ai ns o f P Th av e b ee n d az zl in g. I n t he e ar ly 1 99 0s , t he P T w as a lr ea dy t he m aj or

o p p o s i t i o n p a r t y . I n 2 0 0 3 , o n e o f i t s f o u n d e r s – L u l a d a S i l v a – b e c a m eP r e s i d e n t o f t h e R e p u b l i c . I n t h e l a t e 1 9 8 0 s , t h e P T , i n c o a l i t i o n w i t ho t h e r l e f t i s t p o l i t i c a l f o r c e s , w o n t h e l o c a l e l e c t i o n s i n s e v e r a l i m p o r t -a nt c it ie s – s uc h a s S ao P au lo , P or to A le gr e, S an to s, B el o H or iz on te ,C amp in as, V itori a, a nd G oi an ia – a nd i nt ro du ced i n a ll o f t he mi n s t it u t i on a l i n n ova t io n s e n co u ra g in g p o pu l ar p a rt i ci p at i on i n m u ni -c i p a l g o v er n m e nt .4 O f a ll t he se e xp er im en ts a nd i nn ov at io ns , t ho se

i mpl em en te d i n P ort o Al eg re h ave be en by f ar the m o st s u cc e ss f ul , w i thw i d e r e c o g n i t i o n b o t h i n s i d e a n d o u t s i d e B r a z i l .5

P o r t o A l e g r e , w i t h a p o p u l a t i o n o f 1 . 3 m i l l i o n , i s t h e c a p i t a l o f t h es t a t e o f R i o G r a n d e d o S u l . W h e n , i n J a n u a r y 1 9 8 9 , t h e P T t o o k o v e rt he a dmi ni str ati on of P ort o Al eg re , a n ew m oda li ty o f m un ic ipa lg o ve r nm e nt w a s i n st a ll e d, k n ow n a s ‘‘ p op u la r a d mi n is t ra t io n .’’ I t w a sb as ed o n a n i ns ti tu ti on al i n no va ti on a im ed a t g ua ra nt ee in g p op ul arp ar ti ci pa ti on i n p re pa ri ng a nd c ar ry in g o ut t he m un ic ip al b ud ge t,

h e n c e , i n t h e d i s t r i b u t i o n o f r e s o u r c e s a n d t h e d e f i n i t i o n o f i n v e s t m e n tp ri or it ie s. T hi s n ew m ea su re , w hi ch b ec am e k no wn a s ‘‘ pa rt ic ip at or yb ud ge ti ng ’’ a nd c el eb ra te d i ts f i ft ee nt h a nn iv er sa ry i n 2 00 4, h as b ee nt h e k e y t o t h e s u c c e s s o f t h e P T m u n i c i p a l g o v e r n m e n t .

P or to A le gr e i s a c it y o f a mp le d em oc ra ti c t ra di ti on s a nd a h ig hl yo rg an iz ed c iv il s oc ie ty . D ur in g t he d ic ta to rs hi p, t he c it y’ s g ra ss ro ot so r ga n iz a ti o ns f o cu s ed t h ei r a c ti v it y o n s t re n gt h en i ng t h e l a bo r u n io n sa n d o n s u c h c o m m u n i t y m o v e m e n t s a s n e i g h b o r h o o d a n d s t r e e t a s s o -

c ia ti on s, s oc ce r c lu bs , c oo pe ra ti ve s, m ot he rs ’ c lu bs , c ul tu ra l g ro up s, e tc .

4 S e e V illa s - Boa s (1999) , C ar va lh o a nd F el gu ei ra s (2000) , A vr it ze r (2002) , C a rv a l ho et al.(2002).

5 F o r a c o mp a ri s o n w i t h t h e a p p l ic a ti o n o f P B i n B a rc e lo n a, s e e M o u ra ( 1997 ) . E c h e va r r ı a (1999)c o mp a re s P B i n P o r to A l eg r e a n d C or d o ba ( A rg e nt i na ) . F o r i n s ta n ce s o f t h e a p pl i c at i o n o f P Bp r i n c i p l e s i n t h e A m e r i c a s a n d E u r o p e , s e e B e c k e r ( 2000).

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T h e s e m o v e m e n t s a n d o r g a n i z a t i o n s w e r e e i t h e r o f a g e n e r a l n a t u r e o rc o n c e r n e d w i t h s p e c i f i c d e m a n d s , s u c h a s t h e s t r u g g l e f o r b u s l i n e s , t h es tr ug gl e f or s ew er s o r s tr ee t p av in g, t he s tr ug gl e f or h ou si ng o r h ea lt h

c en te rs , a nd s o o n. A p ow er fu l, d iv er si fi ed p op ul ar m ov em en t t hu se m e r g e d , o n e t h a t i n t h e e a r l y 1 9 8 0 s b e c a m e d e e p l y i n v o l v e d i n l o c a lgovernment.

I n 1 98 8, t he s ta rtl in g p ol it ic al as ce nt of th e P T b eg an . W ith outp r e c e d e n t i n t h e c i t y , i n 1 9 9 2 a n d a g a i n i n 1 9 9 6 t h e p a r t y i n g o v e r n -m en t m an ag ed t o e le ct i ts s uc ce ss or : T ar so G en ro , v ic e- ma yo r i n t hef ir st P T m an da te , b ec am e m ay or i n t he s ec on d, a nd R au l P on t, v ic e-m ay or i n t he s ec on d m an da te , b ec am e m ay or i n t he t hi rd . I n 2 00 0,

T a r s o G e n r o w a s r e e l e c t e d m a y o r . T h e m a y o r a l t y w a s t a k e n o v e r b y h i sv ic e- ma yo r i n 2 00 2 w he n T ar so G en ro b ec am e t he P T c an di da te i nst ate e le cti on s. He l ost t he e le cti on s a nd , i n e ar ly 20 03 , b ec am e am i n i s t e r i n t h e L u l a G o v e r n m e n t .

13.2.2. The institutions and the process of PBM un ic ip al p ow er i n B ra zi l l ie s i n t wo s ep ar at el y e le ct ed b od ie s: t he

m ay or (Prefeito) , t he e xe cu ti ve b od y, a nd t he C ha mb er o f D ep ut ie s(Camara de Vereadores, o r C V ) , t h e l e g i s l a t i v e b o d y . A c c o r d i n g t o t h e1 9 8 8 C o n s t i t u t i o n , t h e c o m p e t e n c e t o a p p r o v e t h e b u d g e t i s v e s t e d i nt he C V. S in ce 1 98 9, t he W or ke rs ’ P ar ty a nd t he P op ul ar F ro nt h av ec o n t r o l l e d t h e Prefeitura b u t h a v e n o t h a d t h e m a j o r i t y i n t h e C V .

O n e h a r d l y n e e d s t o s t r e s s t h e i m p o r t a n c e o f P B f o r t h e p o l i t i c a l a n da dm in is tr at iv e r el at io ns b et we en t he s ta te a nd t he c it iz en s. I n B ra zi l,t he p ub li c b ud ge t i nc lu de s t hr ee l ev el s: f ed er al , s ta te , a nd m un ic ip al .

M un ic ip al it ie s h av e r el at iv e a ut on om y i n d et er mi ni ng r ev en ue a nde xpe nd itu re . R eve nue i s e ith er l oc al ( ta xe s a nd ta ri ff s o f v ar io usk in ds ) o r t he r es ul t o f f ed er al o r s ta te t ra ns fe re nc es . E xp en di tu re i sc l as s if i ed i n to t h re e l a rg e g r ou p s: ( 1 ) p e rs o nn e l; ( 2 ) p u bl i c s e rv i ce s ; a n d( 3) i nv es tm en t i n w or ks a nd e qu ip me nt . T he r el at iv e a ut on om y o f m un ic ip al it ie s r el at es m ai nl y t o t he t hi rd t yp e o f e xp en di tu re . S in ceth e bu dg et do es n ot h av e to i de nti fy t he w or ks a nd s er vi ce s t o be c arr ie do ut – t he m er e e st ab li sh me nt o f a n e xp en di tu re c ei li ng i s s uf fi ci en t –

th e e xe cut ive h as a mpl e l ee wa y f or b ud ge ta ry i mp le me nt atio n.H o w e v e r , t h e b u d g e t m u s t b e a p p r o v e d b y t h e l e g i s l a t i v e b o d y .

T h e P B p r o m o t e d b y t h e Prefeitura i s a f or m o f p ub li c g ov er nm en tt h a t t r i e s t o b r e a k a w a y f r o m t h e a u t h o r i t a r i a n a n d c l i e n t e l i s t t r a d i t i o no f p ub li c p ol ic ie s, r es or ti ng t o t he d ir ec t p ar ti ci pa ti on o f t he p op ul at io ni n t h e d i f f e r e n t p h a s e s o f b u d g e t p r e p a r a t i o n a n d i m p l e m e n t a t i o n , w i t h


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s pe ci al c on ce rn f or t he d ef in it io n o f p ri or it ie s f or t he d is tr ib ut io n o f i nv es tm en t r es ou rc es . PB a nd i ts i ns ti tu ti on al f ra me wo rk h av e n of o rm a l l e ga l r e co g ni t io n .6 I n po li ti ca l a nd l eg al t erm s, i t i s a h yb ri d

e nt ity po li ti ca ll y s an ct io ned b y th e e xec uti ve br an ch of th e l oc alg ov er nm en t b ut i ll eg al a nd p ol it ic al ly i ll eg it im at e f ro m t he p oi nt o f v i e w o f t h e l e g i s l a t i v e b r a n c h . T h e l e g a l r e c o g n i t i o n o f P B c o u l d o n l yb e p ro vi de d by th e C V, a lbe it w ith in t he l imi ts of f ed era l a nd s ta tel e g i s l a t i o n . A s w e w i l l s e e b e l o w , t h e i s s u e o f t h e l e g a l i z a t i o n o f P B i s am aj or to pi c i n a n on goi ng c onf li ct be tw ee n t he e xe cut iv e a nd t hel e g i s l a t i v e i n P o r t o A l e g r e p o l i t i c s .

A s t h i n g s s t a n d n o w , s i n c e t h e d e f i n i t i o n a n d a p p r o v a l o f t h e b u d g e t

i s a l ega l pr ero gat iv e of t he CV , th e Prefeitura, i n s tri ct l eg al t erm s,l i m i t s i t s e l f t o s u b m i t t i n g t o t h e C V a b u d g e t p r o p o s a l t h a t t h e l a t t e r i sf re e t o a pp ro ve , t o c ha ng e o r t o r ej ec t. I n p ol it ic al t er ms , h ow ev er ,b e c a u s e t h e e x e c u t i v e ’ s p r o p o s a l i s s a n c t i o n e d b y t h e i n s t i t u t i o n s o f P Ba n d t h u s b y t h e c i t i z e n s a n d c o m m u n i t y o r g a n i z a t i o n s a n d a s s o c i a t i o n st h a t p a r t i c i p a t e i n t h e m , t h e e x e c u t i v e ’ s p r o p o s a l b e c o m e s a fait accom-

pli f o r t h e l e g i s l a t i v e b o d y i n v i e w o f t h e p o l i t i c a l r i s k s f o r t h e d e p u t i e s

i n v ot in g a ga in st t he ‘‘ wi ll o f t he c it iz en s a nd t he c om mu ni ti es .’’ T hem aj or it y o f t he C V t hu s c la im s t ha t, b y i ns ti tu ti on al iz in g t he p ar ti ci -p a t o r y b u d g e t w i t h o u t i n v o l v i n g t h e l e g i s l a t i v e b o d y , t h e e x e c u t i v e h a si n r ea l t er ms e mp ti ed o ut t he l at te r’ s j ur is di ct io n o ve r b ud ge ta ry m at -t e r s . H e n c e t h e p o l i t i c a l c o n f l i c t t h a t w i l l b e d e a l t w i t h b e l o w .

13.2.2.1 The institutionsP B i s a s tr uc tu re a nd a p ro ce ss o f c om mu ni ty p ar ti ci pa ti on b as ed o n

t hre e m aj or pr in ci pl es a nd on a se t of i ns ti tut io ns t ha t f un cti on a sm ec ha ni sm s o r c ha nn el s o f s us ta in ed p op ul ar p ar ti ci pa ti on i n t hed e c i s i o n - m a k i n g p r o c e s s o f t h e m u n i c i p a l g o v e r n m e n t . Th e t h r e e p r i n -c i p l e s a r e : ( 1 ) a l l c i t i z e n s a r e e n t i t l e d t o p a r t i c i p a t e , c o m m u n i t y o r g a -n iz at io ns h av in g n o s pe ci al s ta tu s o r p re ro ga ti ve i n t hi s r eg ar d; ( 2)p a r t i c i p a t i o n i s g o v e r n e d b y a c o m b i n a t i o n o f d i r e c t a n d r e p r e s e n t a t i v ed e m o c r a c y r u l e s , a n d t a k e s p l a c e t h r o u g h r e g u l a r l y f u n c t i o n i n g i n s t i t u -t i o n s w h o s e i n t e r n a l r u l e s a r e d e c i d e d u p o n b y t h e p a r t i c i p a n t s ; a n d ( 3 )

i n ve s tm e nt r e so u rc e s a r e a l lo c at e d a c co r di n g t o a n o b je c ti v e m e th o db as ed o n a c om bi na ti on o f ‘‘ ge ne ra l c ri te ri a’’ ( su bs ta nt iv e c ri te ri a

6 T h e O r g a n i c L a w o f P o r t o A l e g r e s t a t e s t h a t t h e b u d g e t m u s t b e d i s c u s s e d w i t h t h e p o p u l a t i o n .R ec en tl y, t he M ay or al t y s u cc es s fu l ly f o ug ht a c as e a ga i ns t a p l ai nt i ff t ha t h ad a sk ed t h e c ou r ts t ode c lar e t h e P B un c on s t it ut ion al ( S er g io B a ie r le, pe r s on n al c om m unic a t ion ) .

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e st ab li sh ed b y t he p ar ti ci pa to ry i ns ti tu ti on s t o d ef in e p ri or it ie s) a nd‘‘ te ch ni ca l c ri te ri a’’ ( cr it er ia o f t ec hn ic al o r e co no mi c v ia bi li ty a sd e t e r m i n e d b y t h e e x e c u t i v e i n a c c o r d a n c e w i t h f e d e r a l , s t a t e , o r c i t y

l e g a l n o r m s ) .T h e b a s i c i n s t i t u t i o n a l s e t u p o f P B c o n s i s t s o f t h r e e k i n d s o f o r g a n s .

F ir st , t he a dm in is tr at iv e u ni ts o f t he m un ic ip al e xe cu ti ve a re r es po n-s ib le f or m an ag in g t he b ud ge ta ry d eb at e w it h t he c it iz en s, m ai nl y t heGabinete de Planejamento ( t h e P l a n n i n g O f f i c e , o r G A P L A N ) a n d t h eCoordenacao de Relacoes com as Comunidades ( th e C oo rd in at io n o f R e l a t i o n s w i t h t h e C o m m u n i t i e s , o r C R C ) . S e c o n d l y , t h e c o m m u n i t yo r g an i z a ti o n s – wh i c h a r e a u t on o m ou s v i s -a- v i s t h e m u n i ci p a l g o v e rn -

m en t a nd c on st it ut ed m ai nl y b y r eg io na ll y b as ed o rg an iz at io ns – m ed ia tebe tw een c it ize n pa rti ci pa ti on a nd t he c hoi ce o f p ri ori ti es f or c it yr eg io ns . S in ce t he y a re a ut on om ou s s tr uc tu re s a nd h en ce d ep en d o nth e or gan izi ng pot en ti al of e ac h re gi on , th ey d o n ot ex ist i n e ve ryr eg io n c on ce rn in g P B. T he y b ea r d if fe re nt k in ds o f o rg an iz at io n a ndp ar ti ci pa ti on a cc or di ng t o t he l oc al t ra di ti on s o f t he r eg io ns : p op ul arc o u n c i l s , t o wn s h i p u n i o n s , a n d r e g i o n a l a r t i c u l a t i o n s . Th i r d l y , m e d i a t -

i n g i n s t i t u t i o n s o f c o m m u n i t y p a r t i c i p a t i o n l i n k t h e f i r s t t w o k i n d s o f i n s t i t u t i o n s . T h e y a r e t h e C o u n c i l o f t h e G o v e r n m e n t P l a n a n d B u d g e t( al so k no wn a s t he P ar ti ci pa to ry B ud ge t C ou nc il , o r C OP ), R eg io na lP l en a ry A ss em bl ie s, t he R eg io na l B ud ge t F or um , T he ma ti c P le na ryA s s e m b l i e s , a n d t h e T h e m a t i c B u d g e t F o r u m .

13.2.2.2 The participatory processThe mai n goal of PB is to encourage a dynamic and to establish a

s us ta in ed m ec ha ni sm f or j oi nt m an ag em en t o f p ub li c r es ou rc es t hr ou ghs ha re d d ec is io ns o n t he a ll oc at io n o f b ud ge ta ry f un ds a nd f or g ov er n-m e nt a c co u nt a bi l it y c o nc e rn i ng t h e e f fe c ti v e i m pl e me n ta t io n o f s u chd ec is io ns . I n a b ri ef s um ma ry , P B c en te rs a ro un d th e re gi ona l a ndt h e m a t i c p l e n a r y a s s e m b l i e s , t h e F o r u m o f D e l e g a t e s ,7 a n d t h e C O P .8

T h e c i t y i s d i v i d e d i n t o s i x t e e n r e g i o n s a n d s i x t h e m a t i c a r e a s . T h el a t t e r w e r e e s t a b l i s h e d i n 1 9 9 4 . T o d a y t h e y a r e : ( 1 ) t r a n s p o r t a t i o n a n dc i rc u la t io n ; ( 2 ) e d u c at i on a n d l e i s ur e ; ( 3 ) c u lt u re ; ( 4 ) h e a l th a n d s o c i al

7 T h e F o ru m i s c om po s ed o f d el eg at es e l ec te d a cc or d in g t o a c ri t er io n b as ed o n t he n um b er o f p a r t i c i p a n t s i n e a c h o f t h e R e g i o n a l a n d T h e m a t i c A s s e m b l i e s .

8 T h e C OP i s c om po s ed o f c ou n ci l or s e le ct ed i n R e gi o na l a nd T he ma ti c A ss em bl i es . I t a ls oi n cl u de s o n e r ep r es en ta ti v e o f U AM PA a nd a no t he r o f S IM P A ( t he U ni o n o f M un i ci p alW o r k e r s ) , a s w e l l a s t w o r e p r e s e n t a t i v e s o f t h e M a y o r a l t y w h o h a v e n o r i g h t t o v o t e .


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w e l f a r e ; ( 5 ) e c o n o m i c d e v e l o p m e n t a n d t a x a t i o n ; a n d ( 6 ) c i t y o r g a n i -z a t i o n , u r b a n , a n d e n v i r o n m e n t a l d e v e l o p m e n t .

U n t i l 2 0 0 2 , t h e r e w e r e t w o r o u n d s (rodadas) o f p l e nary a s s e m b l i e s i n

e a c h o f t h e r e g i o n s a n d o n e a c h o f t h e t h e m a t i c a r e a s .9

T o d a y t h e r e i so n l y o n e r o u n d . T h e a s s e m b l i e s h a v e a t r i p l e g o a l : t o d e f i n e a n d r a n kr eg io na l o r t he ma ti c d em an ds a nd p ri or it ie s; t o e le ct t he d el eg at es t ot h e F o r a o f D e l e g a t e s a n d t h e c o u n c i l o r s o f t h e C O P ; a n d t o e v a l u a t et h e e x e c u t i v e ’ s p e r f o r m a n c e . T h e d e l e g a t e s f u n c t i o n a s i n t e r m e d i a r i e sb et we en t he C OP a nd t he c it iz en s, i nd iv id ua ll y o r a s p ar ti ci pa nt s i nc o mm u ni t y o r t h em a ti c o r ga n iz a ti o ns . T h ey a l so s u pe r vi s e t h e i m pl e -m en ta ti on o f t he b ud ge t. T he c ou nc il or s d ef in e t he g en er al c ri te ri a

that guide the ranking of demands and the allocation of funds,a nd vo te on t he pr op os al o f t he I nve stm en t P la n pr ese nte d by t heexecutive.

T h e e v o l u t i o n o f t h e c r i t e r i o n t o d e t e r m i n e t h e n u m b e r o f d e l e g a t e st o t he r egi on al an d t he ma ti c f ora b ear s w it nes s t o t he i ncr ea si ngi nv ol vem en t o f t he c it iz en s i n P B. I ni ti al ly , th e c ri te ri on w as o ned el eg at e f or e ve ry f iv e p eo pl e a tt en di ng t he a ss em bl y. I n t he e ar ly

1 99 0s , t hi s c ha ng ed t o o ne d el eg at e f or e ve ry t en p eo pl e a nd l at er t oo n e d e l e ga t e f o r e v er y t w en t y p e o pl e . A f te r s e ve r al r e vi s io n s, i n 1 9 99 , af i x e d n u m b e r w a s a d o p t e d ( o n e d e l e g a t e p e r e a c h g r o u p o f t e n p a r t i c i -p a n t s ) , w h i c h w a s i m p l e m e n t e d i n 2 0 0 0 – 2 0 0 1 . T h i s o p t i o n r e f l e c t s t h ePrefeitura’ s c on ce rn w it h g ett in g mo re pe opl e i nvo lve d i n P B. T hed el eg at es e le ct ed i n t he p le na ry a ss em bl ie s a re u su al ly i nd ic at ed b yt h e l e a d e r s o f t h e a s s o c i a t i o n s p r e s e n t a t t h e m e e t i n g s . T h u s , a c i t i z e nn o t i n t e g r a t e d i n a c o l l e c t i v e s t r u c t u r e d o e s n o t h a v e m u c h c h a n c e o f

b e i n g e l e c t e d d e l e g a t e .B ef or e t he rodada o r p le na ry a ss em bl y, i nt er me di at e p re pa ra to ry

m e e t i n g s t a k e p l a c e . T h e y a r e o r g a n i z e d b y t h e c o m m u n i t y o r t h e m a t i corganizations and associations. At such meetings the demandsa p p r o v e d b y e a c h a s s o c i a t i o n o r o r g a n i z a t i o n ( e . g . n e i g h b o r h o o d a s s o -c ia ti on s, m ot he rs ’ c lu bs , s po rt s o r c ul tu ra l c en te rs , h ou si ng c oo pe ra -t i v e s , u n i o n s , n o n - g o v e r n m e n t a l o r g a n i z a t i o n s , e t c . ) a r e r a n k e d b y t h ep ar ti ci pa nt s a cc or di ng t o p ri or it ie s a nd g en er al c ri te ri a. I n t he i nt er -

m ed ia te m ee ti ng s t he re i s m uc h d is cu ss io n a nd v ot in g, b ut t he r ea ln eg ot ia ti on s l ea di ng t o p ro po sa ls t o b e v ot ed o n t en d t o t ak e p la ceb e h i n d t h e s c e n e s a t i n f o r m a l m e e t i n g s o f t h e c o m m u n i t y l e a d e r s . T h e

9 A s I s ha ll s tr es s b el ow , o ve r t he y ea rs t he re h av e b ee n m an y c ha ng es i n t he w ay t he P B f un ct io ns ,a f a c t t h a t h i g h l i g h t s t h e d y n a m i s m o f t h e d e m o c r a t i c l e a r n i n g p r o c e s s e m b o d i e d b y t h e P B .

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l ev el s o f c on fl ic t d ep en d o n t he l ev el o f c om mu ni ty o rg an iz at io n a ndo n t h e l e v e l o f p o l i t i c a l p o l a r i z a t i o n a m o n g t h e l e a d e r s h i p s .

A t t he se i nt er me di at e m ee ti ng s e ac h r eg io n o r t he me r an k- or de rs

s e c t o r a l p r i o r i t i e s . U n t i l 1 9 9 7 , t h e r e g i o n s r a n k - o r d e r e d f o u r p r i o r i t i e sa m o n g t h e f o l l o w i n g e i g h t s e c t o r s o r t h e m e s : s e w e r a g e , h o u s i n g , s t r e e tp a v i n g , e d u c a t i o n , s o c i a l a s s i s t a n c e , h e a l t h , t r a n s p o r t a t i o n a n d c i r c u l a -t io n, a nd c it y o rg an iz at io n. I n 1 99 7, t he C OP i nt ro du ce d s om e c ha ng esi n t hi s r eg ard . Fr om 1 99 8 on wa rds , t he re gi on s ra nk- ord er ed f ourp ri or it ie s a mo ng t we lv e t he me s o r, s ta rt in g i n 2 00 1, t hi rt ee n t he me s:s e we r a g e , h o u s i n g , s t r e e t p a v i n g , p u b l i c t r a n s p o r t a t i o n a n d c i r c u l a t i o n ,h ea lt h, s oc ia l w or k, e du ca ti on , l ei su re , s po rt s, p ub li c l ig ht in g, e co -

n o m i c d e v e l o p m e n t , c u l t u r e , a n d e n v i r o n m e n t . T h e s e c h a n g e s r e f l e c tt he d is cu ss io ns i n t he C OP i n r ec en t y ea rs , i n w hi ch t he m aj or it y o f c o u n c i l o r s h a d c l a i m e d t h e e x p a n s i o n o f t h e m e s c o v e r e d b y P B . E a c hs ec to r o r t he me i s d iv id ed i nt o s ub -t he me s. F or i ns ta nc e, h ou si ngi nc lu de s l an d l eg al iz at io n ( re gu la ri za ti on o f l an de d p ro pe rt y) , l an da n d h o u s e r e g i s t r a t i o n , u r b a n i z a t i o n , a n d s o c i a l h o u s i n g p r o j e c t s .

T h e e le ct ed p ri or it ie s a re g iv en g ra de s a cc or di ng t o t he ir r an ki ng :

t h e f i r s t p r i o r i t y i s g r a d e 4 ; t h e f o u r t h p r i o r i t y i s g r a d e 1 . L i k e w i s e , t h es pe ci fi c w or ks p ro po se d b y t he c it iz en s i n e ve ry t he me o r s ec to r a rer a n k - o r d e r e d a s w e l l ( e . g . s t r e e t p a v i n g : t h e f i r s t p r i o r i t y i s s t r e e t A ; t h es ec on d p ri or it y i s s tr ee t B , e tc .) . S ec to ra l p ri or it ie s a nd r an ks o f w or ks i ne ve ry s ec tor a re f or wa rde d to t he e xe cut iv e. O n t he b asi s o f t hes ep r i o r i t i e s a n d r a n k i n g s , a d d i n g u p t h e g r a d e s o f t h e d i f f e r e n t p r i o r i t i e si n a l l t h e r e g i o n s , t h e e x e c u t i v e e s t a b l i s h e s t h e f i r s t t h r e e p r i o r i t i e s f o rt he b ud ge t i n p re pa ra ti on . O ve r t he y ea rs , h ou si ng , s ew er ag e, s tr ee t

p a v i n g , a n d l a n d r e g u l a r i z a t i o n h a v e b e e n t h e m o s t c o m m o n t h e m e s o f t he f ir st t hr ee p ri or it ie s, t he o rd er o f p ri or it y c ha ng in g f ro m y ea r t o y ea r.Fo r i nst an ce , f or t he 20 01 b ud ge t, t he th re e p ri ori ti es w ere : s tr eetp av in g ( 34 p oi nt s) , h ou si ng ( 32 p oi n ts ), a nd s ew er ag e ( 27 p oi nt s) . I nmore recent years, education and health care have emerged aspriorities.

I n t he p le na ry ( re gi on al a nd t he ma ti c) a ss em bl ie s, t wo c ou nc il or sa n d t w o s u b s t i t u t e s i n e v e r y r e g i o n a n d t h e m e a r e e l e c t e d f o r t h e C O P .

T he c ou nc il or s a re e le ct ed f or a o ne -y ea r m an da te a nd c an o nl y b ere el ec te d on ce . T he ir m an da te c an b e re vok ed b y th e R eg ion al o rT he ma ti c F or um o f D el eg at es i n a m ee ti ng c al le d e sp ec ia ll y f or t ha tp ur po se w it h a t l ea st t wo w ee ks ’ n ot ic e. O nc e t he q uo ru m i s e st ab li sh ed(50 percent + 1 of the delegates), the mandate can be revoked by a two-t h i r d s m a j o r i t y v o t e .


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T h e i n st i tu t io n al o r ga n s o f c o mm u ni t y p a rt i ci p at i on a r e t h en c o n-s ti tut ed: th e Fo ra of De le ga te s ( si xt ee n re gi on al a nd si x th ema ti cd el eg at es ) a nd t he C OP . T he F or a o f D el eg at es a re c ol le gi at e o rg an s

w i t h c o n s u l t i n g , c o n t r o l l i n g , a n d m o b i l i z i n g f u n c t i o n s . T h e F o r a m e e to n c e a m o n t h a n d t h e t w o m a j o r t a s k s o f t h e d e l e g a t e s a r e t o s u p e r v i s ethe works and to act as intermedi aries between the COP and ther e g i o n s o r t h e m a t i c a r e a s .

T he C OP i s t he m ai n p ar ti ci pa to ry i ns ti tu ti on . I t p la ns , p ro po se s,s up er vi se s, a nd d el ib er at es o n t he b ud ge t’ s r ev en ue a nd e xp en di tu re( Bu dg et ar y P ro po sa l) . H er e t he e le ct ed c it iz en s b ec om e a cq ua in te dw i th t h e m u ni c ip a l f i na n ce s , d i sc u ss a n d e s ta b li s h t h e g e ne r al c r it e ri a

f o r r e s o u r c e a l l o c a t i o n , a n d d e f e n d t h e p r i o r i t i e s o f r e g i o n s a n d t h e m e s .O n c e i n a u g u r a t e d i n J u l y / A u g u s t , t h e C O P m e e t s o n c e a w e e k o n a s e td a y , u s u a l l y f r o m 6 . 0 0 p m t o 8 . 0 0 p m .

D u r i n g A u g u s t , t h e d e t a i l e d p r e p a r a t i o n o f t h e b u d g e t b e g i n s . W h i l et he e xe cu ti ve c on ci li at es t he c it iz en s’ d em an ds w it h t he s o- ca ll ed‘‘ i ns t it u ti o na l d e ma n ds ’’ ( t he p r op o sa l s o f t h e m un i ci p al s e cr e ta r ia t s)a n d p r ep a re s t h e b u dg e ta r y p r op o sa l o n r e ve n ue a n d e x pe n di t ur e , t h e

C OP e ng ag es i n th e i nt ern al p ro ce ss o f tr ai ni ng t he n ew ly e le cte dc ou nc il or s t o f am il ia ri ze t he m w i th t he i nt er na l r ul es a nd t he c ri te ri af o r r e s o u r c e d i s t r i b u t i o n .

Th e t as ks o f t he COP ar e c ar rie d o ut i n t wo p ha se s. I n Au gu st a ndS ep te mber, t he C OP d isc us se s th e budg et ma tr ix. On t he bas is of r ev en ue a nd e xp en di tu re f or ec as ts m a de b y t he e xe cu ti ve d ur in g t herodada, t he maj or s ets o f i nv estme nt a re a ll oca te d ac cor din g t o t het he mat ic p ri or iti es e st ab li sh ed i n t he r eg io na l d isc ussi on s. I n th is

p ha se , o n t he b as is o f t he g ov er nm en t’ s p ro po sa l, t he c ou nc il or s t ak e av ot e, f or e xam ple , o n h ow ma ny r oa ds w il l b e p ave d, or h ow mu ch m on eyw il l b e a ll oc at ed to h ea lt h, ho us in g, an d so on . Ma jo r o r s tr uc tu ra l p ub li cw or ks , w h et he r p ro po se d b y t he t he ma ti c a ss em bl ie s o r b y t he g ov er n-m en t i t se lf , a re a l so d is cu ss ed . O nc e a pp ro ve d b y t he C OP , t hi s m at ri x i st ur ne d in to a dr af t of t he Bu dg et La w t o be h and ed ou t to t he C V b yS ep te mb er 3 0. Fr om S ep tem ber t o D ec emb er t he C OP p re pa re s t heI nv es tm en t P la n, w hi ch i n cl ud es a d et ai le d l is t o f t he w or ks a nd a ct iv -

i t i e s p r i o r i t i z e d b y t h e C O P , a n d t h u s t h e s p e c i f i c a l l o c a t i o n o f r e s o u r c e sp r o g r a m m e d f o r e v e r y r e g i o n a n d t h e m a t i c a r e a . Th e d e b a t e c o n c e r n i n gi nv es tm en ts i s l im it ed b y t he e st im at ed g en er al r ev en ue a nd e xp en di tu rew it h p er so nn el a nd o th er e xp en se s e st im at ed b y t he e xe cu ti ve , i nc lu di ngf i xe d e x pe n di t ur e s e n fo rc e d b y f e de r al l e gi s la t io n , s u ch a s t h e p e rc e nt -a g e s c o n s t i t u t i o n a l l y a s c r i b e d t o e d u c a t i o n a n d h e a l t h .

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At the same time, the COP follows the debates on the budgetpr op os al i n th e CV a nd pu ts pr es sur e on t he l eg isl at or s by m ee ti ngw it h i nd iv id ua l m em be rs o f t he C V, m ob il iz in g t he c om mu ni ti es a nd

t he ma ti c a re as t o a tt en d t he d eb at es o r t o o rg an iz e r al l ie s o ut si de t hebuilding.

13.2.2.3 The distribution of investment resources: methodology andcriteria of decision-making T he d is tr ib ut io n o f i nv es tm en t r es ou rc es f ol lo ws a m et ho d o f p ar ti ci -p a t o r y p l a n n i n g t h a t b e g i n s w h e n p r i o r i t i e s a r e i n d i c a t e d a t t h e r e g i o -n al a nd t he ma ti c pl en ari es a nd a t t he i nt er me di at e m eet in gs a nd

r e a c h e s i t s c l i m a x w h e n t h e C O P a p p r o v e s t h e I n v e s t m e n t P l a n w i t hd et ai le d w or ks a nd a ct iv it ie s d is cr im in at ed b y i nv es tm en t s ec to r,r e g i o n , a n d t h e w h o l e c i t y .

A s w e s a w a b o v e , t h e r e g i o n s a n d t h e m a t i c a r e a s b e g i n b y d e f i n i n gth e s ect ora l p ri or iti es t ha t a re to g ui de t he dr af ti ng o f th e bu dg etp r op o sa l c o nc e rn i ng t h e g l ob a l d i st r ib u ti o n o f i n ve s tm e nt r e so ur c es .T he r eg io ns a ls o d et er mi n e a nd r an k- or de r t he s pe ci f ic d em an ds w it hi n

e ac h p ri or it y. O nc e t he p ri or it ie s o f t he d if fe re nt r eg io ns a re e st ab -l is he d, t he d is tr ib ut io n o f i nv es tm en ts i s c ar ri ed o ut a cc or di ng t o t heg e n e r a l c r i t e r i a d e f i n e d b y t h e C O P a n d t h e t e c h n i c a l c r i t e r i a d e f i n e db y t he e xe cu ti ve . C on ce rn in g t he r eg io na l a ss em bl ie s, t he g en er alc r i t e r i a a r e : l a c k o f u r b a n i n f r a s t r u c t u r e s a n d / o r s e r v i c e s ; t o t a l p o p u l a -t io n o f t he r eg io n; a nd t he p ri or it y g iv en b y t he r eg io n t o s pe ci fi c s ec to ror t he me . T o e ac h c ri te ri on i s a sc ri be d a w ei gh t i n a s cal e th at h asvaried through the years (from 1 to 4 or from 1 to 5) in proportion to the

i mp or ta nc e a tt ri bu te d t o i t b y t he C OP . E ac h r eg io n i s g iv en a g ra dec o n c e r n i n g e a c h o f t h e c r i t e r i a a n d t h e t y p e o f i n v e s t m e n t a s r e l a t e d t ot h e s e c o n d a n d t h i r d c r i t e r i a . T h e g r a d e s a r e d e t e r m i n e d i n t h e f o l l o w -i ng w ay : ( 1) a cc or di ng t o t he r eg io n’ s t ot al p op ul at io n a s p ro vi de d b yt he e xe cu ti ve ’s o ff ic ia l s ta ti st ic al d at a; t he l ar ge r t he r eg io n’ s t ot alp op ul at io n, t he h ig he r t he g ra de ; ( 2) a cc or di ng t o t he r eg io n’ s n ee dv is -a- v is t he i nv es tm en t i te m i n q ue st io n; t he h ig he r t he n ee d, t heh i g h e r t h e g r a d e ; a n d ( 3 ) a c c o r d i n g t o t h e p r i o r i t y a s c r i b e d t o t h e i t e m s

of i nve stm en t c hos en b y t he re gi on ; t he h ig her th e p ri or ity o f th es ec to ra l d em an d p re se nt ed b y t he r eg io ns , t he h ig he r t he ir g ra de i nt h e i n v e s t m e n t s e c t o r i n q u e s t i o n .

A n e xa mp le h el ps t o i ll us tr at e h ow t h e g en er al c r it er ia a re t r an sl at edi n t o a q u a n t i f i e d a l l o c a t i o n o f r e s o u r c e s . I n 1 9 9 7 , t h e r e l a t i v e p r i o r i t yg i v e n b y t h e s i x t e e n r e g i o n s t o s t r e e t p a v i n g d e t e r m i n e d t h e i n c l u s i o n


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i n t h e I n v e s t m e n t P l a n o f a g l o b a l e x p e n d i t u r e i t e m f o r s t r e e t p a v i n gc or re sp on di ng t o 2 0 k m o f s tr ee ts t o b e p av ed . T he d is tr ib ut io n o f t hi sa m o u n t b y t h e d i f f e r e n t r e g i o n s w a s t h e r e s u l t o f t h e a p p l i c a t i o n o f t h e

c r it e ri a , t h e i r w e i gh t , a n d t h e g r a de o f t h e r e gi o n i n e a ch c r it e ri o n. T h eg ra de r ec ei ve d b y e ac h r eg io n i n e ac h c ri te ri on i s m ul ti pl ie d b y t heg en era l c ri te ri on ’s w ei gh t. T he s um of th e p ar ti al po in ts ( gr ade s xw ei gh t) a mo un ts t o t he t ot al g ra de o f t he r eg io n i n t ha t s pe ci fi c s ec to ra ld e m a n d . T h i s t o t a l g r a d e d e t e r m i n e s t h e p e r c e n t a g e o f t h e i n v e s t m e n tr eso ur ces t ha t w il l be a ll oc at ed t o th e re gi on i n t ha t se ct or . L et usa n a l y z e t h e c a s e o f t w o c o n t r a s t i n g r e g i o n s . E x t r e m o S u l , a r e g i o n w i t h8 0. 21 p er ce nt n ee d f or s tr ee t p av in g, a nd C en tr o w it h 0 .1 4 p er ce nt .

C on ce rn in g t he n ee d c ri te ri on , w hi ch a t t he t im e ca rr ie d a g en er alw e i g h t o f 3 , E x t r e m o S u l h a d t h e h i g h e s t g r a d e ( 4 )10 a n d a c c o rd i n g lyg ot 12 p oi nt s ( 3 x 4 ), w hi le C en tr o, w it h th e l ow es t g ra de ( 1) , go t 3p o i n t s ( 3 x 1 ) . C o n c e r n i n g t h e c r i t e r i o n o f t o t a l p o p u l a t i o n , w h i c h a tt he t im e c ar ri ed t he g en er al w ei gh t o f 2 , E xt re mo S ul , w it h a p op ul at io nof 20,647, had the lowest grade (1) and hence got 2 points ( 2 x 1), whileC en tr o, w it h a m uc h l ar ge r p op ul at io n ( 29 3, 19 3) , h ad t he h ig he st

grade ( 4) and hence got 8 points ( 2 x 4). Finally, concerning thec r i t e r i o n o f t h e p r i o r i t y g i v e n b y t h e r e g i o n , w h i c h a t t h e t i m e c a r r i e da g en era l w ei gh t o f 3 , E xt re mo S ul g av e t he h ig he st pr ior it y t o pa vi ng a nd ,a c c o r d i n g l y , h a d t h e h i g h e s t g r a d e ( 4 ) a n d t h u s g o t 1 2 p o i n t s ( 3 x 4 ) ,whil e Centro gave a very low priority to pavi ng and thus had thel o w e s t g r a d e ( 0 ) a n d c o n s e q u e n t l y g o t n o p o i n t s ( 3 x 0 ) . A s a r e s u l t , t h es u m t o t a l o f p o i n t s f o r E x t r e m o S u l i n t h e i t e m o f s t r e e t p a v i n g w a s 2 6p o i n t s ( 1 2 + 2 + 1 2 ) w h i l e C e n t r o ’ s t o t a l w a s 1 1 p o i n t s ( 3 + 8 + 0 ) .

Since the global number of points for all regions was 262 points,E xt re mo S ul r ec ei ve d 9 .9 p er ce nt o f t he i nv es tm en t, t ha t i s, 1 ,9 85m e t e r s o f s t r e e t p a v i n g , w h i l e C e n t r o r e c e i v e d o n l y 4 . 2 p e r c e n t o f t h ei n v e s t m e n t , o r 8 4 0 m e t e r s o f p a v i n g .

W he n t he f ir st P T e xe cu ti ve t oo k o ff ic e i n 1 98 9, t he a dm in is tr at io n’ st h r e e m a j o r o b j e c t i v e s we r e : r e v e r s a l o f p r i o r i t i e s , a d m i n i s t r a t i v e t r a n s -p ar en cy , a nd p op ul ar p ar ti ci pa ti on i n t he c it y’ s g ov er na nc e ( Ge nr o a ndUbiratan 1997) . T h e f i r s t o b j e c t i v e ( r e v e r s a l o f p r i o r i t i e s ) w a s r e a c h e d

i n th e t hr ee cr it eri a a nd t hei r r esp ec ti ve w ei gh ts p ro po se d b y t hee xe cu ti ve a nd a cc ep te d b y t he r eg io ns . F or s ev er al y ea rs , t he n ee dc ri te ri on ( se rv ic es o r i nf ra st ru ct ur e n ee d) w as a sc ri be d t he h ig he stw e ig h t, w h er e as t h e p o pu l at i on c r it e ri o n w a s a s cr i be d a l e ss e r w e ig h t.

10 I n t h e 1 9 9 8 b u d g e t , t h e g r a d e s i n t h i s c r i t e r i o n r a n g e d f r o m 1 t o 5 .

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T hi s d is cr ep an cy w as j us ti fi ed b y t he n ee d t o t ra ns fe r r es ou rc es f ro m t her eg io n w it h t he m os t p op ul at io n, t he C en te r, w hi ch w as a ls o t he r ic he sto n e , t o t h e p o o r e s t a n d l e s s w e l l e q u i p p e d r e g i o n s .

13.3 P A R T I C I P A T O R Y B U D G E T I N G : T O W A R D A

R E D I S T R I B U T I V E D E M O C R A C Y

I n t hi s s ec ti on I a na ly ze s om e o f t he m os t s al ie nt p ol it ic al f ea tu re s o f P B.I a l s o i d e n t i f y t h e m a j o r c h a l l e n g e s f a c i n g P B a s w e l l a s t h e p r o b l e m sa n d e v e n d i l e m m a s l y i n g a h e a d .

