钦奈 - 2001年12月19日-22日

参与制民主的建筑结构: 从喀拉拉邦五年人民竞选计划的经验谈起

The state of Kerala did embark upon an unusual experiment, to consciously build up a decentralised and truly participatory form of governance in the entire state. This experiment was in tune with the spirit of the 73rd and 74th Amendments of the Constitution, establishing panchayaths and Nagarpalikas with statutory powers and responsibilities. It was initiated by the LDF government in 1996 and was continued till its fall in 2001- for five years. As it happens in Kerala every new government annuls the steps taken by the earlier government and puts the state that many, and even more, steps backwards. This has happened to the decentralization experiment or as it is popularly known, the People’s Plan Campaign (PPC) too. Much has been already published about the various activities carried out under the PPC which need not be elaborated here. This paper is an enquiry into why even after five years the PPC failed to become a real people’s programme, why it failed to grow deep roots, and still why it has not been totally uprooted? It will also enquire into the efficacy of the micro level organizations conceived by the KSSP in engaging the people to take their destiny in their own hands and also how an alternative programme for decentralization, participation and assertion can be built from bottom up, based on the experience of the KSSP so far.
喀拉拉邦进行了一项不同寻常的实验,在全邦范围内建立了一种非集权化、真正意义上的参与制统治形式。这项实验与第73条和第74条宪法修正案的精髓相一致,建立了具备法律权利和责任的乡村自治委员会和Nagarpalikas。这项实验是在1996年由LDF政府发起的,直到2001年才结束——历时一共5年。该实验实施时,喀拉拉邦的每个新政府都废除了先前的政府所建立条例,但却导致该邦倒退了很多年。这项实验便是权力下放,也就是人们所熟知的人民竞选计划(PPC)。很多关于这一时期的活动报道已出版,本文不再赘述。本文旨在探究为什么5 年之后人民竞选计划仍未能成为真正意义上的人民活动,为什么它根基不稳,以及为什么该政策还未能彻底废除。同时,本文也研究了科学运动(KSSP)把人民命运赋予到人民自己手中的过程中所构想出的微观组织的效力,探究了如何根据科学运动目前所取得的成果从人民群众中建立一项可取代非集权化、参与制和专制的替代性项目。
As is well known the PPC has its genesis from two streams – one from the fairly continuous efforts of the KSSP (Kerala Sastra Sahithya Parishad) to build village economies and to develop tools for the same since mid seventies (Parameswaran MP, 2000) and the other from the constant support given by late E.M.S. Namboodiripad, the great Communist leader since 1958 (Namboodiripad EMS : 1958 Government, Thomas Isaac T.M., 2000). The KSSP was involved in developing grass root level capabilities and organizations like Rural Science Fora, Voluntary Technical Corpors or Technical Support Groups (in fact panchayat level Informal Planning Boards) and neighbourhood groups, women’s core groups and panchayat development samithis. The newly constituted Planning Board could launch the PPC only because of the two decades of ground work done by the KSSP. The SPB provided the material support and statutory authority to take the forward steps. These steps constituted:
•Integrated Rural Technology Centre, Mundur, Palakkad •Providing a wide variety of training with the help of state level resource persons. •Revising Panchayat and Municipal Acts to reflect the true spirit of decentralization. •Provision of resources, to the tune of 40% of all the plan funds and •Issue of supportive government orders and directives.
