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The Vicissitudes of Participatory Budgeting: the Importance of Context Jamieson Malik, G

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The Vicissitudes of Participatory Budgeting: the Importance of Context Jamieson Malik, G WestminsterResearch http://www.westminster.ac.uk/westminsterresearch From Brazil to Britain: the vicissitudes of participatory budgeting: the importance of context Jamieson Malik, G. This is an electronic version of a PhD thesis awarded by the University of Westminster. © Mrs Gemma Jamieson Malik, 2016. The WestminsterResearch online digital archive at the University of Westminster aims to make the research output of the University available to a wider audience. Copyright and Moral Rights remain with the authors and/or copyright owners. Whilst further distribution of specific materials from within this archive is forbidden, you may freely distribute the URL of WestminsterResearch: ((http://westminsterresearch.wmin.ac.uk/). In case of abuse or copyright appearing without permission e-mail [email protected] FROM BRAZIL TO BRITAIN: THE VICISSITUDES OF PARTICIPATORY BUDGETING. THE IMPORTANCE OF CONTEXT. GEMMA JAMIESON MALIK A thesis submitted in partial fulfillment of the requirements of the University of Westminster for the degree of Doctor of Philosophy !1 April 2016 Abstract This project asks: How was it that a participatory practice, originating in the demands of social movements in Brazil, came to fit within the prevailing neoliberal orthodoxy? It explores changes within both neoliberalism and the practice of Participatory Budgeting (PB) itself. It examines PB’s Brazilian origins and the ways in which the process, initially emerging from protest movements, became a formal institutional process and a feature of Brazil’s new democracy, post authoritarian rule. It then explores developments in the process itself within Brazil, before examining its translation to the UK. PB in the UK is explored through an examination of the political climate into which it came to be deployed (i.e. Blair’s New Labour) and two concrete examples of the process (in Manton, Nottinghamshire and Tower Hamlets, London). It focuses on the way in which the discursive environment of operation (the context) impacts upon PB in terms of both its form and its potential. These explorations raise important questions about the roles and relationships of, and between, the state and the citizen in contemporary representative democracy. Arguing that context matters, it demonstrates ways in which an increase in participation may have a positive democratic impact, but this is not a given; an increase in participation may serve to either enhance or diminish democracy. This work makes use of policy analysis and field word. It uses the discourse theory of Laclau and Mouffe as a theoretical guide and asks what can be !2 learnt about PB’s journey, state/citizen roles and relationships, and the relationship between participation and democracy by using this particular theoretical lens. List of Contents Abstract 2 List of contents 3 List of figures 6 List of tables 7 List of abbreviations 8 Dedication 9 Acknowledgements 10 Author’s declaration 11 Introduction 12 The Landscape 13 The Question 13 The Hypothesis 15 Why Participatory Budgeting? 16 Which Contexts? 18 Methodology 17 Structure 22 Chapter One The Origin and Development of Participatory Budgeting in Brazil. Introduction 27 1.1 Brazil: an unlikely paragon of democracy 30 1.2 A new federal pact 33 1.3 Brazilian social movements of the 1970s and 1980s 37 1.4 PB: the possibility of hope 43 1.5 PB and the PT 48 Conclusion 73 Chapter Two The Development of Participatory Budgeting: Progress or Ossification? Introduction 75 2.1 PB Today 78 !3 2.2 Porto Alegre - the Exemplar 80 2.3 The growing popularity of participation 87 2.4 Social Movements Revisited 92 2.5 PB: A variety of analytical frameworks 107 2.6 A PB Triangle 115 Conclusion 117 Chapter Three New Labour and Civic Engagement Introduction 121 3.1 New Labour in Context 124 3.12 New Labour and Public Participation 124 3.13 New (?) Labour 127 3.14 New Labour Community and Communitarianism 140 3.2 Who - The New Labour Citizen 148 3.21 The Responsible Citizen 151 3.22 The Active Citizen 156 3.3 How - Decentralisation in the UK 164 Conclusion 176 Chapter Four PB in the UK Introduction 180 4.1 Beyond Brazil 180 4.2 Import to the UK 183 4.3 PB(?) in the UK: Definitions and models 189 4.31 Definitions 190 4.32 Models 192 4.4 Two Vignettes 199 4.41 Background 200 4.42 How PB came to Tower Hamlets and Manton? 