13.3.1. Participation, negotiation, and redistributionP B i s a p r o c e s s o f d e c i s i o n - m a k i n g b a s e d u p o n g e n e r a l r u l e s a n d c r i t e r i ao f d i st r ib u ti v e j u st i ce d i sc u ss e d a n d a p pr o ve d b y r e gu l ar , i n st i tu t io n alo rg an s o f p ar ti ci pa ti on i n w hi ch t he p op ul ar c la ss es h av e m aj or it yr ep re se nt at io n. T he c om mu ni ti es i n w hi ch t he y l iv e a nd o rg an iz e a rer e c o g n i z e d a s h a v i n g u r b a n c o l l e c t i v e r i g h t s t h a t l e g i t i m a t e b o t h t h e i rc la im s a nd d em an ds a nd t he ir p ar ti ci pa ti on i n t he d ec is io ns t ak en t o

m e e t t h e m .T he s el ec ti on o f p ri or it ie s a nd w or ks i nc lu de d i n t he I nv es tm en tP la n i s r ea che d by me an s of ob je cti ve c ri te ri a, de fi ne d t hr ou gh ac om pl ex p ro ce ss o f n eg ot ia ti on t ha t t ak es p la ce a t t he i nt er me di at em ee ti n gs , r eg io na l a ss em bl ie s, t he ma ti c p le na ri es , a nd t he C OP . I t i st od ay g en er al ly r ec og ni ze d t ha t P B c ha ng ed t he p ol it ic al c ul tu re o f c o mm u ni t y o r ga n iz a ti o ns , f r om a c u lt u re o f p r ot e st a n d c o nf r on t at i ont o a c ul tu re o f c on fl ic t a nd n eg ot ia ti on . I nd ee d, c on fl i ct a nd n eg ot ia -

t io n d o n ot o cc ur a mo ng t he r eg io ns a lo ne b ut w it hi n e ac h r eg io n a sw e l l , a n d i t i s e q u a l l y c o m p l e x a n d t e n s e a t t h e i n t r a r e g i o n a l a s i t i s a tt h e i n t e r r e g i o n a l l e v e l .

T h e o b j e c t i v i t y a n d t r a n s p a r e n c y o f t h e c r i t e r i a a r e e x p r e s s e d i n t h epoints earned by each region and the percentage of investmentr es ou rc es i nt o w hi ch t he y a re c on ve rt ed . T he p oi nt s s ys te m w as t hem et ho do lo gy c on ce iv ed t o r an k- or de r p ri or it ie s a nd t o t ur n t ho sep r io r it i es i n to r e so u rc e a n d i n ve s tm e nt q u an t it i es d e te r mi n ed b y g e n-

e ra l c ri te ri a. T he p oi nt s s ys te m a im s a t c on ve rt in g t he p ol i ti ca l d ec i-sions reached through complex negotiations into the detailedd i s t r i b u t i o n o f r e s o u r c e s i n c l u d e d i n t h e I n v e s t m e n t P l a n a n d e n s u r i n gt h a t s u c h c o n v e r s i o n i s a s f a i t h f u l a n d o b j e c t i v e a s p o s s i b l e .

T h e l at te r c on ce rn i mp li ed s uc ce ss iv e r ef i ne me nt s o f t he d is tr ib ut iv em e th o do l og y t h at e n do w ed P B w i th g r ea t o p er a ti o na l a n d f u nc t io n al


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c o m p l e x i t y . T h e i n c r e a s e a n d d i v e r s i t y o f p a r t i c i p a t i o n , t o g e t h e r w i t ht he i nc re as in g i nt en si ty a nd d if fe re nt ia ti on o f d em an ds , h as a ls o c on -t ri bu te d d ec is iv el y t o m ak in g c al cu la ti ng m et ho do lo gi es e ve n m or e

c o m p l e x a n d s o p h i s t i c a t e d . T h e c o m p l e x i t y o f t h e p o i n t s s y s t e m r e s u l t sf ro m t he f ac t t ha t i t s ee ks t o a rt ic ul at e m ea su re s o f p ar ti ci pa ti on , o n t heo ne h an d, w it h m ea su re s o f p ri or it y a nd r ec og ni ze d n ec es si ty , o n t heo t h e r . Th e p a r t i c i p a t i o n m e a s u r e g u a r a n t e e s t h e d e m o c r a t i c l e g i t i m a c yo f p o l i t i c a l d e c i s i o n s , w h i l e t h e p r i o r i t y a n d n e c e s s i t y m e a s u r e g u a r a n -t ee s t he f id el it y, o bj ec ti vi ty , a nd t ra ns pa re nc y o f t he c on ve rs io n o f p o l i t i c a l d e c i s i o n s i n t o d i s t r i b u t e d r e s o u r c e s .

Be ca us e o f i ts m aj or c onc er n w it h th e de moc ra ti c n at ure o f th e

d is tr ib ut io n, P B m ay b e c on si de re d t he e mb ry o o f a r ed is tr ib ut iv ed e m o c r a c y . A s I h a v e i n d i c a t e d , t h e d e m o c r a t i c n a t u r e o f t h e d i s t r i b u -t ion i s gu ara nt ee d by a c al cu la ti ng me th odo log y th at h as b eco mei nc re as in gl y s op hi st ic at ed . I t c an b e s ai d t ha t, w h en i t d oe s e nt ai l a ni n cr e as e o f b u re a uc r ac y , d e mo c ra c y e v ol v es t o ge t he r w i th a n i n cr e as eo f d ec is io na l c om pl ex it y. T he f ol lo wi ng w or ki ng h yp ot he si s c ou ldi nd ee d b e f or mu la te d: i n i nt er na ll y d if fe re nt ia te d s oc ie ti es , t he s tr on ge r

t he b on d b et we en d em oc ra cy a nd d is tr ib ut iv e j us ti ce , t he m or e c om -p le x t he m et ho do lo gy t ha t g ua ra nt ee s s uc h a b on d t en ds t o b e. T hed ec re as e o f c om pl ex it y t ha t b ur ea uc ra cy a ll ow s f or c an no t b ut b ri nga bo ut t he l oo se ni ng o f t he b on d b et we en d em oc ra cy a nd d is tr ib ut iv ejustice.

T h e r e d i s t r i b u t i v e e f f i c i e n c y o f P B h a s b e e n f u l l y c o n f i r m e d . S u f f i c ei t t o m e n t i o n t h a t i n P B t h e p o o r e s t r e g i o n o f t h e c i t y , I l h a s ( n o w a d a y sa m i cr o -r e gi o n o f H u ma i ta/ N a v eg a nt e s/ I lh a s) , w i th a p o pu l at i on o f

a bo ut 5 ,0 00 ( al mo st a ll o f w ho m a re c la ss if ie d a s n ee dy p eo pl e) , h ast he s am e d ec isi on al w ei gh t a s th e w eal th ie st re gi on , C en tro , w ith2 71 ,29 4 i nh ab ita nt s, of w hom l es s t hen 3 pe rce nt a re c on si de redn e e d y ( L a r an g e i ra 1996:4).

B y r ev er si ng t he p ri or it ie s t ha t t ra di ti on al ly d et er mi ne d r es ou rc ed ist ri but io n b y t he m un ic ip al g ove rnm en t, P B br ou gh t s tr iki ngm at er ia l r es ul ts . A s r eg ar ds b as ic s an it at io n ( wa te r a nd s ew er ag e) , i n1 98 9 on ly 4 9 pe rce nt of th e p opu la ti on w as c ov er ed. B y th e e nd o f

1 9 9 6 , 9 8 p e r c e n t o f h o u s e h o l d s h a d w a t e r a n d 8 5 p e r c e n t w e r e s e r v e db y t he se we ra ge sy ste m. Ac cor di ng t o O Estado de Sao Paulo, ani n fl u en t ia l n e ws p ap e r, w h i le a l l t h e p r ev i ou s m u ni c ip a l g o ve r nm e nt so f P o r t o A l e g r e h a d b u i l t s o m e 1 , 1 0 0 k m s o f s e w e r a g e s y s t e m s , t h e t w oP T a dm in ist rat io ns a lon e bui lt 9 00 k ms be tw ee n 19 89 a nd 199 6.C on ce rn ing s tre et p avi ng , 2 15 k ms w er e b ui lt a t t he ra te o f 3 0 k ms

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p er y ea r. E ve n s o, o nl y o ne -h al f o f t he s tr ee t p av in g d ef i ci t ( ap pr ox i-m a te l y 5 0 0 k m s) w a s e l im i na t ed .

T he g ra nt in g o f l eg al t it le s t o l an d h ol der s, w hi ch , a s w e h av e se en , i s

a h igh pr ior ity i n m an y re gi on s w he re t he po pul ar c la ss es l ive , i s a n i ssu eo n w hi ch t he p ow er r el at io ns o f t he c it y h av e e lo qu en t e xp re ss io n,si nc e 25 pe rc en t o f t he a vai la bl e u rb an l an d i s ow ned by f ou rt eenp e o p l e o r e n t i t i e s . N o n e t h e l e s s , i n t h e p a s t s e v e n y e a r s i t w a s p o s s i b l et o u r b a n i z e t h e s l u m s a n d b u i l d m a n y h o u s e s f o r t h e m a r g i n a l p o p u l a -t io ns . C on ce rn in g e du ca ti on , t he n um be r o f s tu de nt s e nr ol le d i n t hee l e m e n t a r y a n d m i d - l e v e l p u b l i c s c h o o l s h a s s t e a d i l y r i s e n s i n c e 1 9 8 9 ,a n d i n 2 0 0 4 a f u l l 3 7 . 5 p e r c e n t o f t h e f u n d s d i s t r i b u t e d t h r o u g h P B w a s

a l l o c a t e d t o e d u c a t i o n .

13.3.2. Autonomy and co-governmentF o r i t s f o u n d e r s a n d a c t i v i s t s , P B i s t h e m a n i f e s t a t i o n o f a n e m e r g e n t ,n o n- s ta t e p u bl i c s p he r e w h er e c i ti z en s a n d c o mm u ni t y o r ga n iz a ti o ns ,o n t he o ne h an d, a nd t he m un ic ip al g ov er nm en t, o n t he o th er , c on -ve rge w ith re la ti ve au to nom y f ro m e ac h o th er th rou gh a pol iti ca l

c on tr ac t. T he e xp er ie nc e o f P B c on f ig ur es , t he re fo re , a m od el o f c o-g ove rn me nt , i .e . a mo de l f or s ha ri ng p ol it ic al p ow er b y m ea ns o f an et wo rk o f d em oc ra ti c i ns ti tu ti on s g ea re d t o r ea ch in g d ec is io ns b yd e l i b e r a t i o n , c o n s e n s u s , a n d c o m p r o m i s e .

T he p ro bl e ms f a ci ng a s ys te m o f p ow er s ha ri n g a re w el l e xp re ss ed i nt he r el at io ns hi p b et we en t he C OP a nd t he e xe cu ti ve . S uc h a r el at io n-s h i p h a s b e e n p o l e m i c a l a l l a l o n g . I n t h e b e g i n n i n g , w h i l e t h e c o m m u -n i t y l e a d e r s wa n t e d t h e C O P t o h a v e u n c o n d i t i o n a l d e l i b e r a t i v e p o we r ,

t he e xe cu ti ve s ea rc he d f or a f or mu la c apa bl e o f r ec on ci li ng t he d ec is io nso f t he C OP a nd t he p ol it ic al r ep re se nt at iv it y o f t he m ay or i n sc ri be d i nt he B ra zi l ia n C on st it ut io n. T h e f or mu la i s a s f ol lo ws : t he C OP ’ s d ec i-s io ns a re m ad e b y s im pl e m aj or it y. T he d ec is io ns a re f or wa rd ed t o t heex ecu ti ve . In th e c as e o f v et o b y th e ma yo r, th ey re tu rn t o t he C OP f or an e w e v a l u a t i o n . Re j e c t i n g t h e m a y o r ’s v e t o r e q u i r e s a q u a l i f i e d m a j o r i t yo f t w o - t h i r d s o f t h e v o t e . I f r e j e c t i o n o c c u r s , t h e m a t t e r g o e s b a c k t o t h emay or f or e va lu at io n an d f in al decisi on . Si nce , a ccordin g to t he

C on st it ut io n, t he p ow er t o a ppr ove t he b ud ge t i s v es te d i n t he l egi sl ati vebody, this formula accommodates the constitutional requisite: formally,t h e b u d g e t p r o p o s a l s u b m i t t e d t o t h e C V i s t h e m a y o r ’ s p r o p o s a l .

T he m ay or ’s v et o m us t b e s ub st an ti at ed a nd c an o nl y b e e xe rc is ed f ort e c h n i c a l r e a s o n s a n d f i n a n c i a l e v a l u a t i o n . T o d a t e , h o w e v e r , t h e v e t oh a s n o t b e e n e x e r c i s e d , s i n c e , w h e n e v e r t h e e x e c u t i v e h a d r e s e r v a t i o n s


325



c o n c e r n i n g a w o r k , i t s p o s i t i o n w a s e x p l a i n e d t o t h e c o m m u n i t y b y i t st e c h n i c a l s t a f f a n d t h e c o m m u n i t y e n d e d u p a g r e e i n g .

T he c on se ns us -b ui ld in g p ro ce ss i s c om pl ex b ec au se t he p ro bl em s

u n d e r d i s c u s s i o n a s w e l l a s t h e d e c i s i o n s t a k e n o f t e n h a v e , b e s i d e s t h ep o l i t i c a l d i m e n s i o n , a s t r o n g t e c h n i c a l d i m e n s i o n . M o r e o v e r , ‘‘t e c h n i -c a l c r i t e r i a ’ ’ c o n s t i t u t e o n e o f t h e l i m i t s o f p a r t i c i p a t i o n a n d a r e t h e m -s el ve s s om et im es t he o bj ec t o f d eb at e a nd c on fl ic t. T he i nt er na l r ul es o f P B i nc lu de t he t ec hn ic al c ri te ri a e st ab li sh ed b y t he v ar io us d ep ar t-m en ts o f t he e xe cu ti ve . S om e o f t he t ec hn ic al c ri te ri a c ur re nt ly i n f or cea re : a ll c om mu ni ty c la im s a nd d em an ds f ou nd t ec hn ic al ly n on vi ab le b yt h e c i t y ’ s a d m i n i s t r a t i o n a r e c a n c e l l e d ; p r e f e r e n c e i s g i v e n t o w o r k s - i n -

p ro gr es s; a nd t he p lu vi al n et wo rk w il l n ot b e i ns ta ll ed i n s tr ee ts w it ho utp a v e m e n t s b e c a u s e t h e n e t w o r k , b e i n g o p e n t o a l l o w f o r t h e c o l l e c t i o no f r a i n w a t e r , m i g h t b e b l o c k e d b y s a n d a n d r u b b i s h .

I n s u c h a s y s t e m o f c o - g o v e r n m e n t , t h e e x e c u t i v e d o e s h a v e a v e r ya ct iv e r ol e, i f o nl y b ec au se i t c on tr ol s t ec hn ic al k no wl ed ge a nd a ls ob ec au se i t e it he r g en er at es t he r el ev an t i nf or ma ti on o r h as p ri vi le ge da c c e s s t o i t . I t s p r e s e n c e i n P B i s q u i t e s t r o n g b y r e a s o n o f i t s c o o r d i n a t -

i ng f un ct io ns b ot h i n t he C OP t hr ou gh i ts t wo r ep re se nt at iv es , e ve nt h o u g h t h e y d o n o t h a v e t h e r i g h t t o v o t e , a n d i n t h e r e g i o n a l a s s e m -b l i e s t h r o u g h t h e C R C d e l e g a t e i n t h e r e g i o n . F u r t h e r m o r e , t h e e x e c u -t i v e i t s e l f f o r w a r d s a u t o n o m o u s i n v e s t m e n t p r o p o s a l s t o t h e C O P , t h es o - c a l l e d ‘‘i n s t i t u t i o n a l d e m a n d s ,’’ wh i c h h a v e t h e i r o r i g i n i n e x e c u t i v ed e p a r t m e n t s a n d w h i c h u s u a l l y c o n c e r n t h e m a i n t e n a n c e o r i m p r o v e -m e n t o f u r b a n i n f r a s t r u c t u r e s .

I n a ddi ti on t o t ec hn ic al l im its , t he re a re f in an ci al l im its , w hi ch a re n ot

a l wa y s d u l y c o n s i d e r e d b y t h e a s s e m b l i e s . S u f f i c e i t t o m e n t i o n t h a t , f o rf i n a n c i a l r e a s o n s , o n l y 3 0 p e r c e n t o f t h e d e m a n d s o r i g i n a l l y f o r m u l a t e db y t he c omm un it y c an b e t ake n c ar e o f. S om et im es, t he w ay t he d em an dsa nd p ri or it ie s a re f or mu la te d d oe s n ot t ak e i nt o a cc ou nt c er ta in t ec hn ic alc on di ti on s t ha t i nc re as e t he c os t b ey on d w ha t t he c om mu ni ti es t he m-s e l v e s c o n s i d e r r e a s o n a b l e . F o r e x a m p l e , t h e f a c t t h a t s t r e e t p a v i n g m u s ti nc lu de s tr ee t l i gh ti ng i n cr ea se s i ts c os t b y a l ar ge a mo un t. N ow ad ay s, t hep e r c e n t a g e o f i n v e s t m e n t s i n c l u d e d i n t h e b u d g e t v a r i e s b e t we e n 1 5 a n d

2 0 p e r c e n t , wh i c h i s h i g h b y B r a z i l i a n s t a n d a r d s .T he c re di bi li ty o f t he p ol it ic al c on tr ac t t ha t c on st it ut es P B r es id es i n

t h e e f f e c t i v e n e s s o f t h e d e c i s i o n s a n d i n t h e a c c o u n t a b i l i t y b o t h o f t h ee xe cu ti ve a nd o f t he r ep re se nt at iv es o f t he c iv il s oc ie ty i n t he C OP ( se eAbers 1998, 2000) . T h e f a c t t h a t o n l y 3 0 p e r c e n t o f t h e d e m a n d s m a yb e c on si de re d i s l es s i mp or ta nt t ha n t he e ff ec ti ve s at is fa ct io n o f t he

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de ma nd s se le ct ed f or i nc lus ion i n th e I nv est me nt P la n. S eve ra lm e c h a n i s m s g u a r a n t e e e f f e c t i v e n e s s a n d a c c o u n t a b i l i t y . F i r s t , t h e p o l i -t ic al w il l o f t he e xe cu ti ve m us t b e m en ti on ed . T he b as ic p ri nc ip le o f

t he m un ic ip al g ov er nm en t i s t o f ul fi ll a s r ig or ou sl y a s p os si bl e t heI n v e s t m e n t P l a n a n d t o j u s t i f y w h a t i s l e f t u n f u l f i l l e d . S e c o n d l y , t h e r ea re c om mi tt ee s – c re at ed w it hi n t he F or a o f D el eg at es – w ho se f un ct io nis to supervise the works. In the case of delays or alterati ons, thed e l e g a t e s h a v e d i r e c t a c c e s s t o t h e M a y o r ’ s O f f i c e t o a s k f o r e x p l a n a -t io ns . T hi rd ly , t he v er y s tr uc tu re s o f P B s tr on gl y e nc ou ra ge a cc ou nt -a b i l i t y . T h e t w o i n s t i t u t i o n s o f r e g u l a r f u n c t i o n i n g – t h e C O P a n d t h eFo ru m of De le ga te s – a re b ou nd to t he g ra ss ro ot s i ns ti tut io ns: th e

R eg ion al A ss emb li es an d th e T he ma ti c Pl en ar ie s. T he l att er t woo r g a n s , b e c a u s e t h e y a r e o p e n t o t h e i n d i v i d u a l a n d c o l l e c t i v e p a r t i c i -pa ti on o f a ll c iti ze ns , e xe rc ise a do ubl e p op ul ar c on tr ol , up on th ep er fo rm an ce o f t he e xe cu ti ve a nd u po n c om mu ni ty r ep re se nt at io ni t s e l f . I n p r a c t i c e , t h e e x e r c i s e o f c o n t r o l i s s o m e t i m e s p r o b l e m a t i c , a sw it ne ss t he d eb at es a bo ut t he q ua li ty o f r ep re se nt at io n a nd a bo utt r a n s p a r e n c y a n d a c c o u n t a b i l i t y .

A s I h av e i nd ic at ed , t he c lo se l in ka ge o f p ar ti ci pa ti on t o r es ou rc ed is tr ib ut io n a nd t o t he e ff ec ti ve ne ss o f d ec is io ns i s o ne o f t he c or ef e a t u r e s o f P B . T h i s a l o n e e x p l a i n s w h y , f o r f i v e m o n t h s , P B c o u n c i l o r smeet at least once a week, often twice or thrice a week, with nor em un er at io n, e ve n t ra ve l e xp en se s. T hi s l in ki ng o f p ar ti ci pa ti on t od is tr ib ut io n i s, n o d ou bt , o ne o f t he v ir tu es o f P B, b ut p er ha ps a ls o al im it at io n. A cc or di ng t o T ar so G en ro , i t i s c om mo n f or a r eg io n o rm i c r o - r e g i o n t o s t o p p a r t i c i p a t i n g i n t h e m e e t i n g s a n d a s s e m b l i e s a f t e r

t h e i r d e m a n d s h a v e b e e n m e t . T h e y u s u a l l y b e g i n p a r t i c i p a t i n g a g a i n ,on ce t he y r ea li ze t ha t i n th e y ea r i n w hi ch th ey di d n ot pa rti ci pa tet h e r e w a s n o i n v e s t m e n t m a d e i n t h e i r r e g i o n o r m i c r o - r e g i o n .

Th e c l o s e b i n d i n g a r t i c u l a t i o n o f p a r t i c i p a t i o n , d i s t r i b u t i o n , a n d t h ee ff ec ti ve ne ss o f d ec is io ns m ay e ve nt ua ll y p ro vo ke s om e a dd it io na lt en si on i n t he a lr ea dy t en se f ie ld o f c o- go ve rn me nt t ha t c on st it ut est he p ol it ic al c on tr ac t b et we en t he e xe cu ti ve a nd t he o rg an iz ed c om -m u n i t i e s , f o r t w o m a i n r e a s o n s : t h e l i m i t s t o i n v e s t m e n t ; a n d t h e m a j o r

w or ks t ha t t ra nsc en d t he i nte re st s bo th of s pe ci fi c re gi on s an d of s p e c i f i c t h e m a t i c a r e a s .

I s t he p ol it ic al c on tr ac t o f c o- go ve rn me nt t ha t s us ta in s P B a c on tr ac ta m on g e q ua l p a rt n er s ? T h i s q u e s ti o n r a is e s t h e i s su e o f t h e a u to n om y o f t h e i n s t i t u t i o n s a n d p r o c e s s e s o f t h e p a r t i c i p a t o r y b u d g e t . I a r g u e d t h a tt hi s p ol it ic al c on tr ac t i s b as ed o n t he p re mi se t ha t t he a ut on om y o f


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b o th t h e e l e c te d m a yo r a n d t h e p o pu l ar m o ve m en t b e co m es a m u tu a ll yr el at iv e a ut on om y. T he q ue st io n i s: w ho se a ut on om y i s m or e r el at i-v iz ed b y e nt er in g t he c on tr ac t? P B i s a n i ni ti at iv e o f t he P T p op ul ar

a d mi n is t ra t io n o f P o rt o A l eg r e, a n d i t s b a si c i n st i tu t io n al o u tl i ne h a sb e e n d e s i g n e d o v e r t h e y e a r s b y t h e e x e c u t i v e . I t i s p a r t o f a p o l i t i c a lp ro gr am o f r ed is tr ib ut io n o f p ub li c r es ou rc es a nd d em oc ra ti za ti on o f t hes t a t e . T h i s p o l i t i c a l p r o g r a m i s a l s o t h e m e e t i n g g r o u n d f o r a d e m a n dw i t h a s i m i l a r p o l i t i c a l o r i e n t a t i o n a d v a n c e d b y t h e p o p u l a r m o v e m e n ta n d s u s t a i n e d o v e r t h e y e a r s b y m u c h s t r u g g l e . T h e i s s u e i s , t h e n , h o wt h i s c o n v e r g e n c e o f p o l i t i c a l w i l l h a s b e e n c a r r i e d o u t , o n w h o s e t e r m sa n d t i m e t a b l e s , a n d w i t h w h a t o u t c o m e s .

W it hou t a ny d ou bt p opu la r p ar ti ci pa ti on i n P B i s v ery a ct iv e. I s i t a l soa u t o n o m o u s ? Wh a t d o e s i t m e a n t o b e a u t o n o m o u s ? A u t o n o m y c a n n o tb e c on ce iv ed a s p op ul ar s pon ta ne it y, a s a n at iv e c apa ci ty t o o rg an iz ep oo r p eo pl e i n d eg ra de d c om mu ni ti es w it ho ut t h e s up po rt o r i nf lu en ce o f external, organized political forces. Autonomy rather must be conceiveda s t he po pu la r c ap ac it y t o c ha nn el e xt er na l s up po rt a nd p ut i t a t t hes er vi ce o f o bj ec ti ve s, d em an ds , a nd a ge nd as g en er at ed i n t he c om mu -

n i t i e s . I n t h e B r a z i l i a n c o n t e x t , a u t o n o m y i s m e a s u r e d b y t h e c a p a c i t y t od ev el op o rg an iz ati on al s tr en gt h a nd e ffe ct iv en es s b y m an eu ve ri nga m on g c o mp e ti n g e x te r na l p ol i ti c al i n fl u en c es , u s in g s u ch c o mp e ti t io nt o i m p o s e d e m a n d s t h a t , h o we v e r i m p o r t a n t f o r t h e c o m m u n i t y , d o n o tr e p r e s e n t a p r i o r i t y f o r a n y o f t h e p o l i t i c a l f o r c e s i n c o m p e t i t i o n .

S i n c e P B i s n o t a p o p u l a r m o v e m e n t b u t a n i n s t i t u t i o n a l c o n s t e l l a -t i on d e si g ne d t o o p er a te a s a s u st a in e d, r e gu l ar l y f u nc t io n in g m e et i ngp la ce f or t he p op ul ar m ov em en t a nd t he m un ic ip al g ov er nm en t, t he

q u e s t i o n o f t h e a u t o n o m y o f P B m u s t b e f o r m u l a t e d a s t h e r e a l c a p a c i t yo f t he p op ul ar r ep re se nt at iv es i n s uc h i ns ti tu ti on s t o s ha pe a ge nd as ,t im et ab le s, d eb at es , a nd d ec is io ns . I n t hi s s en se , a ut on om y, r at he rt ha n a s ta bl e c ha ra ct er is ti c o f a g iv en p ol it ic al p ro ce ss , i s t he e ve r-p r o v i s i o n a l o u t c o m e o f a n o n g o i n g s t r u g g l e . Th u s c o n c e i v e d , P B ’s a u t o -n om y m ust b e d is cu ss ed a t t he l eve l o f t he o per at io na l f unc ti on in g o f PB institutions, including coordination, agendas, and timetables.

T he c oo rd in at io n o f P B i ns ti tu ti on s i s i n t h e h an ds o f t he e xe cu ti ve ’s

r ep re se nt at iv es , a nd t he a ge nd a a nd t he t im et ab le a re p ro po se d b yt he m. Bu t t he e xe cu ti ve ’s ro le i n t hi s r eg ar d h as be en i nc re as in gl yq ue s ti o ne d a n d c h al l en g ed b y t h e c o un c il o rs a n d d e le g at e s. Th e o bs e r-v at io n o f t he C OP m ee ti ng s i n p ar ti cu la r s ho ws t ha t t he c ou nc il or s h a veb ec om e m or e a ss er ti ve a nd a gg re ss iv e, a nd t ha t t he p ro ce du ra l r ul es o f t he m ee ti ng s h av e o ft en b ee n d is ru pt ed b y h ea te d d eb at es . O n e o f t he

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m os t w id el y v io la te d r ul es i s t he p roh ib it io n o f d ir ec t d ia log ue a mo ng t hec ou nc il or s. T hi s r ul e s ta te s t h at i nt er ve nt io ns m us t h av e b ee n p re vi ou sl yn ot ifi ed an d mu st tak e place in the o rder i n w hich t he y h av e bee n

registered.C on ce rn in g t he a ge nd a, t he c on fl ic t b et we en s om e c ou nc il or s a nd

t h e e x e c u t i v e i s o f t e n q u i t e o p e n . C o u n c i l o r s h a v e c o n s i s t e n t l y f o u g h tf or an e xpa nsi on of mu ni ci pa l ac ti vi ti es to be s ub mi tte d t o t he P Bi ns ti tu ti on s, b ut i n g en er al s uc h p ro po sa ls h av e m et r es is ta nc e f ro mg o v e r n m e n t r e p r e s e n t a t i v e s . T h e b a s i c a r g u m e n t o f t h e g o v e r n m e n t i sth at t her e a re ma tte rs th at e nga ge t he c ity a s a w ho le a nd w hi ch f or t ha tr e a s o n c a n n o t b e s u b m i t t e d t o a d e b a t e t h a t t e n d s t o p r o m o t e p a r t i c u -

l ar is ti c s ol ut io ns , b e t he y r el at iv e t o t he r eg io ns o r t o t he me s. T hec ou nc il or s c ou nt er ar gu e t ha t t he y r ep re se nt t he w ho le c it y a nd t ha t t here al i ss ue i s a d if fe ren t on e: t he o ppo si ti on of th e e xec uti ve t o th ef u rt h er d e ce n tr a li z at i on o f m u ni c ip a l s e rv i ce s ( c ul t ur e , h e al t h, s p or t s,r ec re at io n, e tc .) . T he c ou nc il or s h av e b ee n m or e a nd m or e o pe nl yc r i t i c a l o f t h e e x e c u t i v e c o o r d i n a t i o n a n d a g e n d a s e t t i n g . I n a n i n t e r -v i e w , o n e c o u n c i l o r , w h o i s v e r y a c t i v e i n t h e p o p u l a r m o v e m e n t , t o l d

m e : ‘ ‘ S o m e t i m e s I f e e l t h a t I a m b e i n g m a n i p u l a t e d , t h a t I a m h e r e t ol e g i t i m a t e t h e p o p u l a r a d m i n i s t r a t i o n a n d n o t h i n g e l s e . P B i s t h e bestt h i n g t h a t c o u l d h a p p e n i n t h i s c i t y b u t i t h a s t o o p e r a t e o u r w a y . ’ ’11

C o nc e rn i ng t i me t ab l es , d e ad l in e s, a n d t i me s f o r d e ba t e, t h e d i sc u s-s i o n s i n t h e C O P h a v e a l s o b e c o m e m o r e c o n f l i c t u a l . O n o n e s i d e , t h ec ou nc il or s c la im t ha t t he y n ee d m or e t im e t o p ro ce ss i nf or ma ti on , t oa sk f or c la ri fi ca ti on a nd t o c on su lt w i th t he ir c on st it ue nc ie s. O n t heo th er s id e, t he e xe cu ti ve r ep re se nt at iv es c la im t ha t t he d ea dl in es a re

n o t a n i n v e n t i o n o r w h i m o f t h e e x e c u t i v e b u t r a t h e r a r e e s t a b l i s h e d i nl a w s p r o m u l g a t e d b y t h e C V . T h e y a l s o c l a i m t h a t t o d e b a t e i s f i n e b u tt ha t i t i s v er y f ru st ra ti ng t o v er if y t ha t a ft er h ea te d, l on g d is cu ss io nst h e r e i s n o q u o r u m t o v o t e b e c a u s e i n t h e m e a n t i m e s o m e l e s s i n t e r -e s t e d o r m o r e p r e s s e d c o u n c i l o r s h a v e l e f t t h e m e e t i n g .

13.3.3. From technobureaucracy to technodemocracyC on fl ic t a nd m ed ia ti on b et we en t ec hn ic al a nd p ol it ic al i ss ue s, b et we en

k n o w l e d g e a n d p o w e r , i s o n e o f t h e m a i n f e a t u r e s o f P B . I f i t i s t r u e t h a tt e c h n i c a l c r i t e r i a l i m i t t h e f i e l d o f p a r t i c i p a t i o n a n d d e l i b e r a t i o n , i t i sl i k e w i s e t r u e t h a t t h e P B p r o c e s s h a s r a d i c a l l y c h a n g e d t h e p r o f e s s i o n a lc u l t u r e o f t h e t e c h n i c a l s t a f f o f t h e e x e c u t i v e . T h e t e c h n i c a l s t a f f h a s

11 I n t e r v i e w , P o r t o A l e g r e , A p r i l 1 0 , 1 9 9 7 .


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i n c r e a s i n g l y b e e n s u b m i t t e d t o a p r o f o u n d l e a r n i n g p r o c e s s c o n c e r n i n gc o mm u ni c at i on a n d a r gu m en t at i on w i th l a y p o pu l at i on s . T h ei r t e ch -n ic al r ec om me nd at io ns m us t b e c on ve ye d i n a cc es si bl e l an gu ag e t o

p eo pl e w ho d o n ot m as te r t ec hn ic al k no wl ed ge ; t he ir r ea so na bi li tym u s t b e d e m o n s t r a t e d i n a p e r s u a s i v e w a y , r a t h e r t h a n i m p o s e d i n a na ut ho ri ta ri an f as hi on ; n o a lt er na ti ve h yp ot he si s o r s ol ut io n m ay b ee x cl u de d w i th o ut s h ow i ng i t s u n vi a bi l it y . W h er e e a rl i er a t e ch n ob u r-e a uc r at i c c u lt u re p r ev a il e d, g r ad u al l y a t e ch n od e mo c ra t ic c u lt u re h a semerged.

T hi s t ra ns fo rm at io n h as n ot b ee n e as y. A cc or di n g t o T ar so G en ro ,d u r i n g t h e p e r i o d b e t w e e n 1 9 9 2 a n d 1 9 9 6 , t h e r e w a s m o r e p r o g r e s s i n

c h a n g i n g t h e l a n g u a g e a n d d i s c o u r s e o f t h e e n g i n e e r s w h e n a d d r e s s i n gt he p eop le i n t he c om mu ni ti es th an i n ch an gi ng t he ir di sm iss ivea t ti t ud e s v i s- a- v i s w h at p e op l e h a d t o s a y. I n o t he r w o rd s , t h e c a pa c it yt o m a k e h i m o r h e r s e l f u n d e r s t o o d h a s i m p r o v e d m o r e t h a n t h e c a p a -c i t y t o l i s t e n . W h e n R a u l P o n t i n i t i a t e d h i s m a n d a t e ( 1 9 9 6 – 2 0 0 0 ) , h eb e c a m e p a r t i c u l a r l y s e n s i t i v e t o t h e f a c t t h a t t h e s t r u c t u r e a n d p r o c e s so f P B w e r e v e r y l i t t l e k n o w n a m o n g t h e m u n i c i p a l w o r k e r s a n d s t a f f . I n

v ie w of t hi s, i n 1 99 7 th e ma yor l au nc hed a p ro gra m t ar ge te d a t th em un ic ip al s ta ff , w hi ch h e c al le d ‘‘ Pro gra m f or In te rn al iz ati on o f P ar ti ci pa to ry B ud ge ti ng .’’ T hi s p ro gr am w as a nn ou nc ed a s p ar t o f am uc h b ro ad er p ro gr am o f a n o ve ra ll i nt er na l d em oc ra ti za ti on o f t hes ta te . I n a n i nt er vi ew , t he o ff i ci al i n c ha rg e o f c oo rd in at in g t hi s p ro -g ram t ol d m e th at , ‘‘ in or de r to be f ul ly co nsolidated the PB must be parto f t he e ve ry da y w or k o f a m un ic ip al w or ke r. ’’12 A w or ki ng g rou p w as s etu p t o o rg an iz e w or ks ho ps w it h t he w or ke rs a nd s ta ff a bo ut t he c yc le ,

r ul es , c ri te ri a, a nd m et ho do lo gy o f t he P B. T he t ar ge ts o f t he w or ks ho psw e r e t o b e a d d r e s s e d s e q u e n t i a l l y : s t a f f t h a t d e a l d i r e c t l y w i t h P B ; s t a f f t ha t m ed ia te b et we en t he e xe cu ti ve a nd t he c om mu ni ty ; a nd f in al lyt h e s u p e r v i s o r s a n d d i r e c t o r s .

In light of the complex details of the operation of PB, it is nots ur pr is in g t o f in d s it ua ti on s t ha t, n o m at te r h ow a pp ar en tl y t ri vi al ,m ay b e a s ou rc e o f t en si on b et we en P B p ar ti ci pa nt s a nd m un ic ip als t a f f , e v e n w h e n t h e l a t t e r a r e s u p p o r t i v e o f P B . A n e x a m p l e o f t h i s i s

t he a cc re di ta ti on p ro ce du re . T h is i s t he p ro ce ss b y w hi ch t he p eo pl e,t h e d e l e g a t e s , a n d t h e c o u n c i l o r s i d e n t i f y t h e m s e l v e s a s t h e y e n t e r t h er o o m w h e r e t h e m e e t i n g i s t o b e h e l d . T h e y m u s t s h o w t h e i r I D c a r dand fill out a form. The accreditation is entrusted to a group of

12 I n t e r v i e w , P o r t o A l e g r e , A p r i l 6 , 1 9 9 7 .

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m un ic ip al p er so nn el d es ig na te d b y t he m ay or . E ve n i f w e o nl y t ak e i nt oa cc ou nt t he r eg io na l a nd t he ma ti c p le na ri es , t he s ta ff m us t v er if y t hec re de nt ia ls o f h un dr ed s o f p eo pl e i n t we nt y- tw o m ee ti ng s p er m on th

( s i x t e e n r e g i o n a l a n d s i x t h e m a t i c ) . B e c a u s e i t r e s u l t e d f r o m a p e r s o n a la pp oi nt me nt b y t he m ay or , t he v er if i ca ti on o f c re de nt ia ls w as u nd er -s to od f or a w hi le a s a p ol it ic al j ob t o b e p er fo rm ed b y v ol un te er s. A st i m e w e n t o n , h o w e v e r , s o m e o f t h e p e o p l e r e f u s e d t o p e r f o r m t h i s j o b ,i n v o k i n g t h e m a n y e v e n i n g s t h e y c o u l d n o t s p e n d w i t h t h e i r f a m i l i e s .A s a r e s u l t , t h e e x e c u t i v e c o nsi d e r e d p a y i n g o v e r t i m e p a y t o t h e s t a f f w ho c he ck ed t he c re de nt ia ls .13 As a consequence, the COP now has ane x ec u ti v e s e cr e ta r y p a id f o r b y t h e m u ni c ip a l a d mi n is t ra ti o n t h ro u gh

t h e C R C .T he r oa d f ro m t ec hn ob ur ea uc ra cy t o t ec hn od em oc ra cy i s a b um py

o ne . I n t he c ou rs e o f t im e, a s t he d el eg at es a nd c ou nc il or s h av e b ec om em o re a s se r ti v e, d i sp u ti n g m o re o p en l y t h e t e ch n ic a l c r it e ri a a n d s o lu -t i o n s p r e s e n t e d b y t h e p r o f e s s i o n a l s t a f f , t h e l a t t e r h a v e b e c o m e m o r ed ef en si ve , y et t he c on fl ic t b et we en c om pe ti ng k no wl ed ge s h as a ll b utf ad ed a wa y. I n m y f ie ld o bs er va ti on s, I w it ne ss ed m an y l iv el y d eb at es

b et we en r es id en ts a nd e ng in ee rs a bo ut s tr ee t p av in g, t he l oc at io n o f s e w e r p i p e s , a n d s o o n , a n d w a s i m p r e s s e d b y t h e a r g u m e n t a t i v e c a p a -c i t y o f t h e c o m m u n i t y l e a d e r s .

13.4 C O M P E T I N G L E G A L I T I E S A N D L E G I T I M A C I E S : P B

A N D T H E C A M A R A D E V E R E A D O R E S

A s a p ol it ic al a nd l eg al h yb ri d, P B h as a n e le me nt o f ‘‘ du al p ow er ,’’

i n d e e d o f d o u b l e d u a l p o w e r . O n o n e s i d e , t h e r e i s a c o m p l e m e n t a r y ( i f o f t e n c o n f l i c t u a l ) d u a l p o w e r b e t w e e n t h e Prefeitura a n d t h e o r g a n i z e dc i t i z e n s h i p , a p o l i t i c a l h y b r i d w h i c h I h a v e c a l l e d c o - g o v e r n m e n t . O nt h e o t h e r s i d e , t h e r e i s a c o n f r o n t a t i o n a l d u a l p o w e r b e t w e e n t h i s f o r mo f c o - g o v e r n m e n t a n d t h e m u n i c i p a l l e g i s l a t i v e b o d y . T h e l a t t e r c o n -s is ts i n t he f ac t t ha t t he c o- go ve rn me nt o f t he d em oc ra ti ca ll y e le ct edPrefeitura a n d t h e o r ga n iz e d c i ti z en s hi p l e av e s o u t a n ot h er d e mo c ra t i-c al ly e le ct ed i ns ti tu ti on , t he m un ic ip al l eg is la ti ve b od y ( th e C V) ,

i nd ee d t he i ns ti tu ti on e nt ru st ed b y t he C on st it ut io n w it h t he d is cu s-s i o n a n d a p p r o v a l o f t h e b u d g e t .

13 T h e s y s t e m t h a t w a s a d o p t e d d o e s n o t i n f a c t p a y o v e r t i m e . R a t h e r , t h e w o r k o f t h e P B o f f i c e r sg a i n s t h e m e x t r a p o i n t s f o r f u t u r e p r o m o t i o n .


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I n a dd it io n t o a f or m o f d ua l p ow er , t hi s s it ua ti on a ls o c om pr is es af o r m o f c o n f r o n t a t i o n a l l e g a l p l u r a l i t y a t t h e c i t y l e v e l : o n o n e s i d e , t h eo ff ic ia l l eg al it y, o n t he o th er , t he u no ff ic ia l l eg al it y, w hi ch , t o m ak e

t h i n g s e v e n m o r e c o m p l e x , h a s b e e n d e v e l o p e d w i t h t h e a c t i v e p a r t i -c ip at io n o f o ne o f t he o ff ic ia l i ns ti tu ti on s o f l oc al g ov er nm en t, t hePrefeitura. The confrontation is pol itical and is often defined as ac o nf r on t at i on b e tw e en r e pr e se n ta t iv e d e mo c ra c y a n d p a rt i ci p at o ryd e m o c r a c y . T o b e s u r e , s u c h c o n f r o n t a t i o n e x i s t s , b u t i t i s m o r e c o m -p l e x t h a n t h e c o n t r a s t e x p r e s s e d b y t h i s d u a l i t y . O n t h e o n e h a n d , t h ePrefeitura, t h o u g h p o l i t i c a l l y o n t h e s i d e o f p a r t i c i p a t o r y d e m o c r a c y , i sa n i n s t i t u t i o n e l e c t e d b y t h e m e c h a n i s m s o f r e p r e s e n t a t i v e d e m o c r a c y .

O n t h e o t h e r h a n d , P B , t h o u g h a n e x p r e s s i o n o f p a r t i c i p a t o r y d e m o c -r ac y, c on ta in s i n i t m ec ha ni sm s o f r ep re se nt at iv e d em oc ra cy , t hee le ct ed c ou nc il or s a nd d el eg at es . I n f ac t, i n c om pl ex p ol it ic al p ro ce ss es ,p ar ti ci pa to ry d em oc ra cy a lw ay s p re su pp os es t he c re at io n o f i ns ta nc es o f d el eg at io n a nd r ep re se nt at io n. T hu s, t he b as ic s tr uc tu re s o f P B a rei n v o l v e d i n a d o u b l e i n s t i t u t i o n a l a r t i c u l a t i o n w i t h t h e i n s t i t u t i o n s o f r e p r e s e n t a t i v e d e m o c r a c y a t t h e u r b a n l e v e l ( t h e m a y o r a n d h i s o r h e r

e x e c u t i v e ) a n d w i t h t h e r e p r e s e n t a t i v e i n s t i t u t i o n s d e r i v e d f r o m p a r t i -c i p a t o r y d e m o c r a c y a t t h e c o m m u n i t y l e v e l . T h i s a r t i c u l a t i o n b e t w e e np a rt i ci p at i on / re p re s en t at i on a t t h e c o mm u ni t y l e ve l c a ll s f o r c a re f ulr e f l e c t i o n t h a t c a n n o t b e u n d e r t a k e n h e r e .

