governance lecture series 1: governance for urbanism
DESCRIPTION
This is the first of a series of lectures on Governance prepared by Roberto Rocco, assistant professor at the Chair Spatial Planning and Strategy of the Delft University of Technology. The idea of the lecture series is to substantiate governance and put it in a historical and social context. The aim is to equip students in Urbanism, Spatial Planning, to understand the concept and apply it in research and design projects. In order to do so, I work with contrasting pairs of concepts. In this lecture, I contrast PROPERTY and JUSTICE.TRANSCRIPT
THE GOVERNANCE LECTURE SERIES
Prepared by Roberto RoccoChair Spatial Planning and Strategy, TU Delft
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GOVERNANCE
This lecture was prepared for the GOVERNANCE lecture series of the Complex Cities Grad Studio (Department of Urbanism, TU Delft).
2Wednesday, 5October, 2011
GOVERNANCE LECTURE SERIES
In this lecture series, several concepts are contrasted with each other in pairs. The objective is to define concepts in relationship to each other, so as to build up a comprehensive understanding of GOVERNANCE.
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GOVERNANCE LECTURE SERIES
The first pair of concepts is
PROPERTY and JUSTICE
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WHAT WILL I DO IN THIS SESSION?
Situate the concept of governance in a historical and philosophical context and give examples of practical applications in Urban Planning.
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WHAT’S GOVERNANCE AGAIN?
Private Sector
Civil Society
Public Sector
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WHAT’S GOVERNANCE AGAIN?
Private Sector
Civil Society
Public Sector
Civil
Civil
Civil
Public
Public Sector
Coalitions between
sectors and within
sectors
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WHAT’S GOVERNANCE AGAIN?
State (the rule of law)
Private Sector
Civil Society
Public Sector
Civil
Civil
Civil
Public
Public Sector
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PROPERTY
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THE RULE OF LAW
Simply stated, the rule of law implies that everyone must follow the laws and no one (including the government and leaders themselves) is above the law that is agreed upon.
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THE LAW IS KING
Lex Rex (the law is king) (Samuel Rutherford, 1644) versus
Rex Lex (The king is the law)
Not liking it!
Louis XIV of France is supposed to have said the sentence “L’etat c’est moi” (The
State is me!). Louis XIV was the prototype of the absolutist leader.
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THE RULE OF LAW
The rule of law provides the framework for the Public sector, the Private sector and the Civil society to exist in certain forms and in certain relationships with each other.
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IMPORTANT MILESTONES
The Magna Carta (1215)
The American Revolution (1781)
The French Revolution (1789)
for the development of the rule of law in the WEST
In reality, these are only milestones in a very long historical development towards the rule of law
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THE RULE OF LAW
In fact, the emergence of the rule of LAW coincides with the emergence of the modern STATE (we are not talking about democracy YET)
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THE AGE OF ENLIGHTENMENT (OR THE “AGE OF REASON”): C. 1650-1700
The Enlightenment had its epicentre in France and its objective was to mobilise the power of reason in order to reform society against absolutism and tyranny and advance knowledge.Source: http://corporate.britannica.com/history_of_europe.html
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DECLARATION OF THE RIGHTS OF MAN (1789)
“Men are born and remain free and equal in right”
The natural condition of people’s freedom (by virtue of birth) is sufficient to determine a universal equality in RIGHTS
People deemed equal (everyone), must have the same distribution of rights regardless of other differences
See: http://avalon.law.yale.edu/18th_century/rightsof.asp
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FOR THE DECLARATION OF 1789, RIGHTS ARE
Liberty
Property
Security
Resistance to oppression
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TREATING THE UNEQUAL EQUALITY*
People are equal, but they do not have equal access to property. (In fact, they do not have equal access to rights)
Different currents agree that those considered EQUAL deserve the same “just share”, but disagree on the criteria by which should be considered deserving.HOLSTON, J. 2007. Insurgent Citizenship: Disjunctions of Democracy and Modernity in Brazil, Princeton, Princeton University Press.