众所周知,人民竞选计划有两个源头——一是来自科学运动(KSSP (Kerala Sastra Sahithya Parishad) )自17世纪 (Parameswaran MP, 2000) 以来源源不断地努力建立乡村经济体和发展工具,另一个是源自后来的E.M.S. Namboodiripad即1958年以来最伟大的共产主义领袖 (Namboodiripad EMS:1958 政府,托马斯·艾萨克T.M., 2000) 所给予的大力支持。科学运动致力于发展草根阶层的能力和组织,比如农村科学论坛、自愿技术队伍或技术支持组(实际上是村务委员会基础上的非正式计划委员会)以及居民小组、妇女核心小组和村务发展委员会。新建立的计划委员会能够发动人民竞选计划仅仅是因为二十年来科学运动所打下的坚实基础。SPB 为该项目的推进提供了物质支持和法定权利。这些步骤包括:
•提供多种培训服务和国家级顾问的帮助。 •修订《城镇和城市条例》 •以反映真正的权利下放精神 •提供资源和 40 项计划资金支持。 •发布支持政府的命令和指示。
However, in one crucial aspect the government failed – to re-deploy the staff and to restructure the vertical monolithic line departments. This was, later, to prove disastrous for the entire programme. Varying degrees of apathy and antipathy towards the PPC within the leadership of political parties, including parties within LDF proved to be another obstacle which could not be surmounted.
This is a slogan adopted by the KSSP since mid seventies. The social revolution envisaged radical changes in economics, ethics and politics.
In economics it demanded a continuous reduction in the gap between the haves and the have-nots, putting an end to the process of the continuous enrichment of a few at the expense of many and a continuous improvement in the living standards of the bottom pentiles. The strategy envisaged to achieve this consisted of strengthening local level economies so that they can withstand the onslaughts of global economies, making small powerful and not merely beautiful and instituting truly societal control (not just government control) over the means of production.
这是科学运动自17 世纪中期提出的口号。社会革命导致了经济、伦理和政治的巨大变化。
In ethics it envisaged a change in the understanding of human development, a will to measure progress in human terms and not merely in terms of consumption or choices and ability to differentiate needs from greed. It considers the reigning concept of development, a product of capitalism, as unjust and non-sustainable, leading to even the extinction of human species through resource depletion, combative competition and waste accretion.
In politics it rejected all forms of dictatorship. It opted for truly participatory democracy. It strived to increase the ability and willingness of the people to participate. It argued for increasing degrees of sovereignty and autonomy for smaller communities.
Based on such a general understanding of Social Revolution the KSSP has been building up a number of micro level – or local- organizations to strengthen both local economy and local self governance. The Rural Science Fora were the first in the series. From this emanated, later the Voluntary Technical Corps, and the Technical Support Groups. Neighbourhood Groups (NHG), Panchayat Development Samithis and Women’s Core Groups are new forms of micro level organizations evolved during the past one decade.
基于我们对科学运动发起的社会革命的普遍理解,一些微观组织或地方组织已建立,并用于加强地方经济和地方自治。农村科学论坛就是其中最早的一个。从此衍生出后来的自愿技术队伍和科技支持组。居民小组 (NHG)、村务发展委员会和妇女核心小组是过去十年间发展起来的新型微观组织。
The PPC offered an excellent opportunity to multiply and strengthen these micro level structures across the state. It also provided an opportunity for people to participate in the development and governance of the panchayat and to strengthen local economic base. Deep involvement of the KSSP activists in the PPC was aimed to realise these possibilities. By the end of 1998, nearly after two years of the initiation, KSSP evaluated the PPC in the following way:
•The slogan of decentralised planning has taken roots but not yet its meaning. •“Power to the People” is still a very distant goal. Neither the people are ready to take the power nor the present custodians of power are ready to forgo it.
•Many have come to believe that decentralised planning means no planning at all. •Grama Sabhas have not yet become effective fora for people’s participation.
•Citizens have not yet absorbed the idea that plan funds are their collective resources, not to be divided and eaten up, but to be invested and multiplied. •Transparency is important but it is useless if there is nobody to look
The impact of PPC on the overall economic development of Kerala or even in improving the living conditions of the poor has been very minimal. This is understandable. The global influences are much too large. Further, the PPC did not provide much ‘additional’ resources for development. It only re-routed the traditional plan resources directly to the panchayats by passing the line departments. These plan funds amount to only 1-2 per cent of the GDP of the panchayats.