T he p ol it ic al c on tr ac t t ha t e xi st s b et we en t he e xe cu ti ve a nd t hec o m m u n i t i e s h a s t h u s f a r n o t b e e n e x t e n d e d t o t h e l e g i s l a t u r e . O n t h ec o n t r a r y , t h e r e l a t i o n b e t w e e n P B a n d t h e l e g i s l a t u r e h a s b e e n o n e o f c on st an t c on fl ic t ( so me ti me s i nv ol vi ng p hy si ca l c on f ro nt at io n) . I f,

a cc or di ng t o t he C on st it ut io n, i t b eh oo ve s t he l eg is la tu re t o a pp ro vet he m un ic ip al b ud ge t, P B h as u tt er ly p re em pt ed t hi s f un ct io n. T o b es ur e, a s w e h ave se en , a cc or di ng to t he P B c yc le th e p ro po sa l of t heb u d g e t l a w , a f t e r i t h a s b e e n p r e p a r e d i n t h e C O P , i s f o r w a r d e d t o t h el e g i s l a t u r e f o r d e b a t e a n d a p p r o v a l . Th e o r e t i c a l l y , t h e l e g i s l a t u r e c o u l dr e j e c t t h e p r o p o s a l , b u t t h e f a c t t h a t i t h a s a l r e a d y b e e n l e g i t i m a t e d b yt he p ar ti ci pa ti on o f c it iz en s m ob il iz ed b y P B c om pe ls t he l eg is la tu rea l w a y s t o a p p r o v e t h e b u d g e t p r e s e n t e d . I t e n d s u p , t h e r e f o r e , b e i n g a

formality.A c co r di n g t o s o me , h o we v er , g i ve n t h e b u dg e ti n g t e ch n iq u e t r ad i -

t i o n a l l y a d o p t e d i n B r a z i l , t h e l e g i s l a t u r e h a s n e v e r a c t u a l l y d e l i b e r a t e ds u b s t a n t i a l l y o n t h e b u d g e t . T h e t r u t h i s t h a t , g i v e n t h e f a c t t h a t t h ei n d i c a t i o n i n t h e b u d g e t o f t h e c o n c r e t e w o r k s t o b e c a r r i e d o u t i s n o trequi red, the executive has always had ample l eeway in budget

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e x e c u t i o n . B u t t h e f a c t o f t h e m a t t e r i s t h a t s u c h a s y s t e m a l s o c r e a t e dt he o pp or tu ni ty f or t he l eg is la tu re t o i nf lu en ce t he e xe cu ti on b y t het r ad i ti o na l p o pu l is t a n d c l ie n te l is t m e th o ds . T h e l e gi s la t or s h a d t h ei r

e l e c t o r a l f o l d s i n t h e d i f f e r e n t r e g i o n s a n d t h e v o t e s t h e y g a t h e r e d f r o mt h e m w e r e d i r e c t l y r e l a t e d t o t h e w o r k s t h e y m a n a g e d t o i n c l u d e i n t h eb u d g e t . N o w , t h i s w a s p r e c i s e l y t h e c l i e n t e l i s t s y s t e m t h a t P B i n t e n d e dt o p u t a n e n d t o , a n d h e r e i n f o r t h e m o s t p a r t r e s i d e s t h e h o s t i l i t y w i t hw h i c h t h e l e g i s l a t o r s n o t l i n k e d t o t h e P T r e g a r d P B . W h i l e t h e d u a l i t yo f p ow er b et we en P B a nd t he e xe cu ti ve ( no tw it hs ta nd in g t he p ro bl em sa nd t en si on s i de nt if ie d h er e) h as b ee n d om in at ed b y a l og ic o f c om -p le me nt ar it y a nd c oo pe ra ti on , t he d ua li ty o f p ow er b et we en P B a nd t he

CV has been dominated by a logic of open or l atent conf lict. It is both aduali ty of power and a duali ty of legality and legitimacy. As onel eg is la to r t ol d m e i n a n i nt er vi ew : ‘‘ Th e P T h as c oo pt ed a nd d em or -a li ze d t he p op ul ar m ov em en t. T he p ar ti ci pa to ry b ud ge t i s a d ia bo li ci n v e n t i o n o f t h e P T t o s t a y i n p o w e r f o r e v e r . L o o k , h o w m a n y p e o p l ep ar ti ci pa te d i n t he p ar ti ci pa to ry b ud ge t l as t y ea r? A l i tt le m or e t ha n1 0, 00 0. W el l, I w as e le ct ed b y a l ar ge r n umber . W h y a m I l e s s r e p r e -

s en ta ti ve t ha n t he c ou nc il or s o f t he C OP ?’’

14

A n ot h er l e gi s la t or l e ssh os ti le t o P B s ai d i n a n i nt er vi ew : ‘‘ I t hi nk t he p ar ti ci pa to ry b ud ge t i s a ne x c e l l e n t i d e a b u t I d o n ’ t s e e – e x c e p t f o r p o l i t i c a l r e a s o n s o f t h e P T –w h y t h e Camara de Vereadores i s n o t i n v o l v e d . W e d o n ’ t w a n t t o a b s o r bparticipatory budgeting. We would li ke to have a part in it. Fori ns ta nc e, a p er ce nt age of th e i nv es tme nt f un d s hou ld be l ef t to th eCamara t o a l l o ca t e .’’15 A s y et a no th er l eg is la to r p ut i t: ‘‘ Th e b ud ge ta r r i v e s a t t h e Camara in a cas t . W e ’ r e t i e d u p . I t i s n o t f a i r b e c a u s e a f t e r

a l l w e a r e t h e l e g i s l a t o r s . ’ ’16

O n e o f t h e s o u r c e s o f t h e t e n s i o n b e t w e e n r e p r e s e n t a t i v e a n d p a r t i -c ip at or y d em oc ra cy h as b ee n t he d eb at e o f t he l as t f ew y ea rs o n t heo f f i c i a l l e g a l c o d i f i c a t i o n o f P B , w h i c h i l l u s t r a t e s t h e i n t e r p l a y b e t w e e np o l i t i c s a n d l a w t h a t i s c e n t r a l t o c o u n t e r - h e g e m o n i c i n i t i a t i v e s . A s i ts t a n d s t o d a y , P B i s b a s e d o n a p o l i t i c a l c o n t r a c t w i t h t h e e x e c u t i v e a n di s r u l e d o n l y b y i t s u n o f f i c i a l i n t e r n a l r u l e s a n d t h e o r g a n i c l a w o f t h ePrefeitura. T he c ru ci al q ue st io n i s w he th er t he f ut ur e s af eg ua rd o f P B

s ho ul d n ot i nc lu de i ts j ur id ic al c on so li da ti on , t ha t i s, i ts c on ve rs io ni nto m un ic ipa l l aw th rou gh a n a ct of t he l eg is la ti ve bo dy . T hi s i sc on ce iv ab le , s in ce , g iv en t he p op ul ar it y o f P B, m os t m em be rs o f t he

14 I n t e r v i e w , P o r t o A l e g r e , A p r i l 1 0 , 1 9 9 7 . 15 I n t e r v i e w , P o r t o A l e g r e , A p r i l 1 0 , 1 9 9 7 .16 I n t e r v i e w , P o r t o A l e g r e , A p r i l 1 2 , 1 9 9 7 .


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C V w o u l d b e , i n p r i n c i p l e , i n f a v o r o f i t – p r o v i d e d , o f c o u r s e , t h a t t h eC V r e t a i n e d s o m e m e a s u r e o f c o n t r o l o v e r P B .

T he re a re d if fe re nt p os it io ns o n t hi s, e ve n i ns id e t he P T a nd t he

e x e c u t i v e . W h i l e s o m e b e l i e v e t h a t l e g a l , f o r m a l r e c o g n i t i o n o f P B w i l lh el p to de fe nd i ts ex is te nc e i f i n th e f ut ur e a n e xe cut iv e h ost il e toc it iz en p ar ti ci pa ti on i s e le ct ed , o th er s a rg ue t ha t s uc h c od if i ca ti onw ou ld b e a s ub mi ss io n o f p ar ti ci pa to ry d em oc ra cy t o r ep re se nt at iv ed em oc ra cy, do a wa y w it h t he p ol it ic al au ton om y o f P B, a nd s ub je ct i t i nt he f ut ur e t o l eg is la ti ve m an ip ul at io n a cc or di ng t o t he m aj or it ie sobtai nable i n the CV. In an interview, one PT legislator said:‘‘I p a r t i c i p a t e i n t h e p l e n a r i e s o f t h e p a r t i c i p a t o r y b u d g e t a n d e v e n h a v e

a v o t e a s a c i t i z e n w h o h a p p e n s t o b e a l s o a l e g i s l a t o r . T h e l e g i s l a t o r ss h ou l d i n te g ra t e t h em s el v es i n t h e p a rt i ci p at o ry b u dg e t a n d no t s ee ks e pa r at e a n d p r iv i le g ed p a rt i ci p at i on a n d d e ci s io n -m a ki n g. ’’17 OtherP T l e g i s l a t o r s a n d l e a d e r s t h i n k t h a t t h e t e n s i o n b e t w e e n P B a n d t h eC V i s n o t a ‘ ‘ h e a l t h y o n e ’ ’ a n d m a y b e r i s k y i n t h e f u t u r e . A c c o r d i n g t ot he m, i t i s n ot i n t he i nt er es t o f t he P T t o d em or al iz e t he l eg is la ti veb o d y a n d c o n t r i b u t e t o r e m o v i n g i t s p r e r o g a t i v e s . S o m e o f t h e m h a v e

e ve n p re se nt ed p ro po sa ls c on ce rn in g t he l eg al iz at io n o f P B. O ne o f t he m s ai d i n a n i nt er vi ew : ‘‘ I’ m i n f av or o f a t yp e o f l eg al iz at io n t ha td oe s n ot pl as te r t he p art ic ipa tor y bu dg et, a nd t ha t c on tr ibu te s toc on so li da ti ng i t a s a n off i ci al c om po ne nt o f o ur p ol it ic al s ys te m, am a r k o f o u r s p e c i f i c i t y . ’ ’18

T h e i s s u e o f l e g a l c o d i f i c a t i o n i s o n e a m o n g m a n y d i m e n s i o n s o f t h ec on fl ic t be tw ee n th e e xe cut ive an d th e C V w her e th e P T d oe s n ot h ol dt h e m a j o r i t y . T h e C O P c o u n c i l o r s h a v e a c l e a r u n d e r s t a n d i n g o f t h i s ,

a n d t h e d i v i s i o n s i n s i d e t h e C O P o n t h i s i s s u e r e f l e c t b r o a d e r c l e a v a g e si n c i t y p o l i t i c s a n d t h e c o m m u n i t y m o v e m e n t . I n s p i t e o f t h e p o l i t i c a lr e s t r i c t i o n s o n t h e b u d g e t a r y p r e r o g a t i v e s o f t h e C V , t h e l a t t e r m a k e sm an y a me nd me nt s e ve ry y ea r. T he se a me nd me nt s a re d is cu ss ed i nt h e C O P . I n t h e m e e t i n g o f A u g u s t 7 , 1 9 9 7 , t h e G A P L A N r e p r e s e n t a -t iv e r ea d t he m os t i mp or ta nt a me nd me nt s a nd c om me nt ed o n t he irn eg at iv e i mp ac t, e mp ha si zi ng t ha t t hr ou gh t he m t he l eg is la to rs w er etrying to l imit the autonomy of PB. He exhorted the councilors

a n d d e l e g a t e s t o m o b i l i z e q u i c k l y a n d s t r o n g l y i n o r d e r t o t r y t o d e f e a tt h e s e a m e n d m e n t s i n t h e C V . H e c o n c l u d e d : ‘ ‘ T h e y w a n t t o e m b a r r a s sthe PB. This is war and when you are at war you don’t stop thew ar t o p re pa re a nd d eb at e. ’’ S om e c ou nc il or s w er e d is pl ea se d b y t hi s

17 I n t e r v i e w , P o r t o A l e g r e , A p r i l 1 1 , 1 9 9 7 . 18 I n t e r v i e w , P o r t o A l e g r e , A p r i l 1 0 , 1 9 9 7 .

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c o m m e n t a n d a s k e d f o r m o r e t i m e t o a n a l y z e t h e a m e n d m e n t s , b e c a u s eafter all it is in the interest of PB to cut some of the executi vee xp en di tu re s. O ne o f t he m s ai d: ‘‘ I d on ’t a gr ee w it h [ th e G AP LA N

r e p r e s e n t a t i v e ] . T h i s i s n o t a w a r . W e a r e d e m o c r a t i c a l l y d e b a t i n g a n dd i s c u s s i n g w i t h t h e Camara de Vereadores . . . I d o n ’ t d i s a g r e e w i t h t h ep ro po sa l o f t he c oo rd in at or s, b ut t he p ro po sa l i s a ls o a w ay o f a pp ro -p r i a t i n g t h e i s s u e . I f w e a r e g o i n g t o d i s c u s s w h a t t h e a u t o n o m y o f t h eCO P i s, th en t her e i s mu ch mo re to b e d isc uss ed. ’’ Im pl ied i n th isc o m m e n t i s , o f c o u r s e , t h e f a c t t h a t t h e i s s u e o f t h e a u t o n o m y o f t h eC OP m us t b e r ai se d n ot o nl y v is -a- v i s t he C V b ut a ls o v is -a- v is t heexecutive.

T h e i s s u e o f o f f i c i a l c o d i f i c a t i o n o f P B h a s b e e n d i s c u s s e d o n a n d o f f i n t h e C O P . S o m e c o u n c i l o r s h a v e f a v o r e d s o m e k i n d o f l e g a l i n s t i t u -t io na li za ti on . O th er s h av e o p po se d i t i n t he n am e o f P B’ s a u to no my , a nautonomy that should be expressed in a form of l egal plurality.A c c o r d i n g t o t h e m , i t a m o u n t s t o a k i n d o f l e g a l f e t i s h i s m , a n d t h e r e -f or e t o p ol it ic al a li en at io n, n ot t o a cc ep t a s f ul ly l eg al t he b ot to m- upi n f o r m a l a n d u n o f f i c i a l l e g a l i t y t h a t h a s e m e r g e d f r o m t h e s t r u g g l e f o r

p a rt i ci p at o ry d e mo c ra c y. I n t h is d e ba t e, t h e i n te r na t io n al r e co g ni t io na n d p r a i s e o f P B i s o f t e n m e n t i o n e d . O n e o f t h e c o u n c i l o r s c o m m e n t e din the COP meeting of March 3, 1997: ‘‘ The way the PB has beeno p e r a t i n g i n t h e l a s t e i g h t y e a r s w i t h o u t a n y o f f i c i a l r e g u l a t i o n b y t h eg o v e r n m e n t i s w h a t m a k e s i t p o s s i b l e f o r u s t o g o a h e a d a n d b e i n t e r -nationally recognized.’’

T he i ss ue o f c od if ic at io n w il l p ro ba bl y r em ai n a s a n u nr es ol ve dtension in the Porto Alegre’s PB for some time. PB has, indeed,

de sta bi li ze d t he o ld w ay s of d oi ng p ol it ic s i n t he c it y, a nd th e C V i st r y i n g t o r e c o n s t i t u t e i t s p o l i t i c a l s p a c e i n t h e n e w p o l i t i c a l c o n d i t i o n sc re at ed b y P B. T hi s r ec on st it ut io n m ay , n on et he le ss , r ev ea l s om eu n e x p e c t e d c o n t i n u i t i e s wi t h t h e ‘‘o l d wa y s .’’


S i n c e P B i s a v e r y d y n a m i c s o c i a l a n d p o l i t i c a l p r o c e s s , i t i s d i f f i c u l t t o

d ra w m an y c on cl us io ns o r p ro je ct io ns f ro m i t. U p u nt il n ow , P B h asb ee n a r em ar ka bl e m ea ns o f p ro mo ti ng c it iz en p ar ti ci pa ti on i n d ec i-s i o n s c o n c e r n i n g d i s t r i b u t i v e j u s t i c e , t h e e f f e c t i v e n e s s o f d e c i s i o n s , a n dt h e a c c o u n t a b i l i t y o f t h e e x e c u t i v e a n d o f t h e d e l e g a t e s e l e c t e d b y t h ec o m m u n i t i e s t o t h e C O P a n d t h e F o r u m o f D e l e g a t e s . T h e s u c c e s s o f P B h a s b e e n w i d e l y r e c o g n i z e d , n o t o n l y i n t h e c i t y o f P o r t o A l e g r e a n d


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i n B ra zi l, b ut a ls o i nt er na ti on al ly . M an y c it ie s i n B ra zi l, t hr ou gh ou tL a t i n A m e r i c a , a n d a l s o i n E u r o p e h a v e b e e n a d o p t i n g t h e P B s y s t e mu n d e r v a r i o u s f o r m s .

T o m y m i n d , t h e f u t u r e o f P B d e p e n d s , t o a l a r g e e x t e n t , o n h o w i t sp r in c ip l es a n d p r ac t ic e s o f d e mo c ra t ic p a rt i ci p at i on a r e s t re n gt h en e da nd ex te nd ed t o a re as or i ss ues th at ha ve n ot y et be en i nc lud ed i n P B. Ita ls o d ep en ds o n h ow i ts a ut on om y i s i m pr ov ed a nd c on so li da te d s o t ha tt h e b r e a k w i t h t h e o l d c l i e n t e l i s t p o l i t i c s b e c o m e s i r r e v e r s i b l e .

T he a ss es sm en t o f P B s ho ws t ha t t he se a re v er y d em an di ng c on di -t i o n s a n d m a y e v e n i n v o l v e s o m e d i l e m m a s . F o r i n s t a n c e , t h e c o n s o l i -dation of PB makes pol itical sense only if it breaks with the old

p at ri mo ni al is t- cl i en te li st s ys te m. B ut i s s uc h c on so li da ti on p os si bl ew i t h o u t s o m e f o r m o f c o n t i n u i t y w i t h t h e o l d s y s t e m ? A s a n e m e r g e n tp ol it ic al r ea li ty , P B t en ds t o h av e a d es ta bi li zi ng e ff ec t, n ot o nl y i np ol it ic al t er ms , b ut a ls o i n i de ol og ic al a nd c ul tu ra l t er ms . H ow ev er , ad es ta bi li zi ng i de a t ha t s uc ce ed s i n b ec om in g a s us ta in ab le p ra ct ic e i sa lw ay s i n da ng er of l osi ng i ts d es tab il iz in g p ot en ti al a s i ts s uc ce ssi nc re as es . T he r ou ti ne o f m ob il iz at io n l ea ds t o r ou ti ne m ob il iz at io n.

P a r t i c i p a t i o n r e m a i n s h i g h b u t c o m m o n c i t i z e n s a r e g r a d u a l l y r e p l a c e db y s p e c i a l i z e d p a r t i c i p a t o r y c i t i z e n s . T h e d i l e m m a h e r e r e s t s i n t h e f a c tt h a t , a l t h o u g h t h e r a d i c a l i z a t i o n o f t h e e x p e r i m e n t i s t h e o n l y w e a p o na ga in st r ou ti ni za ti on , t he re i s a n u nd et er mi na bl e t hr es ho ld b ey on dw hi ch r ad ic al iz at io n w il l i rr ev er si bl y c om pr om is e t he s uc ce ss o f t hee xp er im en t. T he re i s n o w ay o ut o f t hi s d il em ma . Y et t he t en si on i tc re at es m ay i ts el f b e s us ta in ab le ( th us c on tr ib ut in g t o t he c on ti nu in g, i f a lw ay s p ro bl em at ic , s uc ce ss o f t he e xp er im en t) p ro vi de d t ha t t he

p ar ti ci pa nt s e ng ag e i n a r ef le xi ve s el f- su bv er si on : b y t hi s I m ea n t hec on st an t r ad ic al i za ti on o f p ol i ti ca l c on sc io us ne ss c en te re d o n t he l i mi tso f t h e r a d i c a l i z a t i o n o f p o l i t i c a l p r a c t i c e .

P B i s t od ay p ar t o f c ou nt er -h eg em on ic g lo ba li za ti on , n ot j us t b ec au sei t i s b ei ng r ep li ca te d i n o th er c it ie s a ro un d t he w or ld , b ut a bo ve a llb ec au se i ts e ma nc ipa tor y a sp ira ti on f or so ci al j ust ic e c arr ie d o utt h r o u g h a p o l i t i c a l s t r a t e g y b a s e d o n i n n o v a t i v e c o n c e p t i o n s o f d e m o c -r a cy a n d l e g a li t y a n d o n n e w a r ti c ul a ti o ns b e tw e en p o li t ic a l p a rt i es a n d

s oc ia l m ov em en ts h as b ec om e o ne o f t he m os t c re di bl e g ui di ng i de asm o bi l iz i ng c o un t le s s s o ci a l m o ve m en t s a n d p r og r es s iv e N G Os a r ou n dt he w or ld i n t he ir s tr ug gl es a ga in st e xc lu si on , d is po ss es si on , a nd d is -c r im i na t io n p r od u ce d o r i n te n si f ie d b y n e ol i be r al g l ob a li z at i on . P B i st od ay a c ru ci al p ie ce o f t he n ew r ed is tr ib ut iv e d em oc ra cy a t t he l oc all ev el . I ts p ol it ic al l og ic i s t he c re at io n o f p ub li c, n on st at e s ph er es i n

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w h i c h t h e s t a t e i s t h e k e y a g e n c y o f a r t i c u l a t i o n a n d c o o r d i n a t i o n . T h ec r e a t i o n o f t h e s e p u b l i c s p h e r e s i s , i n t h e p r e s e n t c o n d i t i o n s , t h e o n l yd em oc ra ti c a lt er na ti ve t o t he p ro li fe ra ti on o f f as ci st p ri va te s ph er es

s an ct io ne d b y t he s ta te ( se e S an to s 2002) . P B e pi to mi ze s t he e me r-g e nc e o f n e w p o li t ic a l c o ns t el l at i on s o f d e mo c ra t ic s t ru g gl e s a l lo w in gf or m or e a nd a mp le r d em oc ra ti c d el ib er at io ns o n g re at er a nd m or ed i f f e r e n t i a t e d a s p e c t s o f s o c i a b i l i t y . I t p o i n t s t o f o r m s o f h i g h - i n t e n s i t yd em oc ra cy e me rg in g i n d if fe re nt w ay s i n d if fe re nt p ar ts o f t he w or ld a s ap r o g r e s s i v e a n d c r e a t i v e r e s p o n s e t o t h e t r a n s f o r m a t i o n s u n d e r g o n e b yt h e s t a t e i n t h e l a s t t w o o r t h r e e d e c a d e s . T h i s s u b a l t e r n c o s m o p o l i t a np ol it ic s a nd l eg al it y i s n ot j us t t ak in g t he s ta te s er io us ly , i t i s r at he r

co nve rti ng i t i nto w ha t I h av e c al le d th e n ew es t so ci al m ov em en t(Santos 2002:Chapter 9).

A s P B i ll us tr at es , t he s ta te a s t he n ew es t s oc ia l m ov em en t c ar ri esw it h i t a m aj or tr an sf orm ati on of st ate l aw a s w e k now i t. Co sm op ol it anl aw i s h er e t he l eg al c om po ne nt o f s tr ug gl es f or d em oc ra ti c p ar ti ci pa -t i o n a n d e x p e r i m e n t a t i o n i n s t a t e p o l i c i e s a n d r e g u l a t i o n s . I t i n v o l v e sb o t h s t a t e o f f i c i a l l a w a n d n o n - s t a t e ( o r q u a s i - n o n - s t a t e ) , u n o f f i c i a l ( o r

q u a s i - u n o f f i c i a l ) l a w p l a y e d o u t i n f o r m s o f c o n f r o n t a t i o n a l o r c o m p l e -m e n t a r y l e g a l p l u r a l i t i e s a n d i n t e r l e g a l i t i e s .

ReferencesAbers, Rebecca. 1998. ‘‘From Clien telism to Coopera tion: Local

G ov er nm en t, P ar ti ci pa to ry P ol ic y, a nd C iv ic O rg an iz in g i n P or toA l e g r e, B r a z il .’’ Politics & Society 26:511–537.

2000. Inventing Local Democracy: Grassroots Politics in Brazil. B ou ld er : L yn ne

Rienner.Avritzer , Leonard o. 2002. ‘‘Modelos de Delibera cao Democra tica: Uma ana -

l i s e d o o r ca m e n to p a r t ic i p a t iv o n o B r a s il .’’ P p . 5 6 1 – 59 7 i n Democratizar aDemocracia: Os Caminhos da Democracia Participativa, edited byB o a v e n t u r a d e S o u s a S a n t o s . R i o d e J a n e i r o : R e c o r d .

Baierle, Sergio. 1998. ‘‘Experie ncia do Orcamento Participativo: um oasis nod e s e r t o n e o l i b e r a l ? ’ ’ ( w w w .p o r t o w e b .c o m .b r ) .

2 00 1. ‘‘ OP a o T er m id or ?’’ P ap er p re se nt e d a t t he w or ks ho p O Orcamento

Participativo visto pelos seus investigadores, P o r t o A l e g r e , M a y 3 1 – J u n e 2 .B ec ke r, A . J . ( Ed .) . 2 00 0. A Cidade Reinventa a Democracia: As Contribuicoes do

Seminario Internacional sobre Democracia Participativa. Porto Alegr e:P r e f e i t u r a d e P o r t o A l e g r e .

Ca rv al ho , M ar ia d o C ar mo , a nd D eb or a F el gu ei ras . 2 00 0. OrcamentoParticipativo no ABC: Maua, RibeiraoPires e Santo Andre . Sa o Pa ulo : Po li s.


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C a rv a l ho , M a ri a d o C a rm o A l bu q u er q ue , A n a C l au d i a C . T e ix e ir a , L u ci a na

A n to n in i , a n d I n es M a ga l hae s . 2 0 02 . Orcamento Participativo nosMunicıpios Paulistas: Gestao 1997–2000. Sa o Paul o: Po lis .

Echevarrıa , C o ri n a. 1 9 99 . Democratizacion del Espacio Publico Municipal med-iante la Implementacion de Instituciones de Gestion Participativa: EstudioComparado de los casos de la Municipalidad de la Ciudad de Cordoba(Argentina) y la Prefectura de Porto Alegre (Brasil). MA Thesis,Universidad Nacional de Cordoba.

G e n r o , T a r s o, a n d U b i r a tan S o u z a. 1 9 9 7 . O Orcamento Participativo: a experi-encia de Porto Alegre. Sao Paulo: Fundac ao Perseu Abramo.

Larang eira, Sonia. 1996. ‘‘Gestao Publica e Particip ac ao: A Experi encia doO r ca m e n to P a rt i ci p at i v o e m P o rt o A l eg r e ( 1 98 9 –1 9 95 ) .’’ P a pe r p r e-

s en te d a t t he 488 Encontro Anual da Sociedade Brasileira para o progressoda Ciencia, Sao Paulo, July.

M o ur a , M a ri a S u za n a . 1 9 97 . Cidades Empreendedoras, Cidades Democraticas eRedes Publicas: Tendencias a Renovacao na Gestao Local. Salvador . P h DD i s s e r t a t i o n , U n i v e r s i d a d e F e d e r a l d a B a h i a .

S a n t o s , B o a v e n t u r a d e S o u s a . 1 9 9 8 . ‘ ‘ P a r t i c i p a t o r y B u d g e t i n g i n P o r t o A l e g r e :T o w a r d a R e d i s t r i b u t i v e D e m o c r a c y .’ ’ Politics & Society 26:461–510.

2002. Toward a New Legal Common Sense. L o n d o n : B u t t e r w o r t h s .

( E d .) ., f o r t h c o m i n g . Democratizing Democracy: Beyond the Liberal DemocraticCanon. L o n d o n : V e r s o .

V i ll a s- B oas , R e na t a ( E d. ) . 1 9 99 . Balanco das Experiencias de OrcamentoParticipativo nos Governos Locais. Sa o Paulo: Instit uto Polis.

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CHAPTER 14

LIFE, LIFE WORLD, AND LIFE CHANCES:VULNERABILITY AND SURVIVAL

IN INDIAN CONSTITUTIONAL LAW

Shiv Visvanathan and Chandrika Parmar


T h i s c h a p t e r i s a s e r i e s o f o b s e r v a t i o n s o n a t h o u g h t e x p e r i m e n t . I t i s

wri tt en b y t wo a uth ors , n ei th er of wh om i s a n a uth ori ty o n l aw bu t b ot ho f w h o m r e c o g n i z e t h a t l a w i s a k i n d o f e n v i r o n m e n t , a s e c o n d s k i n i nw h i c h m a n y o f u s s w i m . A s o n e w a g p u t i t , ‘ ‘ w h e n y o u d o n ’ t l i k e l a w ,o n e c a l l s i t b u r e a u c r a c y b u t w h e n o n e a d m i r e s a n d j u d g e s i t a s c r e a t i v eo r ex o t ic, it b eco m es ju r is p r u d ence.’’

T he c on st it ut io n o f I nd ia f al ls u nd er t he s ec on d c at eg or y. P op ul arf i lm s l i ke Dev, Garv, a n d Khakee, e nd ow i t w it h a n a lm os t c an on ic als ta tu s. H ow ev er , d ur in g t he l as t f ew y ea rs , t he N at io na l D em oc ra ti c

A ll ia nc e ( ND A) , t he c oa li ti on p ar ty w hi ch w as i n p ow er u nt il M ay2 00 4, w as k ee n t o i ns ti tu te a r ev ie w o f t he c on st it ut io n. T he re w as as en se t ha t t he c on st it ut io n, d es pi te a c or al r ee f o f a me nd me nt s, w asa na ch ro ni st ic . B ut t he d eb at e o ve r t he r ev ie w w as s ee n i n p ar oc hi alt e r m s a n d n o t m u c h c a m e o f i t .

T he a ut ho rs w er e r eq ue st ed t o w ri te a m on og ra ph o n t he D ir ec ti veP ri nc ip le s o f S ta te P ol ic y ( DP SP ). I nd ia i s o ne o f t he t hr ee c oun tr ie s,a lo ng wi th I re la nd a nd R us si a, w ho se c on st it ut io ns h av e a c ha pt er o n

DPSP. Par t I V o f t he I nd ian const it ut io n (Ar ticles 3 6– 51 ) contains t heDPSP. As rights, these are not enforceable, yet they constitute part of thefr ame wit hi n wh ich ri gh ts a re ar ti cul ated. Th e D PS P add a vi si on of economic democracy to the idea of fundamental rights. Included amongt hem are r eq uirement s t hat t he s tate has t o p ro vide free and com pu ls or yedu cation t o child ren, t he p ro hibition o f t he consu mp tion o f alcoholic

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d rink s, t he p ro hibition o f t he s laught er o f cow s, calves, and o ther m ilcha nd d ra ug ht c at tl e, a nd t he p ro te ct io n o f t he e nv ir on me nt ( se e B as u2001) . A s a l e g a l t e x t , t h e c h a p t e r o n t h e D P S P i s s e e n a s a n a n o m a l o u s

and ambiguous entity. The DPSP are not justiciable and yet are supposedt o b e cru cial for jud icial int er pr et at io ns . T hey lack t he u nivers alit y and t heapplicability of the constitution’s section on fundamental rights. In fact,m any law yers w e int er view ed consider t he chapt er as ‘‘no t law .’’ A s o neleading p ro fess io nal b lu nt ly s tated, ‘‘anyt hing t hat canno t s tand u p in aco u r t o f law s ho u ld no t b e in t he co ns t it u t io n.’’ Y et t he DPSP as a fr am e-work f or f utur e l aws – a wi sh li st, h eur is ti c, u topi a – con ti nues t o f asci nate .

T h e c o ns t it i ut i on a l r e vi e w c o mm i tt e e h a d r e qu e st e d a s t ra i gh t fo r -

w a r d r e p o r t o n t h e p r o g r e s s o f v a r i o u s i t e m s l i s t e d i n t h e c h a p t e r . W ed ec id ed t o p ur su e a d if fe re nt q ue st io n. W e d ec id ed t o a sk h ow f ut ur is ti cw e r e t h e D P S P , a n d w e u n r a v e l e d t h e q u e s t i o n b y c r e a t i n g a n e n c o u n -t er b et we en t he c on st it ut io n a nd t he s oc ia l p hi lo so ph y o f g ra ss ro ot sm ov em en ts an d N GO s. T he qu est ion we a sk ed wa s: i f th e Re vi ewC om mi tt ee , w it h i ts p ro fe ss io na l g al ax y o f l aw ye rs , h ad a s em in arw it h t he g ra ss ro ot s g ro up s f ig ht in g o ve r l an d, r oa ds , c as te , s oi l, a nd

h e a l t h , h o w w o u l d t h e D P S P b e r e - r e a d ?This chapter is divide d into sections. The second section raisest he p ro bl em at ic o f t he D PS P a nd e xa mi ne s h ow o ne s ho ul d r ea d t he m.T he t hir d s ect io n ex am ines t he w ho le is s u e o f s t at e r es p o ns ib ilit y fo r t heenvironment, focusing on the relation between the idea of the commonsand t he legal not io n o f eminent d om ains . T he fou rt h s ection examinest he L an d A cq ui si ti on A ct a nd i ts i mp li ca ti on s f or t he l ar ge -s ca le d is pl ac e-ment of people in India. The fifth section explores the possible approach

t o t ec hn ol og y a nd o bs ol es ce nc e b y c on si de ri ng t he f is hi ng s tr ug gl e i nK er ala as an examp le. T he s ix th s ection examines t he r elat io n b et weenc om mu ni ty a nd l iv el ih oo d, a nd s tu di es t he r ol e o f t he l oc al c om mu ni ty o rPanchayat system. The seventh section explores the issues of diversity andher it age. T he eight h and final s ect io n t hen lo cat es t he DPSP w it hin t hede bat e on dem oc ra cy, obse rvi ng th at a ne w vi si on of th e D PS P coul d p la ya role in creating frameworks, heuristics for encountering globalization.

14.2 I N D I V I D U A L R I G H T S V E R S U S T H E D I R E C T I V E

P R I N C I P L E S O F S T A T E P O L I C Y : B E T W E E N T H E

J U S T I C I A B L E A N D T H E N O N - J U S T I C I A B L E

Th e p re amb le to t he c on st itu ti on a nd th e DP SP a re th e t wo mo stdialogic parts of the consti tution. The preamble is virtually an

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i n v i t a t i o n t o t h e c o n s t i t u t i o n , a s k i n g t h e c i t i z e n t o w a l k t h r o u g h a n da r o u n d t h e c o n s t i t u t i o n a l e d i f i c e . T h e D P S P a r e a n a m p h i b i o u s e n t i t y .I f r ig ht s a re j us ti ci ab le , t he D PS P a re n ot . T he y a re d ir ec ti ve s t o t he

s t a t e a n d a r e s e e n a s i n s t r u m e n t s f o r g o v e r n a n c e . W h a t f a s c i n a t e s o n em os t a bo ut t he se d ir ec ti ve s w as t ha t t he y w er e h in ts o f u to pi a, b or -r o w e d a s f r a g m e n t s f r o m c o m p e t i n g u t o p i a s . T h e y a p p e a r l i k e a j i g s a wp uz zl e b ui lt f ro m b it s o f o th er j i gs aw p uz zl es . T hu s, y ou h ad f ra me s o rb y te s f r om G a nd h i, H i nd u is m , n a ti o na l is m , c o mm u ni s m, a n d s o ci a l-i s m . O n e c a n u n d e r s t a n d t h e f o r m a l e m b a r r a s s m e n t o f l a w y e r s d e a l i n gw i t h t h i s a r r a y o f a n o m a l i e s .

T w o t h i n g s i n t r i g u e o n e a b o u t t h e D P S P – t h e p r o b l e m o f l a n g u a g e

a nd t he c on ce pt o f t im e. E xp li ci tl y t he re i s o nl y on e t im e ba r. T he s ta tew a s e x p e c t e d t o p r o v i d e f r e e a n d c o m p u l s o r y e d u c a t i o n t o a l l c h i l d r e nu p t o t he a ge o f f ou rt ee n w it hi n t he f ir st t en y ea rs o f i nd ep en de nc e.T h i s w a s n o t f u l f i l l e d b u t i t r a i s e s a n i m p o r t a n t q u e s t i o n . S h o u l d o n eattach time bars t o t he D PS P? S ho ul d q ue st io ns o f h ea lt h, n ut ri ti on , a nde d u c a t i o n b e t i m e t a g g e d ? D o w e s a y t h a t a f t e r t e n o r t w e n t y y e a r s , t h ed i re c ti v e p r i n ci p le s , r a th e r t h a n b e in g w i sh f ul t h in k in g , s h ou l d b e co m e

a n e n f o r c e a b l e r i g h t ? D o w e t r e a t t h e m a s r i g h t s i n w a i t i n g ? O r a r e w eot he rwi se f or ce d to a cc ept th e ob se rva ti on i n t he C on sti tut ion alAssembly (1949) that it was a blank check drawn on a penuriousb a n k ? T h e q u e s t i o n o f a t i m e b a r m i g h t b e t h e o n l y m a r k e r o f s i n c e r i t y .

T her e i s a s ec on d n ot ion o f ti me , wh ic h th e i de a of r ig ht s n ee ds .A c it iz en e xi st s a lm os t a s a t im el es s e nt it y. T he D PS P w ou ld p ro vi deh i m w i t h a s e n s e o f a l i f e c y c l e . I t w o u l d s e e h i m n o t o n l y a s m a r g i n a lb ut a s o ld a nd d is ca rd ed . O ld a ge a s w el l a s c hi ld ho od t he n b ec om e

g r o u n d s f o r a c t i o n . T h e D P S P a l s o n e e d t o l i n k t h e b i o l o g i c a l c y c l e t ot h e i n n o v a t i o n c h a i n s o f t e c h n o l o g y . P o s s i b l y o n e c a n n o t h a v e h u m a nr i g h t s a g a i n s t o b s o l e s c e n c e , b u t s u r e l y o b s o l e s c e n c e i s a c r i t e r i a f o r t h eD P S P . T h e o b s o l e s c e n c e o f t h e w o r k e r a n d t h e c r a f t s m a n n e e d s s o m er ec og ni ti on i n a m an if es to o f c ar in g. I s t he o bs ol es ce nc e o f t ri be s,c ra ft sm en , a nd f ar me rs i ne vi ta bl e i n t he f ac e o f t ec hn ol og y o r i s i t ap r o c e s s t h a t c a n b e c h a l l e n g e d w i t h i n a n i d e a o f j u s t i c e ? T h e q u e s t i o nb e f o r e u s i s d o w e e m b r a c e t h e p r o g r e s s a n d i n n o v a t i o n o f t h e c o r p o r a -

ti on a nd c re ate l aws t o g ua ra nte e i t or do w e a lso c re at e a mo de l of c a r i n g f o r a d e f e a t e d p e o p l e ? O r d o w e j u s t l e t t h e m d i s a p p e a r f r o m o u rc e n s u s , d e - l i s t t h e m f r o m t h o s e i n c l u d e d i n a r e v e n u e v i l l a g e ?

H o w d o w e a p p r o a c h t h e D P S P ? O n e c a n d o i t systemically or system-atically. If one were systemati c, one woul d consi der each item in thes ho p p ing lis t and p r o v id e an as s es s m ent o f it s cu r r ent s t at u s . I t w o u ld b e

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a b it l ik e t he h um an d ev el op me nt i nd ic at or s p ro du ce d b y t he U ni te d Nations Development Program (UNDP). If one were systemic, one wouldnot s ee t hem as d is cr et e indicato rs b ut as r elational not ions. T he DPSP

a r e a s e t o f c o n n e c t i o n s . A t o n e l e v e l , t h e y l o o k l i k e a r a n d o m s e t o f d o t sor talking points. Which other constitution links cow slaughter, alcohol-i sm , e nv ir on me nt , a nd e mpl oy me nt i n on e f ra me ? We c oul d r ea d th e do tsli ke the points in a Kollam or rangoli. They are the poi nts aroun d whi ch wed raw a p ictu re o f gov er nance. W hat loo ks like chaos is act ually an idea o f a f u t u r e s o c i a l o r d e r . I n f a c t , t h e D P S P a r e v i s i o n s o f a f u t u r e social order.

There are different ways of seeing them. The first i s the often-r e p e a t e d j u s t i c i a b i l i t y a x i s . J u s t i c e C h i n n a p p a R e d d y u n f o l d s a s e c o n d

d i s t i n c t i o n . I n h i s r u l i n g i n t h e c a s e o f Akhil Bharatiya Soshit KaramchariSangh v. Union of India ( 19 81 ), h e c la im s t ha t t he f un da me nt al r ig ht sa re b as ic al l y p ol i ti ca l a nd d ea l w it h f re ed om a nd p ro te ct io n a ga in ste xc es si ve s ta te a ct io n. T he D PS P g ua ra nt ee n ot political f r ee d om b u tsocial and economic freedom through s ta te a ct io n. T he d is ti nc ti onb e t w e e n p o l i t i c a l a n d s o c i o e c o n o m i c i s c l e a r . T h e D P S P a r e t h e f u t u r ed u t i e s o f t h e s t a t e , b u t t h e y a r e p r e s e n t l y n o t b i n d i n g . I f w e d e a l w i t h

t h e d i r e c t i v e p r i n c i p l e d u a l i s t i c a l l y , w e g e t a n i m p o v e r i s h e d p i c t u r e o f t he m. T he D PS P s ho ul d b e t re at ed a s c yb er ne ti c l oo ps . T he y p ro vi de( 1 ) f r a m e w o r k s o f g u i d a n c e a n d f e e d b a c k f o r t h e s t a t e a n d ( 2 ) a w i d e re nv ir on me nt f or r ig ht s t o p re ve nt t he m f ro m b ec om in g a ri d. T he yp r o v i d e a v a r i e t y o f c o n t e x t s t o t h e f o r m a l t e x t o f r i g h t s . O n e c o n f r o n t sa s c e n a r i o o f c o n n e c t i o n s . T h u s , i n s t e a d o f s a y i n g t h e r e i s a r i g h t t o l i f ea b s t r a c t l y , w e l i n k life to livelihood, life style, life chances, a n d life world. If r ig ht t o l if e h as a f or ma l d ic ti on ar y m ea ni ng , t he D PS P p ro vi de t he

c on te xt s i n w hi ch t he r ig ht a cq ui re s n ew m ea ni ng s a nd c on ne ct io nsa nd e ve n a n ew dy na mi c. I n f ac t, th e D PS P be ha ve l ik e l in gu ist ics hi ft er s p ro vi di ng n ew f or ms o f s oc ia l a nd p ol it ic al m ea ni ng a nd t hu se n h a n c i n g t h e c r e a t i v i t y o f t h e f u n d a m e n t a l r i g h t s .

R i g h t s , r a t h e r t h a n b e i n g a f o r m a l l a n g u a g e , b e c o m e a w i d e - r a n g i n go r d i n a r y l a n g u a g e . R i g h t s , i n s t e a d o f b e i n g f o r m a l l y c o r r e c t , a c q u i r e as en se o f d ia le ct , p id gi n, E sp er an to , t ra ns la ta bi li ty . T he y a cq ui re t her ic hn es s o f a l an gua ge , n ot o nl y t he e xac ti tude of g ram mar . Th er e wa s a

s en se o f t hi s i n t he C on st it ue nt A ss em bl y. J us t c on si de r t he f ac t t ha tt h e D P S P u s e t e r m s l i k e vocation, job, work, a n d livelihood t o d i s c u s s t h ei de a of e mp loy men t. Wa s i t c ar el es sn es s or a se ns e t ha t e ach wor dc a u g h t a d i f f e r e n t m e a n i n g o f w o r k i n s o c i e t y ?

The se a re n ot j us t the f lui di ties o f c on te xt . Th e DPSP g et the iro ri gi na l c on te xt s f ro m t he v ar ie ty o f i de ol og ie s t ha t u nd er pi n t he m.