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A “JUST SHARE”
DEMOCRATS say it is FREE BIRTH
OLIGARCHS say it is WEALTH or NOBLE BIRTH
ARISTOCRATS say it is EXCELLENCEHOLSTON, J. 2007. Insurgent Citizenship: Disjunctions of Democracy and Modernity in Brazil, Princeton, Princeton University Press.
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ALL ARE EQUAL
The State law binds all its subjects equally because all equally belong to the State (natural and juridical persons).
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THIS IS REVOLUTIONARY BECAUSE
It represents a new type of polity (societal organisation) that counters the ancient and then dominant concept that political power derives from the inherently, hierarchical inequality of people.HOLSTON, J. 2007. Insurgent Citizenship: Disjunctions of Democracy and Modernity in Brazil, Princeton, Princeton University Press.
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THE ENLIGHTENMENT WAS A LIBERAL MOVEMENT THAT PROMOTED THE FREEDOM TO OWN IN A PARTICULAR WAY (AMONG OTHER FREEDOMS)
Former forms of property include the religious formulations(God has primary ownership of all things and he decides who gets what on Earth, generally the priests and the ruling class) or the Feudal idea that all land belongs to the king who makes concessions to his vassals.
Oxford Dictionary of Politics
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In the French enlightenment, a new formula is proposed, where property stems NOT from the king or god, but from the LAW.
A BOURGEOIS IDEA?
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BUT WHAT TO DO WITH THE POOR?
The inclusion of the right to OWN property generally went hand in hand with the construction of citizenship during the building of nation states. In early or partial forms of democracy, only the virtuous (the ones who “owned”) were considered worthy of democracy.
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Although the French Enlightenment recognises that every one has fundamental RIGHTS, not everybody is entitled to PROPERTY. In fact, only those who HAVE property (active citizens) can had a political voice (a good part of all males were excluded from a political life and women were not included).
How is this different from now?
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DIFFERENT POLITICAL BELIEFS UNDERSTAND PRIVATE PROPERTY DIFFERENTLY
In Liberalism, property is one of the cornerstones of democracy, because it generates wealth and ultimately increase public good. Critics say the benefits are limited to a small group of property holders and ultimately the great majority of people are excluded.
In Socialism there is a critique of the concept: it is too expensive to defend public property from those who have none. Private property encourages wealth generation, but this is too concentrated and not with enough benefits for society as whole
In some modalities of socialism, property must have a social function. A person must make more or less continuous use of the property and show that it is productive (to avoid speculation)
Communism says that only collective ownership of the means of production will assure the minimization of unequal or unjust outcomes and maximization of benefits for all. Critics say this erases entrepreneurship.
Communism ultimately proclaims that private ownership is illegitimate.
Several sources. Main source: http://en.wikipedia.org/wiki/Criticism_of_capitalism
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DIFFERENCE IN OWNERSHIP
Private ownership of capital (land, factories, resources) X Private property (homes, personal objects)
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AN UNBALANCED RELATIONSHIP
This formulation (same rights, unequal access to property) highlights an unbalanced relationship. Because in liberal societies all men (and women!) are the owners of their own bodies, they are also the rightful owners of their own work, which they can sell freely in the market.
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AN UNBALANCED RELATIONSHIP
However, the owners of the means of production (land, factories, etc) have an unfair advantage over the owners of work. They can deny work to workers because there is structurally more people than worthy work and the value of work is more often than not very little. SANDEL, M. J. 1996. Democracy's discontent : America in search of a public philosophy, Cambridge, Mass., Belknap Press of Harvard University Press.
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Workers are not “free” to work, because they must rely on work being given to them by the owners, who will do their best to keep the value of work down (sometimes by forbidding workers from associating, other times by association with oppressive states. Workers are never able to get what they justly deserve.