Based on the above understanding the KSSP planned a massive Citizen Education Programme to have a complementary movement bottom up. However this could not be continued beyond a certain stage because of paucity of material resources on the one hand and non-cooperation of the SPB. In the meanwhile the KSSP has been on its own trying to strengthen the variety of micro level organizations referred to earlier, understanding them as a new form of social capital and also a new form of political activity.
The term micro level organization, in this context refers to four categories: •Neighbourhood Groups (NHG) •Panchayat Development Samithi (PDS) •Technical Support Group (TSG) •Women’s Core Group (WCG)
本文中提到的微观组织分为四类: •居民小组 •乡村发展委员会 •技术支持组 •妇女核心小组
Neighbourhood Groups
These are conceived as the basic socio political units of the society to enable:
•participatory and face to face democracy, enabling each citizen to participate in the actual management of the society; •substantial reduction in the cost of elections- both for candidates and for the government; •easy recall of erring representatives by the voters; •equal participation of women.
NHGs are still far from the realization of any of these objectives. True, in about 200 panchayats in Kerala some or other form of NHGs have been formed. But they are really active in only about 20-30 panchayats and a couple of towns.
  • 参与以及面对面的民主,使每个居民都能参与社会实质管理;
  • 选举成本的大幅度减少;
  • 选民能够召回不合适的代表;
  • 妇女拥有同等的参与权。
目前居民小组距离实现这些目标仍有一定距离。事实是喀拉拉邦现有大约 200 个乡村行政委员会和其他形式的居民小组。但是其中只有20-30个的委员会和少数的几个城镇较为积极。
Panchayat Development Samithi
The Panchayat Development Samithi is conceived as :
•a platform to widen the base of democracy and
•a non-bureaucratic institution for developmental action.
The neighbourhood groups were to be formed to begin with and the PDS was to be formed through the active involvement of NHG convenors. However, in practice everywhere the PDS was registered like any run of the mill charitable society with a set of promoters and an ad hoc managing committee. The NHGs were formed under the leadership and initiative of the PDS “executive committee”. Thus instead of a bottom up process what happened was a traditional top down process. In order to be creative the PDS was to function independently. This seldom happened. And wherever it has happened contradictions have surfaced between the PDS and the elected panchayat body.
Technical Support Group
The concept of Technical Support Group emanated from the Rural Science Fora of the KSSP of late seventies and early eighties. They were conceived as informal Panchayat Level Planning Boards. TSG was to be the distilled expertise within the panchayat- engineers, doctors, economists, agriculturists etc. etc. In practice, however, it became a group of activists, some of whom had little technical expertise. So they could not give much “technical support” to the panchayat. The “task forces” formed by the Panchayats to help it to formulate sectoral plans too suffered the same fate. Being constituted with political activists with little technical knowledge and departmental officials with little commitment most of them failed to help the panchayats. Some knowledgeable activists/ conscientious officer had to prepare most of the projects. Bulk of the expertise available within the panchayat still remained outside the pail of TSG or Task Force.
技术支持组的概念是从17 世纪晚期、18 世纪早期的科学运动中的农村科学论坛发展起来。他们被视为非正式的乡村计划委员会。技术支持组在乡村工程师、医生、经济学家和农业学家等人中选取具有专门知识技能的人。然而,在世纪运行过程中,他们变成了一群积极分子,其中有些人很少有专业的技术技能。所以他们无法为乡村发展委员会提供太多的“技术支持”。“特别工作组”是由乡村发展委员会创立来帮助自身制定部门战略计划,以避免自身陷入之前的命运之中。一些有知识的活动家、尽职尽责的官员也不得不为这一项目做准备。乡村发展委员会内可获得的大部门技术仍然被技术支持组和特别工作组排斥在外。
An autonomous PDS can inspire these experts and draw them into a TSG which can become a People’s Planning Board. This eventually will be- will have to be – accepted as the Panchayat Planning Board. Autonomous PDS require well functioning NHGs which in turn demand local leaders. A massive programme to “educate the citizen for democracy” was conceived to nurture this local leadership, but could not be launched due to dearth of both material and human resources. The experience gained so far, however, indicate that such an effort will be rewarding, that TSG can become a very valuable social capital.