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T od ay , m an y o f t he se i de ol og ies a re d ea d o r p as siv e. S oci ali sm a s a ni m a g i n a t i o n h a s l o s t i t s e l o q u e n c e . H o w d o e s o n e s u s t a i n t h e s e a r c h f o rj u s t i c e i n t h i s c o n t e x t ? T h e r e a r e t w o f r a m e s , w h i c h p r o v i d e t h e n o t i o n

o f j u s t i c e i n a w i d e r s e n s e t o d a y . T h e r e i s f i r s t t h e i d e a o f e n t i t l e m e n t s ,w hi c h i s i nc or po ra t ed i n m a ny d ev el op me nt d is co u rs es i n cl ud in g t h eU ND P r ep or ts ( se e S en 1 99 9) . T he re i s t he n t he c ol lec ti ve v oi ce o f g ra ss ro ots g ro up s, w hi ch s ee k n ot j us t e nt it le me nt s, b ut a n i de a o f t hecommons n o t j u s t a s a r e s o u r c e p o o l , a g r a z i n g l a n d , b u t a l s o a s a g e n ep oo l o f s ki l ls , i de as , a nd k no wl ed ge s . E n ti t le me n t h a s a s i t s e pi c en te r,t he i nd iv id ua l o f l ib er al t he or y w hi le t he i de a o f t he c om mo ns c el eb ra te sc ivi l s oc ie ty ’s a tt em pt s t o i nc re as e t he n um be r o f c ho ic es i n a s oc ial

f r a m e . O n e c a n e x p l o r e t h i s b y e x a m i n i n g t h e D P S P o n e n v i r o n m e n t .

14.3 E Q U I T Y , E C O L O G Y , A N D L I F E C H A N C E S :

F U N D A M E N T A L R I G H T S A N D T H E C O M M O N S

T h e c o n s t i t u t i o n o f I n d i a i s t h e f i r s t c o n s t i t u t i o n t h a t f o r m a l l y r e c o g -n i ze d a s p ec i fi c r e sp o ns i bi l it y f o r t h e e n vi r on m en t . T h is r e co g ni t io n ,

h o w e v e r , w a s a g r a d u a l o n e . I n i t i a l l y , a s D i w a n a n d R o s e n c r a z ( 2001)p oi nt o ut , t he re w as l it tl e t o d if fe re nt ia te a n e nv ir on me nt al l aw f ro mo th er l aw s. T he s eq ue nc e w as a s ta nd ar d o ne o f t he e st ab li sh me nt o f a s tat ute a nd t he cr ea ti on of an a dmi ni st ra ti ve bo dy w ith pol ici ngp ow er . N o n ew p ri nc ip le s w er e e st ab li sh ed , a nd t he b od y o f c as e l aww as u nim p r es s iv e.

T h e C o n s t i t u e n t A s s e m b l y d i d n o t s y s t e m a t i c a l l y c o n s i d e r w h e t h e rt he q ue st io n o f e nv ir on me nt s ho ul d b e d ea lt w it h b y p ar li am en t o r s ta te

l eg is la tu re s. I n f ac t, e nv ir on me nt a s a n i ss ue b lu rr ed i nt o t he w id ers t r u g g l e b e t w e e n t h e c e n t r e a n d v a r i o u s s t a t e s a b o u t w h o s h o u l d w i e l dt h e s e p o w e r s . A t a m e e t i n g o f t h e d r a f t i n g c o m m i t t e e i n J u l y 1 9 4 9 t od is cu ss t he d iv is io n o f l eg is la ti ve p ow er s, t he M in is tr y o f A gr ic ul tu rep ro po se d t ha t f or es t a nd f is he ri es b e t ra ns fe rr ed f ro m t he s ta te l is t t o t hec on cu rr en t l is t ( th e j oi nt l is t o f r es po ns ib il it y b et we en s ta te s a ndc en tr e) b ut t hi s w as s tr on gl y o pp os ed b y s ta te r ep re se nt at iv es . I t w aso n l y i n 1 9 7 6 t h a t e n v i r o n m e n t a l p r o t e c t i o n w a s f o r m a l l y i n c o r p o r a t e d

i nt o t he c on st it ut io n t hr ou gh t he f or ty -s ec on d a me nd me nt . A rt ic le4 8 ( A ) w a s a d d e d t o t h e D P S P a n d s t a t e d : ‘ ‘ T h e S t a t e s h a l l e n d e a v o u rt o p ro te ct a nd i mp ro ve t he e n vi ro nm en t a nd t o s af eg ua rd t he f or es ts a ndw i ld l if e o f t h e c o un t ry . ’’ M o re i n te r es t in g ly , A r ti c le 5 1 A( g ) i n cl u de da mo ng th e f un da me nt al d ut ie s of t he c it iz en , ‘‘ th e r es po nsi bi li tyt o p ro te ct a nd i mp ro ve t he n at ur al e nv ir on me nt i nc lu di ng f or es ts ,


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l a k e s , r i v e r s a n d w i l d l i f e a n d t o h a v e c o m p a s s i o n f o r l i v i n g c r e a t u r e s . ’ ’O ne n ot ic es t ha t p ro te ct io n o f f lo ra a s o pp os ed t o f or es ts d oe s n ot f ig ur ei n t h e c o n s t i t u t i o n .

I f f o r m a l s t a t e m e n t s w e r e a n i n d e x , I n d i a w o u l d b e a m o n g t h e m o s tp r og r es s iv e e n vi r on m en t al n a ti o ns i n t h e w or l d. H o we v er , t h e I n di a nconstitution suffers not only from a formal gap between law anda pp li ca ti on b ut a ls o f ro m a d ee pe r s ch iz op hr en ia w he re t he s tr uc tu rea nd p hi los op hy of t he l aw i ts el f vi ti ate s th e n at ur e o f r ig hts . Th is i s mo stv i s i b l e i n t h e n a t u r e o f t h e F o r e s t A c t .

O ne m us t b eg in b y a sk in g w ha t i s t he p hi lo so ph y o f t he F or es t A ct ?How does i t re late t o th e probl em s of th e e nvi ronme nt i n In di a? An d

f i n a l l y w h a t i s i t a b o u t t h e F o r e s t A c t t h a t m a k e s i t t h e e p i c e n t e r o f t h eenv ir onment al crisis in I nd ia t hr eatening life, liv elihoo d, and life chances ?

T he q ue st io n o f e nv ir on me nt i n I nd ia d ea ls w it h s ur vi va l. I nd ia i sn o t j u s t a n a f f l u e n t c o u n t r y w i t h a n a f f i n i t y f o r a c l e a n e n v i r o n m e n t .E n vi r on m en t i n I n di a i s a b ou t e c on o mi c s. I n di a ’s f o re s t m o v em e nt s a r en ot f ig ht in g t o p ro te ct t he f or es ts b ec au se t he y l ov e ‘‘ na tu re ’’ b ut a ls ob e ca u se i t m e an s s u rv i va l . E n vi r on m en t al s t ru g gl e s i n I n di a a r e a b ou t

e co no mi cs a nd a bo ut j us ti ce . T wo p oi nt s m us t b e r em em be re d. A s T omK oc he rr y p ut i t, ‘‘ tw o t hi rd s o f I nd ia d ep en ds o n n at ur e f or s ur vi va l’’( s / d : 6 ) . T h e f o r e s t i s n o t w i l d e r n e s s b u t a h o m e o f t h e p e o p l e w h o h a v ea r el at io ns hi p w it h i t. We h av e t o a ls o r em em be r t ha t t he e nv ir on -m en ta l c ha ll en ge i n I nd ia i s n ot a bo ut c re at in g f re sh f ra me wo rk s f or l awb u t u n d o i n g t h e i m p a c t o f c o l o n i a l l a w a n d i t s c u r r e n t i m i t a t i o n s .

I ndi an f or es t l aw w as a c om bi na ti on o f O ri en ta l a nd A ng lo -S ax onl aw . T o u nd er st an d t hi s, o ne m us t u nd er st an d t he n ot io ns o f p ro pe rt y,

p os se ss io n, u se , a nd co nt ro l e ndemi c t o t he co lo ni al mo de l o f l aw.O ri gi na ll y, t he f or es t w as a c om mo ns . T he f or es t d we ll er s i n I nd ia d idn ot r ec og ni ze t he f or es t a s p ro pe rt y. S uch a n i de a d id n ot e xis t w it hint he ir w or ld vi ew . Fo re st d we ll er s me re ly p os se ss ed i t. I t w as t he r ule rs w hoclaim ed o w ner s hip o f fo r es t s . B u t in t he t r ad it io nal s ys t em , t hey d id no tclaim r ev enu e no r d id t hey gener ally int er fer e w it h t he fo r es t d w eller s .

T h e B r i t i s h d e s t r o y e d t h i s r e c i p r o c i t y b y a p p r o p r i a t i n g t h e O r i e n t a li d e a t h a t t h e k i n g o w n e d t h e l a n d . T h e y u s e d t h i s t o s u b v e r t t h e i d e a

o f t he c om mo ns . Th e s ove re ig n n ow h ad a bs ol ute r ig hts o ve r th ec om mo ns . C ol on ia l l aw o bt ai ne d c on tr ol o f f or es t l an d t hr ou gh t woc on ce pt s – t he i de a o f t he ‘‘ em in en t d om ai n’’ a nd t he i de a o f ‘‘ pu bl icp u r p o s e . ’ ’ I f c o n c e p t s c o u l d k i l l , t h e a b o v e t w o a r e d e f i n i t e l y e c o c i d a l .

T h e p r i n c i p l e o f e m i n e n t d o m a i n g u a r a n t e e d t h e c o l o n i a l s o v e r e i g ntotal control or soverei gnty over the forests. It also granted the


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s o v e r e i g n t h e r i g h t t o a p p r o p r i a t e t h e p r o p e r t y o f i n d i v i d u a l c i t i z e n s o f t h e f o r e s t . A c c o r d i n g t o t h e I n d i a n F o r e s t A c t o f 1 9 2 7 , ‘ ‘ n o p e r s o n c a nc la im a r ig ht t o p ri va te p ro pe rt y i n f or es t l an d m er el y b ec au se h e i s

d om ic il ed t he re , o r e ve n i f h is f or ef at he rs h av e l iv ed t he re f or c en tu ri es . Nor do such people have any rights over forest produce.’’ The Britishe mp lo ye d t he p ri nc ip le o f e mi ne nt d om ai n i n t he L an d A cq ui si ti onA c t o f 1 8 9 4 a n d t h e F o r e s t A c t . A f t e r i n d e p e n d e n c e , t h e g o v e r n m e n tof I ndi a r epl ic ate d t he pr in ci pl e of e mi ne nt do ma in i n th e Fo re stC o n s e r v a t i o n A c t 1 9 8 0 , a n d t h e W i l d l i f e P r o t e c t i o n A c t 1 9 7 2 . W h a tf or es t l aw d es tr oy ed w as t he n ot io n o f t he c om mo ns a nd t he t ri ba ls ’ri gh t t o oc cup an cy a nd u se o f t he f or est o r e ve n i n c on ce pt ua li zi ng i t. It s

i de a o f c ri mi na l l ia bi li ty c re at ed a c on fl ic t m od el o f f or es tr y, a p er pe tu alb a t t l e b e t w e e n t r i b a l s , p e a s a n t s , a n d t h e s t a t e o v e r t h e u s e o f t h e f o r e s t .T h e o v e r a l l i m p a c t w a s d e v a s t a t i n g . D i s t r e s s m i g r a t i o n b y t r i b a l s b e g a nw i t h t h e c o l o n i a l d e m a n d f o r r e v e n u e .

T he dest ru ct ion of t he f ores t a s a c om mo ns h as bee n o ne o f theo ve rl oo ke d a sp ec ts o f d ev el op me nt . I n f ac t, t he p os t-I nd ep en de nc ee ra p ai d l itt le a tt en ti on t o t he c om mo ns . T he g ov er nm en t e na ct ed

n um er ou s p ro pos al s f or l an d r ef or m b ut s uc h p la ns w er e c on ce rn edwith private property i n min d ( Si ng h 1986) . The g overnmen t h asa tt em pt ed t o i nc re as e t he p ur ch as in g p ow er o f t he p oor t hr ou gh l an dr ef or m a nd a gr ic ul tur al i np ut s, b ut i t h as f ail ed t o c on si de r t he d ec lin e o f t he c om mo ns. T he p ri va ti za ti on o f t he c om mo ns d es tr oy ed p eo pl e’ sa cc es s t o l an d, t o r aw m at er ia ls , t o m in or f or es t p ro du ce , m ed ic in es ,a nd f irewo od . Wha t i s wors e, i t t ur ne d wh at was f ree i nt o a ma rk eteco no m y. T he d es t r u ct io n o f t he co m m o ns m ight b e t he gr eat es t s o u r ce

o f t h e p o v e r t y o f t h e c o u n t r y s i d e . N o t o n l y d i d i t m o n e t i z e t h e f o r e s t , i tc r e a t e d a f u r t h e r i n j u s t i c e i n t h e v e r y m a n n e r i t c l a s s i f i e d t h e f o r e s t f o ru s e ( s e e J o d h a 1994).

F or es t p ro du ce w as c la ss if ie d i nt o m aj or a nd m in or f or es t p ro du ce .A c c o r d i n g t o t h e f o r e s t d e p a r t m e n t , o n l y t i m b e r a n d f u e l w o o d , w h i c ht h e i n d u s t r i a l i s t n e e d e d f o r r a w m a t e r i a l a n d t h e s t a t e f o r r e v e n u e , a r ec o n s i d e r e d m a j o r f o r e s t p r o d u c e . T h e r e s t , w h i c h t h e t r i b a l s u s e a n d a r ed ep en de nt o n, i s ‘‘ mi no r f or es t p ro du ce .’’ F er na nd es , M en on , a nd

V ei ga s ( 19 98 ), in t he ir s tu dy o f O ri ss a, s ho w t ha t t he t ri ba ls de pe ndf o r 5 0 p e r c e n t o f t h e i r n e e d s f o r f o o d , c a t t l e f o d d e r , a n d o t h e r n e e d s o nm i n o r f o r e s t p r o d u c e . T h e y a d d t h a t , i n a c o u n t r y i n w h i c h ‘ ‘ m o d e r n ’ ’a ll op at hi c m ed ic in e b as ed h ea lt h c ar e i s n ot a cc es si bl e t o t he r ur ali nh ab it an ts , t he t ri ba ls h av e t o d ep en d o n w il d m ed ic in al s hr ub s, h er bs ,r o o t s , a n d f r u i t s f r o m t h e f o r e s t .


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C ha tr ap at i S in gh (1986) , o ne o f th e mo st br il lia nt e xpon en ts onc om mo n p ro pe rt y r es our ce s, a rg ue d t ha t t he s oc ia li s m o f t he c on st it ut io nw as a m is di re ct ed o ne , p ar ti cul ar ly i n t he w ay i t p ri va ti ze d t he c om mo ns .

H e r e m a r k e d t h a t i t i s n o r m a l t o t h i n k o f a s o c i a l i s m t h a t d i s e m p o w e r st he m ah ar aj ah s ( ki ng s) a nd t he z am in da rs ( la nd lo rd s) . B ut s uc h a s im -p li st ic v ie w o ve rl oo ks t he f act t hat t he s ame l aw s o f a cqu is it io n a ndd en ia l of c om pe ns ati on a ppl y t o f ore st d we ll ers a nd t rib al s w ho a re a t t heb o t t o m o f t he p o v er t y line. Ev id ent ly, t he ju r is p r u d ence co ncer ning t hes ta te ’s po we r u nde r e mi ne nt d om ai n i n I nd ia m us t w ork o ut a m uc h m or eco m p lex s o lu t io n fo r co m p ens at io n s o t hat it d o es ju s t ice t o t he p o o r (o rt ho se wh o h ave be en ma de p oo r) a nd i s n ot mer el y pr eo ccu pi ed wi th th e

ap p r o p r iat io n o f t he w ealt h o f t he r ich. Jodha (1994) , i n h is c la ss ic e ss ay on c om mon p ro pe rt y re so ur ce s, a dd s a

d ev as t at ing s et o f d at a b as ed o n his s t u d ies o n s ix s t at es . J o d ha co nclu d edt h a t : ( 1 ) t h e r u r a l p o o r r e c e i v e t h e b u l k o f t h e i r f u e l s u p p l i e s a n d f o d d e rfro m com mo n p ro pert y r es ou rces (CPRs ) (CPR incom e accou nt s for aco ns er v at iv e es t im at e o f 1 4 t o 2 3 p er cent o f ho u s eho ld inco m e); and (2 )for t he r ur al p oo r, emp lo ym ent d ays gener at ed b y CPR -b as ed act iv it ies

w er e h ig he r t ha n t he d ay s o f e mp lo ym en t o n t he ir o wn f ar m o r p ub li cworks under the anti-poverty programs (Jodha 1994:170–172). One mustals o co ns id er b enefit s t o t he v illage as a w ho le r at her t han t o ind iv id u alhouseholds. Those villages where CPRs were managed well had, accord-ing t o J od ha’s s ur vey, b et ter nut rit io n, no d rink ing w at er p ro blem , andlesser dependence on government grants and relief.

T h e o v e r a l l s t u d i e s o f t h e F o r e s t A c t r e v e a l t h a t i t c r e a t e d o n l y a ni ro ni c s oc ia li sm t ha t i mp ov er is he d t he p oo r. T he s ta te , r at he r t ha n

b ei ng a n a ge nc y f or w el fa re , b ec om es e co lo gi ca ll y d es tr uc ti ve . I tse co lo gi ca l m an ag em en t w as v io la ti ve o f j us ti ce . W e a re t hu s f ac edw it h t wo s ta rk q ue st io ns . S ho ul d t he D PS P a ff ir m t he v al id it y o f t hec o m m o n s ? S e c o n d l y , s h o u l d t h e F o r e s t A c t b e c o m p l e t e l y t r a n s f o r m e ds o t ha t i t i s i n l in e wi th t he r ud ime nt s of j us ti ce g ua ra nt eed b y th ec on st it ut io n? W ha t o th er w ay s e xi st t o b ri dg e t he g ap b et we en l eg is -l at iv e s af eg ua rd s a nd e co lo gi ca l l aw le ss ne ss ? T he re i s f in al ly n ot j us ts c h i z o p h r e n i a o f l a w b u t a l s o a f a i l u r e o f l e g a l i n n o v a t i o n . S i n g h n o t e s

t ha t c om mo n l aw l eg is la ti on e ls ew he re h as i nv ok ed n ew l eg al p ri nc i-p l e s . H e n o t e s t h a t o c c u p a n c y r i g h t s o f t r i b a l s o v e r c o m m o n l a n d h a v en o w b e e n e s t a b l i s h e d i n C a n a d a , N e w Z e a l a n d , A u s t r a l i a , a n d N i g e r i a(1986: 24) . I t i s su ch a l ac un a t ha t t he r evi ew c omm iss io n a nd g ra ssr o o t s g r o u p s m u s t c o n s i d e r , e s p e c i a l l y a s c o m m o n l a w i s s u e s g o b e y o n dq u e s t i o n s o f t h e l e f t a n d t h e r i g h t .


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14.4 R E T R O G R A D E L A W S : T H E L A N D A C Q U I S I T I O N A C T

If t he d est ru ct io n o f th e c omm ons i s o ne o f th e g re at c hal len ges f or

d ev elo p ing t he no t io n o f r ight s t o d ay, t he Land A cq u is it io n A ct (LA A )o f 1 89 4, w hi ch a ll ows t he s ta te t o a cq ui re a ny l an d f or ‘‘ na ti on al pu rp os e’’w it hou t t he p r om is e o f r eset tlement, t he d epr edat io ns o f d evelop mento ff er a s ec on d c ri si s o f o pp or tu ni ty. I n b ot h, t he q ue sti on o f p ov er ty i s t hev ex at io us i ss ue . I n t he f ir st , i t w as a qu es ti on of c om mo n pr op er ty . I n t hes ec on d, i t i s a q ue st io n o f p ri va te p ro pe rt y a pp rop ri at ed f o r d ev el op me nt .T o m o s t m a r g i n a l s i n I n d i a , t h e L A A c o n s t i t u t e s a t r a g e d y a s b i g a s t h ed is po ss es si on o f t he c om mo ns , p ar ti cu la rl y t he s tr ug gl e o f t ri ba ls a nd

peasants against large development projects.L a rg e d ev el o pm en t p ro je c ts d em a nd l a rg e t r ac t s o f l a nd , w hi c h a re

a cq ui re d u nde r t he L AA . T he L AA a ll ow s t he s tat e t o a ss er t i ts r ig htove r a p ie ce of l and prov ided i t i s a cquir ed f or the p ubli c g ood. Forg ra ss ro o ts s t ru gg l es , t he w or ds ‘‘ p ub l ic g oo d’’ a n d ‘‘ na t io na l p u rp os e’’h a v e b e e n d e v a s t a t i n g t h r e a t s t o l i v e l i h o o d s . L e t u s b e g i n w i t h a l i t a n yo f f ac ts . A cco rd in g t o t he Indian Disasters Report (Paras u ram an andU nnik ris hnan 2 0 0 0), d ev elo pm ent p r o ject s like d am s , r o ad s , and canalsh av e d is pl ac ed 5 00 ,00 0 p eo pl e e ac h y ea r a s a d ir ec t c on se qu en ce o f l and a cq ui si ti on . T he r ep or t a dd s t ha t h yd ro el ec tr ic a nd i rri ga ti onp ro je ct s a re t he l arg es t s ou rc e o f d is pl ace me nt , f ol low ed b y m in es ,p ow er s t at i on s, i nd us t ri a l c om pl e xe s, a n d m il i ta ry i n st al la ti o ns , a ndfinally s anct u ar ies and p ar k s and t echnical int er v ent io ns .

E ac h m od e o f a cq ui si ti on h as t ri gg er ed a n e mb le ma ti c g ra ss ro ot ss t r u g g l e l i k e K o e l - K a r o , B a l l i a p a l , R a j a j i N a t i o n a l P a r k , R a w a t B h a t a ,

a n d t h e f i s h i n g s t r u g g l e i n K e r a l a . T h e d e m o g r a p h i c s o f d i s p l a c e m e n t sa re a ls o r ev ea li ng . T he 2 9t h R ep or t o f t he C om mi ss io ne r f or S ch ed ul edC as te s a nd T ri be s n ot es t ha t, e ve n t ho ug h t ri ba l p eo pl e a re r ou gh ly7 .5 p er ce nt o f t he p op ul at io n, o ve r 4 0 p er ce nt o f t he d is pl ac ed u nt il1 99 0 c am e f ro m t he se c om mu ni ti es ( se e F er na nd es 1995 : 50 ). T heo ff ic ia l W or ki ng G ro up o n D ev el op me nt a nd W el fa re o f S ch ed ul edT r i b e s c o n c l u d e d o n t h e b a s i s o f a c o m p r e h e n s i v e s t u d y o f 1 1 0 p r o j e c t st ha t 1 .6 m il li on p eo pl e w er e d is pl ac ed b y t he se p ro je ct s. T he r ep or t a ls o

f o cu s ed a t te n ti o n o n ‘‘ m ul t ip l e d i sp l ac e me n ts . ’’ M a ny c o mm u ni t ie s ,w h ic h u n de r we n t r e se t tl e me n t, w e re d i sp l ac e d a s e co n d t i me w i th o uta n y c o n s i d e r a t i o n o f t h e t r a u m a i t e n t a i l e d . T h e e x a m p l e s o f S i n g r a u l i ,t he N ew M an ga lo re P or t, t he K on ka n r ai lw ay s, a nd t he K al na i d amc om e i mm ed ia te ly t o m in d. T he q ue st io n o ne i s f or ce d t o a sk i s: a rec ur re nt I nd ia n m od el s o f d ev el op me nt g en ui ne ly c on st it ut io na l?


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S e c o n d l y , i s t h e L a n d A c q u i s i t i o n A c t v i o l a t i v e o f t h e D P S P a n d t h e i rp ro mi se o f l iv el i ho od ? T hi rd ly , s ho ul d w e d ef in e m or e s tr ic tl y w ha t‘‘ p ub l ic p u rp o se ’’ o r ‘‘ n at i on a l p u rp o se ’’ m e an ? S h ou l d t h e D P SP c o n-

s t it u ti o na l ly d e ma n d s o ci a l i m pa c t a s se s sm e nt s o f l a rg e -s c al e p r oj e ct s ?S ho ul d w e c on si de r t he se a ud it s m er el y t ec hn ic al d ev ic es o r i ns tr u-m e nt s o f j u st i ce g u ar a nt e ei n g s o me p r ot e ct i on t o t h e m o st v u ln e ra b les ec ti on s o f o ur s oc ie ty ? M ov em en ts a ga in st d is pl ac em en t c on st it ut eo ne o f t he k ey s tr ug gl es a ga in st i nj us ti ce . H ow d o t he D PS P r es po ndt o t h i s i s s u e ?

T h e L A A w a s a c o l o n i a l i n v e n t i o n c r e a t e d t o a c q u i r e p o s s e s s i o n o f l a nd f o r r o ad s , c a na l s, s a lt m a nu f ac t ur e , r a il w ay s , a n d p u bl i c p r oj e ct s .

T he a cq ui si ti on w as l eg it im at ed i n t er ms o f t he p ri nc ip le o f e mi ne ntd o m a i n a n d j u s t i f i e d o n g r o u n d s o f ‘ ‘ n a t i o n a l o r p u b l i c p u r p o s e . ’ ’ W h a ta n o r d i n a r y c i t i z e n w a n d e r i n g t h r o u g h t h e m a z e o f l a w i s s t u n n e d b y i st h e c o m p l e t e l a c k o f d e f i n i t i o n o f w h a t p u b l i c p u r p o s e m e a n s . T h e r e i sn o l e gi sl at io n d ef in in g p ub li c p ur po se . W ha te ve r l ea ds o ne h as , c om ef ro m c ase l aw. T he c our t r ul in gs i n Petit v. Secretary of State for India,Kameshwar Singh, etc. r ev eal th at there i s n o a tt emp t to d efin e th e

c o n c e p t . I n f a c t , t h e c o u r t s h a v e v e e r e d a w a y f r o m s u c h a t a s k , p l e a d i n gf or a n A li c e- in -W on de rl an d- li ke e la st ic it y. T he M ul la C om mi tt ee( 19 79 ) a tt em pt ed t o l is t t he u se s o f t he w or d ‘‘ pu bl ic ,’’ s ta ti ng t ha t t hi sl i s t o f s y n o n y m s d e f i n e d t h e l i m i t s o f u n i v e r s e ( S i n g h 1986:37). Oddly,t he c ou rt a nd t he c om mi tt ee s s ee m f a sc in at ed b y ‘‘ p ur po se ,’’ b ut s ee mw ar y o f d ef in in g ‘‘ pu bl ic .’’ T he r ea li st ic c yn ic is m o f S in gh (1986) a t t r i -b ut es i t t o t he f act t ha t i t i s t ac it ly u nd er st oo d t hat t he w or d ‘‘ pub li c’’r e f e r s t o t h e r i c h . I t i s t h e y w h o b e n e f i t f r o m t h e s e l e g i s l a t i o n s , a n d i t i s

t h e y w h o c a n a f f o r d t o g o t o t h e c o u r t s . T h e d e m a n d f o r a d e f i n i t i o n o f ‘‘ pu bl ic p ur po se ’’ h as b ee n o ne o f t he c on si st en t d em an ds o f g ra ss ro ot sg ro up s. Wh o t he ‘‘ pub li c’’ i s n ee ds t o be d ete rm ine d. A re v ic ti ms of d ev elo p m ent a p ar t o f t he p u b lic (s ee R am anat han 1995:45–49)?

I t i s i n t h i s c o n t e x t t h a t g r a s s r o o t s g r o u p s h a v e s o u g h t t o c o m m e n ts yst ema ti ca ll y o n t he n ew a dd iti on s t o th e LA A. On e o f t he p le asr es on at in g t hr ou gh t hi s g ro up i s t ha t d ev el op me nt f ol l ow s t he D PS Pa n d t h a t t h e l a t t e r i n c l u d e t h e r i g h t t o r e h a b i l i t a t i o n .

Th e f ir st t hi ng t ha t g ra ss ro ot s g ro up s r ec og ni ze i s t ha t t he a me nd ed A ctdoes not define public purpose either. They recognize that developmentand r es et tlem ent are r elat iv e s tr anger s t o t he law . W hile t he emp ow er -m ent o f t he s t at e t o acq u ir e co nt r o l o v er land , fo r es t s , and o t her nat u r alr es ou rces has b een enabled b y t he law , t he u mb rella o f ‘‘pu blic p ur po se’’h as p ro vi de d i t s he lt er f ro m j udi ci al c ha ll en ge. Th e c hal le ng e o f t he


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grass ro ot s is s im ple. T he glos sary o f d ev elop ment , p ub lic p ur po se, andnational interest necessarily entails the displacement of a people.

T he se g ro up s ( se e R am an at ha n 1995) h av e p ro po se d a t ri pa rt it e

mo di fi ca ti on of th e L AA. Th ey d em an d: ( 1) t he de fi ni ti on o f th ec on ce pt o f p ub li c p ur po se ; ( 2) t he r ig ht t o i nf or ma ti on s en si ti ve t ot he f ac t t ha t w e o pe ra te i n a s oc ie ty w hi ch i s g en er al ly i ll it er at e a ndev en m or e i ll it era te a bo ut t he l aw; a nd ( 3) a wi de r un de rs ta nd in g of th en o ti o ns o f c o mp e ns a ti o n a n d r e ha b il i ta t io n , w h ic h u n de r st a nd s l i ve -l i h o o d a n d c o m m u n i t y i n i t s w i d e s t s e n s e .

W hat t he grass ro ot s r eflect io ns o n d ev elop ment p ro ject s d o is t o p ro videa c om me nt ar y o n j us ti ce a nd so ci al is m o f t he c on st it ut io n. O ne i s t em pt ed

in fact t o r ed efine s o cialis m no t in t he ‘‘ind u s t r ial’’ s ens e b u t o n b ehalf o f t ribals , p easant s, and o ther m ar ginals . H er e, s ocialism is not d efined int er m s o f t he o p p o s it io n o f p u b lic t o p r iv at e, b u t is s o cialis m b as ed o n t her ed is co v er y o f t he co m m o ns and t he r eco v er y o f t he co m m u nit y and o f anotion of justice beyond compensation.

T he N at io na l W or ki ng G ro up o n D is pl ac em en t, w hi ch i nc lu de d as p e c t r u m o f a c t i v i s t s l i k e A c h y u t Y a g n i k , P r a d i p P r a b h u , G i r i s h P a t e l ,

M ed ha P at ka r, a nd B it tu S ah gh al , c ap tu re s t hi s l og ic a nd s pi ri t i n i tss u g g e s t i o n s . T h e r e p o r t ’ s w r i t e r s c a n m e r e l y h i g h l i g h t t h e i r a r g u m e n t s .‘‘ Th e g ro up p ro po se s t ha t a ll p ro je ct s m us t b e p la nn ed a nd e xe cu te dw i t h i n t h e f r a m e w o r k o f c o n s t i t u t i o n a l l i m i t a t i o n s a n d i n f u r t h e r a n c eo f co ns t it u t io nal go als and v alu es ’’ (R am anat han 1995:48).

T he a ct iv is ts o pp os ed t o t he L AA t he n n ot e t ha t, ‘‘ as p eo pl e a ndc om mu ni ti es a re i nv ol un ta ri ly d is pl ac ed b y a p ro je ct , t he ir r ig ht t oreside and settle in any part of India under Article 19(1c) of the

C o ns t it u ti o n, s u bj e ct t o r e as o na b le r e st r ic t io n s i n t h e i n te r es t s o f t h eg en er al p ub li c i s c om pr om is ed . T he s pe ci al i nt er es ts o f t ri be s a re a ls oc o m p r o m i s e d . B y d i s p l a c i n g a n d u p r o o t i n g t h e c o m m u n i t y a n d d e p r i v -i n g i t o f i t s l i v e l i h o o d a n d r e s o u r c e b a s e , t h e p r o j e c t s d e p r i v e t h e m o f t he ir r ig ht t o l if e. ’’ T he g ro up a ls o d em an ds t ha t t he p ri nc ip le s o f j us ti cee m b o d i e d i n v a r i o u s d i r e c t i v e p r i n c i p l e s s h o u l d a n i m a t e t h e p r o j e c t s .

I n a c on sti tu ti on al s en se , w e h ave t o a sk wh eth er th e n oti on of s us ta in ab il it y c ou ld b e e ns hr in ed i nt o t he c on st it ut io n a s p ar t o f t he

D P SP . S u st a in a bi l it y i n co r po r at e s a n d c o nn e ct s j u st i ce , r e ne w ab i li t y,a nd e qu it y. M ay be s us ta in ab il it y i s n ot a n e nf or ce ab le r ig ht , b ut , a s p ar to f t h e D P S P , c o u l d i t b e a n a n i m a t i n g e l e m e n t o f t h e c o n s t i t u t i o n ?

O n e c o u l d a g r e e w i t h t h e w o r k i n g g r o u p t h a t ‘ ‘ t h e c o n c e p t o f p u b l i ci nt er es t r ai se s i mp or ta nt c on st it ut io na l q ue st io ns p ar ti cu la rl y i n t hel ig ht o f t he S oc ia li st S ta te a s d ec la re d i n t he P re am bl e a nd e qu it ab le


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d is tr ib ut io n o f n at io na l r es ou rc es a s e nu nc ia te d i n A rt ic le 3 9( b) a nd( c) o f t he C on st it ut io n’’ ( S in gh 1986:4 5) . Th e g ro up a dd s th at th eS u p r e m e C o u r t a n d t h e H i g h C o u r t h a v e t a k e n a n e n l i g h t e n e d v i e w o f

co ns t it u t io nal p r o v is io ns as r elat ing t o d ev elo p m ent p r o ject s . B u t s o m eeco no m ic and p hilo s o p hical is s u es r em ain:

( 1) a r ed ef in it io n o f t he c on ce pt o f p ub li c p ur po se a nd a p ub li c d eb at eo n i t ;

( 2) a c om pl et e l is ti ng o f p er so ns a ff ec te d b y t he p ro je ct . T he o wn er -s h i p a n d t i t l e o f l a n d s h o u l d n o t b e t h e o n l y c r i t e r i a . W h o e v e ri s d e p e n d e n t o n l a n d f o r l i v e l i h o o d s h o u l d e i t h e r d i r e c t l y o r

i n d i r e c t l y b e i n c l u d e d , s u c h a s l a n d l e s s l a b o r e r s , t r a d i t i o n a l l yu nau t ho r iz ed cu lt iv at o r s , encr o acher s , gr az er s , fis her fo lk , no m ad s ,a n d f o r e s t p r o d u c e g a t h e r e r s ( s e e R a m a n a t h a n 1 9 9 4 : 4 5 – 5 0 ) .

( 3) T he i de a o f c om pe ns at io n a s a n i nd ex o f j us ti ce n ee ds t o b er e t h o u g h t . ‘ ‘ C a s h c o m p e n s a t i o n i s t h e o n l y m o d e o f c o m p e n s a t i o nk n o w n t o l a w , ’ ’ b u t c a s h c o m p e n s a t i o n i s a r e d u c t i v e p o r t f o l i o o f t h e l a w a n d i t c a n n o t b e a d e q u a t e t o u n d e r s t a n d a l i v e d c o n c e p ts u c h a s l o s s o f l i v e l i h o o d . W h a t a r e m i s s i n g h e r e a r e t h e n o n -

t a n g i b l e s , w h i c h a r e n o t m o n e t i z a b l e , t h e s e n s e o f c o m m u n i t y a n dt h e p o s s i b i l i t y o f s u r v i v a l a n d c o m p e t e n c e a f t e r t h e t r a u m a o f displacement (Ramanathan 1995:48).

T he re i s f in al ly a p hi lo so ph ic al i ssu e w e m us t c on fro nt . I nd ia n l aw i sb asically u t ilit arian in it s u nder st and ing o f d ev elo pm ent . I t accep ts t hed is p ens ab ilit y o f m ar ginal p eo p le. I n fact , co s t – b enefit analys is b eco m esa s cient ific gu is e fo r elim inat ing m ar ginals fr o m t he p r o ces s o f d ev elo p -

m ent . W e need t o co ns id er t he fo llo w ing q u es t io ns : (1 ) W hat s ho u ld b et he i de ol og ic al o r p hi lo so ph ic al b as is o f t he D PS P a s a pp li ed t o d ev el -o pm en t p ro je ct s? ( 2) H ow d o w e i nc or por at e i de as o f s ust ai na bi li ty ,v ul ne ra bi li ty , a nd r en ew abi li ty i nto t he c on st it ut io n? ( 3) C an t heD PS P i nc or po ra te n on -m on et iz ed i de as o f c om pe ns at io n? ( 4) D oe s ar ight t o r ehab ilit at io n b elo ng t o t he fu nd am ent al r ight s o r t he DPSP?

14.5 T R A N S F E R O F T E C H N O L O G Y : R E N E W A B I L I T Y ,O B S O L E S C E N C E , A N D L I F E W O R L D

B et we en t he v io le nt a pp ro pr ia ti on c re at ed b y t he F or es t A ct a nd t hev i ol e nc e o f d i sp l ac e me n t c r ea t ed b y d e ve l op m en t p r oj e ct s l i es a t h ir df or m o f v io le nc e, t he v io le nc e o f o bs ol es ce nc e c re at ed b y t ec hn ic ali nt er ve nt io ns . W ha t o ne w is he s t o e mp ha si ze i s t ha t livelihood is a


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function not only of access to natural resources but also of access to technol-ogy. I t a ls o r ai se s t he q ue st io n o f j us ti ce a s a n ic hi ng o f t ec hn ol og ie s.T hi s q ue st io n h as b ee n r ai se d i n a s er ie s o f d eb at es a ro un d s hi ft in g

c ul ti va ti on , t he s tr ug gl e b et we en t ra wl er s a nd t ra di ti on al b oa ts , a nd t hef u t u r e o f c r a f t t r a d i t i o n s c e n t e r i n g a r o u n d m a t e r i a l s l i k e t h e b a m b o o . I to nc e a ga in e mp ha si ze s t he r el at io n b et we en t he i mp li ci t i de a o f t hec o m m o n s p r e s e n t i n t h e D P S P a n d t h e d e m a n d s o f j u s t i c e . I t r a i s e s i np a r t i c u l a r t h e i s s u e o f h o w t h e c o n s t i t u t i o n a n d t h e D P S P i n p a r t i c u l a rc o n f r o n t t h e i s s u e o f t h e t r a n s f e r o f t e c h n o l o g y .

U nfo r t u nat ely, t echno lo gy p er s e r eceiv es lit t le s ys t em at ic at t ent io ni n t h e D P S P . T h e q u e s t i o n o f l i v e l i h o o d a n d t h e r i g h t t o w o r k n e e d t o

fo cu s s ys t em at ically o n t he no t io n o f ‘‘o b s o les cence.’’ T he co ns t it u t io nh as f oc us ed o n n at ur al r es ou rc es a nd o n a ss is ta nc e t o w o rk er s, b ut i t h asl it tl e t o s ay a bo ut t ec hn ol og y a nd t ec hn ol og ic al i nt er ve nt io ns a s ac on st it ut io na l p ro bl em . W ha t c an t he D PS P, w hi ch u ph ol d t he r ig htt o w o r k , s a y a b o u t t e c h n o l o g y ? C a n s u s t a i n a b i l i t y w o r k w i t h o u t s e n s i -t iv it y t o r en ew ab il it y a nd o bs ol es ce nc e? H ow d oe s t he c on st it ut io nm ed ia te b et we en t he d yn am ic s o f s ub si st en ce a nd t he d yn am ic s o f

i nd us tr ia l i nn ov at io n? O ne i s n ot g et ti ng e mb ro il ed i n a ny r om an ti ci de a o f t ec hn ol og y. O ne i s o nl y a sk in g h ow a c on st it ut io n c on f ro nt si ss ue s o f t ec hn ol og ic al c ha ng e w it hi n t he f ra me wo rk o f j us ti ce a ndc h o i c e . S h o u l d a c e r t a i n s e n s i b i l i t y t o t h e s o c i a l a n d e t h i c a l p r o b l e m so f t h e t r a n s f e r o f t e c h n o l o g y b e a r t i c u l a t e d i n s o m e f o r m i n t h e D P S P ?I s c h o i c e o f t e c h n o l o g y o n l y a n i s s u e i n s t e e l , e l e c t r o n i c s , a n d p l a s t i c s ,o r i s i t a s r e l e v a n t a t s u b s i s t e n c e l e v e l s ?

T he s oc ia li st ic f ra me wo rk o f t he D PS P f oc us es o n p ro pe rt y. I t f oc us es

o n l a n d r e f o r m a n d n a t i o n a l i z a t i o n , b u t n o t o n t h e r e l a t i o n o f t e c h n o l -o gy t o p ro pe rt y. O bs ol es ce nc e u su al ly r ef er s t o a z er o s um g am e b et we ent wo t ec hn ol og ic al c om pe ti to rs w he re o ne p ro du ce s a n i nn ov at io n,w hi ch o ut st ri ps t he t ec hn ol og ic al c om pe te nc e o f t he o th er . I f j us ti cei s o nl y m ar ke t d ri ve n a nd d et er mi ne d, s uc h a n ot io n m ig ht b e a de -q ua te . B ut o ft en o bs ol es ce nc e m ig ht b e a rt if ic ia ll y m ai nt ai ne d o r b ee co lo gi ca ll y i nd if fe re nt . I t m ig ht n ot r ea li ze t ha t d if f er en t e co lo gi esn ee d d if fe re nt k in ds o f t ec hn ol og ie s. T he n ot io n o f e qu it y d em an ds

a d j u d i c a t i o n b e t w e e n t h e d i f f e r e n t f o r m s o f t e c h n o l o g y . O n e n e e d n o tpl ac e t he m o n a l ine ar g ra di en t wh er e on e po in ts to th e p as t a nd i sdo om ed an d t he ot he r l ook s h op ef ul ly t o t he f utu re . Th e s tat e w ase xp ec te d t o b e a n a dj ud ic at or o f t ec hn ol og ie s i n I nd ia . T he q ue st io no n e m u s t a s k i s h o w s u c c e s s f u l h a s i t b e e n , a n d , s e c o n d l y , w h e t h e r t h eD P S P c a n a d d r e s s t h e i s s u e s w i t h i n t h e f r a m e w o r k o f g o v e r n a n c e .


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T h r e e e v e n t s i n r e c e n t t i m e s h a v e r a i s e d t h e i s s u e b e t w e e n t e c h n o l -o g ic a l i n te r ve n ti o n, o b so l es c en c e, a n d j u st i ce i n a n u r ge n t w a y. T h eya re t he d eb at e o ve r s hi ft in g c ul ti va ti on , t he g re at s tr ug gl e b et we en

t r a w l e r s a n d t r a d i t i o n a l b o a t s , a n d t h e i s s u e o f c r a f t s m e n u s i n g b a m b o oa s a r aw m ate ri al . We s ha ll c on si de r t he f irs t a s a pa ra di gma ti c e xa mp le .

Tom Ko ch er y, g ene ra l c oo rd in ato r of th e Wor ld F or um of Fi shH ar ve st er s a nd F is h W or ke rs , o bs er ve s t ha t I nd ia , w it h i ts 6 ,0 00 -k mc o a s t l i n e a n d i t s i n n u m e r a b l e r i v e r s , l a k e s , a n d l a g o o n s , h a s 1 2 m i l l i o nf is he r p eo pl e w ho h av e a cc um ul at ed a v as t f un d o f k no wl ed ge a bo utr e s o u r c e s i n t h e i r l o c a l i t y a n d d e v e l o p e d a n a r r a y o f t e c h n o l o g i e s e a c hs ui te d t o a p ar ti cu la r e co lo gi ca l n ic he . S uc h a n i mm en se d iv er si ty o f

fis hing t echniq u es t end ed t o m ax im iz e eco lo gical s o p his t icat io n r at hert h an t e ch n o- e co n om i c e f fi c ie n cy . T h e i n tr o du c ti o n o f m o de r ni z at i onb eg in ni ng w it h t he I nd o- No rw eg ia n p ro je ct o f 1 95 3 s pu rr ed m ar ke tf or ce s a nd i nd us tr ia li ze d f is hi ng i n p ar ts . M or e c ri ti ca ll y, i t p ol ar iz ed t hei n d u s t r y b e t w e e n t r a w l e r s a n d t h e t r a d i t i o n a l f i s h i n g b o a t s .