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A FUNDAMENTAL OPPOSITION
Labour X Capital
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In developed societies like the Netherlands, work is valued, but other societies have to do with irrational developments, heritage (e.g. slavery, bad educational systems, oppression), and most specially UNEQUAL ACCESS TO SPATIAL OPPORTUNITIES!
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WORLD VIEWS
Different world views entail different attitudes towards property and work. These different attitudes are based on moral, ethical and cultural differences. For example: the Catholic Church used condemn usury (the lending of money for interest) as a capital sin.http://bristol.academia.edu/IbrahimAbraham/Papers/110139/Capital_culture_and_contradictions_Contemporary_Christian_economic_ethics
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MONEY AND SIN
Deriving profit from money lending is one of the cornerstones of Modern Capitalism. How could a good catholic be a good capitalist?
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MAX WEBER
The Protestant Ethic and the Spirit of Capitalism (1905)
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WEBER’S THESIS
For Weber, capitalism in northern Europe evolved when the Protestant (particularly Calvinist) ethic influenced large numbers of people to engage in work in the secular world, developing their own enterprises and engaging in trade and the accumulation of wealth for investment. In other words, the Protestant work ethic was an important force behind the unplanned and uncoordinated mass action that influenced the development of capitalism.
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ALTERNATIVE WORLD VIEWS
China: Confucianism and Taoism
India: Hinduism (caste system) and Buddhism
Ancient Judaism
Animist societies of Africa, Americas, and Oceania
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PROTESTANTISM
Dignifies work
Does not vilify profit. On the contrary, profit is equated with hard work and hard work is equated with virtue and the love of God
Therefore, Earthly possessions show that the individual is blessed by God, and is a member of the ‘chosen ones
Eventually, there is a divorce between work ethics and church.
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THE SPIRIT OF CAPITALISM
For us (Urbanists), what matters is that CAPITALISM seems to be the prevalent form of societal organisation (whereas DEMOCRACY is not).
Each nation deals with capitalism on its own terms and with different results to the distribution of the fruits of property and enterprise.
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SYSTEMS OF GOVERNANCE
The Economist Intelligence Unit's Democracy Index as published in December 2010. The palest blue countries get a score above 9 out of 10 (with Norway being the most democratic country at 9.80), while the black countries score below 3 (with North Korea being the least democratic at 1.08). Source> Wikipedia (yes, I also use Wikipedia!)
A map of the world, highlighted on a scale from light blue to black, based on the score each country received according to The Economist's Democracy Index
survey for 2010, from a scale of 10 to 0, with 10 being the most democratic, and 0 being the least democratic. Hong Kong (score 5.85) and Palestine (score
5.44) were also included in the survey but are not visible on this map.
Key:
Full Democracy
10-9
9-7.95
Flawed Democracy
7.95-7
7-6
Hybrid Regime
6-4.5
4.5-3.95
Authoritarian Regime
3.95-3
3-0
Insufficient information, no rating
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DEMOCRACY ON THE RISE
This graph shows Freedom House's evaluation of the number of nations in the different categories given above for the period for which there are surveys, 1972–2005. Souce: Freedomhouse.org
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NEW PARTICIPATORY TOOLS?
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“THE ARAB SPRING”
Available at: http://thepersonalnavigator.blogspot.com/2011/06/arab-spring-and-what-came-before.html
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“OCCUPY WALL STREET”
http://www.infowars.com/obama-machine-prepares-to-hijack-occupy-wall-street/
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UNEQUAL ACCESS PERSISTS (BUT WE ARE GETTING THERE)
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TIME FOR INCREASED PARTICIPATION IN CITY MAKING?
Do you know examples of participatory planning in your country or elsewhere? How do they do it?This lecture is not about participatory planning, but we will discuss it elsewhere!!!
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TOOLS FOR A MEANS
Increase public goods
Solve conflicts
Balance the powers in governance processes
Achieve SOCIAL JUSTICE
Planning is one of the main tools to strengthen democracy, in order to:
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JUSTICE
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BUT WHAT IS SOCAIL JUSTICE?