Women’s Core Group
Though the NHG conceived equal leadership, participation from women in fact this has not happened. In spite of one-third reservation for women men dominate the local self governments. The Women’s Core Group was one of the many special programmes conceived to develop leadership from among women. A panchayat convention of women, in which more than hundred women participated, selected a group of 25 to 30 women who are to develop into a Women Core Group in the panchayat. These women were given intensive leadership training of a six days. In the four panchayats where WCGs were formed and given training two have paid rich dividents- Madakkathara and Onchiyam. In the two other GPs the results have been less attractive. The WCG has got very high potential. But like TSG, WCG, too require long term support from outside.
尽管居民小组要求平等的领导班子,但实际上妇女的参与权还未实现。除了妇女保有1/3的权力,男性掌握了当地的政府。妇女核心小组是诸多要求发展妇女权力的群体中的一个。多达百余名妇女参与的乡村妇女公约,选取了一组25-30名妇女的进入乡村妇女核心小组。这些妇女在6天内接受了高强度的领导力训练。在4个有妇女核心小组的乡村发展委员会中选取了两个进行训练,并支付了丰富的Madakkathara and Onchiyam股利。在另外两个核心小组中,效果就不尽如人意。妇女核心小组潜力巨大,但是技术支持组和妇女核心小组也需要外界的长期支持。
The opportunities and threats are two sides of the same coin. The opportunity of one group is seen as threat by another and they become, in return, threat to the first group. Since the issue is one of change and since every change requires the application of a force it is obvious that the micro level institutions have to overcome their weaknesses, and enhance their strength so as to gather force to realize the opportunities and to thwart the threats.
Threats to realization of opportunities emanate from:•Internal weakness and lack of will to overcome it. •Local political vested interests, who find their position as unquestioned power brokers is being threatened.•Economic interests of monopoly and foreign business houses- as and when they begin to see even the smallest threat from the local enterprises.
•Re-formation of the shell of cynicism because of the prolonged nature of dissolution. •Confusion created by a variety of promoters – the government, a number of line departments, religious institutions etc.
阻碍机遇实现的威胁来自: • 内部缺点以及缺乏克服缺点的意志。 • 地方政治的既得利益,他们认为他们的不容置疑的权力代理人地位收到了威胁。 • 垄断和外国商业团体的经济利益,他们将来自地方企业的最小威胁都看作是对自身的威胁。 • 由于商业协议终止的延长性本质带来的犬儒主义的在线。不同的发起人——政府、若干职能部门以及宗教机构等创造的困惑。
Kerala is a highly politicized state. People have strong loyalties to political parties. That does not necessarily mean that people are highly political. The political loyalty division is not based on class interests. People belonging to same class-industrial workers or petty shop- owners, agricultural workers or small and poor peasants do not owe loyalty to any single political party. The Congress, the BJP, the communists, the socialists- each has a different concept of how India should develop, who are for such development, who are against it. It is according to these concepts they adopt policies at national level, which have repercussions up to the lowest level. Assemblies too take policy decisions, influenced by their political convictions and such decisions can affect the entire people, but differentially.
However, the local self-governments, the PRI – district, block, gram panchayats and the gram sabha do not make any policy decision. That is why it was stipulated that elections to local self-government shall not be under the banner of political parties. However, in Kerala, West Bengal and Tripura elections are held under party banners and symbols. Elsewhere too parties play important roles in election but not so formal as in these three states.
Party based election contests have the following draw back: •Decisions are mostly taken at higher-level party committees. Citizens are often forced to accept otherwise unacceptable candidates because of party loyalty and high-handed behaviour of leadership.