T ec hn ol og ic al c ha ng e a ls o p ro du ce d a c on fl ic t- ri dd en s it ua ti on( wh ic h e sc al at ed i n t he 1 96 0s a nd 1 97 0s ) b et we en t ra wl er c re ws a nd

C a t a m a r a n f i s h e r m e n . S i n c e t h e y e x p l o i t i d e n t i c a l f i s h i n g g r o u n d s a n dt a r g e t s i m i l a r s p e c i e s , t h e t r a w l e r s w i t h t h e i r s u p e r i o r c a t c h i n g c a p a c i t ya ff ec te d th e c atc he s of th e t ra di ti on al f ish erm en ( se e Kur ie n a ndAchari 1994: 2 1 9 ) . T h e q u e s t i o n o f p r o d u c t i v i t y n e e d s t o b e r e l a t e d t ot h e w i d e r o n e o f e q u i t y , e c o l o g y , a n d j u s t i c e .

T h e l a r g e t r a w l e r s w e r e a t h r e a t t o t h e l i v e l i h o o d o f t h e t r a d i t i o n a lf is he rm en , w ho b eg an o rg an iz in g t o f ig ht t hi s m en ac e. T hr ou gh a na cc um ul at io n o f s it -i ns , h un ge r s tr ik es , a nd p ic ke ti ng , t he F is he rs

F or um h as b ee n a bl e t o o bt ai n m ar in e f is hi ng r eg ul at io ns c ov er in gm o s t o f c o a s t a l I n d i a .

I n 1 99 3, t he K er al a g ov er nm en t i mp os ed a b an o n t ra wl in g i n t hem o n s o o n s e a s o n i n o r d e r t o p r o t e c t c e r t a i n s p e c i e s d u r i n g t h e i r b r e e d -i ng s ea so n. T he t ra wl er s w en t t o c ou rt c ha ll en gi ng t he b an , a nd , i n J un e1 99 4, t he S up re me C our t de li ver ed a j udg me nt i n su ppo rt of th e b an onb ot to m t ra wl in g. I n h is j ud gm en t J us ti ce R ed dy d ec la re d t ha t t he p ub li ci n t e r e s t c a n n o t b e d e t e r m i n e d o n l y b y l o o k i n g a t t h e q u a n t u m o f f i s h

c a u g h t i n a y e a r . T h e g o v e r n m e n t i s u n d e r a n o b l i g a t i o n t o p r o t e c t t h ee co no mi c i nt er es t o f t he t ra di ti on al f is he rm en a nd t o e ns ur e t he y a ren o t d e p r i v e d o f t h e i r s l e n d e r m e a n s o f l i v e l i h o o d .

T h e S u p r e m e C o u r t w a s a n e n l i g h t e n e d o n e . B u t o n e m u s t n o t e t h a ti t o ve rt ur ne d e ar li er h ig h c ou rt j ud gme nt s i n f av or o f t he t raw le r o wn er sa n d a l s o t h a t i t t o o k o v e r t w o d e c a d e s o f p r o t e s t t o g e t s o m e s e m b l a n c e


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o f j u s t i c e . T h e q u e s t i o n i s w h e t h e r w e n e e d t o w o r k o u t l i n k s b e t w e e ne qu it y, t ec h no lo gy , a n d j us ti c e. H o w d o w e g u ar a nt ee t ha t t r ad it i on a lf ish er me n a re n ot d es ki ll ed i n s uc h a p ro ce ss o f o bs ol esc en ce ? D o w e

a l l o w m a r k e t f o r c e s t o o p e r a t e a n d h o p e t h e p o l i t i c s o f c i v i l s o c i e t y c a nblunt i t? Or d o we c re ate a sem bl ance of s en si ti vi ty to suc h i ssu esc on st itu ti on al ly? O bs ol es ce nc e i s a n i ssu e o f g ov er na nc e. I t r ai sesp ro bl e ms o f c on c en tr at i on o f w e al t h, u ne mp lo ym en t, a nd d es ki l li n g.S ho ul d t he D PS P a dd re ss o nl y m on op ol ie s o f w ea lt h o r s ho ul d i t a lsol oo k a t t he s oc ia l p ro bl ems o f t ec hn ol og ica l r eg im es ? O bs ol es ce nc ecreates marginal groups whose fate as a community becomesp ro bl ema ti c, a s t he y c an n o l on ge r f ol low t he ir t ra di ti on al c ho ic es o f

occupation.

14.6 C O M M U N I T Y A N D L I V E L I H O O D :

D E C E N T R A L I Z A T I O N A N D S E L F - G O V E R N A N C E

T he l in k b et we en community and livelihood i s on e o f t he l if e- gi vi nga ff irm ati on s i mpl ic it i n th e D PS P. A se ns e of c om mu ni ty n ee ds a

s e ns e o f d e ce n tr a li z at i on . O n ly l o ca l s e lf - go v er n me n t c a n p r ov i de f o rl oc al c on tr ol a nd u se o f r es ou rc es . T he i de a o f s el f- go ve rn i ng v il la ge sh a s a l w a y s b e e n a n i n t e g r a l p a r t o f t h e r u r a l t r a d i t i o n . T h e Panchayats y s t e m w a s a c t i v e b o t h i n t h e m e d i e v a l a n d M u g h a l p e r i o d s , b u t i t f e l li n t o d i s u s e d u r i n g B r i t i s h c o l o n i a l r u l e .

I t w a s o n e o f t h e i r o n i e s o f t h e C o n s t i t u e n t A s s e m b l y t h a t t h e f i r s tdr af t of th e I ndi an c on st itu ti on di d n ot c on ta in pr ovi si on f or t hePanchayats. P ar tl y, i t m ig ht h ave be en i mp el le d by D r. A mb ed ka r’ s

c r i t i q u e o f t h e I n d i a n v i l l a g e . A m b e d k a r , a s l e a d e r o f t h e l o w e r c a s t e s ,saw the Indi an village as a si nk and unredeemable in terms of itsi n s t i t u t i o n s . M a h a t m a G a n d h i n o t e d t h i s o m i s s i o n , a n d o b s e r v e d t h a tt h e a b s e n c e o f Panchayats m i g h t r e f l e c t t h e a b s e n c e o f t h e v o i c e o f t h epe op le . Th e i de a o f Panchayats w as t hu s a mb iv al en tl y i ns er te d i nt oA rt ic le 4 0 o f t h e c on st it ut io n, w hi ch p ro vi de d t ha t ‘‘ th e s t at e s ha ll t ak es t e p s t o o r g a n i z e v i l l a g e Panchayats a n d e n d o w t h e m w i t h s u c h p o w e r sa nd a ut hor it y a s ma y be n ec es sar y to e na bl e th em to f un ct ion a s u ni ts of

self-government.’’I nd ia ’s d ev el op me nt p ro gr am s o pe ra te d w it hou t a f ul l s en se o f t he

importance of Panchayats f o r g o v e r n a n c e . I t i s t r u e t h a t u p t o t h e 1 9 6 0 st her e w as s o m e s ens e o f t he im p o r t ance o f Panchayat s . T he co m m u nit yd ev elo p m ent p r o ject s lau nched in 1 9 5 2 r ealiz ed t hat t hey w o u ld r each ad ea d e nd wi th ou t e ff ec ti ve i ns tr um en ts o f l oca l p ar ti ci pa ti on . T he


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B al wa nt M eh ta c om mi tt ee a ppo in te d t o s tu dy c om mu ni ty d ev el op -m ent p r o gr am s co nclu d ed t hat d ev elo p m ent co u ld no t s u cceed w it ho u tlo cal init iat ives . T he Meht a co mm itt ee r eco mm end ed t he es tablishm ent

o f a ‘‘ Pan ch ay ati Ra j’’ sy st em bu t l ef t i t t o ea ch s ta te to w or k ou t th emodalities.

B y 1 9 5 9 , a l l s t a t e s h a d a P a n c h a y a t i A c t a n d b y t h e m i d - 1 9 6 0 s m o r et ha n 2 17 ,30 0 v il la ge s c ov er in g 9 2 p er ce nt o f I nd ia h ad f or ma l Panchayats y s t e m s . Y e t w i t h i n t h e n e x t d e c a d e Panchayats w e r e o n t h e d e c l i n e . I nfact , t he go v er nm ent it s elf w as r es p o ns ib le fo r d o w ngr ad ing Panchayatst hr o u gh an im p licit p r o ces s o f d o u b le- t hink .

T h e d e v e l o p m e n t a g e n d a s o f t h e 1 9 6 0 s t e n d e d t o b y p a s s c o m m u n i t y

d ev el op me nt p ro gr am me s. T he re w as l it tl e o r n o e ff or t t o i mp ro vePanchayats a s a n i n s t i t u t i o n . T h e s t a t e n o t o n l y i g n o r e d t h e Panchayati n d ev el op me nt p ro gr am s b ut a ls o f ai le d t o f un d r eg ul ar e le ct io ns . I nm a ny s t at e s Panchayat e l e c t i o n s w e r e n o t h e l d f o r t w e n t y y e a r s . W h a tw a s m o s t i r o n i c w a s t h e c o n f u s i o n o f c a u s e a n d e f f e c t . T h e Panchayatsw er e c or ru pt a nd i ne ff ec ti ve b ut i t w as t he y r at he r t ha n t he b ur ea uc ra cyt ha t w as bl am ed f or t he si tua ti on . I t wa s a t yp ic al s oc ia l a na ly si s i n

w h i c h t h e v i c t i m w a s b l a m e d f o r t h e s i t u a t i o n .Y e t , i f t h e o f f i c i a l f a i l e d , t h e t r a d i t i o n a l a n d t h e c u s t o m a r y s h o w e dthat Panchayats c o u l d w o r k . O n e h a s t o e x a m i n e t h e f a s c i n a t i n g i n s t i -t ut io n o f Van Panchayats (forest Panchayats) t o u nd er st an d h ow localcommunities c o u l d b e a c t i v e a n d e f f e c t i v e d e s p i t e c o n s t r a i n t s i n m a n a g -i n g l o c a l r e s o u r c e s .

Consider the case of Van Panchayats in Uttar Pradesh (nowU tt ar ak ha nd ). P re se nt s in ce 1 93 1, t he re a re n ow o ve r 4 ,0 00 o f t he se

i ns ti tu ti on s i n U tt ar P ra de sh . T he y a re a d ir ec t c on se qu en ce o f t heF or es t A ct , w hi ch d ep ri ve d l oc al p eo pl e o f a cc es s t o c om mo n l an ds .T hi s c re at ed a c on fl ic t- ri dd en s it ua ti on , w hi ch l ed t o t he e st ab li sh me nto f f or es t Panchayats f or t he m an ag em en t o f n on -c om me rc ia l C la ss If or es ts . T he m em be rs w er e e le ct ed i nf or ma ll y b ut n ot s ec re tl y, a nds e r v e d f o r f i v e y e a r s . T h e Van Panchayats h e l p e d m a n a g e t h e s e f o r e s t sa s a c o m m o n s , p r o v i d i n g v i l l a g e r s w i t h g r a z i n g s p a c e , f o d d e r , l e a v e s f o rc om po st in g, a nd w oo d f or c on st ru ct io n. T he y a ls o a ss ur ed t ha t t he se

f o r e s t s w e r e n o t s u b j e c t t o o v e r - e x t r a c t i o n ( B a l l a b h 1993).A g en er at io n o f s up er b e nv ir on me nt al is ts h as o bs er ve d t ha t Van

Panchayats h a v e w o r k e d c r e d i t a b l y u n d e r s e v e r e c o n s t r a i n t s . T h e y a r ecaptive to the official ri tual s of harassment and permission. Fori n s t a n c e , t h e y c a n n o w a p p o i n t f o r e s t g u a r d s o n l y w i t h t h e p e r m i s s i o no f t he D ep ut y C om mi ss io ne r, e ve n t ho ug h t he g ua rd s a re p ai d f ro m


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members’ contributions. The Van Panchayats hav e o ft en b een allo cat edd e g r a d e d l a n d . Y e t , i f r e n e w a b i l i t y i s a c r i t e r i o n , t h e y h a v e o f t e n f u n c -t i o n e d b e t t e r t h a n t h e f o r e s t d e p a r t m e n t . T h e w o r k o f A n i l A g g a r w a l ,

N. C. Saxena, Robert Chambers, and Jayanto Bandhopadhyaya have alls ho w n t he effect iv enes s o f co m m u nit y m anagem ent o f r es o u r ces .

And yet, what was common and even academic wisdom wasn eg le ct ed c on st it ut io na ll y. I t t oo k a no th er d ec ad e o f e ff or ts a nd t hew o r k o f e n l i g h t e n e d t e c h n o c r a t s l i k e N i r m a l M u k h e r j e e a n d M a l c o l mA d es h es h ia h f o r t h e g o ve r nm e nt t o r e al i ze t h at Panchayats m u s t c o n -s t i t u t e t h e e f f e c t i v e a n d l i f e - g i v i n g t h i r d t i e r o f g o v e r n m e n t .

14.7 R I G H T T O I N F O R M A T I O N : T R A N S P A R E N C Y

A N D A C C O U N T A B I L I T Y

T o o p er ate s u ccess fully, t his p r inciple o f go vernance need s t he affir ma-t io n o f t he r ig ht t o i nf or ma ti on . I nf or ma ti on i s c en tr al t o g ov er na nc e,an d we h ave t o a sk w hethe r t he rig ht to i nf or mati on must be a pa rt of theDPSP. Information establishes a link to transparency and accountability

w it ho u t w hich a s o cial au d it o f t he go v er nm ent w o u ld b e im p o s s ib le.T he r ec en t c am pa ig ns t o e st ab li sh t he r ig ht t o i nf or ma ti on c ap tu rea nd s us ta in t he s pi ri t o f t he D PS P a s f ra me wo rk s f or e mp ow er me nt .C en tr al t o t hi s h as b ee n t he c am pa ig ns o f t he M az do or K is an S ha kt iS an ga th an ( MK SS ), a c oa li ti on o f w or ke rs a nd p ea sa nt s a ct iv e e sp e-c i a l l y i n t h e s t a t e o f R a j a s t h a n .

I n i ts c am pa ig n i n R aj as th an t he M KS S e st ab li sh ed t he l in k b et we end ev el op me nt a nd s ur vi va l a nd t he y a mp li fi ed t hi s u nd er st an di ng

t h r o u g h t h e i d e a o f p u b l i c h e a r i n g s o r Jan Sunwaii. T h e s e p u b l i c h e a r -i n g s o n d e v e l o p m e n t e x p e n d i t u r e r e v e a l e d t h a t i n s o m e d i s t r i c t s u p t o8 5 p e r c e n t o f d e v e l o p m e n t p r o j e c t b u d g e t s w e r e n o t s p e n t o n d e v e l o p -m e n t . T h e M K S S h e l p e d e s t a b l i s h t h e f o u r k e y p r i n c i p l e s o f d e v e l o p -m e n t a s a n a c t o f g o v e r n a n c e : t r a n s p a r e n c y o f d e v e l o p m e n t s p e n d i n g ,a c c o u n t a b i l i t y , s a n c t i t y o f s o c i a l a u d i t , a n d r e d r e s s .

T h e h e a r i n g s r e v e a l e d a g r e a t c h a i n o f c o r r u p t i o n , w h i c h l e d t o t h es us pe ns io n o f so me o ff ic ia ls . It l ed t o t he s tr ik e o f Grama Sevaks (village

o ff ic ia ls ) w ho a ss er te d t ha t t he y w er e a ns we ra bl e o nl y t o t he s en io rof fi ci al s a nd s ub je ct o nl y t o go ve rn me nt al an d n ot so ci al a ud it s.Panchayat r ep re se nt at iv es , b lo ck d ev el op me nt o ff ic er s a nd GramaSevaks o rg an i ze d a p ro te st a ga in st t he p re ss ur es o f t ra ns pa re nc y. T heM K S S r e p l i e d w i t h a dharna ( a n a g it a ti o n) t h at a t tr a ct e d t r em e nd o uspu bl ic su pp or t n ot o nl y f rom wo me n, tr ade u ni on s, an d or di na ry


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c it iz en s, b ut a ls o f ro m c re at iv e I nd ia n A dm in is tr at iv e S er vi ce ( IA S)o f f i c e r s w h o a p p l i e d t h e r i g h t t o i n f o r m a t i o n i n n o v a t i v e l y . T h e M K S Sb a t t l e w a s n o t j u s t a n a s s e r t i o n o f t r a n s p a r e n c y b u t a l s o a s t a t e m e n t o f

t h e n e ce s si t y o f p e op l e’ s k n ow l ed g e, w h ic h c h al l en g ed g o ve r nm e nt a ls e c r e c y a n d t h e l a c k o f a c c o u n t a b i l i t y . I t e m p h a s i z e d t h a t p a r t i c i p a t i o ni s s om et hi ng t o b e a ff ir me d n ot o nl y i n t he w or kp la ce b ut a cr os s t heent ir e fr am ew o r k o f go v er nance.

14.8 B E T W E E N P R O P E R T Y A N D H E R I T A G E : I S S U E S

O F B I O D I V E R S I T Y

A concern for information and the right to information were not presentin the original DPSP. The closest synonyms were those of access, partici-p at io n, and her it age o r his to ry. T he r ight t o infor mation p ro vided a cru ciallink b et ween com mu nity, gov er nance, and jus tice. I t p ro vides for a not io no f m em or y t hr ou gh t he i de a o f h er it ag e. A rt ic le 4 9 o f t he c on st it ut io naffirms the obligation of the state to ‘‘protect every monument or place oro bject o f art is tic and his to rical int er es t . . . from spoliation, disfigurement,

d es tr uc ti on , a nd r em ov al .’’ T he D PS P a re m at te r o f f ac t a bo ut m on u-m ent s . T hey r es t r ict t hem t o b u ilt - u p ar t ifact s o f a cer t ain k ind and fo r ceu s t o face u p t o t he im p licit t ens io ns o f co ns er v at io n in I nd ia.

W e m u st r e m e mb e r, h o we v er , t h at b u i l t- u p h e ri t ag e c o n s ti t ut e s o n lyo n e a s p e c t o f h e r i t a g e . S h o u l d t h e D P S P i n c l u d e i d e a s o f c u l t u r a l a n db i o l o g i c a l h e r i t a g e ? S h o u l d t h e y a r t i c u l a t e a r i g h t t o d i v e r s i t y n o t o n l yb e c a u s e i t s u s t a i n s l i v e l i h o o d s b u t a l s o b e c a u s e i t i s a m a n i f e s t a t i o n o f c ul tu ra l a nd b io lo gi ca l h er it ag e? H er it ag e i s a p re ci ou s f or m o f l iv ed

i nf or ma ti on . S ho ul d o ne a ll ow c or po ra ti on s t o p at en t i t? D oe s o urc ul tu ra l h er it ag e a ll ow f or t he p at en ti ng o f l if e f or ms ? T hi s p ro bl emh as b ee n r ai se d r ep ea te dl y i n t he r ec en t d eb at es a bo ut d iv er si ty , b io -p ir ac y, a nd c om mu ni ty p at en ti ng s ys te ms , a nd f ar me rs ’ r ig ht s b ot ha m on g g r as s ro o ts g r ou p s a n d a m on g p r of e ss i on a ls i n t h e d e ba t e a b ou tint ellect u al p r o p er t y r ight s .

O n e h a s t o b e g i n b y u n d e r s t a n d i n g t h a t t h e r e a r e t w o p a r a d i g m a t i ca p pr o ac h es t o d i ve r si t y. T h e f i rs t c e nt e rs a r ou n d s u bs i st e nc e c o mm u -

n i t i e s w h e r e s u r v i v a l i s a c r e a t i v e b o n d t o l o c a l b i o d i v e r s i t y a n d c o n -s er va ti on . T he e mp ha si s h er e i s o n t he i nt eg ri ty o f e co sy st em s a nds pe ci es . V an da na S hi va (1999) o bs er ve s t ha t b io di ve rs it y i n t he ses oc ie ti es h as a n i nt ri ns ic v al ue , w hi l e f or i nd us tr ia l a nd c om me rc ia ls ys te ms b io di ve rs it y i s r ed uc ti ve ly s ee n a s ‘‘ ra w m at er ia l’’ f or t he p ro -duction of commodities and the maximization of profits. The


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i m m e d i a t e e x a m p l e t h a t c o m e s t o m i n d i s t h e c o c o n u t , w h i c h h a s o v e r1 2 3 l i s t e d u s e s . I n a m o n o c u l t u r e i n d u s t r i a l s y s t e m , t h e c o c o n u t w o u l db e s e e n a s a s o u r c e o f o i l .

D iv er si ty i n In di a i s a c el eb ra ti on o f n at ur e a nd c ul tur e. A sh isKot ha ri n ote s th at t her e a re o ve r 1, 000 sp ec ies o f m an go (1997:50)B ut e ve n t he v ar ie ti es o f m an go es p al e b ef or e t he 4 0, 00 0 v ar ie ti es o f ri ce . Kot ha ri r ef le ct s th at on e of te n f ai ls to se e t he b iod ive rsi ty of s ub si st en ce a gr ic ul tu re a s a n i nn ov at iv e o ne . A s in gl e s pe ci es o f r ic ec ol le ct ed f ro m t he w il d s om e t im e i n t he d is ta nt p as t h as d iv er si fi edi n t o 4 0 , 0 0 0 v a r i e t i e s a s a r e s u l t o f t h e i n g e n u i t y a n d i n n o v a t i v e s k i l l s o f f ar mi ng c om mu ni ti es . I n h is o bs er va ti on s o n r ic e, K ot ha ri (1997:50)

adds that tribals in the hi lls of Nagal and grow as many as twentyv ar ie ti es o f r ic e w it hi n a s in gl e y ea r i n t he ir t er ra ce d f ie ld s. T he re i sn o t h i n g m o n o c u l t u r a l a b o u t r i c e . S o m e v a r i e t i e s o f r i c e a r e g r o w n f o ru se d ur in g f es ti va ls a nd m ar ri ag es ; s ev er al o th er s a re g ro wn f or t he irt a st e , c o lo r , o r s m el l , a n d o t he r s f o r t h e i r p e s t ic i da l a n d s o i l f e rt i li z at i onc ha ra ct er is ti cs . I f r ic e i s o ne t es ti mo ny , m ed ic in e o ff er s a no th er b ou -q ue t o f e xa mp le s. I nd ia h as o ve r 7 ,5 00 s pe ci es o f m ed ic in al p la nt s,

wh os e l or e a nd u se a re k ept a li ve by 3 60 ,00 0 tr adi ti ona l m edi ca ls pe ci al is ts . T hi s p ro ce ss o f b io di ve rs it y i s t hr ea te ne d i n m an y w ay s.T h e m o n o c u l t u r e p u r s u i t o f p r o f i t s c u t s d o w n v a r i e t y . F o r i n s t a n c e , i nt h e s t a t e o f A n d h r a P r a d e s h , t h e u s e o f h i g h - y i e l d i n g v a r i e t i e s ( H Y V )e l i m i n a t e d 9 5 p e r c e n t o f t h e r i c e v a r i e t i e s i n t h e G o d a v a r i d i s t r i c t .

E v e n m o r e d e s t a b i l i z i n g i s t h e e x t e n s i o n o f p a t e n t s a n d i n t e l l e c t u a lp r op e rt y r i gh t s t o b i od i ve r si t y. S h iv a (1999) p o i n t s o u t t h a t c u r r e n t l yI n di a h a s n o c o he r en t f r am e wo r k o f b i od i ve r si t y l e gi s la t io n . D i ff e re n t

m in is tr ie s p ur su e d if fe re nt p ro je ct s a nd o pe ra te a t c ro ss -p ur po se s. W ha tw e n ee d i s l eg is la ti on p ro te ct in g a gr ic ul tu ra l d iv er si ty a nd f ar me rs ’r i g h t s a n d o u r c u r r e n t h e r i t a g e o f m e d i c i n a l p l a n t s . T h e r e i s a n e c e s s i t yt o u n de r st a nd t h e b i od i ve r si t y c o nv e nt i on . S h iv a i n si s ts t h at ( 1 ) b i o-l og ic al di ve rs it y sh oul d b e t re at ed as t he so ve re ign pr ope rt y of i tsc ou nt ry o f o ri gi n; ( 2) t he s ov er ei gn p ro pe rt y r ig ht s e mb od yi ng t hi sbi ol og ic al a nd i nte ll ec tu al h eri ta ge sh oul d b e s ee n as pr io r to th er eg im e o f i nt el l ec tu al p ro pe rt y r ig ht s; a nd ( 3) b io di ve rs it y p ro pe rt y

rights should be vested not only in the state but also in the l ocalc o m m u n i t i e s a n d t h e t r a d i t i o n a l p r a c t i t i o n e r s . F i n a l l y , s h e a r g u e s t h a tn o P a t e n t A c t s h o u l d f u n c t i o n b e f o r e t h e o v e r a l l f r a m e w o r k o f b i o d i -v e r s i t y i s i n p l a c e ( S h i v a 1999).

T he r ea l t hr ea t t o b io di ve rs it y e me rg es f ro m t he n ew p at en t l aw s a n dt h e p o s s i b i l i t i e s o f b i o p i r a c y . S h i v a a r g u e s t h a t t h e l a c k o f i n t e l l e c t u a l


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p r op e rt y p r ot e ct i on f o r I n di a ’s b i ol o gi c al a n d c u lt u ra l h e ri t ag e m a ke st h em v u ln e ra b le t o t h e ‘‘ b io p ir a cy ’’ p r es e nt i n t h e W e st e rn p a te n ti n gsystem.

T he s ta nd ar d c ri te ri a f or r ec og ni zi ng i nt el le ct ua l p ro pe rt y r ig ht s( IP Rs ) g en er al ly t en d t o i gn or e i nd ig en ou s k no wl ed ge a nd i nn ov at io ns .I n f a c t , k n o w l e d g e o f t e n f l o w s a s a g i f t f r o m T h i r d W o r l d c o u n t r i e s a n dr e t u r n s a s a p a t e n t . T o d a y , l o c a l f a r m e r s a n d e v e n t h e U N ’ s F o o d a n dA g r i c u l t u r e O r g a n i z a t i o n r e c o g n i z e t h e n e e d t o p r o t e c t f a r m e r s ’ r i g h t s .

T h e c l a s s i c c a s e o f t h i s i n r e c e n t t i m e s h a s c e n t e r e d a r o u n d N e e m , al o c a l p l a n t w h o s e l e a v e s w e r e u s e d a s a g e r m i c i d e a n d i n s e c t i c i d e , a n da r o u n d B a s m a t i r i c e . F o r c e n t u r i e s , t h e W e s t i g n o r e d N e e m . I n f a c t , i t

d i d n o t c o n s i d e r t h e p r a c t i c e s o f f a r m e r s a n d d o c t o r s i n I n d i a a s w o r t h yo f a tt en ti on . T he g ro wi ng o pp os it io n t o c he mi ca l p ro du ct s l ed t o asearch for natural pesticides and to the Neem. By 1985, US and

Japanese firms had taken out a dozen patents on Neem pesticides and Neem toothpaste. The question one has to ask is whether Neem patentsc o n s t i t u t e n o v e l f o r m s o f k n o w l e d g e o r d o w e s t a t e t h a t s u c h f o r m s o f n o v e l t y a r e o n l y b a s e d o n t h e i g n o r a n c e o f a 2 , 0 0 0 - y e a r - o l d t r a d i t i o n o f

b io p es t icid es in I nd ia?T h e q u e s t i o n o f B a s m a t i r i c e r a i s e s s i m i l a r i s s u e s . I n 1 9 9 7 , a p a t e n tw as g ra nt ed t o R ic e T ec h I nc ., a U S c om pa ny , o n B as ma ti l in es a ndg r a i n s . T h e B a s m a t i v a r i e t y w a s d e r i v e d f r o m t h e I n d i a n B a s m a t i , a n dc r os s ed w i th s e mi - dw a rf v a ri e ti e s. T h e q u es t io n i s w h et h er R i ce T e chB a s m a t i i s t h e I n d i a n B a s m a t i a n d n o v e l a t t h e s a m e t i m e . I f B a s m a t ip at en ts w er e r ec og ni ze d i n I nd ia , I nd ia n f ar me rs w ou ld i ro ni ca ll y b ef o r c e d t o p a y r o y a l t i e s t o R i c e T e c h .

T h e e x a m p l e s o f N e e m a n d r i c e h a v e t r i g g e r e d a c o u n t r y w i d e d e b a t eo ve r th e eq ui ta bl e n at ur e of I PR s. I t r ai se s t hre e s ets o f q ue sti on s.S h o u l d I n d i a a c c e p t I P R s b e f o r e w e s t a t e o u r c o m m i t m e n t t o f a r m e r s ’r ig hts a t l eas t i n th e DP SP ? S hou ld th e DP SP de ve lo p a c on ce pt o f h e r i t a g e t h a t w o r k s a g a i n s t b i o p i r a c y ? S h o u l d w e w o r k f o r a n a l t e r n a -t i ve p a te n ti n g s y st e m t h at t r an s ce n ds t h e e t hn o ce n tr i c l i mi t at i on s o f W es te rn p at en ti ng s ys te ms b y r ec og ni zi ng k no wl ed ge b ey on d t he r ea lmo f W e s t e r n s c i e n t i f i c j o u r n a l s a n d r e d e f i n i n g t h e n o t i o n s o f i n n o v a t i o n

p r e s e n t i n g e n e t i c e n g i n e e r i n g ? T h e r e c e n t s t r u g g l e s o f t h e Beej Bachao Abhiyan ( S a v e t h e S e e d ) i n t h e H i m a l a y a s a n d t h e A p p i k o m o v e m e n t

in Karnataka demand that we reflect on how the socialism of thep re am bl e a nd t he D PS P s ho ul d b e r ew or ke d t o p ro vi de a m or e e qu i-t ab le f ra me wo rk f or I PR s a s t he y r el at e t o o wn er sh ip , e qu it y, a nd t her i g h t t o l i v e l i h o o d .


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T he di sc us si on on IP Rs ra is es t he qu es ti on of t he ce nt ra li ty o f f oo d t oth e e nti re s oci al o rd er. Fo od a s a pr oc ess , a pr od uc t, a nd a sy mbolb e c o m e s o n e o f t h e f e a t u r e s u n i t i n g c i t i z e n , s t a t e , a n d c o r p o r a t i o n . I n

f ac t, t he re i s p re ss ur e t o r ec og ni ze t he r ig ht t o f oo d a s a f un da me nt alr i g h t . T h e c e n t r a l i t y o f f o o d a s a m a r k e r i s c e n t r a l t o i s s u e s o f g l o b a l i z a -t io n. T hr o u gh genet ic engineer ing and t he p at ent s ys t em , co r p o r at io nsa r e s e e k i n g t o r e d e f i n e t h e c i v i l i z a t i o n a l n a t u r e o f f o o d . Y e t , f o o d a n dt h e r i g h t t o f o o d a r e m i s s i n g i n t h e D P S P . I n f a c t , t h e D P S P ’ s e m p h a s i so n h e a l t h a n d n u t r i t i o n i s i n c o m p l e t e i n t h e a b s e n c e o f a r i g h t t o f o o d .S h o u l d t h e r e b e s o m e p r o v i s i o n t o g u a r a n t e e f o o d s e c u r i t y ? S h o u l d w ed ef in e f oo d a s m er el y c al or if ic i nt ak e, o r l in k t he n ee d t o g ua ra nt ee f oo d

t o t h e r i g h t t o t h e d i v e r s i t i e s o f f o o d b o t h a s a g r i c u l t u r e a n d a s c u i s i n e .T h e r i g h t t o f o o d s h o u l d b e t h e h u b a r o u n d w h i c h t h e r i g h t o f f a r m e r sto seed and the right of consumers to a vari ety of food can also bel oc at ed d yn am ic al ly . I f t he D PS P r ef le ct t he s ea rc h f or n on -v io le nts o c i a l o r d e r , t h e r i g h t t o f o o d a n d t h e r i g h t t o p r e v e n t v i o l e n c e t o f o o dm a y b e c o m e o n e o f t h e k e y D P S P p r i n c i p l e s i n t h e a g e o f g l o b a l i z a t i o n .

14.9 C O G N I T I V E J U S T I C E : V U L N E R A B I L I T Y , K N O W L E D G E ,A N D L I V E L I H O O D

Th e v oi ce o f th e g ras sro ot s mo ve men ts a nd t he se ar ch f or j us ti cet hr ou gh a c ri ti qu e o f l iv el ih oo d a nd k no wl ed ge p ro vi de d o ne b un dl eof c on ce pt s o n h ow to co pe wi th ma rgi nal ity a nd vu ln era bi li ty i ns oc ie ty . N ot io ns l ik e c og ni ti ve j us ti ce , t he c el eb ra ti on o f k no wl ed gea s a c om mo ns , t he l in ks b et we en k no wl ed ge a nd l iv el i ho od , a nd t he

a rg um en t f or t he e co lo gi ca l e mb ed de dn es s o f t he c on st it ut io n, p ro -v i d e d a n e w h e u r i s t i c f o r t h e c o n s t i t u t i o n . I n a p r o f e s s i o n a l s e n s e , s u c ha t h e o r y i s a v a i l a b l e i n t h e w r i t i n g s o f A l v a r e s ( 1992) , S h i v a (1988),S in gh (1986) , a nd V is va na th an (1997). It anchors the search f or ac on st it ut io n b as ed o n t he c it iz en a s a m ar gi na l c op in g w it h t he n ewe nc lo su re m ov em en ts o f i nd us tr y a nd c ap it al . B ut a n a cc ep ta nc e o f s u c h c o n c e p t s w o u l d d e m a n d a p a r a d i g m a t i c c h a n g e b o t h i n t h e c o n -s t i t u t i o n a n d i n t h e c o n s t r u c t i o n o f t h e d e m o c r a t i c i m a g i n a t i o n .

T he c ri si s of de vel opm en t a nd th e g lob al iza ti on of ma rke ts a ndd em oc ra cy t ra ns fo rm ed m an y o f t he i ns ti tu ti on s ( li ke t he n at io n-s ta te ) t ha t c ou ld h av e e ff ec te d s uc h c ha ng es . T he e xp lo si on o f s oc ia lm o v e m e n t s c r e a t e d a w i d e n i n g c i r c l e o f d e m o c r a c y b u t w i t h a n i r o n i ct wi s t. D e mo c ra c y h a d a c qu i re d e p id e mi c p r op o rt i on s o ve r A s ia , A f ri c a,a nd E as te rn E ur op e, b ut t he d em oc ra cy o ne w as c el eb ra ti ng w as n ot t he


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d e m o c r a t i c i m a g i n a t i o n o f t h e m o v e m e n t s b u t t h e g o o d b o y t h e o r y o f lib er al d em o cr acy.

T h e g o o d b o y t h e o r y o f d e m o c r a c y v a l o r i z e s d e m o c r a c y b u t n a r r o w s

i t i n t e r m s o f f o r m a l i s t l e g a l t e r m s . T h e g o o d b o y t h e o r y o f d e m o c r a c yd oe s n ot l oo k a t t he c om pl ex it ie s o f d em oc ra cy o r i ts c on tr ad ic ti on s.A n i n ve n ti o n o f m a rk e t- f ri e nd l y l i be r al s a n d W o rl d B a nk a g en c ie s , i to pe ra te s th rou gh a s et o f i ndi ca tor s. If y ou e ch o t he r ig ht wo rd s, y ou c ang e t a w a y w i t h m u r d e r .

T h e m o s t c e l e b r a t e d w o r d i s elections. E l e c t o r a l p o l i t i c s h a s b e c o m e as ub st it ut e f or d em oc ra ti c p ol it ic s. T he re i s l i tt le a ck no wl ed gm en t o f t he va ri et y o f i ss ue s t ha t f ai l t o e me rg e. I nd ia i s th e wo rl d’ s b ig ge st

d e m o c r a c y b u t i s s u e s l i k e p o l l u t i o n a n d f l o o d s c a n n o t b e r a i s e d .T h e g o o d b o y t h e o r y o f d e m o c r a c y m e r e l y c r e a t e s a m i n i m u m s k e -

l e t a l f r a m e t o m a k e d e m o c r a c y m a r k e t - f r i e n d l y . S i n c e t h e r e i s v i r t u a l l yn o I n di a n i m ag i na t io n a r ou n d t h is p r oc e ss , c o rp o ra t io n s, f o un d at i on sa n d t h e W o r l d B a n k h a v e s t e p p e d i n t o f i l l t h e g a p .

Ther e is t hen t he emp hasis o n rights. O ne needs a u nivers al not io n o f rights, but there is a twisted quality to the process. The classic case is child

labor. The enthusiasm of many NGOs for campaigns against child labor isnot u nexp ected. B ut w hat is at o ne lev el a p at ho lo gy, als o s us tains craft s, is aw ay of gener at ing incom e, and is a learning p ro cess . W e hav e t o dist ingu is hb et w een fo r m s o f child lab o r and t ack le it in a nu anced w ay. B u t o nce t heinternational bandwagon begins, can one’s NGO be far behind?

The idea of rights is connected to the notion of contracts. Theg lo ba li za ti on r eg im e i s a r eg im e o f c on tr ac ts a nd p at en ts . T he p at en ti ngo f l if e, t he p at en ti ng o f s ee ds a nd h ou se ho ld r em ed ie s t ha t h av e l on g

b ee n a p ar t o f t he l oc al c om mo ns v io la te s t he e th ic al a nd a es th et icc od es o f t he se s oc ie ti es b ec au se t he se s oc ie ti es r ef us e t o p at en t l if ef o r m s . I n f a c t , t h e y s e e t h e s e e d a s t h e g i f t w h i c h t h e y h a v e t o p r e s e r v ea s a n a c t o f t r u s t e e s h i p .

F in al ly , t he re i s t he i de a o f o ff ic ia l sustainability o r eco - fr iendlinesss te mm in g f ro m a n e co cr at ic i de a o f s oc ie ty . A w ho le b ag ga ge o f n ewc at eg or ie s f ro m r is k, t o g re en t ec hn ol og ie s, t o e co lo gi ca l a ud it s f lo odo ur po li cy w or lds t ur ni ng e ve n g ood i dea s i nt o a p ar t of a n exu s o f

cynicis m and co r r u p t io n.T h is i m it a ti v e, s u pe r fi c ia l s t yl e o f e n vi r on m en t al i sm c o mp l em e nt s

a n e q u a l l y s u p e r f i c i a l b u t g l o s s y a t t i t u d e t o r i g h t s , e l e c t i o n s , a n d s o o n . Not only does it not add to the question of values, it blunts thed is se nt in g i ma gi na ti on o f o ur s oc ie ty , s ub ve rt in g r ad ic al c ri ti qu e, c re at -i n g a m b i v a l e n c e o v e r e n v i r o n m e n t a l i s m , w h i c h i n t h e l o n g r u n m i g h t


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b e n e f i t m i d d l e c l a s s c o n s u m e r i s m a n d c o n s c i e n c e b u t d a m a g e t h e r e a lp o s s ib ilit ies o f d em o cr acy.

The negotiation between dissenting grassroots imaginations and formal

p o licy p r o d u ces , as it w er e, a halfw ay ho u s e cent er ing m o r e o n t he w o r k so f t he eco no m is t A m ar t ya Sen (1984), t he s cient ist M. S. Swaminat han(1999) , a nd p ar t o f t he f em in is t i ma gi na ti on t ha t c an b e a bs or be d i nt oW or ld B an k p ol ic y. T he c en tr al w or ds a re e nt it le me nt s a nd s oc ia l c ap it al .Th ere i s a sh if t i n t he s it es f ro m mov em en ts to i ns ti tu ti on s. Th e e mph as isis not o n s ur vival, m ar ginality and livelihoo d b ut o n child lab or , nut ri-t io n, and ed u cat io n, es p ecially o f t he fem ale child . T he p o et ics o f p o licys eem eas ier w it h a w o r ld m o r e am enab le t o hu m an d ev elo p m ent ind ica-

t o r s . T he new em p has is is o n illit er acy and em p lo ym ent , no t o n v u lner -abilit y, liv elihoo d, and s ur vival. T he p olit ical t heor y o f m ov em ents w ou ldh av e d em an de d a p ar ad ig ma ti c c ha ng e. T he w or k o f S en o r S wa mi na th and ra ws o nl y a f ew e pi cy cl es a ro un d t he r ei gn in g t he or ie s o f m ar ke t a ndd e m o c r a c y . I n t h a t v e r y m o m e n t , t h e D P S P b e c o m e a t e x t m o r e a m e n -able t o increment al indicato rs r at her t han a r eal leap t ow ar d alternat iv ec os mo lo gi es a nd a n a lt er na te v is io n o f t he g oo d s oc ie ty . T he l es so n w e

l ea rn ed i n t he c o nv er sa ti on w it h l aw i s t ha t e ac h m as te r n ar ra ti ve c re at esi ts o wn m od el s o f p er mi ss ib le d is se nt , t ha t e ve n i n t ho ug ht e xp er im en ts i nconstitutional law some experiments are more equal than others. Yet theDP SP a s a l eg al f ra me wo rk pr ovi de on e o f t he be st he ur is ti cs f or c on -f ro nt in g g lo ba li za ti on . G lo ba li za ti on a s a m od el o f c ha ng e s ee ks t o e mb edit s elf b y cr eat ing new law s ar o u nd nat u r e, t echno lo gy, p r o p er t y, life, andi nn ov at io n. O ne n ee ds a f lu id f ra me wo rk , a c ol le ct io n o f h eu ri st ic s w hi chc an t ra ns la te t he d em an ds o f m ov em en ts i nt o m et ho do lo gi es f or t he

c on st it ut io n. T he D PS P p ro vi de t he f ra me wo rk t o l in k t he l oc al a ndt he s ingu lar w it h t he glo b al. O nly s u ch flu id fr am ew o r k s can help as s es st he t re nd s a nd c ou nt er -t re nd s o f g lo ba li za ti on . O ne h op es t he g lo ba lfo r u m w o u ld p r io r it iz e t his in it s agend a fo r t he fu t u r e.

References

A lv ar es , C la ud e. 1 99 2. Science, Development and Violence. D el hi : O xf or d

U n i v e rs i t y P r e s s.

B a l l a b h , V i s h w a . 1 9 9 3 . ‘ ‘ V a n P a n c h a y a t s . ’ ’ Seminar 406:33–35.B a s u , D u r g a . 2 0 0 1 . Introduction to the Constitution of India. D e l h i : W a d h w a .D i w a n , S h y a m , a n d A r m i n R o s e n c r a n z . 2 0 0 1 . Environmental Law and Policy in

India. D e l h i : O x f o r d U n i v e r s i t y P r e s s .

F e rn a nd e s, W a lt e r. 1 9 95 . ‘‘ T ri b al D i sp l ac e me n t: S t ru g gl e s a n d I m pl i ca t io n sfor Resettlement.’’ Lokayan Bulletin 11(4):50–56.


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F er na nd es , W al te r, G ee ta M en on , a nd P h il ip V ie ga s. 1 98 8. Forests, Environment

and Tribal Economy: Deforestation, Impoverishment Marginalisation in Orissa.Delhi: Indian Social Institute.

G uh a, R am ch an dr a ( Ed .) . 1 99 4. Social Ecology. D el hi : O xf o rd U ni ve rs it yPress.

Jodha, N. S. 1994. ‘‘Common Property Resources and the Rural Poor.’’

P p. 1 5 0 –1 8 9 i n G uh a ( 19 9 4 ).K oc he rr y, T ho ma s ( s/ d) . ‘‘ In di an F is he ri es o ve r 5 0 Y ea rs .’’ U np ub li sh ed

manuscript.