It is all about creating a society or tools for the achievement of the principles of equality and solidarity, that understands and values human rights, and that recognizes the dignity of every human being.Source: http://www.buildingequality.leprosyblog.ca/2011/01/world-day-of-social-justice.html
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SOCIAL JUSTICE KEY CONCEPTS
Human rights
Equality
Greater degree of economic egalitarianism through progressive taxation, income redistribution, and other democratic tools of redistribution.
AIM:
more equality of opportunity than may currently exist in some societies
equality of outcome in democratic societies.
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WHAT IS JUSTICE IN URBAN DEVELOPMENT?
How does the concept of PROPERTY affect what is JUST in urban development?
If the inhabitants of the POLIS are the true CITIZENS, how do we distribute the benefits of the POLIS equally? How do we make the spatial benefits of the Polis accessible to all citizens?
“To take no part in the running of the community's affairs is to be either a beast or a god!” Aristotle
Hansen, Mogens Herman. Polis: An Introduction to the Ancient Greek City-State. Oxford: Oxford University Press, 2006
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WHERE DOES JUSTICE COME FROM?
Ethics (moral philosophy)
Rationality
Law
Natural law
Religion
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SOCIAL JUSTICE
Social Justice stems from the democratic principle that all are born equal and deserve EQUAL ACCESS TO OPPORTUNITY
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OPPORTUNITY AND SPACE
Because opportunity (AKA ‘life chances’) is specifically bound to space (location, accessibility, mobility) and because ‘who owns what’/ ‘who finances what’ is a big part of urban development, we need to democratically deal with redistribution of resources and spatial advantages in creative ways.
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A4 near Delft
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CHELSEA, PIMLICO, BELGRAVIA
THE GROSVENORESTATE IN LONDON
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www.grosvenorlondon.com
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TRADITIONAL NOTIONS OF PROPERTY INCLUDE:
Control and use of the property
The right to obtain benefits from the property (to derive profit from it)
The right to transfer or sell the property
The right to exclude others from the use or the premisses of the property
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SOME LIMITATIONS TO PROPERTY
Uses that unreasonable interfere with the property rights of others
Uses that unreasonably interfere with public property rights, including externalities that jeopardise the property of others and reduce PUBLIC GOODS in an unreasonable way (health, safety, peace, convenience)
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DO YOU...
Know examples of properties that effectively reduce public goods?
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THE CLASSIC EXAMPLE
Drax Power Station near Selby, Yorkshire. Photograph: John Giles/PA
Source: http://www.guardian.co.uk/environment/2011/feb/09/pollutionwatch-uk-spared
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CAN YOU THINK OF REASONS WHY THIS AIRPORT IS STILL THERE?
Source: http://acertodecontas.blog.br/atualidades/congonhas-sobrevive-porque-as-pessoas-querem/
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SCHIPHOL NOISE MAP
http://www.geluidnieuws.nl/2005/sep2005/schiphol.html
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PRIVATE PROPERTY
Directly affects the production of PUBLIC GOODS
Is directly affected by PUBLIC GOODS
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My
plot!
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DinoVabecNYC to LA
My
plot!
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EXAGGERATED? MOI?
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PUBLIC GOODS
Public goods are not only created by government action. Public goods are created by the action of all the actors present in a governance system.
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HOWEVER
The State is the MAIN ARTICULATOR and WARRANTOR of Public Goods (remember the function of the State as protector of property? It can limit it too and direct uses for societal gains).
Public goods are maximised thanks to co-ordinated collective action (in other words: PLANNING)
Therefore, the State could act as a re-distributor of GAINS to SOCIETY through democratic mechanisms of transfer and equalisation.
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PUTTING PROPERTY IN CONTEXT
In some cases this can mean limiting, delimitating or circumscribing property rights. Or putting property rights and profit in CONTEXT.