•The elected representatives do not feel answerable to the electorate. They feel answerable only to party bosses.
•Quite often, after election, both ruling and opposition parties come to an understanding on how to split the spoils, with or without the knowledge of higher ups. Citizens have no control over them.
然而,地方政府,即革命制度党——地区、街区、乡村和萨巴不具备制定决策的能力。这也是为什么它规定地方政府的选举不需要在政治团体的条幅下受限制。然而在喀拉拉邦、西孟加拉邦和特里普拉邦的选举则是在团体旗帜和符号下进行的。在其他地方,团体在选举中角色极为重要,但不如在其他三个邦那样正式。 基于选举角逐的团体具有以下缺点:
•决定均是由高层次的团体委员会制定的。由于政治忠诚和两道班子的高压手段,公民被迫接受无法接受的候选人。 •被选举的代表对全体选民不负责。他们只对团体领导人负责。 •通常来说,选举完成后,无论高层是否有知识,统治党和反对党都开始明白如何去瓜分战利品,但是公民们对他们却毫无办法。
Open election/ selection of representatives in an NHG meeting offers the possibility to elect the proper persons, mostly from the predominant political party in the area and occasionally from outside. Elections of ward members, panchayat president, block/ district councilors, MLAs, MPs will be invariably based on political formations. But instead of direct elections, indirect elections through elected representatives can be thought of. Under such circumstances the electoral college being limited in size, the nature of canvassing will have to be different and can be done at almost zero cost, except in the case of “purchases”. However, “purchases” can prove to be infructuous, if the original electoral college retains its political correlation of forces. It can easily call back the representative purchased by the opposition. This recall facility is to be available at all stages, even members of parliament. An electoral college of 400 to 500 block council members etc can call back one erring MP and send another one from the same party if the absolute correlation of forces is unchanged.
In case of multi-cornered contests coalition of lost opposition parties can effect the recall of a sitting MP and substitute her/him with one from among themselves. This can happen, but it reflects the majority will. Lost opposition parties can build up movements to recall sitting members who might have lost the confidence of her/his electors. All such recalls will lead to higher and higher degree of correspondence to the wishes of the majority. Political parties will have to start operating from NHG onwards. No harm is done due to this. Gradually a coalition of classes of the people shall emerge in place of the unprincipled coalition of political parties.
All these are potential opportunities.
Micro level institutions can be viewed and is being viewed as marginal local efforts to ameliorate extreme harsh situations. If the promoters view them in this limited form the vast opportunities cannot be realized, though there are isolated instances of growing beyond the expectations of initiators, as in the case of anti-arrack rebellion in Nellore, Andhra Pradesh. If the promoters understand and consciously try to realize the larger opportunities, the horizon of possibilities recedes far. There are, three types of opportunities- in the ethical- spiritual realm, in the economic realm and in the political realm. If we analyse the experiences of NHGs, SHGs, PDS, WCG, etc. in Kumarakom and Madakkathara and Ulloor and Kunnathunadu in Trivandrum district (not within PLDP project) and many others one can observe a discernible change in the ethical-spiritual fabric of the society.
微观组织可以被看作是改进极端棘手情况的微不足道的地方成就。在内洛尔邦、安得拉邦这些地方抵御反叛攻击的情况下,尽管出乎倡议者的意料,发生了某些特殊情况,但如果发起人将他们看作是某种受限制的形式,这一机遇就无法实现。如果发起人能够意识到这一问题,并尽力实现这一机遇,可能性就会减弱了。一般来说,有3种形式的的机遇——理论精神领域、经济领域和政治领域。如果我们能够分析居民小组、SHGs、乡村发展委员会和妇女委员会等组织在特里凡得琅地区(不包括发展计划)的库玛利空、Madakk athara、Ulloor、Kunnathuna du等地和其他地区的经验,我们能够发现在社会理论精神结构上的变化。
•General crime rates have come down. •Attitude towards women has changed for the better. More care is given to the children by the community as a whole •Increased creative participation of the citizens in grama sabhas and other public fora. •Increased reading by the entire community. •Increased willingness of the community to take up responsibilities.