K o t h a r i , A s h i s . 1 9 9 7 . Understanding Biodiversity Orient. H y d e r a b a d : L o n g m a n .K ur ie n, J oh n, a nd T ha nk ap pa n A ch ar i. 1 99 4. ‘‘ Ov er fi sh in g t he C oa st al

C o m mo n s : C a u s e s a n d C o n s eq u e n c es . ’’ P p. 19 0– 21 7 i n G uh a (1994).

Nandy, Ashis (Ed.). 1988. Science, Hegemony and Violence. D el hi : O xf or dU n i v e r s i t y P r e s s .

R am an at ha n, U sh a. 1 99 5 . ‘‘ Di s pl ac em en t a n d R eh a bi li ta ti on .’’ LokayanBulletin 1 1 ( 5 ) : 4 1 – 5 6 .

S en , A ma rt ya . 1 98 4. Resources, Values and Development. D elh i: O xf ord

U n i v e r s i t y P r e s s .S h i v a , V a n d a n a . 1 9 8 8 . Staying Alive: Women, Ecology and Development. D e l h i :

K a l i f o r W o m e n .

1999. ‘‘Bi otechnolog ical Developme nt and the Cons ervation of B i od i ve r s i ty . ’’ P p . 1 9 3– 2 13 i n S h iv a a n d M o s e r ( 1 9 9 9 ).

S hi va , V an da na , a nd I . M os er ( Ed s. ). 1 99 9. Biopolitics. H yd er a ba d: O ri en tLongman.

S in gh , C ha t ra pa ti . 1 98 6. Common Property and Common Poverty: India’s

Forests, Forest Dwellers, and the Law. D e l h i : O x f o r d U n i v e r s i t y P r e s s .S wa m in at ha n, M . S . 1 99 9. A Century of Hope: Harmony with Nature and

Freedom from Hunger. C h a n n a i : E a s t W e s t B o o k s .

V i sv a n at h an , S h iv . 1 9 97 . A Carnival for Science. D el hi : O xf or d U ni ve rs it yPress.

W a t a l , J a y a s h r e e . 2 0 0 1 . Intellectual Property Rights in the WTO and Developing Countries. D e l h i : O x f o r d U n i v e r s i t y P r e s s .


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CHAPTER 15

BOTTOM-UP ENVIRONMENTAL LAWAND DEMOCRACY IN THE RISK

SOCIETY: PORTUGUESE EXPERIENCES

IN THE EUROPEAN CONTEXT

Joa o Arriscado Nunes, Marisa Matias and Susana Costa *


T h e p r o b l e m s f a c e d b y s o - c a l l e d ‘ ‘ r i s k s o c i e t i e s ’ ’ ( B e c k 1992),1 includ-

i n g e n v i r o n m e n t a l p r o b l e m s , a r e b e s t u n d e r s t o o d w i t h i n t h e c o n t e x t o f w h a t S a n t o s ( 2002: 7 2 – 7 5 ) h a s c a l l e d t h e c o l l a p s e o r c r i s i s o f t h e m o d e lo f ‘ ‘ n o r m a l ’ ’ s o c i a l c h a n g e a n d , i n p a r t i c u l a r , t h e c r i s i s o f t h e s t r a t e g i e so f h e g e m o n y a n d t r u s t u s e d b y t h e s t a t e a n d b a s e d o n t w o k e y i n s t i t u -t i o n s , l a w a n d s c i e n c e . R e s p o n s e s t o t h i s c r i s i s h a v e b r e d s o m e i n n o v a -t i v e e x p e r i e n c e s i n c i t i z e n a c t i o n a n d d e m o c r a t i c p a r t i c i p a t i o n .

T hi s c ha pt er t ak es u p t he se i ss ue s t hr ou gh t he p re se nt at io n a nddiscussion of struggles over environmental law and policies in

P o r t u g a l , a s e m i p e r i p h e r a l c o u n t r y w i t h i n a c o r e r e g i o n a l s p a c e o f t h e

* T h i s c h a p t er i s p a rt i a ll y b a se d o n r e se a rc h f o r t h e p r o je c ts ‘‘ A na l yz i n g P u b l i c A c c o u nt a bi l i tyP r oc ed u re s i n C o nt em po ra ry E ur o pe an C on t ex t s’’ ( Pu b Ac c- HP SE - CT 2 00 1 -0 0 07 6 ) a nd‘‘ S ci e nc e , T e ch n ol o g y a n d G o v er n an c e i n E u ro p e ’’ ( S TA G E- H P SE - CT 2 0 01 - 5 00 0 3 ), b o t hf un ded b y t he 5 th F ram ew or k P ro gr am f or R es ea rc h o f t he E ur op ea n C om mi ss io n;‘‘ R ei n v en t i ng S o ci a l E m an c ip a ti o n : T o w ar d s N e w M a ni f e st o s’’ , f u n de d b y t h e M a cA r th u r( Gr an t A wa rd # 9 8 -5 23 1 6- GS S) a nd G ul b en ki an F o un d at i on s; a nd o n M ar i sa M at i as ’ M At h es i s ( SF R H/ BM / 36 1/ 2 00 0 ) i n S oc io l og y, s ub m it t ed t o t he S ch oo l o f E co no m ic s a t t he

U ni v er si t y o f C o im b ra . T h is w as c om pl e te d b y a dd i ti o na l r es ea rc h a nd a r e- an al ys i s o f t h em a t e r i a l s p r o d u c e d f o r t h e s e p r o j e c t s . W e a r e g r a t e f u l t o t h e m e m b e r s o f t h e t e a m s o f P u b A c ca nd S T AG E f o r t h ei r c om me nt s o n o u r P o rt u gu es e m at er ia l s. B oa ve nt ur a d e S o us a S an to si n s p i r e d m a n y o f t h e i d e a s w e t r i e d t o e x p l o r e a n d s u g g e s t e d n e w w a y s o u r m a t e r i a l s c o u l d b eu s e d . T h e C e n t e r f o r S o c i a l S t u d i e s o f t h e U n i v e r s i t y o f C o i m b r a p r o v i d e d t h e c o n d i t i o n s t h a tm a d e t h i s w o r k p o s s i b l e .

1 O n t h e n e w for m s of ‘ ‘ t e c h n ic a l, ’ ’ ‘ ‘ s c ie n t ific , ’ ’ or ‘ ‘ g r e e n ’ ’ c it iz e n s h ip in E ur ope a n d c r it ic is m s of B ec k’ s t he se s, s ee I r wi n (1995) ; I rw in a nd M ic ha el (2003) ; C al l on , L as co u me s, a nd B ar t he(2001) ; B a r r y ( 2001) ; J a m i s o n (2001) ; a n d F i s c h e r ( 2000).

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w or ld -s ys te m, t he E ur op ea n U ni on . O ur a im is t hr eef ol d: t o de sc ri be a ndd is cu ss t he i nt er pl ay of t he n ati ona l an d th e E ur ope an a nd g lo ba l s cal es i nt he m ak in g o f d om es ti c e n vi ro nm en ta l r eg ul at io n a n d l eg al it y; t o c ha r-

a c t e r i z e t h e t e n s i o n s a n d c o n f l i c t s a r i s i n g i n t h e a t t e m p t s t o e n a c t e n v i r -onmental policies invoking state legality in local settings; and, finally, toe xa mi ne t he e me rg en ce a nd t he d yn am ic s o f c ol le ct iv e a ct or s i n t he irs tr ug gl es o ve r t he e nv ir on me nt , a s t he y a rt ic ul at e s ca le s a nd m od es o f intervention and of legality while opposing national environmental poli-cies and hegemonic appropriations of European and international envir-onmental regulations. A case of con flict over waste disposal andm an ag em en t wi ll b e e xa mi ne d i n d et ai l . The f i na l s ec ti on d is cu ss es t he

case in the light of the set of issues raised by Santos (2002) on theconditions for counter-hegemonic appropriations of law.

15.2 L A W , E N V I R O N M E N T A N D T H E D I L E M M A S O F

‘ ‘ E C O L O G I C A L M O D E R N I Z A T I O N ’ ’

S t a r t i n g i n t h e 1 9 7 0 s , i n f l u e n t i a l a c c o u n t s o f t h e e x i s t e n c e o f a g l o b a l

e n vi r on m en t al c r is i s c i rc u la t ed a n d w e re w i de l y d i sc u ss e d i n i n te r na -tional f ora, from the 1972 UN Conference on the HumanE nv ir on me nt , h el d i n S to ck ho lm , t o t he 1 99 2 E ar th S um mi t, i n R iod e J an ei ro . R es po ns e t o t ha t c ri si s w ou ld a ll eg ed ly r eq ui re i n te gr at eda n d c o m p r e h e n s i v e p o l i c i e s b a s e d o n s c i e n t i f i c m a n a g e m e n t a n d d r a w-i ng o n n ew d ev el op me nt s i n s ys te ms a na ly si s, w it hi n e xi st in g s oc ia l a ndi ns ti tu ti on al a rr an ge me nt s. S ev er al v er si on s o f t hi s a pp ro ac h w er ec om mi ss io ne d i n t he 1 97 0s a nd 1 98 0s b y i nt er na ti on al i ns ti tu ti on s

(like the United Nations and the OECD) or by think tanks, ande nv ir on me nt al is ts o ft en e nd or se d m uc h o f t he d ia gn os is , e ve n i f t he yc a m e u p w i t h a l t e r n a t i v e s o l u t i o n s . V i e w e d f r o m t h e S o u t h , h o w e v e r ,t h e n o t i o n o f a g l o b a l c r i s i s w a s o f t e n r e g a r d e d a s a d i s t r a c t i o n f r o m t h es it ua te d p ro bl em s t ha t w er e a ff ec ti ng a m aj or it y o f t he w or ld p op ul a-t ion . T he ma ppi ng o f th is d eb ate i s a n i mp or ta nt i ndi ca tor of th ee m er g in g N o rt h /S o ut h divi si on i n th e di ag nos is of a nd r esp on se toenvironmental problems.2

2 S ev er al r ep or ts p ub li sh ed i n t he 1 97 0s a nd 1 98 0s ( su ch a s t he 1 97 2 Limits to Growth r ep or t t o t heC l u b o f R o m e a n d t h e 1 9 8 7 Our Common Future r e p o r t t o t h e U n i t e d N a t i o n s , k n o w n a s t h eB ru nd tl an d R ep or t) s ha re m an y c om mo n a ss um pt io ns , s uc h a s t he e xi st en ce o f a g lo ba le c o l o g i c a l c r i s i s a n d t h e r o l e o f e x p e r t s a n d s c i e n t i s t s a n d o f s c i e n t i f i c m a n a g e m e n t i n r e s p o n d -i n g t o t h e c r i s i s . B u t t h e y p o i n t e d t o w a r d s d i f f e r e n t p o l i t i c a l i m p l i c a t i o n s . S e e H a j e r (1995 ) , f o ra f ul le r d is cu ss io n. O n t he i mp li ca ti on s o f t he ‘‘ gl ob al c ri si s’’ t he si s f or t he d ef in it io n o f

A R R I S C A D O , M A T I A S , A N D C O S T A

364



A s ec on d l in e o f c ha ng e a ro se f ro m t ra ns fo rm at io ns i n t he s tr at eg ya n d m o de s o f i n te r ve n ti o n o f m a ny e n vi r on m en t al o r ga n iz a ti o ns . A f te rt he r el at iv e d ec li ne o f t he c am pa ig ni ng a pp ro ac h ( na me ly , a ga in st

n u c l e a r p o w e r ) w h i c h h a d i t s p e a k i n t h e l a t e 1 9 7 0 s a n d e a r l y 1 9 8 0 s ,e n vi r on m en t al o r ga n iz a ti o ns r e or i en t ed t h ei r a c t i on t o wa r d a n i n cr e as -i n g c o nc e rn w i th d e vi s in g f e as i bl e r e sp o ns e s t o w e ll - id e nt i fi e d e n vi r -o nm en ta l p ro bl em s a s p ar t o f a s tr at eg y f or e nv ir on me nt al ly s ou ndd ev el op me nt , g iv in g r is e t o s o- ca ll ed ‘‘ gr ee n’’ e xp er ti se a s a n asse t t og a i n a p l a c e i n t h e e m e r g i n g a r e n a o f e c o l o g i c a l m o d e r n i z a t i o n .3

T he n ot io n o f e co lo gi ca l m od er ni za ti on e me rg ed a s a r at io na le f or t her ec on ci li a ti on o f e co no mi c g ro wt h w it hi n a c ap it al is t o rd er w it h t he

c on ce rn f or e nv ir on me nt al p ro te ct io n a nd t he d ep le ti on o f r es ou rc es .I t a ppr oa ch ed e nvi ro nm en ta l r eg ul ati on a s a w in –w in o r p os it iv e-s um g am e; p ol lu ti on w as r ede fi ne d a s a p rob le m o f i ne ff ic ie nc y t o b e‘‘fixed’’ through more efficient (i.e., ‘‘green’’ or ‘‘cleaner’’) technologies;t he ‘‘ ba la nc e o f n at ur e’’ w as t o b e r es pe ct ed ; ‘‘ re me di al ’’ a pp ro ac he s t o t hee n vi r on m en t we re t o b e r e pl a ce d wi th ‘‘a nt i ci p at or y ’’ a p pr o ac h es ; a n ds ust ai na bl e g row th b eca me t he a lt er na ti ve t o p re vai li ng m od el s of

g r owt h ( H aj e r 1995: 65) . E co lo gi ca l m od er ni za ti on , h ow ev er , i s a h et er o-g e n e o u s p r o g r a m . I t m a y b e c o n c e i v e d i n a ‘ ‘ t e c h n o - c o r p o r a t i s t ’ ’ o r i n a‘‘ r ef le xi ve ’’ m od e. T he f i rs t m od e r el ie s u po n t ec hn o- in st it ut io na l f ix es t op ro bl e ms a n d t h e l e a di n g r o l e o f s c ie n ce a n d t e ch n ol o gi ca l d e ve l op me n ti n p r ov id i ng ‘‘g re e n’’ s ol u ti o ns t o e n vi r on m en t al p r ob l em s; t h e s e co ndr eco gn ize s t he c en tr al it y o f p oli ti cs a nd o f t he n ee d t o m obi li ze c it iz en s t oprovide solutions that are both environmentally and socially sustainablea n d j u s t ( H a j e r 1995:281).

Despite the different and often contradictory definitions of sustainabled ev el op me nt b y d iv er se a ct or s, t he o ut ri gh t r ej ec ti on o f t he c on ce pt b ysome and, in recent years, the aggressive moves by neoconservative gov-ernments in several European countries and in the United States towarda nt i- re gu la to ry p ol ic ie s, s us ta in ab le d ev el op me nt i s a c en tr al t en et o f E ur op ea n U ni on p ol ic y st at em en ts a nd u nde rl ie s m an y o f t he policyinitiatives of international organizations and national governments.4

e n v i r o n m e n t a l p r o b l e m s a n d p o l i c i e s a n d o f t h e s c a l e s a t w h i c h t h e s e p r o b l e m s a r e i d e n t i f i e da nd a ct ed u p on , s ee T ay lo r (1997) , a nd B ut te l a nd T ay lo r (1992) . A s w e s h a l l s e e , t h i s i s ac e n t r a l is s ue in pla c e - ba s e d c on flic t s ove r w a s t e m a n a g e m e n t .

3 O n t h i s , s e e H a j e r ( 1995) a n d J a m i s o n (2001).4 F o r d i s c u s s i o n s , s e e R e d c l i f t ( 1987, 1999 ) ; S a c h s ( 1999) ; J a m i s o n (2001) , a n d t h e c on t r ibut ion s

t o K en ny a nd M ea do w cr o ft (1999 ) , J am i so n a nd R o hr ac he r (2002 ) , a n d J a m i s o n (1998 ) . A na l t er n at i ve a p p ro a ch , b a se d o n e x p er i e nc es f r o m t h e S o u th ( C ol o m bi a ) c a n b e f o u nd i n E s co b ar(2000).

B O T T O M - U P E N V I R O N M E N T A L L A W A N D D E M O C R A C Y

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D i s s e n t i n g v o i c e s a n d f o r c e s h a v e e m e r g e d , n o n e t h e l e s s , f r o m d i f f e r -e n t c o u n t r i e s a n d r e g i o n s o f t h e w o r l d . T h e y d r a w o n a b r o a d r a n g e o f f or ms o f k no wl ed ge a nd e xp er ie nc e, i nc lu di ng t he s am e s ci en ti fi c

d i s c i p l i n e s a n d f o r m s o f e x p e r t i s e c l a i m e d b y t h e h e g e m o n i c p r o m o t e r so f s us ta in ab le d ev el op me nt . T he y, t oo , a ss er t t he n ee d f or e nv ir on -m en ta l r eg ul at io n a nd f or a de qu at e l eg al f ra me wo rk s. B ut t he y s ta rtf ro m v er y d if fe re nt p re mi se s a nd a re o ft en c om mi tt ed t o r ad ic al c ha ng esi n t h e d o mi n an t m o de l s o f e c on o mi c g r ow t h, t e ch n ol o gi c al d e ve l op -m en t, a nd c on su mp ti on . T he ir c on ce pt io n o f s us ta in ab il i ty i s a t o dd sw it h t he a tt em pt a t p ro mo ti ng a v ir tu ou s c ir cl e b et we en a c ap it al i steconomy based on the current model of accumulation and the

m i s p l a c e d c o n f i d e n c e i n t h e a d e q u a c y o f t e c h n o - i n s t i t u t i o n a l ‘‘f i x e s .’’5

C o n f l i c t s o v e r w a s t e d i s p o s a l a n d m a n a g e m e n t b r i n g a n e w m e a n i n gt o t he c on te st ed n ot io n o f ‘‘ su st ai na bi li ty .’’ T h ey a pp ea r a t t he c ro ss -r o a d s o f s t r u g g l e s a g a i n s t t h e e x c l u s i o n , m a r g i n a l i z a t i o n , o r s i l e n c i n g o f g ro up s o f p eo pl e o r l oc al p op ul at io ns w ho a re p ar ti cu la rl y a ff ec te d b yt he ‘‘ ex te rn al it ie s’’ o f t he d om in an t m od e o f e co no mi c a nd s oc ia lo rg an iz at io n a ss oc ia te d w it h n eo li be ra l g lo ba li za ti on , o n t he o ne

h an d, a nd e nv ir on me nt al d eg ra da ti on a nd h ea lt h h az ar ds , o n t heother.6 L i ke o th er k in ds o f s tr ug gl es , t he se m ay o ri gi na te a t t he l oc alo r n at io na l s ca le a nd o ft en a rt ic ul at e t he ms el ve s t ra ns na ti on al ly ,g iv in g r is e t o i ni ti at iv es e xp li ci tl y a im ed b ot h a t t he c on fr on ta ti onw it h n eo li be ra l g lo ba li za ti on a nd i ts e co no mi c, s oc ia l, p ol it ic al , a nde n vi r on m en t al c o ns e qu e nc e s a n d a t t h e a c ti v e s e ar c h f o r a l te r na t iv e st o i t . T a k e n t o g e t h e r , t h e s e i n i t i a t i v e s , ‘ ‘ f o c u s e d o n t h e s t r u g g l e a g a i n s ts oc ia l e xc lu si on , a s tr ug gl e w hi ch i n t he b ro ad es t t er ms e nc om pa ss es

n ot o nl y e xc lu de d p op ul at io ns b ut a ls o n at ur e, ’’ c on st it ut e c ou nt er -h e ge m on i c g l ob a li z at i on ( S an t os 2002: 45 9) . Bo th h eg em on ic a ndc o un t er - he g em o ni c f o rc e s p l ay w i th t h e d i sc r ep a nc i es b e tw e en s c al e so f l eg al it y a nd o f r eg ul at io n i n c om pl ex , m ul ti sc al e, r eg ul at or y a rc hi -t ec tu re s s uc h a s t he o ne p re va il in g w it hi n t he s pa ce o f t he E ur op ea nU ni on , a nd w it h t he w el l- kn ow n d is cr ep an ci es b et we en l aw i n b oo ksa nd l aw i n a cti on a nd t he e ff ec ts o f th e n on -e na ctm en t o r p ar ti ale na ctm en t of l aw s. L aw ( in t hi s ca se , e nvi ro nme nta l l aw ) a nd t he

5 O n t h es e m o v em e nt s an d i n i ti a ti v e s, s ee S a nt o s (2002: C h a pt er 9). For us e ful dis c us s ion s of t h edive r s it y of e n vir on m e n t a l m ove m e n t s a c r os s t h e w or ld w it h c le a r c oun t e r - h e g e m on ic or ie n t a -t i o n s , s e e M a r t i n e z - A l i e r a n d G u h a ( 1997) a n d P e e t a n d W a t t s ( 1996).

6 O n t o x ic w a st e m a na g em e nt , t h e h e al t h e f f ec t s o f e n vi r o nm en t al p o l lu t an t s , a n d a l t er n at i v ep o l ic y p r o po s a ls f o r w a st e d i s po s al a n d m a na g em e nt , s e e H o fr i c ht e r (2000) , G o t t l i e b (2001),T h o r n t o n (2000) , K r o l l - S m i t h , B r o w n , a n d G u n t e r (2000) , a n d M c C a l l y ( 2002 ).


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r e g u l a t o r y f r a m e w o r k s a s s o c i a t e d w i t h i t a r e n o t ( n o r c a n t h e y e v e r b e )j u s t w a y s o f d i s c i p l i n i n g a g i v e n f i e l d o f s o c i a l p r a c t i c e s . T h e e n v i r o n -m en t a pp ea rs a s a s pa ce o f i nt er se ct io n o f h et er og en eo us p ro ce ss es

( b i o l o g i c a l , g e o l o g i c a l , t e c h n o l o g i c a l , c o g n i t i v e , s o c i a l , c u l t u r a l , l e g a l ,a nd p ol it ic al ) g iv in g r is e t o a n ‘‘ un ru ly c om pl ex it y’’ ( Ta yl or 2001,2003) w h i c h l e g a l o r r e g u l a t o r y f r a m e w o r k s f a i l t o c o n t a i n .

I t i s o ft en t he c as e t ha t l oc al e nv ir on me nt al s tr ug gl es a re d is mi ss edb y h eg em on ic f or ce s a s ‘‘ em ot io na l’’ d is pl ay s b as ed o n i gn or an ce a ndi r r a t i o n a l f e a r s , a s t h e o u t c o m e o f m a n i p u l a t i o n s b y h i d d e n ( o r n o t s oh id de n) i nt er es ts , o r a s i ns ta nc es o f t he ‘‘ NI MB Y ( No t I n M y B ac kY ar d) s yn dr om e’’ , o f s el fi sh r ef us al s t o c on tr ib ut e t o t he r es po ns e t o

c o ll e ct i ve p r ob l em s . ‘‘ S ca l in g u p ’’ t h e s t ru g gl e , f o rg i ng a l li a nc e s w i tho th er s tr ug gl es a nd w i th o th er n at io na l a nd t ra ns na ti on al a ct or s a rec ru ci al m ov es f or e sc ap in g t he d is qu al if ic at io n o f c it iz en a ct io ns a nds t r u g g l e s t h a t g o e s w i t h m a k i n g t h e l a b e l ‘ ‘ l o c a l ’ ’ s t i c k t o t h e m .

T he c as e s tu dy d is cu ss ed i n t he f ou rt h s ec ti on o f t hi s c ha pt er a na ly ze st h e d i f f e r e n t u s e s o f l a w a s a r e s o u r c e i n a n e n v i r o n m e n t a l s t r u g g l e o v e rw as te d is po sa l a nd m an ag em en t, a nd h ow t he v er y o bj ec t o f t he s tr ug gl e

w as c on st ructe d a s a h et erog en eou s a ss emb lage o f t he s ci ent if ic/t e c h n i c a l , t h e l e g a l , t h e p o l i t i c a l , t h e e c o n o m i c , a n d t h e s o c i o c u l t u r a l( I r wi n a n d M i c h a e l 2003) , m o b i l i z i n g a r a n g e o f a c t o r s a c r o s s t h e l o c a l ,n a t i o n a l , a n d t r a n s n a t i o n a l s c a l e s . B u t , f i r s t , l e t u s h a v e a b r i e f l o o k a tt h e E u ro pe a n a n d P o rt ug u es e l e ga l a n d i n st it u ti on a l f r am e wo r ks f r omw h i c h t h i s s t r u g g l e e m e r g e d .

15.3 L A W A N D E N V I R O N M E N T A L S T R U G G L E S I N T H E

E U R O P E A N A N D P O R T U G U E S E C O N T E X T S

15.3.1 The European contextThe European Union and, in particular, its executive body, theE ur op ea n C om mi ss io n, i s a h ug e m ac hi ne o f n or ma ti ve p ro du ct io n,i n t h e f o r m o f d i re c ti v es a n d r e g ul a ti o ns , w h ic h a r e b i n d in g o n m e mb e rs ta te s. T he se d ir ec ti ve s a nd r eg ul at io ns c ov er n ea rl y e ve ry a re a o f

p ub li c l if e, i nc lu di ng t he e nv ir on me nt . D el ay s o r f ai lu re t o t ra ns po sed ir ec ti ve s i nt o t he d om es ti c l aw o f m em be r s ta te s g iv es r is e t o s it ua ti on sw h e r e c i t i z e n s o r s t a k e h o l d e r s i n a g i v e n s e c t o r m a y i n v o k e E u r o p e a nl e g a l i t y i n o r d e r t o a d v a n c e t h e i r c l a i m s , b u t t h e t o o l s f o r m a k i n g t h o s ec l a i m s e f f e c t i v e w i t h i n t h e t e r r i t o r y c o v e r e d b y t h e j u r i s d i c t i o n o f t h en at io n st ate ar e l ack in g ( th oug h t he y c an b e b ro ug ht t o E uro pe an


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c ou rt s) . W it hi n n at io na l s pa ce s, c ou nt er -h eg em on ic s tr ug gl es m ayt a k e t h e f o r m o f d e m a n d s f o r t h e t r a n s p o s i t i o n i n t o d o m e s t i c l a w a n d /o r o f t he a ct ua l a pp li ca ti on o f d ir ec ti ve s o r r eg ul at io ns . I n c ou nt ri es

wh e r e t h e r e g u l a t i o n o f f i e l d s l i k e t h e e n v i r o n m e n t o r c o n s u m e r p r o t e c -t io n w as i mp le me nte d, f or a ll p ra ct ic al p ur pos es , a s a c on se qu en ce o f t ha tc o u n t r y ’s j o i n i n g t h e s u p r a n a t i o n a l s p a c e o f t h e E u r o p e a n C o m m u n i t i e s( n o w t h e E u r o p e a n U n i o n ) , t h i s i s a c o m m o n f e a t ur e o f t h e w a y l a w i su s e d i n c o n t e s t e d f i e l d s wi t h i n t h e E u r o p e a n s p a c e .7

E u ro pe a n r e gu l at i on o f t h e e n vi r on m en t al f i el d h a s g i ve n n or m at i ves ha pe t o t he a pp ro ac h o f e co lo gi ca l m od er ni za ti on .8 The aim is to make am od el o f d ev el op me nt b as ed o n a c ap it al is t e co no my , t ec hn ol og ic al

i n n o v a t i o n , a n d a r e f o r m e d we l f a r e s t a t e ( t h e s o - c a l l e d ‘‘E u r o p e a n s o c i a lm o de l ’’) c o mp a ti b le wi th e n vi r on m en t al p r ot e ct io n a n d t h e r e ne wab il i t yof resources, through strategies of sustainable development.

15.3.2 The Portuguese contextB ey on d t he s im il ar it ie s wit h o th er c ou nt ri es wi th in t he E U, s om e o f t hepeculiarities of Portugal as a semiperipheral society are particularly inter-

e s t i n g f r o m t h e p o i n t o f v i e w o f t h e s u b j e c t o f t h i s c h a p t e r ( S a n t o s , 1990,1993) . T he se i nc lu de t he a bs en ce o f a s tr on g, o rg an iz ed c iv il s oc ie ty b as edo n s oc ia l m ov em en ts a nd c it iz en o rg an iz at io ns a nd a ss oc ia ti on s; a wea kand incomplete welfare state, coupled with a strong welfare society; and agap between the formal definition of citizens’ rights and the actual accessto these rights and between advanced legislation and conservative socialp r a c t i c e s . D i f f e r e n c e s wi t h o t h e r E U c o u n t r i e s a r e n o t j u s t o f a q u a n t i t a -tive kind, but they involve structural features and social dynamics which

a re t he out come of s pe ci fi c h is tor ica l pa th wa ys . I n 1 974 , P ortu ga lemerged from a forty-eight-year-long dictatorship, overthrown by a mili-t ary c oup w hi ch ope ned up a r evol uti ona ry pe ri od t hat l as te d un ti l

November 1975, and saw the end of the Portuguese colonial empire.T he 197 6 Con sti tu ti on a nd, i n t hat sa me y ear , th e f irs t e le cti on s f orparliament, the presidency, and local government, marked the beginningof a pe ri od of ‘‘ nor ma li zat ion ’’ of t he de moc rat ic re gi me , l ea di ng toaccession to the European Communities in 1986.

7 W he re n at i on al l eg i sl at i on e xi s te d b ef o re t h e c ou n tr y j o in ed t he E U ( as i n S ca nd i na vi a) ,s tr u gg l es m ay h av e a s t he ir o bj e ct t he p ro t ec ti o n a ga in st a tt em pt s a t ‘‘ do w ng ra di n g’’ t hel e g i s l a t i o n t h r o u g h c o m p l i a n c e w i t h E u r o p e a n s t a n d a r d s , s e e n a s l e s s a d v a n c e d .

8 S u c c e s s i v e E n v i r o n m e n t A c t i o n P l a n s , s t a r t i n g i n t h e 1 9 7 0 s , p r o v i d e d t h e p o l i t i c a l f r a m i n g o f t hi s r eg ul at i on . T he c ur r en t p l an , f r om 2 0 02 , i s t he S i xt h. F o r d et ai l ed i n fo r ma ti on o n t h es epla n s , s e e h t t p: //eur opa . eu. in t /com m /e nvir on m en t /.


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T h e e xt en t a nd p er va si ve ne ss o f t he g ap b et we en l eg al f ra me wo rk sa nd s oc ia l p ra ct ic es , b et we en ‘‘ la w i n b oo ks ’’ a nd ‘‘ la w i n a ct io n, ’’d e sp i te c o ns t it u ti o na l r e vi s io n s, c h an g es i n g o ve r nm e nt p o li c ie s , a n d

E u r o p e a n i n t e g r a t i o n , u n d e r l i n e t h e s t r u c t u r a l c h a r a c t e r o f t h i s h i g h l yv i s i b l e f e a t u r e o f b o t h p o l i t i c a l l y s t a b l e p e r i o d s a n d p e r i o d s o f c h a n g e .I t s m o s t o b v i o u s e x p r e s s i o n s a r e t h e l a c k o f e n f o r c e m e n t o f l e g i s l a t i o nd ue t o t he a bs en ce o f a c om pl em en ta ry r eg ul at or y f ra me wo rk , t hep a r t i a l o r s e l e c t i v e e n a c t m e n t o f t h e l a w s , o r t h e n e e d f o r e x c e p t i o n a lm e a s u r e s f o r t h e e n f o r c e m e n t o f l a w s .

I n P or tu ga l, t he m ar ke t a s a r eg ul at or y p ri nc ip le h as n ev er b ec om e a scen tral a s i t i s i n other c oun tri es, such as th e core c oun tri es o f the EU. T he

state, in contrast, has appeared as a sort of tutorial entity over Portugueses oc ie ty . Fa r f ro m b ei ng s tr on g, h ow ev er , t he s ta te i s i nt er tw ine d w it hm an y o rg an iz ed i nt er es ts a nd c or po ra ti st p re ss ur e g ro up s. O ve r t he l as ttw o deca de s, the re we re in iti at ive s by the st ate i ts el f to reduce th eu bi qu it ous p re se nc e of t he st at e i n P or tu gu es e s oc ie ty b y c re at in g a ndpromoting ‘‘secondary civil society’’ – the outcome of intitiatives of ‘‘top-down’’ creation of civil society, without the underlying dynamics of grass-

roots movements or intitiatives – thus giving rise to what Santos(2002: 45 7) h as c al le d ‘‘ st ra ng e c iv il s oc ie ty ’’ – t ho se s ec tor s of s oc ie tyg ra nt ed c iv ic a nd p ol it ic al r ig ht s b ut whi ch a re d en ie d a ct ua l a cc es s t osocial, economic, and cultural rights, including environmental rights.

The 1976 Constitution explicitly recognized environmental rights asba si c c iti zen sh ip ri gh ts. Bu t th e f irs t mo ve t ow ard a c omp reh en si vee nv ir on me nt al p ol i ti cs h ad t o wai t u nt il P or tu ga l j oi ne d t he E ur op ea nCom mu ni ti es i n 19 86 – a s w as t he ca se w ith ot he r a re as o f so ci al a nd

p ol it ic al l if e. T he n ew f ie ld o f e nv ir on me nt al p ol it ic s w as m os tl y t heoutcome of changes in domestic law in compliance with European direc-ti ves a nd r egu la ti on s, a nd it op en ed u p a s pa ce an d n ew i nst an ce s o f l eg it im at io n a nd a pp ea l f or c it iz en a ct io n t o m ak e t he s ta te , t he a dm in -istration, and the political system more accountable (Goncalves 2001).

L an dm ar ks i n e nv ir on me nt al p ol ic y i n P or tu ga l w er e t he f ir st g en er alen vi ron men ta l l aw ( Le i d e B as es d o A mbi en te , 1 98 7) , dr af ted i nc om pl ia nc e w i th E C r eq ui re me nt s, a nd t he c re at io n o f t he M in is tr y

o f t he E nv ir on me nt i n 1 99 0, r eg ar de d a s a f or ma l r ec og ni ti on o f t hee nv ir on me nt a s a c ru ci al s ec to r o f g ov er nm en t p ol ic ie s. T he a ct ua ld ef in it io n a nd e na ct me nt o f a c om pr eh en si ve l eg al a nd r eg ul at or yf ra me wo rk i n t he e nv ir on me nt al f ie ld , h ow ev er , w as s ti ll t o c om e,a nd t he d is cr ep an cy b et we en l eg al f ra me wo rk s a nd p ol it ic al a nd a dm in -i s t r a t i v e p r a c t i c e p e r s i s t e d , e v e n i f u n d e r n e w f o r m s .


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T h e 1 9 8 0 s a l s o w i t n e s s e d t h e e m e r g e n c e o f n e w c o l l e c t i v e a c t o r s i nt h e e n vi r on m en t al a r en a . L o ca l a n d n a ti o na l e n vi r on m en t al o r ga n -i z at io ns w e re c re at ed , o ft en a s a r e sp on se t o p l ac e- ba se d p ro bl em s.

A l t h o u g h t h e i r r e l a t i v e w e a k n e s s – i n c o m p a r i s o n w i t h m o v e m e n t s i no th er E ur op ea n c ou nt ri es – i s o ft en s tr es se d ( R od ri gu es 1 9 9 5) , s om e o f t h e s e o r g a n i z a t i o n s h a v e a h i g h p u b l i c p r o f i l e . O n e o f t h e m , Q u e r c u s ,w as t o b ec ome a ke y a ct or i n t he f ie ld , dr aw in g o n a c omb in at iono f h i gh - qu al it y s ci e nt if i c e xp er ti se a nd p ub li c i nt er ve nt i on . O ve rt h e y e a r s , Q u e r c u s s t r e n g t h e n e d i t s a c t i v i s t s t a n c e . T h e r o l e o f l o c a la s s o c i a t i o n s , k n o wn a s A D A s ( A s s o c i a c o e s d e D e f e s a d o A m b i e n t e ) ,i n d ea li ng w it h i ss ue s s uc h as th e l oc al i mp ac ts o f h ous eh ol d a nd

h a z a r d o u s i n d u s t r i a l w a s t e m a n a g e m e n t w a s a l s o a p r o m i n e n t o n e .W as te m ana ge me nt w as d ef in ed a s a p ri or it y w he n a s oc ia li st m in or it y

g ov er nme nt c am e t o po we r i n 1 99 5, t ho ug h t he f ir st m ea sur es f or d eal in gw i t h t h i s i s s u e d a t e f r o m 1 9 8 5 . T h i s w a s f o l l o w e d , t h e f o l l o w i n g y e a r , b yt he c re at io n o f t he I n st it ut e f or W a st e ( In st it ut o d os R es ıd uo s, o r I R)a n d , i n 1 9 9 7 , b y a g e n e r a l l a w o n w a s t e m a n a g e m e n t a n d t h e d e f i n i t i o no f S t r a t e g i c P l a n s f o r S o l i d H o u s e h o l d Wa s t e ( P E RS U ) , H o s p i t a l Wa s t e

(PERH), Industrial Waste (PESGRI), and Agricultural Waste(PERAGRI).9

T he p er io d f ro m 1 97 5 t o 1 97 8 h ad w it ne ss ed t he f ir st s ig ni fi ca ntm o bi l iz a ti o ns o v er e n vi r on m en t al i s su e s i n P o rt u ga l , i n cl u di n g l a rg e -s c al e p r ot e st s w i th p a rt i ci p an t s f r om s e ve r al E u ro p ea n c o un t ri e s, s u cha s t he o ne i n F er re l ( in c en tr al P or tu ga l) a ga in st a p ro po se d n uc le arp l a n t . B u t t h e r e a l b o o s t t o e n v i r o n m e n t a l a c t i v i s m c a m e i n t h e 1 9 9 0 s ,w it h p ro te st s a ll o ve r t he c ou nt ry d ir ec te d a t g ov er nm en t p ol ic ie s i n

r el at io n t o t he c on st ru ct io n o f s i te s f or t h e i n ci ne ra ti on o r c o- in ci ne ra ti ono f i n d u s t r i a l h a z a r d o u s w a s t e a n d o f l a n d f i l l s f o r h o u s e h o l d w a s t e . T h i st u r n e d w a s t e m a n a g e m e n t i n t o a c e n t r a l , c o n t e s t e d f i e l d o f P o r t u g u e s es oc ia l a nd po li ti ca l l if e o ve r t he l as t de ca de a nd a n ob je ct o f br oa dm ed ia c ov er ag e. W hi ch s pe ci fi c p ol ic y d ec is io ns t ri gg er ed t he se p ro -t es ts ? W ha t w er e t he c la im s o f t he p ro te st er s a nd t he ir r ep er to ir es o f c o l l e c t i v e m o b i l i z a t i o n ? W h o w e r e t h e n e w c o l l e c t i v e a c t o r s e m e r g i n gf r o m t h e s e c o n f l i c t s ? H o w w e r e d i f f e r e n t f o r m s o f l e g a l i t y m o b i l i z e d b y

t h e v a r i o u s a c t o r s i n t h e s e c o n f l i c t s ?T h e c a s e p r e s e n t e d b e l o w p r o v i d e s a c o n v e n i e n t p o i n t o f e n t r y i n t o

a n e x p l o r a t i o n o f t h e s e i s s u e s .

9 F o r d e t a i l s o f t h e s e p l a n s , s e e N u n e s et al. (2002, 2003) a n d M a t i a s ( 2002).


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15.4 E N V I R O N M E N T A L S T R U G G L E S A N D C O U N T E R -

H E G E M O N I C U S E S O F L E G A L I T Y : A C A S E S T U D Y10

I n 1 99 6, S co re co , a c on so rt iu m i nc lu di ng t wo P or tu gu es e c em en tcompanies (Cimpor and Secil) and a French company (SuezL yo nn ai se d es E au x) , w as c re at ed t o p ro mo te c o- in ci ne ra ti on a s an ew t ec hn ol og y o ff er in g a v ia bl e m ea ns f or t he d is po sa l a nd m an ag e-m en t o f h az ar do us i nd us tr ia l w as te , a s w el l a s f or g en erati ng e ne rg y f ro mw as te f or c em en t k il ns . I n D ec em be r 1 99 8, S ou se la s11 w a s s e l e c t e d a so ne o f f ou r p os si bl e s it es f or t he c o- in ci ne ra ti on f ac il it ie s, t og et he r w it hM a c e i r a , i n t h e L e i r i a d i s t r i c t . T h e e n s u i n g p u b l i c c o n t r o v e r s y a n d t h e

f i r s t p r o t e s t s a g a i n s t t h i s d e c i s i o n b e c a m e a m a j o r i s s u e i n n a t i o n a l a n dlocal political debate. In January 1999, a Com mi tt ee f or S tr ug gl eA g a i n s t C o - I n c i n e r a t i o n ( C L C C ) wa s c r e a t e d .12 Th e l o c a l p o p u l a t i o nf ra me d t hi s p ro ce ss a s a no th er e pi so de i n t he t we nt y- fi ve -y ea r- ol dh i s t o r y o f t h e d i f f i c u l t c o - e x i s t e n c e w i t h a c e m e n t p l a n t a n d i t s i m p a c t son health and the environment. T he lack of information on theop er ati on of t he ce me nt p la nt an d th e c on se qu en t d ist rus t o f th ep op ul at io n w er e c ru ci al t o t he emer ge nc e o f a lt er na ti ve f ra mi ng s o f c o - i n c i n e r a t i o n a n d o f i t s i m p a c t s .13

T he c on tr ov er sy a nd t he p ro te st l as te d f or a p er io d o f a lm os t f ou ry e a r s . I n i t i a t i v e s t a k e n b y l o c a l c i t i z e n s a n d o t h e r a c t o r s i n v o l v e d i n , o ra l l i e d t o , t h e p r o t e s t m o v e m e n t i n c l u d e d t w o p e t i t i o n s t o P a r l i a m e n t ,d el iv er ed i n J an ua ry 1 99 9, w hi ch g at he re d a bo ut 6 5, 00 0 s ig na tu re s( 5 0 , 0 0 0 f r o m C o i m b r a a n d 1 1 , 0 0 0 f r o m L e i r i a ) , c a l l i n g f o r t h e g o v e r n -m en t’ s d ec is io n t o b e r ev ok ed , a nd s ev er al i ni ti at iv es b y l oc al c it iz en

m ov em en ts a nd o rg an iz at io ns t o d is cu ss t he d ra ft in g o f l eg is la ti vei ni ti at iv es w i th m em be rs o f P ar li am en t. T he se w er e a cc om pa ni ed b ym a s s d e m o n s t r a t i o n s , s i t - i n s a n d c o n c e n t r a t i o n s i n f r o n t o f t h e c e m e n tk i ln i n S o us e la s , e x pe r im e nt s i n ‘‘ p op u la r e p id e mi o lo g y’’ ( s ee b e lo w ),a nd t he o rg an iz at ion , i n A pr il a nd Ju ne 200 0, of an I nte rn at io nalF or um o n C o- In ci ne ra ti on . T he f i rs t s es si on o f t he F or um f oc us ed o n

10

T h i s s e c t i o n d r a w s u p o n r e s e a r c h b y M a t i a s ( 2002) a n d b y N u n e s a n d M a t i a s ( 2003).11 A s m a l l p a r i s h i n t h e m u n i c i p a l i t y o f C o i m b r a , l o c a t e d a b o u t 5 k m f r o m t h e c i t y c e n t r e , w h i c hh a d 3 , 1 44 i n ha b i ta n ts i n 2 0 0 1. M a ce i ra w a s l a te r r e p la c ed b y O u tao , s i t ed i n a n a tu r al p a r k,near Setu bal.

12 O n t h e c o m p o s i t i o n o f t h e C o m m i t t e e , s e e M a t i a s ( 2002) . I t i n c l u d e d , a m o n g o t h e r s , c i t i z e no r g a n i z a t i o n s s u c h a s t h e c i v i c a s s o c i a t i o n P r o U r b e , t r a d e u n i o n s a n d l o c a l b u s i n e s s o r g a n i z a -t i o n s , l o c a l a n d n a t i o n a l e n v i r o n m e n t a l a s s o c i a t i o n s , a n d t h e p a r i s h c o u n c i l o f S o u s e l a s .

13 T he se p r oc es se s a re r el a te d t o t he w ay s i n w hi ch t he a ct o rs f r am e ‘‘ th ei r c la im s, t he ir o pp o ne nt sa n d t h e i r i d e n t i t i e s ’ ’ ( M c A d a m , T a r r o w , a n d T i l l y 2001:16).


