Mayka Dissertation
Total Page：16
File Type：pdf, Size：1020Kb
Bringing the Public into Policymaking: National Participatory Institutions in Latin America By Lindsay Rose Mayka A dissertation submitted in partial satisfaction of the requirements for the degree of Doctor of Philosophy in Political Science in the Graduate Division of the University of California, Berkeley Committee in charge: Professor Ruth Berins Collier, Co-chair Professor David Collier Professor Christopher Ansell Professor Ann Keller Fall 2013 ABSTRACT Bringing the Public into Policymaking: National Participatory Institutions in Latin America By Lindsay Rose Mayka Doctor of Philosophy in Political Science University of California, Berkeley Professor Ruth Berins Collier, Chair Participatory experiments have been adopted throughout Latin America in an attempt to reinvent democracy to be more responsive to all citizens – not just an elite few. Participatory policymaking institutions are formal, institutional spaces that engage civil society groups in policy debates and decision-making processes. Participatory policymaking is particularly strong in Latin America, where 12 countries require subnational governments to incorporate civil society organizations into the policymaking process in policy sectors ranging from health to the environment to agriculture policy. Yet there is great variation in what happens after participatory institutions are created: some participatory institutions develop a major role in policymaking, while others only exist on paper. This project seeks to explain under what conditions national participatory experiments become institutionalized. In the late 1980s and early 1990s, Brazil and Colombia established the region’s most expansive national participatory frameworks, requiring dozens of participatory institutions across a range of policy sectors. Facing major legitimacy crises, both countries created participatory institutions as part of democratizing reforms that sought to amplify the voices of excluded groups and enhance accountability. Despite their shared origins, participatory institutions followed very different trajectories in the two countries. Why has participatory policymaking become institutionalized in Brazil, yet decayed over time in Colombia? While national participatory institutions were created with the goal of deepening democracy, this democratizing impulse is insufficient to secure institutionalization, which requires ongoing material, human, and political investments from the government. Governments will only sustain these investments when pressured to do so by a reform coalition of diverse stakeholders. I show that such a broad coalition only arises when councils are created alongside the introduction of substantive policy changes, and when elite stakeholder groups mobilize other stakeholders in support of the councils. The broad reform coalition will unite to advocate for council implementation as a means to ensure overall reform implementation, as happened in Brazil. In contrast, participatory institutions are doomed when adopted as part of reforms that seek to deepen democracy but do not shift the substance of policy. This was the case in Colombia, where the councils only attracted those stakeholders directly interested in participatory policymaking. The narrowness of this reform coalition hampered its ability to apply pressure on the government, ultimately resulting in failed institutionalization. 1 TABLE OF CONTENTS Chapter 1. The Political Logic of Participatory Policymaking 1 PART I. BRAZIL: BROAD STAKEHOLDER COALITIONS AND INSTITUTIONALIZATION 29 Chapter 2. Brazil: Legitimacy Crisis with Demands for Social Reform 31 Chapter 3. Brazil’s Health Councils: High Institutionalization with a Broad and Coherent Reform Coalition 50 Chapter 4. Brazil’s Social Assistance Councils: Moderate Institutionalization through Sweeping Reform and Reform Coalition Incoherence 88 PART II. COLOMBIA: THE LIMITS OF PROCEDURAL REFORM 116 Chapter 5. The Construction of Participatory Policymaking in Colombia: Legitimacy Crisis without Demands for Social Reform 118 Chapter 6. Colombia’s Planning Councils: Weak Institutionalization under Procedural Reforms 135 Chapter 7. Colombia’s Health Councils: Failed Institutionalization without Pro-Participation Reform Leaders 172 Chapter 8: Participatory Institutions and Interest Representation 187 Works Cited 195 Appendix 206 i LIST OF TABLES AND FIGURES Figure 1.1: Public Opinion about Political Access in Select Latin American Countries ............... 4 Table 1.1: World Bank Lending for Community-Driven Development (CDD), 1996-2007 ......... 6 Figure 1.2: Instances of Nationally Mandated Participatory Institutions – Brazil and Colombia, 1990-2010 ....................................................................................................................................... 8 Figure 1.3: Municipal Implementation of Selected Participatory Institutions .............................. 11 Table 1.2: The Routinization of Participatory Institutions in Brazil and Colombia ..................... 12 Table 1.3: Infusion with Value of Participatory Institutions in Brazil and Colombia .................. 13 Figure 1.4: Routinization and Infusion with Value: National and Sectoral Cases ....................... 14 Table 1.4: Argument: Reform Type, Pro-Participation Leadership, and Institutionalization ...... 23 Table 1.5: Three Types of Policy Reform .................................................................................... 23 Table 1.6: Country Case Selection ................................................................................................ 26 Figure 2.1: Growth of National Participatory Institutions – Brazil, 1990-2010 ........................... 31 Figure 2.2: Expansion of Participatory Institutions into New Policy Areas – Brazil, 1989-2010 32 Figure 2.3: Funding for Select National Participatory Councils in Brazil, 2009 .......................... 47 Figure 2.4: Brazilian Municipal Compliance with Mandatory Features of Participatory Councils, 2009............................................................................................................................................... 48 Figure 3.1: Percentage of Brazilian Municipalities Complying with Mandate for Health Councils, 1991-2007 ..................................................................................................................................... 50 Table 3.1: Changes in the Objectives, Instruments, and Content of Brazilian Health Policy ...... 52 Table 3.2: Resources Leveraged by Brazilian Health Reform Coalition during Creation Stage . 64 Table 3.3: Resources Leveraged by Reform Coalition during Implementation Stage – Brazil Health ............................................................................................................................................ 68 Figure 3.2: Compliance with Mandatory Features of Brazil’s Health Councils, 2009 ................. 84 Figure 4.1: Percentage of Brazilian Municipalities Complying with Mandate for Social Assistance Councils, 1994-2009 ................................................................................................... 88 Table 4.1: Changes in the Objectives, Instruments, and Content of Brazilian Social Assistance Policy ............................................................................................................................................ 90 Table 4.2: Reform Coalition Resources during Creation Stage – Brazil Social Assistance ......... 99 Table 4.3: Resources Leveraged by Reform Coalition during Implementation Stage – Brazil Social Assistance ........................................................................................................................ 102 Figure 4.2: Percent of Municipal Social Assistance Councils that Exercise Mandated Responsibilities ........................................................................................................................... 109 Figure 5.1: Nationally-Mandated Participatory Institutions – Colombia, 1990-2010 ................ 118 Figure 5.2: Party Affiliation in Bogotá, 1970-82 ........................................................................ 121 Figure 5.3: Socio-political Violence in Colombia, 1980-1991 ................................................... 122 Figure 5.4: Public Opinion on the Quality of Political Institutions, 1988 .................................. 123 Figure 5.5: Public Opinion on the Need for Policy Reform, 1988 ............................................. 124 Figure 5.6: Municipal Compliance with National Mandate to Establish Participatory Councils - Colombia ..................................................................................................................................... 132 ii Table 6.1: Changes in the Objectives, Instruments, and Content of Colombian Planning Policy ..................................................................................................................................................... 138 Table 6.2: Resources Leveraged by Colombian Participatory Planning Reform Coalition during Creation Stage ............................................................................................................................. 147 Table 6.3: Resources Leveraged by Reform Coalition during Implementation Stage – Colombia Planning ...................................................................................................................................... 149 Figure 6.1: Percentage of Colombian Municipal Planning Councils Performing