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THE CLASSIC EXAMPLE: ZONING
http://www.stadtentwicklung.berlin.de/planen/fnp/en/historie/index.shtml
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ROSCOMMON COUNTY, REP. OF IRELAND
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SAO PAULO
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SAO PAULOBORDER OF THE HAGUE
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BORDER OF THE HAGUE
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EXPROPRIATION (ONTEIGENING)Eminent domain (United States),
Compulsory purchase (United Kingdom, New Zealand, Ireland),
Resumption/compulsory acquisition (Australia),
Expropriation (South Africa and Canada)
An action of the state to seize a citizen's private property, expropriate property, or seize a citizen's rights in property with due monetary compensation, but without the owner's consent.
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PUBLIC UTILITY De Jure Belli et Pacis, Hugo Grotius in 1625
"... The property of subjects is under the eminent domain of the state, so that the state or he who acts for it may use and even alienate and destroy such property, not only in the case of extreme necessity, in which even private persons have a right over the property of others, but for ends of public utility, to which ends those who founded civil society must be supposed to have intended that private ends should give way. But it is to be added that when this is done the state is bound to make good the loss to those who lose their property."
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EXAMPLE OF PUBLIC UTILITY: SELECTIVE FLOODING STRATEGIES (NL)
Source: de Volkskrant, 2004
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TRANSFER OF DEVELOPMENT RIGHTS
Some physical rights include the rights to build, exploit natural resources, restrict access and farm. Other legally enforceable rights include the right to sell the land, subdivide it, rent it out or grant easements across it. These rights can be suspended or limited.
TDR programs allow landowners to sever the building (aka development) rights from a particular piece of property and sell them. Purchasers are usually other landowners who want to increase the density of their developments. Local governments may also buy development rights in order to control price, design details or restrict growth.Source: http://government.cce.cornell.edu/doc/html/Transfer%20of%20Development%20Rights%20Programs.htm#Definition
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TDR
Source: http://government.cce.cornell.edu/doc/html/Transfer%20of%20Development%20Rights
%20Programs.htm#Definition
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TDR
You can build public policies based on TDRs!
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ADDITIONAL BUILDING RIGHTS
The separation between the right to own and the right to build that is implicit in tolls like zoning, give us the opportunity to build on tools like TDRs and additional building rights.
As an example: Brazil has a tradition on this tool with the CEPAC (Additional Building Potential)
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ADDITIONAL DEVELOPMENT RIGHTS
ADRs are useful in combination with other legislation (like ZONING) and specially in LARGE URBAN PROJECTS, where local governments have big stakes and where public money is used to improve infrastructure and public goods massively and where massive land valuation is expected as a result of the intervention.
Investors in areas touched by LUPs must conform to existing ZONING regulations, which most of the times determine how much they can build in relation to the size of the plot they own (floor area index). For an example, look at http://www.cityofjerseycity.com/hedc.aspx?id=6876
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ADDITIONAL BUILDING RIGHTS
But if investors are willing to build BEYOND the existing zoning limitations, within the capacity to be created by large public works, they can buy a TITLE negotiable in the stock market or sealable as pubic titles.
Each title will give the investor the ability to build X sq meters beyond existing regulations (within limits imposed by the planning authority). Because these titles are negotiable, their value depends on how much the market is willing to pay for them for a specific LUP at a specific time.
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INCENTIVES FOR BUILDING RENEWAL
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FURTHER REFERENCES
Habermas, the Public Sphere, and Democracy: A Critical Intervention, available at http://gseis.ucla.edu/faculty/kellner/papers/habermas.htm
LANGLOIS, J. 2009. Normative and Theoretical Foundations of Human Rights. In: GOODHART, M. (ed.) Human Rights: Politics and Practice. Oxforf: OUP.
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THANKS FOR WATCHING & LISTENING!Should you have any doubts, please contact [email protected]
And visit our BLOGwww.spatialplanningtudelft.eu
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