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a l t e r n a t i v e s t o c o - i n c i n e r a t i o n , w i t h t h e p a r t i c i p a t i o n o f a s p e c i a l i s t i nc em en t k il ns , a n e xp er t i n c le an p ro du ct io n, a n o ff ic ia l o f t he E ur op ea nC o m m i s s i o n ( w i t h e x p e r t i s e i n s t r a t e g i e s f o r w a s t e m a n a g e m e n t ) a n d a

r ep re se nt at iv e o f t he P or tu gu es e M in is tr y o f t he E nv ir on me nt . T hes ec on d s es si on , o n p ub li c p ar ti ci pa ti on , g at he re d a ct iv is ts , c ou nt er -e xp er ts , a nd s oc ia l s ci en ti st s w ho d is cu ss ed t he p ol it ic al a nd s oc ia ld i me n si o ns o f i n du s tr i al w a st e m a na g em e nt a n d c i ti z en p a rt i ci p at i on .T he r ol e o f c ou nt er -e xp er ti se w as c ru ci al t o a d eb at e i n w hi ch s ci en ti fi ca n d t e c h n i c a l c o n t r o v e r s y s o o n b e c a m e a c e n t r a l a s p e c t .

From very early on, all the opposition parties represented inP a rl i am e nt s u pp or t ed a p r op os a l f o r t h e s u sp e ns io n o f c o -i n ci n er a ti on

u nt il a s ci en ti fi c c om mi ss io n c ou ld d et er mi ne w he th er i t w as t he s af es ta va il ab le m et ho d ( as t hei r d ef en de rs c la ime d) f or t he t rea tm ent o f h az ar do us i nd us tr ia l w as te . T hi s h ad b ee n o ne o f t he d em and s o f t hep rote st moveme nt , an d t he dr af tin g o f th e l aw to be s ubmit te d toP a rl i am e nt wa s t h e o ut c om e o f i n te n se e x ch a ng e s b e twe en r e pr e se n ta -t i v e s o f t h e m o v e m e n t a n d m e m b e r s o f P a r l i a m e n t . I n A p r i l 1 9 9 9 , t w ol aw s, in fa ct , h ad b ee n dr af ted , o ne b y th e P ar li ame nt – c re at in g t he

‘‘ In de pe nde nt S ci en ti fi c C om mi tt ee f or t he T re at me nt o f D an ge ro usI nd ustr ia l W ast e’’ – an d an ot he r by th e g ove rn men t – c re at in g t he‘‘ In de pe nde nt S ci en ti fi c C om mi tt ee f or t he E nv ir on me nt al C on tr ola nd S up erv is io n o f C o- In ci ne ra ti on .’’ T he ‘‘ du al ’’ r egu la ti on o f t heComi ssao Cie ntıf i ca I n de p en de n te ( C CI ) wa s ‘‘s ol v ed ’’ b y a n ot h er l a w,issued on the same day by the government, stating that the twoC om mi tt ee s s hou ld b e c on si de re d o ne a nd t he s am e, t he ( nar ro we r)g ov ern me nt’ s d ef in iti on o f th e sc op e of th e ta sk o f th e co mmi tt ee

p re va il in g a nd e xc lu di ng t he e va lu at io n o f a lt er na ti ve m et ho ds . T heC om mi tt ee e xc lu de d t ho se e xp er ts w ho h ad p ub li c ly s ta te d t he ir c ri ti -c is m o f c o-i nc in er at io n, a nd t he w or k o f t he C om mi tt ee m em be rs w asl ar ge ly b as ed o n l it er at ur e r ev ie ws , m os tl y o f d oc um en ts p ro du ce d b y t hec e m e n t i n d u s t r y . Th e r e s u l t s o f t h e wo r k b y t h e C C I we r e ( s t r a t e g i c a l l y )a nn oun ce d t he d ay b efo re t he I nte rn at io na l F oru m o rg an iz ed b y t heo pp on en ts t o c o- in ci ne ra ti on s ta rt ed. I n a n i nte rv ie w t o a n at ion aln e wsp a pe r , t h e M i ni s te r o f t h e E n vi r on me n t d e cl a re d : ‘‘F ou r s c ie n ti s ts

a re i n fu ll a gree men t. It i s n ow t ime f or a p ol it ica l d ec isi on on th e ma tte rb a s e d o n s c i e n c e a n d o b j e c t i v e k n o wl e d g e a n d n o t o n p r e j u d i c e , i g n o r -a nc e o r d em ag og y’’ (Publico, M ay 2 0, 2 00 0). S ci en ce t hus b ec am e t heu l t i m a t e s o u r c e o f l e g i t i m a c y f o r g o v e r n m e n t p o l i c y . B u t t h e r e p o r t m e twith the criticisms of counter-experts, particularly of the environmentalassociation Quercus.


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I n J ul y/ A ug us t 2 00 0, t he p ro ce ss wa s h al te d a g ai n b y a p ar li a me nt ar yini ti ati ve of the Gree n P arty. A sec on d committee of experts – theMedical W orki ng Group (GTM) – w as f ormed as pa rt of the CCI to

a ss es s t he h ea lt h e ff ec ts o f c o- in ci ne ra ti on . T he g ro up w as c ha ir ed by on eof th e m em be rs o f C CI , a nd i ts f in di ng s w er e r el ea se d i n D ec em be r 2 000 :c o- in ci ne ra ti on h ad n o h ar mf ul e ff ec ts o n t he h ea lt h o f l oc al p op ul at io ns ,a nd t he c on tr ol o f e mi ss io ns w ou ld e ns ur e t ha t t he r is ks w er e ‘‘ so ci al lya cc ep ta bl e. ’’ O ne o f t he m em ber s o f t he G TM , h ow ev er , v ot ed a ga in stt he r ep or t, i n vo ki n g t he u n ce rt ai n ti es c o nc er n in g t he c on se qu en c es o f e xp os ur e t o e mi ss io ns g en er at ed b y c o- in ci ne ra ti on . D ur in g t he s ix ty d ay st he m ed ic al r ep or t w as o pe n t o p ub li c d is cu ss io n, 1 1, 65 0 w ri tt en c om -

m en ts w er e s en t t o t he M in is tr y o f t he E nvi ron me nt c on te st in g t her e s u l t s , b u t n o t a s i n g l e o n e wa s c o n s i d e r e d r e l e v a n t t o t h e f i n a l d e c i s i o non w hether th e process should advance or n ot. T hus, the Mi nisterdecided to proceed with the tests of co-incineration. An epidemiologicals t u d y o f t h e p o p u l a t i o n o f S o u s e l a s , wh i c h h a d b e e n s c h e d u l e d t o s t a r t a tt h e s a m e t i m e , h a d t o b e d e l a y e d b e c a u s e o f a g e n e r a l i z e d b o y c o t t . T h ep ub li ca ti on o f t he G TM r ep or t w as a cc om pa ni ed b y a ‘‘ ne w v er si on ’’ o f

t h e C C I r e p o r t , w i t h t h e d e l e t i o n o f s o m e o f t h e c o n t e n t s t h a t h a d b e e nt he t ar ge t o f t h e s tr on ge st c ri t ic i sm s b y t ho se o pp os in g c o- in c in e ra ti on .A s a r es po ns e t o t he G TM r ep or t, i n J an ua ry 2 00 1, s ev er al a ss oc ia ti on sj o i n e d t h e I n s t i t u t e o f H y g i e n e a n d S o c i a l M e d i c i n e o f t h e U n i v e r s i t y o f C oi mb ra t o p ro duc e a pr el im in ar y a na ly si s of t he h ea lt h s it ua ti on i nS ou se la s, b as ed o n d at a f ro m t he R eg io na l H ea lt h O ff ic e, s ug ge st in g ah ig h p re val en ce o f s om e t yp es o f p at ho lo gi es a ss oci at ed w it h environ-mental factors, such as respiratory pathologies and breast cancer.14

B y th e e nd o f the ye ar, t he C CI p re se nted th e re su lt of th e t es ts held inS ou s el a s. O n ce a g ai n , t h es e r e su l ts we re c on t es t ed b y a c o un t er - re p or tel ab ora ted b y th e C LC C, ba se d o n th e sa me d at a, sh ow in g t hat f ora lm os t e ve ry s i ng le p ar am et er m ea su re d t he l e ve l o f e mi ss io ns w as h ig he rw it h c o-i nc in er at io n. S hor tl y a fte rw ar ds , a ft er a de fe at i n t he l oc ale l ec t io n s i n D e ce m be r 2 00 1, t h e P r im e M i ni s te r r e si g ne d a n d n a ti on a le le ct io ns w er e h el d. T he v ic to ry o f t he S oc ia l D em oc ra ti c P ar ty ( SP D,liberal) brought the process to a halt, with the decision to drop

c o -i n ci n er a ti o n a s a m e th od f o r t r ea t in g h a za r do us i n du s tr ia l wa st e a n dr es um in g t he t as k o f b ot h c om pl et in g a n i nv en to ry o f h az ar dou s w as te i nP o r t u g a l a n d d e f i n i n g a c o m p r e h e n s i v e s t r a t e g y f o r i t s m a n a g e m e n t .

14 T h i s i n i t i a t i v e m a y b e d e s c r i b e d a s a f o r m o f w h a t P h i l B r o w n h a s c a l l e d p o p u l a r e p i d e m i o l o g y( K r oll- S m it h , B r ow n , a n d G un t e r 2000).


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The controversy over co-incineration brought the debates on environ-mental strategies, citizen participation, scientific expertise, democracy andscience, and state–society relations to the public scene. But the scope and

de pth of t he deba te w ere li mit ed by the fa ct t hat not j ust ci tize n acti on b utscientific controversies as well were dismissed by the government. In fact,t he o nl y s ci en ti st s who se o pi ni on s wer e t ak en i nt o a cc ou nt i n t he d ec i-s io n- ma ki ng p ro ce ss es wer e t he m em be rs o f t he s ci en ti fi c c om mi tt ee s whooffered the two reports mentioned above. The Portuguese state had littlee xp er ie nc e wit h i ss ue s o f r is k m an ag em en t, a nd t he se , t he re fo re , wer esubjected to conventional political strategies, revealing a complete lackof tr ust a nd bel ie f in an y form of c iti zen pa rti ci pa ti on, to the poi nt of

transforming public consultations into mere formalities. A report by the National Committee for the Environment and Sustainable Development( CNADS) , an in depende nt advi sory body, though admit tin g tha tc o- in ci ne ra ti on c ou ld b e a v ia bl e r es po ns e t o t he p ro bl em o f h az ar do usi nd us tr ia l w as te , w as c le ar i n r ec om me nd in g th e o pe ni ng u p o f a p ro ce ss o f information, dialogue, and consultation with the local population, due tothe potential for conflict involved.

S cie nc e w as n ot t he o nl y s ou rc e o f a ut ho ri ty d ra wn u pon b y t he p art ie si n th is s tr uggl e. La w p la ye d a ve ry c ent ra l r ol e, b ot h th ro ugh i ts u se b y th ep ro te st m ov em en t a ga in st t he g ov er nm en t a nd b y t he l at te r a nd i ts a ll ie sa s a w ea pon a ga in st t he p ro te st er s. E nv ir on me nt al a nd c on su me r a ss o-c ia ti on s s uc h a s Q ue rc us a nd t he N at io na l A ss oc ia ti on f or C on su me rP r ot ec t io n a p pe a l ed t o t h e S u pr e me A d mi n is t ra t iv e C o ur t t o s us p en d o rr ev er se de ci si ons ma de b y t he go ver nme nt . Que rc us, f or i ns ta nc e,i nv ok ed l ack o f a cc ess t o t he d oc ume nt b y t he s ta te a ge nc y ( In st it uto

d o s Re s ı d u o s ) t h a t a u t h o r i z e d t h e s t a r t o f t h e t e s t s o f c o - i n c i n e r a t i o n i nS ous el as i n Ma rc h 2 00 2 t o r eq ue st t he su sp en si on o f th e t es ts i n t he ot he rs it e. T he C our t s ho ul d h av e d eci de d o n t he r eq ue st w ith in t en d ay s, b ut i tt o o k u n t i l S e p t e m b e r 2 0 0 3 – i n a d i s p l a y o f t h e w e l l - k n o w n s l o w p a c e o f t he j udi ci al s yst em i n P ort ug al – f or a d ec is ion t o b e i ss ue d, d ec la ri ng a nya ct io n u sel ess , s in ce t he p roc es s o f c o- in ci ne ra ti on h ad a lr ea dy b eens u s p e n d e d f o l l o wi n g a v o t e i n P a r l i a m e n t .

T he C CI , i n t ur n, i n a n u np re ce de nt ed m ov e, s ue d t hr ee s ci en ti st s

w h o h a d c r i t i c i z e d i n p u b l i c t h e r e p o r t s i s s u e d b y t h e C o m m i t t e e . T h ec o u r t d i s m i s s e d t h e c a s e s a g a i n s t a l l o f t h e m . I n t h i s i n s t a n c e , c o u r t s o f law were used by scientists supporting ‘‘official’’ policies against counter-e xp er ts . Fi fte en c it iz en s o f S ous el as w er e s ued a s w el l f or t he l oca l b oy cot to f t he p re si de nt ia l e le ct io ns o f 2 00 0. I n D ec em be r 2 00 1, h ow ev er , t heAttorney’s Office suspended the process.


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T h e m o ve m en t o p po s in g c o -i n ci n er a ti o n c o mb i ne d d i re c t a n d c o l-l e c t i v e a c t i o n w i t h a n u m b e r o f i n i t i a t i v e s a i m e d a t t h e r e v o c a t i o n o rm od if ic at io n o f e xi st in g l eg is la ti on o r t he p ro du ct io n o f n ew l eg is la ti on

r el at ed t o c o- in ci ne ra ti on a nd t o h az ar do us w as te m an ag em en t i ng en er al . B ot h l oc al g ov er nm en t a nd t he P ar li am en t w er e t ar ge te d.O n s e v e r a l o c c a s i o n s , b e t w e e n J a n u a r y 1 9 9 9 a n d F e b r u a r y 2 0 0 1 , r e p r e -s en ta ti ve s o f t he p ro te st m ov em en t m et w it h m em be rs o f p ar li am en ta ryo p po s it i on p a rt i es , w i th t h e P a rl i am e nt a ry C o mm i tt e e f o r T e rr i to r ia lAd mi ni st ra ti on , L oca l G ov er nm en t, S oci al E qu ipm en t a nd th eE nv ir on me nt , a nd w it h r ep re se nt at iv es f ro m a ll p ar ti es . T he se m ee ti ng sl e d t o s e v e r a l p a r l i a m e n t a r y d e b a t e s o n c o - i n c i n e r a t i o n a n d a n u m b e r

o f l e g i s l a t i v e i n i t i a t i v e s b y t h e G r e e n P a r t y w i t h a v i e w t o t h e s u s p e n -s i o n o f t h e p r o c e s s a n d t o i n i t i a t i n g t h e d e s i g n o f a n a t i o n a l s t r a t e g y f o ri nd us tr ia l w as te b as ed o n p ro ce du re s s uc h a s r ed uc ti on , r eu se , a ndr ec yc li ng . T he l ar ge st o pp os it io n p ar ty , t he P SD ( l ib er al ) , s up po rt edt he f i rs t a im , b ut i ns is te d o n r ep la ci ng c o- in ci ne ra ti on w it h t he c on -s tr uc ti on o f a s pe ci al i ze d i nc in er at or . S om e o f t he se i ni ti at iv es l ed t oa p ar ti al c on ve rg en ce a mo ng o pp os it io n p ar ti es a nd s om e M Ps f ro m

t he S oc ia li st P ar ty ( wh ic h s up po rt ed t he g ov er nm en t) t o s us pe ndt he p ro ce ss u nt il m or e w as k no wn o n t he p os si bl e c on se qu en ce s o f c o - i n c i n e r a t i o n f o r t h e e n v i r o n m e n t a n d h u m a n h e a l t h .

T h e a ll ia nc e b et we en t he m ov em en ts a ga in st c o- in ci ne ra ti on , o nt h e o n e h a n d , a n d t h e i n s t i t u t i o n s a n d a c t o r s o f r e p r e s e n t a t i v e d e m o c -r ac y, o n t he o th er , w as c ru ci al f or o ve rc om in g t he a tt em pt s a t c on fi ni ngth e st ru ggl e to th e l oc al a nd ma ki ng i t vu ln era bl e to t he c ha rg e of ‘ ‘ N I M B Y i s m . ’ ’ T h e c h a r g e d i d a p p e a r , b u t t h e i n t e r v e n t i o n o f p o l i t i c a l

p ar ti es a nd t he p ar li am en ta ry d eb at es h el pe d t ur n t he d eb at e o ve rc o- in ci ne ra ti on i nt o a d is cu ss io n o f o pt io ns f or h az ar do us i nd us tr ia lw a s t e m a n a g e m e n t a n d , t h u s , i n t o a s u b j e c t o f n a t i o n a l i n t e r e s t , r a t h e rth an a pa roc hi al st ru gg le o ve r t he s iti ng of th e w ast e ma na ge me ntun it s. T hi s a rt ic ul at ion w as a ls o th e c on di ti on f or t ur ni ng c la imsa g ai n st c o -i n ci n er a ti o n v o ic e d b y t h e m o ve m en t i n to l e ga l ly b i nd i ngd e c i s i o n s , l e g i t i m a t e d b y a v o t e i n P a r l i a m e n t .

T his case i s exemplary as we ll f ro m th e poi nt of view of t he wa y

d iff er en t a ct or s to ok a dv an ta ge o f th e t en si on s a nd d isc re pan ci esbetween national, European, and international legality on environmen-ta l mat te rs . As a p ar ty to t he St oc kho lm C on ven ti on ( 200 1) , th ePortuguese government declared its opposition to any process involvingt he p ro du ct io n o f p er si st en t o rg an ic p ol lu ta nt s ( PO P s) . T he C on ve nt io nconfirmed the preference of member-states for non-thermal alternatives


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f o r t h e t r e a t m e n t o f t o x i c wa s t e , s i n c e i n c i n e r a t i o n a n d c o - i n c i n e r a t i o nc on tr ib ut e s ig ni fi ca nt ly t o t he p ro du ct io n o f P OP s. T hu s, t he g ov er n-m en t u se d a d ou bl e s ta nd ar d, p ro mo ti ng t he rm al a lt er na ti ve s i n P or tu ga l

a nd o pp os in g t he m i n i n te na ti on al f or a. T he p ro te st m ov em en t t oo ka dv ant ag e o f th is d uali ty of d is co ur se s to re in fo rc e o pp os it io n toc o- in ci ne ra ti on . I n M ar ch 2 00 1, t he D ir ec to r o f t he S ci en ti fi c U ni t o f G re en pe ac e d ec la re d t ha t t he c o- in ci ne ra ti on o f h az ar do us i nd us tr ia lw as te i n t he n ei ghb or hoo d o f p opu la te d a re as o r o f a n at ur al p ar k ( th eo th er s ite t hat h ad b een p ro po se d b y t he C CI t o r ep la ce M ac ei ra ) w as a n‘‘ ir re sp on si bl e’’ d ec is io n b y t he P or tu gue se a ut ho ri ti es , a nd a s s uc h s ho ul dbe condemned.

European directives on waste management and environmental strate-g i e s w e r e p u t t o g o o d u s e b y t h e p r o t e s t m o v e m e n t . A n i n s t a n c e o f t h i swa s D i re c ti v e 2 0 00 / 76 /E C r e ga r di n g wa st e i n ci n er a ti o n, wh ic h d e fi n est he l imi ts o f e mi ssi ons f ro m c eme nt p la nt s p rod uc in g h aza rd ous w as te . I nf ac t, t hi s D ire ct iv e w as u se d b y t he o pp on ent s o f c o-i nc in er at io n a s‘‘pr oo f ’’ t ha t t he re w as a d if fe re nc e b etw ee n th e l ev el s o f e mi ss io nsr e su l ti n g f r om c e me n t p l an t s b u rn i ng h a za r do us wa st e a n d t h os e p l an ts

e mp lo yi ng o th er m et ho ds o f d is po sa l, t hu s r ef ut in g t he g ov er nm en t’ s a ndt he C CI ’s c la im s t ha t n o s uc h d if fe re nc e e xi st ed . M or e g en er al ly , f re -q ue n t r e fe r en c e wa s m ad e b y t h e m o ve me n t a g ai n st c o -i n ci n er a ti o n t oEuropean directives and regulations and to international conventions asa r g u m e n t s a g a i n s t g o v e r n m e n t p o l i c i e s a n d o p t i o n s i n t h e f i e l d o f wa s t em a n a g e m e n t . I n d e e d , u n d e r t h e c i r c u m s t a n c e s , E U l a w wa s m o b i l i z e d a sa crucial resource for counter-hegemonic action.

F i n a l l y , t h e c o n s p i c u o u s a b s e n c e o f f o r m s o f d e l i b e r a t i v e d e m o c r a c y

o r t he ‘‘ ho ll ow i ng o ut ’’ o f f or ms o f c on su lt at io n ( su ch a s p ub li c a ud i-e nc es f or t he d is cu ss io n o f e nv ir on me nt al i mp ac t a ss es sm en ts ) a rec lo se ly a ss oc ia te d w it h a n e xc lu si on ar y a nd a ut ho ri ta ri an v er si on o f r ep re se nt at iv e d em oc ra cy , b as ed o n t he d en ia l o f t he l eg it im ac y o f c it iz en s t o m ak e e le ct ed p ol it ic al a ct or s o r s ta te o ff i ci al s a cc ou nt ab lef o r t h e i r a c t i o n s i n a n y w a y o t h e r t h a n t h r o u g h o t h e r r e p r e s e n t a t i v e s o rthrough courts of law. The slow pace of the latter and the costs of s us ta in in g l on g s tr ug gl es i n t he j ud ic ia ry d is co ur ag e c it iz en s f ro m

r es or ti ng t o t he m. A s a r es ul t, c it iz en r es po ns e t o s ec re cy a nd a ut ho r-i ta ri an m ode s of g ov er ni ng ( at th e n at io na l, m un ic ip al , a nd l oc all ev el s) t en ds t o g o t hr ou gh l oc al f or ms o f c ol le ct iv e a ct io n, f al li ngw i t h i n t h e p u r v i e w o f r a d i c a l d e m o c r a c y ( M o u f f e , 2000) , w h i c h , h o w -e v er , s e ar c h f o r a l li a nc e s w i th o p po s it i on f o rc e s w i th i n r e pr e se n ta t iv eb o d i e s , s u c h a s t h e n a t i o n a l P a r l i a m e n t a n d m u n i c i p a l a s s e m b l i e s .


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15.5 D I S C U S S I O N

U nd er w ha t c on di ti on s d o s tr ug gl es o ve r w as te d is po sa l a nd m an ag e-

m en t q ua li f y a s e me rg in g i ns ta nc es o f ‘‘ su ba lt er n c os mo po li ta ni sm ’’(Santos, 2002; Santos and Rodrı g ue z- Ga ra vi to ’s c ha pt er i n t hi sv ol um e) ? T he a ns we r t o t hi s q ue st io n r eq ui re s c ar ef ul a nd d et ai le da na ly se s o f c as es t ha t a re e xe mp la ry i n t he w ay t he y c on ce nt ra te a ndd is pl ay ‘‘ th e p ot en ti al t ha t l ie s i mp li ci t o r h id de n’’ i n t he se s tr ug gl es ,a ll ow in g t he i de nt if ic at io n o f ‘‘ em er ge nt q ua li ti es a nd e nt it ie s a t amo me nt a nd i n a c on tex t i n w hi ch t he y ca n b e e asi ly d isc ard ed a sh av in g n o f ut ur e- be ar in g q ua li ty , a s b ei ng i ns ig ni fi ca nt o r i nd ee d a s

b e i n g p a s t o r i e n t e d ’’ ( S a n t o s 2002: 4 6 5 ) . T h e p l a y o f d i f f e r e n t l e g a l a n dr eg ul at or y f ra me wo rk s a t d if fe re nt s ca le s o ff er s o pp or tu ni ti es f or t hei rr up ti on o f c ou nt er -h eg em on ic u se s o f l aw . S an to s (2002:465–471)d i s c u s s e d t h e c o n d i t i o n s i n w h i c h t r a n s l o c a l a n d t r a n s n a t i o n a l a r t i c u -l at io ns o f s tr ug gl es m ay g iv e s ha pe t o e mb ry on ic f or ms o f a n a lt er na ti ve ,e m e r g e n t c o s m o p o l i t a n l e g a l i t y . T o w h a t e x t e n t d o e s t h e c a s e a n a l y z e dh e r e f u l f i l l t h e s e c o n d i t i o n s ?

1 . T h e c as e d is pl ay s a r an ge o f p ra ct ic es i nv ol vi n g h eg em on ic l eg alr es ou rc es , i nc lu di ng t he u se o f c o ur ts f or a cc es s t o d oc um en ts d en ie db y t h e a d m i n i s t r a t i o n o r f o r c o n t e s t i n g d e c i s i o n s o r a c t i o n s t a k e n b yh e g e m o n i c f o r c e s i n t h e n a m e o f l a w , d e m o c r a t i c l e g i t i m a c y , o rs c i e n t i f i c - t e c h n i c a l s o u n d n e s s . Tr a n s n a t i o n a l l e g a l o r n o r m a t i v er e s o u r c e s w e r e a l s o m o b i l i z e d t o c o u n t e r a c t t h e a c t i o n o f t h en a t i o n a l g o v e r n m e n t . Th e s e i n c l u d e d E u r o p e a n U n i o n d i r e c t i v e s

a n d r e g u l a t i o n s a s w e l l a s i n t e r n a t i o n a l p r o t o c o l s a n d c o n v e n t i o n s .T h e c o u n t e r - h e g e m o n i c c h a r a c t e r o f t h e m o b i l i z a t i o n o f t h e s er e so u rc e s d e pe n ds o n t h ei r i n te g ra t in g h e te r og e ne o us c o nf i gu r at i on so f f o r m s o f a c t i o n d e p l o y e d a t d i f f e r e n t s c a l e s a n d a r t i c u l a t i n go f f i c i a l s t a t e l e g a l i t y , E U a n d i n t e r n a t i o n a l l e g a l i t y , a n d l o c a l ,n o n - o f f i c i a l c o n c e p t i o n s o f l e g a l i t y . Th e s e c o n f i g u r a t i o n s a l l o wu s e s o f h e g e m o n i c l e g a l a n d n o r m a t i v e t o o l s w h i c h a r ec o u n t e r - h e g e m o n i c i n t h e i r e f f e c t s .

2 . B ei ng p ar t o f c on fi gu ra ti on s o f f or ms o f a ct io n, l aw a nd r ig ht s w e rec o m b i n e d w i t h a b r o a d r e p e r t o i r e o f r e s o u r c e s f o r c o l l e c t i v e a c t i o n ,i n c l u d i n g s o m e w h i c h w e r e d e n o u n c e d b y h e g e m o n i c a c t o r s ( t h es t a t e , l o c a l g o v e r n m e n t , i n d u s t r y , a n d s o m e s c i e n t i s t s a n d e x p e r t s )a s i l l e g a l ( b l o c k i n g t h e e n t r a n c e o f w a s t e i n t o w a s t e m a n a g e m e n ts i t e s ) , i l l e g i t i m a t e ( c l a i m i n g a v o i c e i n d e b a t e a n d d e c i s i o n - m a k i n g


377



or making demands on hegemonic actors for accountability toc it iz en s) , o r i rr at io na l ( su ch a s c la im s f or t he i nc lu si on o f c it iz en s i n t hedebate and decision-making and denying legitimacy to scientists,

e xp er ts , a nd e le ct ed o ff ic ia ls t o m ak e d ec is io ns w it ho ut a d ue p ro ce ss o f consultation and hearings with the local populations). The referencesto legality and the claims on hegemonic actors drew on the referencesto constitutional rights, to existing domestic law, to Europeandirectives and regulations, and to international conventions andprotocols, and on counter-expertise. Their effectiveness wasconditional on the ‘‘demonstration effect’’ (Barry 2001) achievedthrough broad political mobilizations, including demonstrations,

public fora, direct action, petitions to parliament, and legal action.3 . T he e pi so de d is cu ss ed h er e s ug ge st s t ha t t he d ef i ni ti on o f w ho t he

s u b a l t e r n a r e i s d e p e n d e n t o n t h e s p e c i f i c s t r u g g l e s a n d o n t h ep a r t i c u l a r f o r m s o f p o w e r t h a t c a n b e i d e n t i f i e d i n t h e s e s e t t i n g s a n ds i t u a t i o n s . T h e s t r u g g l e d o e s p o i n t t o t h e e m e r g e n c e o f s p a c e s a n ds it ua ti on s w he re h et er og en eo us a ct or s a re d en ie d v oi ce a nd t he r ig htt o p a r t i c i p a t e i n d e c i s i o n - m a k i n g p r o c e s s e s w h i c h m a y h a v e s e r i o u s

c o n s e q u e n c e s f o r t h e i r h e a l t h , w e l l - b e i n g , a n d t h e e n v i r o n m e n t .C i t i z e n s w h o a r e i n v o l v e d i n t h e s e p r o c e s s e s a r e t h u s p u s h e d t o w a r dt h e b o u n d a r i e s o f w h a t S a n t o s h a s c a l l e d t h e s t r a n g e c i v i l s o c i e t y , o f c o n d i t i o n s t h a t d e f i n e t h e s u b a l t e r n i n P o r t u g u e s e s o c i e t y .This subaltern condition can provide a ground for mobilizations andforms of collective action pointing toward subaltern cosmopolitanism.I t i s s t i l l a n o p e n q u e s t i o n , h o we v e r , wh e t h e r t h e s e wi l l l e a d t o t h econstitution of coalitions and citizen initiatives which would endow

them with some persistence beyond the particular situations thattriggered struggles like the one discussed here. The veryh et er og en ei ty o f t he c oa li ti on s e me rg in g a s n ew c ol le ct iv e a ct or s m ak ei t d i f f i c u l t f o r t h e l a t t e r t o p e r s i s t i n t h e a b s e n c e o f i n t e r s c a l a ra r t i c u l a t i o n s t a k i n g t h e i s s u e b e y o n d t h e l o c a l c o n t e x t a n d i n t h eabsence of a common, localized focus for continuing struggles. In thet wo c as es , th is w ou ld i nv ol ve b ro ad en in g t he s tr ug gl e a ga in st t he s it in go f wa s t e m a n a g e m e n t t e c h n o l o g i e s t o a n a c t i v e d e m a n d f o r a

s t r a t e g y f o r t h e p r o b l e m a s p a r t o f a b r o a d e r s t r a t e g y o f s u s t a i n a b l edevelopment, and creating fora promoting the participation of citizensand the monitoring of environmental policies and actions for localdevelopment.

4 . A lt ho ug h c on te st ed i ss ue s w er e i de nt if ie d f ir st a t t he l oc al l ev el ,c i t i z e n s a n d t h e i r a l l i e s t r i e d t o a r t i c u l a t e l o c a l d e m a n d s , b a s e d o n


378



c l a i m s f o r b e i n g t r e a t e d w i t h j u s t i c e , w i t h d e m a n d s f o r a n a t i o n a ls o l u t i o n t o t h e p r o b l e m o f w a s t e d i s p o s a l a n d w a s t e m a n a g e m e n tt h r o u g h a n a l l i a n c e w i t h p a r l i a m e n t a r y f o r c e s , a n d d r a w i n g a s w e l l

o n E ur op ea n d ir ec ti ve s a nd i nt er na ti on al c on ve nt io ns t o s tr en gt he nt h e i r c a s e a g a i n s t g o v e r n m e n t p o l i c i e s . T h e b u i l d i n g o f i n t e r s c a l a rc o a l i t i o n s w a s a c r u c i a l s t e p i n t h e e v e n t u a l s u c c e s s o f t h i s s t r a t e g y .T h e o u t c o m e o f a s t r u g g l e m a y d e p e n d p r e c i s e l y o n t h e e x t e n tt o w h i c h a c t o r s m a n a g e t o s u c c e s s f u l l y b u i l d t h e s e i n t e r s c a l a rc o a l i t i o n s . T h i s m a y b e a c h i e v e d t h r o u g h t h e a r t i c u l a t i o n o f f o r m so f p ar ti ci pa to ry a nd r ad ic al d em oc ra cy , w hi ch p ro vi de t he m ea ns f orm a k i n g t h e p r o b l e m v i s i b l e , a n d t h e r e s o u r c e s o f r e p r e s e n t a t i v e

d e m o c r a c y , p a r t i c u l a r l y t h e c a p a c i t y o f p a r l i a m e n t a r y p a r t i e s a n dt h e i r m e m b e r s t o t a k e l e g i s l a t i v e i n i t i a t i v e s b a s e d o n c o l l a b o r a t i o n sw i t h c i t i z e n m o v e m e n t s a n d o r g a n i z a t i o n s o r w i t h e n v i r o n m e n t a l

NGOs. This, in turn, requires an active policy of alliances enabling( pa rt ia l) c on ve rg en ce s a nd c ol la bo ra ti on s w hi ch m ay b e m or e o r l es sd u r a b l e , b u t a r e c e r t a i n l y i n d i s p e n s a b l e f o r g r a n t i n g l e g i t i m a c y a n d ,e v e n t u a l l y , b i n d i n g p o w e r t o l e g i s l a t i v e i n i t i a t i v e s d i r e c t e d a g a i n s t

t h e g o v e r n m e n t a n d o t h e r h e g e m o n i c a c t o r s .5 . P o pu l at i on s i n s m al l v i ll a ge s o r t o wn s hi p s a r e e x tr e me l y v u l n er a bl et o d is cr et io na ry a ct io n b y h eg em on ic a ct or s i n m at te rs r el at ed t o t hee n v i r o n m e n t . T h e s e l e c t i o n o f s i t e s f o r l a n d f i l l s a n d i n c i n e r a t o r s o rc o - i n c i n e r a t o r s u s u a l l y f a l l s u p o n t h o s e w h o h a v e n e i t h e r t h en um be rs n or t he p ol it ic al i nf l ue nc e t o o pp os e t he se d ec is io ns . T he sec ho ic es a re m ade i n t he n ame of a h ig he r n at io na l i nte re st i n s ol vi nga p r e s s i n g n a t i o n a l p r o b l e m . A n y o p p o s i t i o n i s d i s m i s s e d o r

d e n o u n c e d a s a n i n s t a n c e o f t h e N I M B Y s y n d r o m e a n d c i t i z e n s a r et h u s e x c l u d e d f r o m h a v i n g a n y s a y i n t h e s e d e c i s i o n s . C o n s u l t a t i o np r o c e s s e s , e v e n w h e n t h e y a r e m a n d a t o r y , a r e m o s t o f t e n e x e r c i s e si n p r e s e n t i n g d e c i s i o n s w h i c h e i t h e r h a v e a l r e a d y b e e n m a d e o r w i l lb e m a d e w i t h o u t a n y r e g a r d f o r t h e a r g u m e n t s o f l o c a l p o p u l a t i o n s .T h e w a y p r o t e s t i s t r e a t e d – b y d e s c r i b i n g p r o t e s t e r s a s i r r a t i o n a l ,m a n i p u l a t e d , s e l f i s h , o r o p p o r t u n i s t i c – a d d s t o t h i s d i s q u a l i f i c a t i o no f c it ize ns , w ho a re th us p us he d t o t he b ou nda ri es of t he s tr an ge c ivi l

society.6 . T h e p ri nc ip le o f t he c om mu ni ty t oo k s ha pe t hr ou gh c ol le ct iv e

m o b i l i z a t i o n s w h i c h , e v e n i f a n c h o r e d i n t h e c o m m o n b e l o n g i n g t oa l oc al it y a nd o rg an iz ed f or t he d ef en se o f t he l oc al e nv ir on me nt a ndt h e h e a l t h o f t h e p o p u l a t i o n , s t r u g g l e d t o a r t i c u l a t e t h e i r l o c a la c t i o n w i t h b r o a d e r d e f i n i t i o n s o f a p p r o p r i a t e a c t i o n a n d


379



a p p r o p r i a t e t e c h n o l o g i e s f o r w a s t e m a n a g e m e n t . A s f o r t h e m a r k e t ,c i t i z e n s a n d o t h e r c o u n t e r - h e g e m o n i c a c t o r s o p p o s e d h e g e m o n i cc o a l i t i o n s w h i c h i n c l u d e d b u s i n e s s i n t e r e s t s , b u t t h e y w e r e a c t i v e

s u p p o r t e r s o f ‘‘g r e e n ,’’ m o r e e n v i r o n m e n t a l l y f r i e n d l y t e c h n o l o g i e so f w a s t e m a n a g e m e n t o f f e r e d b y p r i v a t e c o m p a n i e s . W i t h i n t h e s es p e c i f i c c o n t e x t s , b o t h c o m m u n i t y a n d m a r k e t h a d t o b e a r t i c u l a t e di n w a y s t h a t p r e v e n t e d c h a r g e s o f N I M B Y i s m o r o f l a c k o f e c o n o m i c a l l y a n d t e c h n o l o g i c a l l y v i a b l e a l t e r n a t i v e s t o ‘‘e n d - o f -p i p e ’ ’ s o l u t i o n s . W h e t h e r t h e r e s u l t i n g f o r m s o f c o m m u n i t y a n dm a r k e t m a y b e l a b e l e d a s s u b a l t e r n d e p e n d s o n t h e c o n t e x t .

7 . The gap between the excess of meaning and the deficit of task is one of

the main sources of potential weakness of counter-hegemonicmovements. On some occasions, expectations that the use of hegemonic legality will allow subaltern actors to have their way mayprove excessive, and lead to defeat. On other occasions, expectationsthat mobilization would allow the subaltern agenda to be pushedf or wa rd y ie ld ed l im it ed t ho ug h i mp or ta nt r es ul ts , i n s o f ar a s t he y l edto an interruption of the process citizens struggled against, but did not

extend into the definition and enactment of a comprehensive,anticipatory, or precautionary approach to waste management. Thestruggle against co-incineration rested upon a definition of itsobjectives as enacting an agenda akin to ‘‘reflexive’’ ecologicalmodernization, against the hegemonic agenda based on a (formal)‘‘ t e c h no - i n st i t u t i on a l ’’ u n d e rs t a n d in g o f e n v i ro n m e n ta l p o l i c yc o u p l e d w i t h a ‘ ‘ r e m e d i a l ’ ’ a p p r o a c h t o w a s t e m a n a g e m e n t . B u tt h e o u t c o m e o f t h e s t r u g g l e w a s c o n d i t i o n e d b y t h e d i f f i c u l t y o f

t u r n i n g c o l l e c t i v e m o b i l i z a t i o n i n t o t h e e m e r g e n c e o f n e w p u b l i cs p h e r e s a l l o w i n g c i t i z e n s a n d o t h e r a c t o r s i n t h e p r o c e s s t o c o m et o g e t h e r i n d e l i b e r a t i v e f o r a .

8 . T h e c o mb i na t io n o f d e mo l ib e ra l l e ga l it y a n d ‘‘ b ot t om - up ’’ l e ga l it yu n d e r t h e c o n d i t i o n s o f a s e m i p e r i p h e r a l s o c i e t y w h i c h i s p a r t o f ac o r e r e g i o n o f t h e w o r l d - s y s t e m m a y b e a n u n a v o i d a b l e p a t h f o rc o l l e c t i v e a c t i o n , a l l o wi n g a p r o d u c t i v e e x p l o i t a t i o n o f t h e t e n s i o n sa n d g a p s b e t w e e n l e g a l i t y a t d i f f e r e n t s c a l e s i n o r d e r t o p r o m o t e

n o n - h e g e m o n i c r e s p o n s e s t o t h e a u t h o r i t a r i a n e n f o r c e m e n t o f h e g e m o n i c p r o g r a m s . I n t h i s i n s t a n c e , t h e m o b i l i z a t i o n o f E U l a w ,o f E u r o p e a n d i r e c t i v e s a n d r e g u l a t i o n s , a n d o f m o r e g e n e r a ld e f i n i t i o n s o f E U e n v i r o n m e n t a l p o l i c i e s p r o v e d t o b e a n i m p o r t a n tt o o l f o r g r a n t i n g l e g i t i m a c y t o t h e l o c a l p r o t e s t m o v e m e n t i n i t ss t r u g g l e a g a i n s t t h e n a t i o n a l g o v e r n m e n t a n d i t s p o l i c i e s . A m o r e


380



g e n e r a l p o i n t c a n b e m a d e o n t h e n e e d f o r a situationalc h a r a c t e r i z a t i o n o f t r a n s n a t i o n a l l e g a l i t y a s a r e s o u r c e f o r c o u n t e r -h e g e m o n y o r a s a t o o l f o r r e i n f o r c i n g h e g e m o n y . I n o t h e r s i t u a t i o n s ,

E U l e g a l i t y m a y b e u s e d a s a t o o l f o r l o w e r i n g s t a n d a r d s o f e n v i r o n m e n t a l p r o t e c t i o n t h a t p r e v i o u s l y e x i s t e d i n a g i v e nc o u n t r y , wh e r e e n v i r o n m e n t a l l e g i s l a t i o n wa s m o r e a d v a n c e d t h a nE U l eg is la ti on , a s i n s om e S ca nd in av ia n c ou nt ri es . I n t he se c as es , t hea ll eg ed l os s o f e co no mi c c om pe ti ti ve ne ss m ay b e i nv ok ed b y b us in es se s,i n d u s t r i e s , a n d g o v e r n m e n t s t o a d o p t t h e l e s s s t r i c t s t a n d a r d s o f t h eE U . I n a c c e d i n g c o u n t r i e s ( s u c h a s t h o s e w h i c h w e r e p a r t o f t h ef o r m e r S o v i e t b l o c ) , ‘ ‘ E u r o p e ’ ’ a n d E U d i r e c t i v e s a r e o f t e n i n v o k e d

b y t he s ta te a nd b y g ov er nm en ts t o p ro mo te e xt en si ve t ra ns fo rm at io nso f n a t i o n a l l a w i n d i f f e r e n t f i e l d s , t h u s f o r e c l o s i n g p u b l i c d e b a t e .