204 4.43 Models and processes 206 4.44 PB: Specific aims 222 4.45 LSP’s and Pathfinders 224 Conclusion 229 Chapter Five Participation and Representation Introduction 233 !4 5.1 PART ONE : Problematising participation 234 5.12 Participation 234 5.13 Conclusion 255 5.2 PART TWO : Neoliberalism and participation 256 5.21 Introduction 256 5.22 An appeal to Boltanski and Chiapello 257 5.23 Participation: Its radical roots 263 5.24 The social construction of reality 275 5.25 The crisis of representative democracy 279 Conclusion 281 Conclusion 283 List of interviewees 289 References 291 Bibliography 306 !5 List of Illustrations Illustration 1 -The PB Cycle 83 Illustration 2 - A PB Triangle 1.0 110 Illustration 3 - A PB Triangle 1.1 116 Illustration 4 - A PB Triangle 1.3 197 Illustration 5 - A Ladder of Citizen Participation (Arnstein, 1969) 245 List of Tables Table 1 – Details of each part of the cycle 84 Table 2 - Participants in Porto Alegre PBs 86 Table 3 – Summary of PB’s main strengths and weakness according to selected literature Souza (2001) 109 Table 4 - Overview of the PB processes in Manton and Tower Hamlets 207 Table 5 - PB Specific aims 222 !6 List of Abbreviations CAP Church Action on Poverty CLG Communities and Local Government CPT Community Pride Initiative CUT Central Única dos Trabalhadores (Unified Workers' Central) DCLG Department for Communities and Local Government DWP Department for Work and Pensions EPG Empowered Participatory Governance FNPP Fórum Nacional de Participacão Popular GSR Government Social Research profession HDR Human Development Report IFI International Financial Institutions IMF International Monetary Fund KPI Key Performance Indicator LAA Local Area Agreements LAP Local Area Partnership LSP Local Strategic Partnership MCA Manton Community Alliance MDI Multiple Deprivation Index NDC New Deal for Communities !7 NI National Indicators NMP Neighborhood Management Pathfinders NRF Neighborhood Renewal Fund OP Orçamento Participativo (Participatory Budget) ODP Office of Deputy Prime Minister PB Participatory Budgeting PBU Participatory Budgeting Unit PC doB Partido Comunista do Brasil (Communist Party of Brazil) PCT Primary Care Trust PPP Public-Private Partnership PSTU Partido Socialista dos Trabalhadores Unificado (Unified Socialist Workers’ Party) PT Partido dos Trabalhadores (Workers’ Party) SM Social Movements UN-Habitat United Nations Human Settlements Programme UN United Nations UNESCO United Nations Educational, Scientific and Cultural Organization UDR Uniao Democrdtica Ruralista (Rural Democratic Union) WB World Bank WC Washington Consensus !8 For my father, for passing me the baton and for Nick, for helping me keep hold of that baton. !9 Acknowledgments So many people have helped, supported, encouraged, challenged and inspired me in so many ways; thank you, you are too many to mention. However, several people do deserve specific acknowledgement. Chantal Mouffe, my supervisor, for her continued support, encouragement and her keen critical eye. Jez Hall for his continued friendship, passion for PB and huge generosity with his time. Ricardo Blaug for his friendship, encouragement and support. Yves Cabannes for his generosity with his time and his fantastic music collection. Rebecca Daker for her sense of humour, strength and academic brilliance which is only matched by her wondrous friendship. Neil Wallington, the perfect pedant; for his patience and support. Undergraduate students at the University of Westminster; you taught me as much, if not more, than I could teach you. Finally, my husband Nicholas Jamieson Malik, for everything! !10 Declaration I declare that all the material contained in this thesis is my own work. !11 Introduction The Landscape There was a noticeable surge in the number of democracies towards the end of the twentieth century. Democracy spread from some 60 countries in 1985 to more than 140 in 2003, mostly in developing countries (UNDP, 2002). Increasingly, at the turn of the century, the challenge facing many countries was to develop institutions and processes that were more responsive to the needs of their citizens, especially the poor (ibid). For some there was an attitude of triumphalism regarding the spread of democracy, while for others there was, a feeling of fear and dismay (Gaventa, 2006), and a caution of hubris from those who did not accept the superiority of democracy in its current manifestations (e.g. Mouffe, 2000; 2005; 2009). More recently, there has been mounting concern at the deficits of democracy in its current dominant liberal representative form, and an increasing sense that democracy is in crisis. Despite varying contemporary theories and models of democracy, common to almost all is the idea that participation can act as a panacea to the deficits of democracy as experienced by modern pluralist societies. !12 There are many different types of democracy. The current phase, the ‘third wave’1 of democracy and democratization, is characterised by a particular brand of democracy:- liberal or neoliberal democracy (Huntington, 1991). It is this form that has become dominant and, in some quarters, has achieved a status of unquestionable common sense. Some of the most common and prominent ways of addressing the deficits of democracy, and thereby ‘deepen democracy’, have involved the implementation of a governance agenda and an increase in participation. Participation is seen by many as a central feature of good governance; a good in and of itself in terms of deepening democracy, and as a way to realise other goods associated with good governance, including greater transparency of government, greater accountability and responsiveness to the electorate, and improved efficiency with regard to policy formulation, implementation and realisation.
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