In the economic sphere one can find: •Phenomenal growth in the number and activities of SHGs. •Increase in the number of micro enterprises, especially those run by women and dalits (though still suffering from lack of skills and training)
• 一般犯罪率降低。 • 对待妇女的态度有所改善。社会对于儿童给予了越来越高的关注度。 • 在萨巴和其他公共论坛,居民参与度逐步提高。 • 整个社会的阅读量有所上升。 • 社会承担责任的意愿逐步增强。
•SHGs的成员和活动数量显著增长。 •小型企业的数量有所增加,尤其是那些妇女和社会地为降低的人经营的企业(尽管该类企业仍然面临这缺乏技能和训练的问题)。
Full realization of the opportunities, demand a better understanding of the future global society. If one accepts that the present trend of globalization, imperialistic concentration of powers is an immutable law of history, there is not much scope for micro level institutions except for alleviation of minor pains. On the other hand if we accept that the present trend is unsustainable and will ultimately lead to the destruction of the society and species, that capitalism is not the end of history, if we share the vision of the new society of Mahatma Gandhi, which he called as Sarvodaya Democracy, as “one with innumerable villages with ever widening, never ascending circles- an oceanic circle whose centre will be the individual always ready to perish for the village, till at last the whole life will become one life composed of individuals never aggressive in their arrogance, but ever humble, sharing the majesty of the oceanic circle of which they are integral units..... The outermost circumference will not wield power to crush the inner circle but will give strength to all within and derive its own strength from it”- if we share this vision, micro-level institutions like NHG, SHG and TSG have very great and historical roles to play. Since “democracy” is still a more respected concept than fascism or autocracy there are opportunities, and one can create consciously more opportunities, to realise this potential. A horizontally linked network of small scale and large- scale enterprises can form the backbone of local, national and global economy. These local economies can, to begin with, act as forts of resistance against onslaughts of the global economy.
机会的全面实现需要对未来全球社会的深刻理解。如果我们能够接受当前全球化、权力霸权化是历史不可改变的法则这一趋势,那么给予微观组织减轻痛苦的范围就不那么大了。从另一方面来说,如果我们能接受当前的趋势是不可持续的,并将会导致社会和物种的灭绝,资本主义不是社会的结局,如果我们将这种观点与印度圣雄甘地的新社会,也就是我们所说的Sarvodaya Democracy(民主),相交换,也就是所谓的“一个拥有不断扩大、但从不提升自身的无数村庄的社会——就像是一个海洋圈子,它的中心就像是随时准备着为了村庄而更新自己的个体一般,直到最后全部的生命变成一个由无数个天性平和的个体组成的生命体,它从不卑微,但是与一个内部单位统一的海洋圈子相互交换王权……最外侧的权力群体不会向着内部群体卖弄权力,但是它能够展示自己的权力并从中获得自己的力量”——如果我们互换观念,那么像居民小组、SHG和技术互助组这类的微观组织就需要扮演非常重要的历史角色。自从“民主”成为了比法西斯主义和专制独裁更值得尊敬的概念,我们就有了更多的机会,并能够持续创造更多的机会来实现这种可能。小规模和较大规模的企业在水平位置上关联网络能够形成地方、国家和全球经济的骨干。这些地方经济体能够成为抵御全球经济的突袭的堡垒。
Politically the NHGs can function as the basic unit of face to face democracy. A system of elections can be conceived in which citizens and members of smaller units can recall the representatives elected to larger units like block, and district panchayats, state assemblies and the national parliament. They offer the possibility to invert the power pyramid and ensure the sovereignty of the individual citizen.
These opportunities can be realized only through commensurate efforts.