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383



Index

A b er s , R e be c ca 326Acci on Eco lo gica 254Achari 352A c ke r ma n , B r uc e 184

A de s h es h ia h , M a lc olm 355A g ga r w al , A n il 355AIDS

a f f or d a bl e d r u gs 19–20, 101, 123–125A id s L aw P ro je ct 112antiretrovirals 136–137a nd f re e t ra de 131–137i n t el l ec t ua l p r o pe r ty r i gh t s 12, 16, 42,

111–113p a t en t c o st s 119r ec og ni t io n o f g lo b al c ri s is 137

S o ut h A fr i ca n d r ug c am p ai g n. See SouthAfricaTanzania 294 , 301–302T r e at m en t A c ti o n C a mp a i gn 112–113,

118–119, 131, 132, 136 –137A l s to n , P h il i p 144, 155a l t er n at i v e l a w m o v em e nt 4A l v ar e z, C l au d e 359Alvar ez, Jose 164A m az o n W a tc h 110A m be d k ar , D r 353

A m er i ca n B a r A s so c i at i o n 103A m n e s ty I n t e r na t ion al 96, 110anarchists 49, 50A n ay a , J a me s 243, 245, 246, 247, 248A n d er s o n, S a ra h 163A ng el i s, M as si m o d e 39A n sl e y, F r a n 160antiretrovirals 136–137a n t i- s w ea t s h op m ove m en t

c on s um er - w or ker s olida r it y 75c r o ss - b or d er j o i nt l i ab i l it y 66, 69–75

elements 110e m pi r i ca l e v id e nc e 67–68origins 69publicity 74, 76s oft and hard l aw 75–80t r an s n at i o na l a d vo c ac y n e tw o r ks 64–66,

74–75U n i te d S t u de n ts A g ai n s t S w ea t sh o p s

(USAS) 73, 74, 75 , 76 , 79

apartheid 123–124A p pe l b au m , R i c ha r d 64, 71, 74A p pi a h , A n t ho n y 13arbitration 10

A r en d t , H a nn a h 42Argentina 45A r iz m en d i , D a v id 151, 153A r m e n ia n m a s s ac r e 269A r th u r s, H a rr y 65a sy mm et ri es o f p o we r, l i te ra tu re 7–8, 8–9Australia 287, 346A wa s T i ng ni p eo p le 248, 262A yr es , I an 6

B a ll a bh , V i s hw a 354

B a n dh opa dh ya y a , J a y a nt o 355B a rr y , A n d re w 378B a r s h efs ky , C h a r le ne 132B a rt l e y, T i m 76B a rt r a, A r ma n do 244, 246B a ru c ha , J u s ti c e 206BASF 104B a sm a ti r i ce 358B as u , D u rg a 340B a um a n, Z y gm u nt 96B a xi , U p en d r a 189

Bayers 133B e ck , U l r ic h 93, 363B e rg e r, T h o ma s 195 , 196B h ag w at i , J a gd i s h 82biodiversity

c or por at e biopir a cy 11I n d ia n h e ri t ag e 359 Neem 358rice 357

B oe h r in g e r I n g e lhe im 136Bolivia

Constitution 247in dig e nous m ove m en t s 246i n d ig e no u s p e op l e 241–242, 244w a te r s e rv i c es 11

B o ll i e r, D a vi d 101B o lt a ns k i , L u c 94B o na c ic h , E d n a 64, 71, 74B o nd , P a tr i ck 126bot t om - up pe r s pe ct ive 4, 5, 12–18

384



Bourdieu, Pierre 6, 107, 219 , 221 –222B o ye r , R o b er t 40B r ai t h wa i te , J o h n 6Brazil

A ID S d r ug s 119budgeting. See p a rt i ci p a to r y b u d ge t i ng i n

BrazilC am a r a de V e r e a dor e s 315, 331–335C a th o l ic C h u rc h 220 , 225, 232–233C o n st i tu t i on 1 9 8 8 235, 236, 247institutions 315, 316–317 , 331 –335judiciary 235–238MST. See M o v em e nt o f t h e L a nd l e ss ( M S T )p o l it i ca l c o nt e xt 313–315P o nt a l d o P a r an a pa n em a e p i so d e 225–231,

235–236

Porto Alegre 314–315Prefeitura 331–332s o ci a l m o v em e nt s 231–235W o rk e rs ’ P a rt y 232–233, 234–235, 314–315

Bristol-Myers Squibb 127B r ys k , A l i so n 245, 246B uc h an a n , P a t r ic k 163budgeting. See g e nd e r b u d ge t in g i n T a nz a ni a;

p ar t ic ip at o ry b u dg et i ng i n B ra zi lB u ra w o y, M i c ha e l 74B ur ma , U n oc al c la im 98, 110

B us h, G eo rg e W . 149

CAFTA 41–42C a me r o n, E d w in 119Canada 78, 134, 135, 346Canon 104C a ro t h er s , T h o ma s 184Cassese, A. 270C a st e ll s , M a nu e l 141C a st r o , B a rr y 100C a th o l ic C h u rc h

Brazil 220 , 225, 232–233Tennessee 167

C a va n ag h , J o h n 65, 71, 163C e c e na , A n a E s t h e r 242C h ac h ag e, S e it h y 287 , 288 , 296, 304C h am b er s , R o b er t 355C h au m on t , C h ar l es 267, 268Ch ave z, Ce sa r 175C h i ap e l lo , E v e 94Chile 82China 81

Chomsky, Judith 92C i s ce l , D a vi d 164c i vi l s o ci e ty

corporatization 106–109l i be ra l c iv i l s o ci et y 39resurgence 37–39

Clapham 97C la rk , R . 269

Clinton, Bill 133Cobaria, Gilberto 246Coca-Cola 98–99, 111Cofan 245coffee 99, 111Cohen, Joshua 77c o l la b o ra t iv e r e se a rc h n e tw o r k 3–4Colombia

a n d C o ca - C ol a 98–99, 111C o ns t i tu t i on 1 9 9 1 247, 249, 250–251C o ns t i tu t i on a l C o u rt 251–252C ou nc il o f S ta te 251 –252U ’ wa p e op l e . See U ’w a p eo pl e i n C ol om bi a

c om mo n h er i ta ge o f m an k in da nd I n te rn at i on al C ri m in al C o ur t 21,

276–279

phases 278–279r a di c al a m bi t i on 273–279treaties 274

commons 344–346Commons, John 69c o mm u n it y , a n d c o rp o r at e s o ci a l r e sp o n si b il i t y

106c om pulsor y a c quis it ion 347–350constitutions

Brazil 235, 236, 247Colombia 247, 249, 250–251

India. See I n d ia n C o n st i t ut i onL a ti n A m er i c a 247S ou t h A fr i ca 122–123, 190

C on s um er P r oje ct on T e c h n olog y 127, 129,130, 131

c o rp o r at e s o ci a l r e sp o n si b i li t y 19capitalist response 94–95, 100–105c o de s o f c o nd u c t 7, 19, 75–79, 78, 102c o mm u ni t y c o nc e pt 106c or po r at iz at io n o f c iv i l s oc i et y 106–109c oun t er - h e g em on ic pos s ibilitie s 109–115

de-radicalization 95–105MaNGOs 105–109 NGOs 110–111, 112, 115s o ci a l a u di t i ng 103–105

C o r po r a te W a tc h 99, 110cosmopolitanism

c os mo p ol i ta ni s m o f t he o p pr es s ed 169forms 13–14legality. See s u b al t e rn c o sm o p ol i ta n l e ga l i tyT e n n e ss e e c a m paig n s 169–173

c oun t e r- h e ge m on ic g loba liz a t ion

c om mo n h er it ag e o f m an k in d 273–279a n d c o rp o r at e s o c ia l r e sp o n si b il i t y 95,

109–115cosmopolitanism 13–14, 169–173forms 15f ut i li t y o f r es is t an ce 9–12a nd I n te rn at i on al C ri mi n al C ou r t 269–273,

272–273

INDEX

385



c oun t e r- h e g em on ic g loba liza t ion ( c on t .)invisibility 5, 5–12irrelevance 6–9movements 38, 43–44a n d ne olibe ra l g loba liza t ion 29–30pa r t ic ipa t or y budg e t in g 336–337r ole of law 4, 183–191, 260–263T a n za n ia n w o m en 283a n d t r a n sn a t iona l c or por at ion s 96–100W o r ld S o c ia l F o r um 30, 46–58

COVERCO 86crimes against humanity

definition 269I n t er n at i o na l C r i mi n al C o u rt 18,

269–273i n t er n at i on a l c r im i n al t r i bu n al s 269

un ive r s al jur is dict ion 268–269C r o zi e r , M i ch e l 33–34

Davalos, Pablo 246, 258D a vi d s so n , P a ll 92, 97, 102D ee b, M . T . 128–129democracy

concepts 359–360contested terrains 311–313crisis 33–35l i b er a l d e mo c ra c y 22

pa r t ic ipa t or y de m oc ra c y 22–23, 36r a di c al d e mo c ra c y 376r e dis t r ibut ive de m oc r ac y 323 –331technodemocracy 329–331

developmentIndian 347–350 Narmada dam 205–206a n d s oc ia l m ove m en t s 189s us t a in able de ve lopm e n t 19, 360, 364

D e Wi n t er , R e b ec c a 93D e za l ay , Y v es 10, 85, 184

D ic ke r son , C la ir M oor e 94difference

and equality 56–57recognition 41, 48r ig h t to, in dig e nous people s 247

D io mo , A na M ar ia 231–232, 233direct action

anti-sweatshop movement 75capitalists 73–74W o r ld S o c ia l F o r um 54–56

D i s ne y , K r i st i 160

D i w an , S h ya m 343D o h a D e cl a r at i o n 133 –136D o n ah u e , J o h n 6D o r f, M i ch a el 6, 7, 77D r ac h e, D a ni e l 40D up uy , R . J . 275D u s se l , E n ri q u e 14D w ye r , A u gu s ta 141

E a rt h J u s ti c e I n te r na t io n al 110EarthRights International 110 , 111Ecopetrol 249, 259Ecuador

indigenous movements 246indigenous people 241, 244, 245, 254Texaco case 98, 110, 248

education 295, 341E l l io t , K i m be r ly 78Ellwood, Wayne 92Ely, Jacob 166E mb er a K at ıo people 257e m e r ge n c e, s oc iolog y of 17–18eminent domain 344–345, 346Enlightenment 13e n vir onm e n t al pr ot e ct ion 7

e c ologic a l m ode r n iza t ion 365EU law 367–368n, 376f r ee t r ad e a g re e me n ts 19I n d ia n C o ns t i tu t i on 343–346l o ca l s t ru g gl e s 367a n d Na r ma d a d a m 209–210S t oc kh olm C on ve n tion 375–376w as te d i sp o sa l i n P o rt u ga l 16, 23, 368–376

E p p , C h ar l e s 212, 220E s te v a, G u st a vo 184E t hi c al T r ad e I n i ti a t iv e 102

E u ro p e an U n i onc o rp o r at e s o c ia l r e sp o n si b i li t y 97, 101–102e n vi r o nm e nt a l l a w 367–368 n, 376

Evans, Peter 64E xx o n M o bi l e 111

Fa ir L abour A s soc ia tion ( FL A ) 70, 76, 79, 87Farvacque, Catharine 143feminist movements

a n d r e s our ce a lloc at ion 286–288Tanzania. See Tanzania

W o rl d S o c ia l F o r um 56–57F e rn a nd e s, E d es i o 189, 211F e rn a nd e s, W a lt e r 345, 347F o o d a n d A g r i c ul t u re O r ga n iz a ti o n ( F A O) 358Ford 104F o r d F o u nd a ti o n 103Foucault, Michel 6France 269Frank, Dana 75f re e t r ad e a gr ee me nt s

a n t i- NA FT A c a m paig n s 161–164

e n vir onm e n t al pr ot e ct ion 19labour clauses 82–84 NAFTA. See NAFTAs o ci a l c l au s es 19a n d s oc ia l m obiliz at ion 131 –137a n d So u t h A f ri c a 126WTO. See WTO

F r ee m an , J o d y 6

INDEX

386



F r ee m an , R i c ha r d 78FTAA 83, 164F u n g, A r ch o n 7, 77

Galanter, Marc 222Gap 86Garcı a, M a u ri c i o 66, 251Garth, Bryant 10, 85, 184g e nd e r b u d ge t i ng i n T a nz a ni a 1, 11, 18, 22

c o al i t io n b u i ld i n g 291–292future 304–309GB Initiative 283, 289–304g ove r nm e n t a l pr oc e ss e s 294–297grassroots grounding 292–294a n d in t e r n at ion a l fin a n cia l in s t it ut ion s

297–299

P ha se 1 290–299P ha se 2 299–304r e t ur n in g r e s our ce s t o people 301–304

G e ne r al E l e ct r i c 70G e ne r al M o t or s 104G e nr o , T a rs o 315, 322, 327, 330G e re f f i, G a ry 69G h an d i , M a ha t ma 341, 353Giddens, Anthony 93G i l be r t, A l an 146G i l l, S t ep h en 78

G i ra l d o, M a ur i c io 78G la si u s, M . 270GlaxoSmithKline 136G l o ba l C o m pa c t 101 , 102, 110g lo b al e co n om y o f s o li d ar i ty 19–20, 119g l ob a l g o ve r na n ce

c oun t er - h e g em on ic a lt e r n at ive s 43–44hard and soft law 78I n te r na t io n al C r i mi n al C o u rt 271–273literature 2, 5–6n e oliber a l le g a lit y 31–44, 32

origins 33–35s oc ia l s t r ug g le s ag a in s t 39, 40–43t r a n s na t ion al c or por at ion s 92–95

G lo b al N et wo r k o f S oc ia l M o ve me nt s 45G lo b al P o li cy F o ru m 97G l ob a l R e p or t i ng I n it i a ti v e 104G l ob a l W i t ne s s 96globalization. See counter-hegemonic

globalization ; n e olibe ra l g loba liza t ionG o br i n -M o ra n te , C . 53G on ca lve s , M a r ia E dua r da 369

G o nz a le z , D a vi d 71G or e, A l 132 , 254G o ul d n er , A l v in 114governance. See g l o ba l g o v er n an c eG r am s ci , A n t on i o 6, 12, 18, 51, 73, 312Graubart, Jonathan 83G r e e nh ous e , S t e ve n 174G r os s m an , C l au d i o 248

G r o ti u s , H u go 270Guatemala

business association 81, 82indigenous people 241labour rights enforcement mechanisms 78Liz Claiborne 71–72, 81sweatshops 41–42, 71, 73

Guha, Ramchandra 345, 352

Hab erm as, Ju rge n 33Hajer, Maarten 365HakiArdhi 296Hansen-Kuhn, Karen 163H a th a wa y , D a le 162health

D o h a D e cl a ra t io n 133–136

right to 122–123user fees 295

H e ge l , G . W . F . 35h e ge m on i c a c to r s 2, 11–12, 73H el d, D av i d 40, 96H e mi s p he r ic S o ci a l A l l ia n ce 164Henneberger 151heritage 278, 356–359Hinkelammert, Franz 47H i r sc h l, R a n 252HIV/AIDS. See AIDS

H o r ow i t z, M o r to n 206housing. See Texas coloniasHoutzager, Peter 222Howard, Alan 69Huaorani 245h u ma n r i g ht s

concepts 13, 360e c on o m ic a n d s o ci a l r i gh t s 153,

154–155indigenous peoples 244–248i n d iv i d ua l a n d c ol l e ct i v e r i g ht s 15–16

i n t er n at i o na l H R l a w ye r s 11literature 2reconstruction 20–21right to health 122–123women. See women’s rights

H um an R i gh ts F i rs t 87H um an R i gh ts W at ch 83, 110H un t , A l an 18H u nt i n gt o n, S a mu e l 33–34

IBM 104

ILRF 78, 84I M F ( In te rn at i on al M o ne ta ry F u nd )

deregulation 296i mp ac t o n w om en 288, 290a nd T an za ni a 284–285, 291, 298–299,

306–307w o r ld p r o te s ts 303, 303–304

I mm i gr an t W or k er s F r ee do m R i de 174–176

INDEX

387



immigrantsdriver’s licences 166–169, 172legality 19a n d Se pt e m be r 11 e ve n t s 168 –169Tennessee 164–169Texas. See Texas colonias

I n diaA ID S d r ug s 119bioheritage 359c o l le c ti v e r i g ht s 16commons 344–346constitution. See I n di a n C o n st i tu t i ondevelopment 18, 347–350d o m es t i c a n d i n te r na t io n al l a w 190education 341eminent domain 344–345, 346

f i s hi n g t e ch n i qu e s 352forest law 344–346, 354heritage 356–359indigenous peoples 345–346, 347i n f or m at i on r i gh t s 355–356in t e r - s ta t e w a t e r dis put es 188, 191,

200, 207K e r al a f i s he r me n 347 , 352–353L a nd A c qu i s it i o n A c t 347–350l o c al c o nt r o l 353–355M a z do o r K i s an S h ak t i S a na t ha n ( M K SS )

355–356 Narmada. See Narmada dam Neem 358Panchayat system 353 –355patent law 120–121p u b li c h e ar i n gs o n d e v el o p me nt 355–356s o c ia l a c ti o n l i t ig a ti o n 4technology 351–353

I n d ia n C o ns t i tu t io na n d c om pulsor y a c quis ition 347–350D i r ec t iv e P r i nc i p le s o f S t at e P o l ic y 23,

339–343, 356–359e n vir on me n t a l pr ot e c tion 343–346Preamble 340

indigenous peoplesc o l le c ti v e r i g ht s 20c o r po r at e b i o pi r ac y 11h um a n r ig h t s a n d n eolibe r alis m 244 –248I n dia 345–346 , 347i n t el l ec t ua l p r o pe r ty r i gh t s 358–359land 14, 246 Narmada dam 192, 193, 194, 196, 209

politics and law 243–244r e s our ce e xt r a ct ion 244–246t r a n s n at ion al r e s is t an c e 241–244, 246–247U ’ w a p e op l e. See U ’w a p eo pl e i n C ol om bi a

Indonesia 71 , 111i n f or m at i o n r i gh t s 355–356i n t el l ec t u al p r o pe r ty r i gh t s

and AIDS 12, 19–20, 42, 111–113

b al an ce o f n ee ds 121indigenous knowledge 358–359S o u th A f r ic a . See S o ut h A fr i caTRIPS 78, 120–121, 125–130 , 132–133TRIPS-plus 120

I n te r -A m er i ca n C o mm i s si o n o f H u ma n R i g ht s259

I n te r -A m er i ca n C o u rt o f H u ma n R i g ht s 248I n te r na t i on a l C h am b er o f C o mm e rc e 97, 101,

102I n te r na t i on a l C o v en a nt o n E c on o m ic ,

S o ci a l a n d C u l tu r al R i gh t s 144, 153,154 –155

I n te r na t i on a l C r i mi n al C o u rtC o al i t io n f o r a n I n t er n at i o na l C r i mi n a l

C our t 270

a nd c o mm o n h er i ta ge o f m an k in d 21,276–279

c oun t er - h e ge m on ic t ool 272–273h e ge m on i c t o o l 271–272l e ga l f r a me w or k 21, 269–273 Nuremberg paradigm 273and TNCs 97

i n t er n at i o na l c r im i n al t r i bu n al s 269i n t er n at i o na l f i n an c i al i n st i t ut i o ns

and deregulation 296a n d de ve lopin g c oun t r ie s 296

IMF. See IMFand Tanzania 297–299, 306–307World Bank. See World Bankworld protests 303 –304WTO. See WTO

in t e r n at ion a l in s t it ution s , de m oc r at iz in g 22I n te r na t i on a l L a bo u r O r ga n i za t io n ( I LO )

c o rp o r at e s o c ia l r e sp o n si b i li t y 102e n fo r ce m en t o f c o nv e nt i o ns 78, 82, 84g l ob a l s t an d ar d s 80r i gh t s o f i n di ge no u s p eo p le s 194, 209, 247,

257, 259I nt er na ti o na l L ab o ur R i gh t s F u nd 111i n t er n at i o na l l a w

c om mo n h er i ta ge o f m an ki n d 273–279a nd d om es ti c l aw 190–191a nd d o me st i c p r es s ur es 125–129evolution 267–269

pacta sunt servanda 135s of t l aw 277

I n te r na t i on a l S e ab e d A u t ho r i ty 276–278i n v es t m en t , s o ci a l ly r e sp o n si v e 104

Iraq 45, 276Ireland 339I rw i n, A la n 367ITGLWF 87

Jackson, Jessie 131 Jain, L. C. 205 Japan, and Doha Declaration 133

INDEX

388



Jayal, Nijara Gopal 191, 193, 195, 196, 198,199, 200, 201, 204, 210

Jenson, Jane 34 Jessop, Bob 31–44 Jimeno, Gladys 245 Jodha, N. S. 345, 346 Johns, Desmond 130 Juarez, Blanca 150–151, 152 Juarez, Huberto 80judges

Brazil 235 –238I nd i an S up r em e C o ur t 203a n d l eg a l c h an g e 184–185

K a nt , I m ma n ue l 270, 271K a r kkain e n , B r a dley 7

K ar l , T er ry 245Katarista 246K a uf m an , L e sl i e 71Kearney, M. 241K e c k, M a r g a re t 66, 84, 110, 189 , 244, 253, 255,

260Kelly, Eric 151Kennedy, Duncan 188 , 263K h a g r am , S a n je ev 184, 187 , 193, 194, 213, 260K i tu ng a, D em er e 2 83 , 285, 306K l ei n , N a om i 74, 93

K l ug , H ei n z 122, 183, 184K n i gh t , P h i li p 76, 79K o ch e ry , T o m 344 , 352Korea 75, 84Korzeniewicz, Miguel 69Korzeniewicz, Roberto 69Kosovo 276Kothari, Ashis 357Kraft Foods 99K u b ar u ’w a , B e ri t o 250, 253–254K u h n, T h o ma s 32

Kukdong 16, 19, 68, 71, 72–74, 74–75, 79–80,84–85

K u n da , G i d eo n 108Kurien 352K y ml i ca , W i l l 243, 245, 247

labour conditionsg l ob a l c o d es o f c o nd u ct 7, 19, 75–79, 78, 102l e ga l p l u ra l i sm 80–85McDonaldization 93soft and hard law 75–80

sweatshops. See a n t i- s we a t s hop m ove m en t;sweatshops

laches doctrine 207–208Larangeira, Sonia 324L a rs o n, J a ne 142, 146, 147, 153L as h , S co t t 93law

c o nc e pt o f l e ga l it y 15

cosmopolitan. See s uba lt er n c os m opolit a nlegality

dom e s tic a n d in t e r n at ion a l 190–191a n d in dig e nous pe ople 243–244, 251–253,

260–263l e ga l p l u ra l is m 2, 65–66, 67, 80–85M ST a nd l eg al c ha ng e 231–238M ST j u di c ia l s t ra te gy 218–220, 223 –231a nd N ar ma da V al l ey s t ru gg le 185, 211–213a nd p o li ti cs 30–31, 58–62, 243–244 ,

260–263rul e of l aw 2, 84, 272–273a nd s o ci a l s t ru gg le s 183–191, 211, 220–223

lawyersa n t i- he g e m onic a c t ions 110–111Brazil 236–238

l e x m e rc a to r ia 2, 184Liebman, James 7Litvin, Daniel 76Liz Claiborne 42, 71–72 , 81, 86L o be l, O rl y 77l o c al a c ti o n 284, 292–294localised globalism 142Lynd, Staughton 160

M a cN e il , M i ch a el 6M a c don ald, T h e odor e 255

M a c P h er s on , C. B . 40Mamdani, Mahmood 189Man cano , Ber nar do 225, 226, 232, 233 , 234M a nd e l a, N e ls o n 118MaNGOs 105–109M a qu i l a S o l id a ri t y N e tw o r k 86Marcos, Subcomandante 51Marcus, George 4Mare s, Carlo s F redri co 243M ar x , K ar l 6M a ya g na p e op l e 245

Maybury-Lewis, David 245Mbilinyi, Marjorie 285, 293, 296,

300, 304M c Ad a m, D o u g 222McArthur Foundation 103McAuslan, Patrick 143McCann, Michael 66, 260McDonaldization 93M c Mi c ha e l, P h i li p 241Me deci ns S ans Fro nti eres (MS F) 112, 131medicines. See AIDS

M e nd o z a, M a rc e la 164, 165M e no n , G e et a 345M e sa , G r eg o ri o 249Meszaros 230Mexico

Constitution 247i n d ig e no u s p e o pl e 241i n f or m al h o u si n g 143, 147

INDEX

389



Mexico (cont.)K u k do n g f a ct o r y 16, 19, 68, 71, 72–74,

74–75, 79–80, 84–85labour rights enforcement mechanisms 78migrants to Tennessee 164–169sweatshops 71, 73U S c ap it al f l ig ht to 159w or ke r e xc h a ng e s wit h U S 20, 160–162,

165, 171, 172Zapatistas 242, 244

Mexmode. See K ukdon gM ey er , J oh n 113M i ca , J o hn 132M i c ha e l, M i k e 367Mignolo, Walter 13, 14Miskito people 247

M ka n da wir e , T h a n dika 189M o ha me d, B i bi T i ti 283, 309M o ne de ro , J u an C ar l os 33M o od y, K i m 64M o r se , B r ad f o rd 195, 196M o se r, I . 357M o s he r , J a me s 6, 65M o u ff e , C h an t al 376M o v em e nt o f t h e L a nd l e ss ( M S T ) ( B ra z il ) 11,

15, 21j u d ic i al s t r at e gy 218–220, 223–231

l e ga l c h an g e 231 –238P o n ta l d o P a ra n ap a ne m a e p is o d e 225–231,

235–236M o y, C ar l 120M o y ni e r, G u st a v e 269M u e la s , L o r en z o 254M u k he r je e , N i rm a l 355multinationals. See t r a n s na t ion al c or por at ion sM ut ua , M ak au w a 14

NAALC 83, 84

Nader, Ralph 112 NAFTA

a n t i- N AFT A c a m pa ig n s 20, 161–164, 170,173

a nd d ru g p at en ts 135l a b ou r r i g ht s 17, 83

Nandy, Ashis 187, 189 Narmada dam 16, 21, 201

1 9 7 9– 1 9 94 s t ag e 192–1971 9 9 4– 2 0 00 s t ag e 197–202a pp l ic ab l e l an d l aw 192

background 191a n d d e ve l o pm e nt 205–206a nd d oc tr in e o f l ac he s 207 –208h i st o ry o f s t ru gg le 191–202h u m an r i gh t s 209–210I n di an S u pr em e C o ur t 186, 197–210l o ca l c ri mi n al l aw s 192–193modernity 203–204

Narmada Bachao Andolan (NBA) 195–202,210

a n d n a ti o n al i s m 204–205p ol it ic s o f S up re me C ou rt 202–210pos t - judgm e n t polit ic s 210rol e of law 185, 211–213a nd s t at i sm 206–207t r a n s na t ion al pr oje c t 193t r a n s na t ion al r e s is t an c e 185t r i ba l r i gh t s 192, 193, 194, 196, 209

n at u ra l r es ou r ce s, a nd i nd i ge no us p eo pl e244 –246

Navarro, Zander 225, 234 Neem 358n e oliber a l g loba liz a t ion

alternatives 1–3

a n d c oun t er - h e ge m on ic g loba liza t ion 29–30f u ti l it y o f r es i st an ce 9–12governance 31–44, 32a nd i n di g en o us p eo p le s 244 –248l o ca l i se d g l o ba l i sm 142victims 4, 14

neoliberalismorigins 33–35p o l it i ca l m e an i n g 35–40

Netherlands 274 New Zealand 346

NGOsa n d c o r po r at e r e sp o n si b i li t y 110–111, 112,

115funding 109–110 , 261K u k do n g c a mp a i gn 72MaNGOs 105–109S ou t h A f ri ca n A ID S d ru gs c am pa i gn 112strategies 261, 270–271t r a n s na t ion al e lit e s 10

Nicaragua 245, 247 Nigeria 98, 110, 346

Nike 68, 70, 71, 72–74, 76, 79–80, 84–85, 99,104

n o n- s t at e a c to r s 6–7 North

meaning 158S ou th i n t he No rt h 158

Nuremberg paradigm 273 Nuremberg Tribunal 269 Nye, Joseph 6 Nyerere, Julius 283, 284

O c ci d en t al P e tr o l eu m ( O xy ) 243, 249–253 ,258 –260

OECD 102O ff e, C l au s 33Oilwatch 254, 258O j ed a , M a r th a 163O l i ve i ra , L u ci a no 66O pe n S o ci e ty I n st i tu t e 103

INDEX

390



O r ga n i za t io n o f A m er i ca n S t at e s ( O AS )255–256

O r is s a p e op l e 345O ’ Ro u r ke , D a r a 6, 7, 76O sb o rn , A n n 248O s sa , M a r ti n 78Oxfam 97, 99, 105, 111, 112, 131, 194, 246

P a ch a ku t ic p a rt y 246 pacta sunt servanda 135

Pakistan 204P a po v i ch , J o s ep h 132Parasuraman 347P ar d o, A r vi d 274P a rk e r, C h ri s t in e 104p ar ti ci p at o ry b u dg et in g i n B ra zi l 1, 15, 18, 22,

232assessment 336–337C am a r a de V e r e a dor e s 315, 331–335co-government 325–329c om m unit y or g a n iza t ion s 318–319c o mp e ti n g l e ga l c o mp e t en c es 331–335de c is ion - m a kin g m e t h odolog y 321–323future 336institutions 315, 316–317 , 331 –335p o l it i ca l c o nt e xt 313–315Prefeitura 331–332

processes 315–316, 317–321r e dis t ribut ive de m oc ra c y 323–331success 335t e c h n obur e auc r a cy t o t e c h n ode m oc r ac y

329–331pa r t icipa t or y de m oc r ac y

Brazil. See p ar ti c ip at o ry b ud ge ti n g i n B ra zi land legitimacy 36l o ca l a n d gl o b al 22–23r e dis t ribut ive de m oc ra c y 323–331Tanzania. See g e nd e r bu d g et i n g i n T a nz a ni a

P a st o r R i d ru e j o, J . A . 268P at el , A ni l 193, 194P a te l , G i r is h 349patents

A I DS m e di c i ne s 119c om pulsor y lic e n s in g 120, 121, 126 , 130 ,

132, 134i n t er n at i on a l l a w 119–121 Neem 358a n d S ou t h A f ri c a. See S ou t h A fr i ca

P a tk a r, M e dh a 198, 349

P a tr i n os , H a rr y A n th o n y 242P au l, J am es A . 97P a yn e , G e of f r ey 143P er o t, R o ss 163Peru 247ph a r m ac e ut ic a l in dus t r y

A ID S d r ug s. See AIDSp a te n t r i gh t s 120

P h a r m ac e ut ic a l M a n ufac t ur e rs ’ A s s oc iat ion111–112, 127–128

Philippines 53Philips 104Plautus 274p l u ra l is m , l e ga l p l u ra l i sm 2, 65–66, 67, 80–85politics

a nd i n di ge no u s p eo p le 243–244, 260–263a n d l e ga l i ty 30–31, 58–62, 243–244,

260–263 Narmada dam judgment 202–210n e oliber a l g ove r na n c e 35–40n ov el ty o f W or ld S oc ia l F or um 46–58a n d s u b al t er n c o sm o p ol i t an l e ga l i ty

16, 173P o l ya n i’ s i n v er s i on 39

P o nt , R au l 315, 330P o r te s , A l ej a nd r o 141P o rt o A l eg re C h ar t er 44, 45, 46, 47, 49Portugal

e n vir onm e n t al a c t ivism 370–376e n vir onm e n t al pr ot e c tion 16, 23and law of the sea 274p o l it i c al c o nt e x t 368–370Quercus 370, 374s u b al t e rn c o s mo p o li t a n l e ga l i ty 377–381w a st e m a na g em e nt 16, 23, 368–376

P r ab h u , P r ad i p 349P r ak as h , M ad hu S u ri 184P ro ct er & G am bl e 99P s a c h ar opoulos, G e or ge 242publicity

c o ff e e c a mp a i gn 99a n d s w e at s h op s 74, 76

P ur e z a, J os e M a n ue l 272, 273, 275

Q u i ja n o, A n ıbal 14Q u i nn , G e ra r d 144, 155

R a ja g opa l, B a la kris h n a n 14, 66, 187, 188R a ma n at h an , U s h a 348, 349, 350R a m os , J e s us R a m os 73R a nn e y, D a v id 161, 162R e d dy , C h in n ap p a 342, 352redistribution 40–41, 323–331Reebok 68, 84–85R e in s boroug h , P a t r ick 254, 259r e s c o mm un i s 274–275r es o ur ce a ll o ca ti o n, a nd w o me n 286–288

rice 357, 358R ic e T ec h I nc . 358R i k er , J a me s 184, 260r i s k s o c ie t i es 363R i s se , T h o ma s 189, 190R o b in s o n, C o u rt l a nd 213R oc ke felle r Foun da t ion 103R odr ig ues , M a r ia E ug en ia 370

INDEX

391



Rodriguez-Garavito, Ces ar 8, 41, 67, 70, 74, 76,77, 82, 251

R o g er s , J o el 77R o ma n l aw 274R o p p, S t ep h en 189R o se na u, J . 272R o s en b er g , G e ra l d 15, 188, 212R o s en c ra n z, A r mi n 343R o ss , A nd re w 64, 70R o t hs t e in , J e ff r e y 65ru le of law 2, 84, 272–273R u pe rt , M ar k 164Russia 269, 339R y an , M i ch a el 120

S a be l , C h ar l es 6, 7, 8, 77

S a hg h al , B i tt u 349Sa nchez, Wendy 73, 84S a ng v ai , S a nj a y 194, 196, 197, 198, 199, 200,

201, 204, 210S a nt o s , B o av e n tu r a d e S o u sa 13, 14, 17, 29, 30,

34, 37, 40, 57, 58, 59, 60, 66, 74, 75, 83,93–94, 110, 113, 115, 137, 140, 142, 158,169, 173, 183, 186 , 211 , 219, 243, 247,268, 272–273, 284, 310, 311, 313, 337,363, 364, 366, 368 , 369 , 377, 378

S a ra t , A u st i n 66

S a rg e nt , N e il 6S a ss e n, S a sk i a 142, 153S at z, D eb r a 13S ax en a, N . C . 355S c he i ng o l d, S t u ar t 15, 66s c ho o l b o a rd s 7Scoreco 371S e at t l e p r o te s ts 43S e co y a p e op l e 245, 254S el l , S u sa n 120S e mi e n, J o hn 167

S e n, A m ar t ya 343, 361, 367S ep te mb er 1 1 e ve nt s 168–169S e ro - W iw a , K e n 98, 110S e th i , P r ak a sh 99S h am i r , R o n en 99, 101, 106S ha rm a, B . D . 196S h ar m a, K a lp a n a 210Shell 98, 104, 110 , 249S h i sa n a, O l i ve 130S h i va , V a nd a na 356, 357, 359S hi v ji , I s sa 189

S i eg e l, R e v a 189 , 212S i k ki n k , K a t hr y n 66, 84, 110, 184, 189, 244,

253, 255, 260S il va , L ul a d a 314S i m on , W i l li a m 8, 9, 59, 77S i n gh , C h at r ap a t i 345 , 346 , 348, 350, 359S i n gh , D i g vi j a y 198S k l ai r , L e sl i e 94, 99

S la ug ht e r , A n n e - Ma r ie 184S mi th , B ar ba ra E l le n 164, 165S m it h , R e b ec c a 168S no w , D av i d 64S n yd e r , F r an c is 6S o ci a l A c co u n ta b il i t y I n te r na t i on a l ( S AI ) 70,

76, 79, 103s o c ia l a u di t i ng 103–105s o c ia l e x cl u s io n

1 9 7 0s m o v em e nt s 33n e ol i b er a l p o l it i cs 37s t ru g gl e s a g ai n s t 29–30

s o ci a l f a sc i s m 60s o ci a l s t r ug g le s

Brazil 231–235a nd f re e t ra de 131–137

n at i on al o r g lo b al 53–54and th e l aw 183–191, 211, 220–223w i t hi n g o v er n an c e f r a me w or k 39, 40–43

s oc ia li sm , a nd W or ld S oc ia l F or um 51–52s o c ia l l y r e sp o n si b l e i n v es t me n t 104s o ci o lo gy o f e me rg en ce , m ea ni n g 17–18s of t l aw 6, 65, 75–80, 277s o li d ar i ty , g lo ba l e co no m y o f s o li d ar i ty 19–20,

119S o r os , G e or g e 103S o to , Y ad i ra 246

S out hmeaning 3, 14S ou th i n t he N or th 158

S o ut h A fr i caA ID S c ri s is 118–119Constitution 122–123, 190f re e t ra de a nd s o ci al m o bi l iz at io n 131–137g e nd e r b u d ge t in g 287i n te r na t i on a l c o mm i tm e nt s a n d d o m es t i c

pressures 125–129I PR s a nd A ID S 12, 16, 19 –20, 42, 111–113,

125–130R e co n s tr u ct i o n a n d D e ve l op m en t P r o gr a m

122–123r ig ht t o h ea lt h 122–123Soobramoney case 122–123s tr u gg le f o r a f fo r da bl e A ID S d r ug s 123–125s t ru g gl e f o r a n ti r e tr o v ir a ls 136–137a nd T RI PS 111, 125–130, 132–133WT O v WHO 129–131

S o ut h C en t re 131Spain 255, 274

statesc o nt e st e d t e rr a i ns 311–313e x cl u s io n f r o m n e ol i b er a li s m 36–37,

42, 296pos t - s t at e g ove r na n c e 42sovereignty 187a nd W or ld S oc ia l F or um 52–53

S t au d t , K a th l ee n 143

INDEX

392



S t a ve nh a g e n, R odolfo 244S t ra n ge , S u s an 78s t ra t eg i c g l ob a l c o nt a ct p o i n t s

c a pi t a l f l i gh t an d jo b l o s se s 159–164meaning 158–159m ig r a nt s in T e n n e s se e 164–169

S t ra u s s, D a vi d 184S t ro z a ke , J u v el i n o 230, 237student movement 33, 73, 74, 75, 76, 79s u b al t e rn c o sm o p ol i t an l e ga l it y

c o ll e ct i v e a n d i n d iv i du a l r i g ht s 15–16cosmopolitanism 13–14, 169–173epistemology 17–18a n d in t e r n at ion a l la w 268l e ga l i ty c o nc e pt 15migrants 165

nature 5, 12–18, 30polit ica l s t r ug gle s 16P o r tu g ue s e e n vi r o nm e nt a l s t ru g gl e

377–381processes 310s o ci o l og y o f e m er g en c e 17–18Tanzania 284W o rl d S o c ia l F o r um 30, 44–58

S u gm o ri , A m y 168s us t a ina ble de ve lopme n t 19, 360, 364S w a m ina t h a n, M . S . 361, 367

Swan, Peter 6sweatshops

See also anti-sweatshop movementcross-border joint liability 66, 69–75e m pi r ic a l e v i de n ce 67–68Guatemala 41–42K u k do n g f a ct o r y 16, 19, 68, 71, 72–74,

74–75, 79–80, 84–85labour conditions 19l e ga l p l u ra l i sm 65–66, 67

Switzerland 120, 133

TanzaniaFe m in ist A c t ion C oa lit ion 283–286,

287–288gender budgeting. See g e nd e r b u d g et i n g i n

TanzaniaG e nd e r N e tw o r ki n g P r o gr a mm e ( T G NP )

283–286, 287–288a n d in t e r na t ion a l fin a n c ial in s t it ut ion s

284–285, 291, 297–299 , 306–307 National Micro-Finance Bank 297

r e s our ce a lloc at ion 286–288T ap i a, L u is 246, 258T a rr o w , S i d ne y 66, 222T a yl o r , L u cy 107T a yl o r , P e te r 367t e c h nolog y t r a n s fer 134Tegrı a, E v ar i s to 252Tennessee

a n t i- NA FT A c a m paig n s 173c a pit al flig h t an d job loss e s 159 –164c os m opolit a n c a m paig n s 169–173d r i ve r s’ l i c en c es 166–169 , 172a n d I m mi g r an t W o r ke r s F r ee d o m R i d e

174–176m i gr a nt s ’ r i g ht s 20, 164–169w or ke r e xc ha n g e s w it h M e xic o 20, 160–162 ,

165, 171, 172T e nn e ss e e I n d us t ri a l R e ne w al N e tw o r k

(TIRN) 160–162, 165–166, 171T e u bn e r, G u nt h er 6Texaco 98, 110, 248Texas colonias 15, 20

description 140–143a nd h um an r ig ht s 153, 154–155

i n f or m al h o u si n g 145–148p o l it i c al s t r ug g le s 148–153p r o gr e ss i v e r e al i z at i o n m o d el 144, 153–156regularization 143–144 , 153–156

T h ai l an d , A ID S d ru gs 119Tilly, Charles 222Torr, Douglas 119t r a de a g r e em e n t s . See f re e t ra de a gr ee me nt st r an s n at i on a l a d v oc a cy n e tw o r ks

activists 11a l te r na t iv e l e ga l f r am e w or k s 3

anti-sweatshop movements 64–66 , 74–75soft and hard law 78–80

t r a n s n at ion a l c or por at ion sc o d es o f c o nd u ct 7, 19, 75–79, 78, 102c oun t e r- h e g em on ic s t r a t eg ie s 96–100g l ob al r u le 92–95r ul e of l aw 84s oc ia l r e s pon sibilit y. See c o rp o r at e s o c ia l

responsibilitysweatshops. See sweatshops

t r a n s n at ion a l e lit e s 11–12

T r ea t me n t A c ti o n C a mp a ig n 112–113,118–119 , 131, 132, 136–137

T r ip l e B ot to m L in e I ni t ia ti v e 104TRIPS

context 120–121D o h a D e cl a ra t io n 133–136h ar d l aw 78a nd S ou th A fr ic a 111, 125–130, 132–133

TRIPS-plus 120T r u be k , D a v id 6, 7, 65Turkey 269

Ubiratan 322U n ge r , R o b er t o 6, 8, 9u n i on s , K u k do n g 68, 74–75, 80, 84–85U n i te d K i n gd o m 269U n i te d N a ti o n s

G l o ba l C o mp a ct 101, 102, 110r i gh ts o f i n di ge no u s p eo p le s 247

INDEX

393



United Nations (cont.)UNAIDS 112UNDP 193

United States1 9 t h- c en t u ry p r o pe r ty r i gh t s 206A l i en T o r t Cl a i ms 82, 98–99, 110–111bottom-up approach 4c o r po r at e c o de s o f c o nd u c t 70–71a n d D oh a D e c lar a t ion 133, 134e x t ra - te r ri t or i a l H R j u r is d i ct i on 98and Guatemala 41–42h um a n r ig h t s c on c ept s 155and ICESCR 144i l l eg a l i m mi g ra n ts 18, 20informality 140, 145 –148in s t it ut ion a l e xpor t s 10

a n d I n te r na t i on a l C r i mi n al C o u rt 271a n d in t e r n at ion a l la w 190and Kukdong 84l e ga l m o bi l i za t io n l i t er a tu r e 66s o c ia l e n gi n ee r in g 5s o c ia l r e gu l a ti o n 42a nd So u th A f ri ca n d r ug p o li cy 126–127,

128, 129–131sweatshops 64, 69Tennessee. See TennesseeTexas colonias. See Texas colonias

t r ad e a g re e me nt s 78, 82Unnikrishnan 347Unocal 98, 110U p r im n y, R o d ri g o 66, 251u t op i a, W SF 46–47, 58–62U ’w a p eo pl e i n C ol om bi a

b o o me r an g e f f ec t 255–258case 21, 243–244, 248–260g r a s s root s m obiliz a tion for t e r r it or y 248–251j u di ci al i za ti o n o f c as e 251–253l a w a n d p o l it i cs 260–263

t r a n s n at ion a l c oa lit ion 253–255victory 258–260

V an C ot t, D on na L ee 246, 247, 262V a re l l a, M a rc e lo 237V S f 241

Ward, Peter 143, 146W a s h ing t on C on s e n sus 34w a st e d i s po s al

and localities 366–367Portugal 16, 23, 368 –376

W a ta n uk i , J o j i 33–34W a te r ma n , P e te r 74Weinbaum, Eve 160Weiss, E. B. 276W e st f i el d , E l i sa 102W h it a ke r , M o n ic a 167Williams, Heather 74, 75Williams, Susan 160Winston, Morton 87, 99WIPO 120women’s rights

p a tr i ar c ha l H R t r ad i t io n 20Tanzania. See gender budgeting

i n T an z an i aT e xa s c o l on i as 148

W or l d B an kderegulation 296i mp ac t o n w om en 288, 290a nd N ar ma da d am 192, 193, 193–194,

194–196, 212 , 213s oc ia l r e s pon sibilit y 86a n d T a n za n ia 291, 295, 298–299,

306–307w o r ld p r o te s ts 303 , 303–304

W or l d H ea lt h O rg an i za ti on ( WH O) 125,129 –130

w o r ld h e ri t a ge 278W or l d S o ci al F o ru m 3

c on ce pt io n o f p o we r a nd o p pr es si o n47–48

c o ns t i tu e nt f o r um s 44–45d i re ct o r i n st i tu t io na l a ct i on 54–56e q ua l i ty a n d d i f fe r en c e 48, 56–57

g lo b al e co n om y o f s ol i da ri t y 19movements 43n at i on al o r g lo b al s t ru gg le s 53–54nature 44–46n ew c ri t ic al u t op ia 46–47, 58–62

l i i l l 46 58

INDEX

boaventura_de_sousa_santos,_césar_a._rodríguez-garavito_law_and_globalization_from_below__2005

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