© 2016 Ashley Elizabeth Nickels ALL RIGHTS RESERVED
Total Page：16
File Type：pdf, Size：1020Kb
© 2016 Ashley Elizabeth Nickels ALL RIGHTS RESERVED POWER, POLITCS, AND PARTICIPATION: THE IMPACT OF MUNICIPAL TAKEOVER ON LOCAL DEMOCRACY By ASHLEY ELIZABETH NICKELS A dissertation submitted to the Graduate School-Camden Rutgers, The State University of New Jersey In partial fulfillment of the requirements For the degree of Doctor of Philosophy Graduate Program in Public Affairs Written under the direction of Richard A. Harris And approved by _____________________________________ Richard A. Harris _____________________________________ Lorraine C. Minnite _____________________________________ Brandi Blessett Camden, New Jersey May, 2016 ABSTRACT OF THE DISSERTATION Power, Politics, and Participation: The Impact of Municipal Takeover on Local Democracy by ASHLEY ELIZABETH NICKELS Dissertation Director: Richard A. Harris This research focused on the ways in which municipal takeovers reshape local democracy, not only by suspending representative government, but disrupting the existing order and creating opportunities and incentives that shift power in the local political system. The primary question that guided this research was: how, through its implementation, does municipal takeover policy reshape local democracy? Drawing from a constructivist- institutionalist framework, I found that the tools and strategies designed by the state to fix a local government’s fiscal health have both instrumental and symbolic effects, which restructured who, and by what means residents, groups, and organizations, participated politically. To answer the question about how municipal takeover policy reshapes local democracy and to identify the causal mechanisms that explain how municipal takeover can alter the local political system, this project utilized a policy-centered case study of Flint, Michigan, a city most recently in the news for lead contamination in its water. Michigan has one of the most aggressive policies for addressing local fiscal crises in the United States; state law effectively suspends the governing authority of local elected officials and puts in place state-appointed Emergency Managers. My analysis drew on ii documentary evidence from state and local government, news media, and Flint-focused urban histories; fieldwork conducted during the summer of 2015, at which time I interacted with many residents and local stakeholders; and 35 semi-structured interviews. Information gleaned from the data was analyzed using both interpretive and process tracing tools. This study shows that municipal takeover policy had a significant impact on local democracy in Flint. I found that the policy, when implemented, disparately impacted members of the community: benefiting some, while burdening others. How residents made meaning of takeovers was related to how they responded politically. As a result of changes in participatory access, allocation of resources, and their perception of the takeover, opponents of the policy created and utilized new pathways to power, undermining the inherent lack of democratic participation provided under takeovers and ameliorating the symbolic effects of the perceived threat to democracy. iii Acknowledgements I would first like to express my deep gratitude to all of the Flint residents, activists, and community leaders that welcomed me into their city. Without all of you this project would not have been possible. My appreciation is also extend to my dissertation committee for their patience, encouragement, and helpful critiques of my research. I first want to thank my dissertation chair, Dr. Richard Harris, for his valuable and constructive suggestions on the many iterations of this project and for his regular words of encouragement and support. He kept me on task and on schedule and for that I am grateful. My gratitude also goes to Dr. Lori Minnite, in whose class I first became interested in municipal takeovers. Her feedback on my research over the last five years has made me a better researcher and a better writer. I would also like to thank Dr. Brandi Blessett, who has challenged me to think about the type of scholar I want be, encouraging me to focus on how my research can and should be used to improve public policy and promote social equity. Beyond my dissertation committee, there are numerous people that have served as mentors to me during this process. I want to start by thanking Dr. Marie Chevrier, who I began working with as a graduate research assistant in 2011. Since day one, she has been both mentor and friend. My gratitude is also extended to two women that I have known since I was an undergraduate student at Grand Valley State University. To Dr. Marlene Kowalski-Braun, thank you for providing me the opportunities to grow and learn as a young professional and scholar. To Dr. Underwood, thank you for believing in me, pushing me, and helping me get over the finish line. iv I would like to offer a special thank you to a few friends. To my Ph.D. cohort: without all of you, I may not have made it through my first year of graduate school, let alone successfully defended my dissertation. You are an amazing group of scholars. I count you among some of my closest friends. To Danielle Vilella—my academic cheerleader and dearest friend—thank you for spending countless hours on Skype discussing my research and reminding me that there is life outside academia. And finally, I want to thank my family. I hope that one day my daughters, Tessa and Isabella, will look back on their early childhood experiences of moving back and forth across the country with fond memories. Last, but certainly not least, I want to thank my partner Aaron for giving me the courage to take a leap of faith and pursue my dream and for being a constant source of support. v Table of Contents Abstract ii Acknowledgements iii List of Tables x List of Illustrations and Figures xi Introduction 1 Chapter 1. Current Approaches to Municipal Takeover Research 5 Municipal Takeover as Policy Paradox 6 Urban Fiscal Crises and Fiscal Stability 7 Representative Democracy and Local Control 9 A Different Perspective: Power, Participation, and Urban Politics 11 Municipal Takeovers in Legal and Historical Perspective 14 State-Imposed Receivership & Evolution of Municipal Takeover Policy 17 Contributions of this Project 23 Chapter 2. Theory: How Policy Shapes Politics 26 Policy Feedback Theory 28 Instrumental Feedback Mechanisms 31 Benefits and Burdens 31 Symbolic Feedback Effects and Social Construction 33 Chapter 3. Research Design & Methodology 36 Case Study Research Design 36 Limitations of Case Study Design 39 Case Selection 40 vi Data Collection 41 Documentary Evidence 42 Observation and Field Notes 44 Semi-Structured Interviews 45 Interview Participants 46 Interview Guide 47 Data Analysis 49 Descriptive Analysis and Contextualization 49 Stakeholder Identification and Analysis 50 Process Tracing 52 Interview Coding and Analysis 54 Summary 56 Chapter 4. Contextualizing Flint 57 Changing Demographics 58 Economic Ups and Downs 59 Local Government and the Political System 62 Political Stakeholders 63 Stakeholder Definitions of Flint Politics 64 Stakeholders: Power and Interest 68 State Policy Context: Michigan’s Municipal Takeover History 71 Michigan’s Municipal Takeover Law 75 PA 72 of 1990 77 PA 4 of 2011 80 vii PA 436 of 2012 84 Summary 85 Chapter 5. Analysis: Implementation, Effects, and Response 86 The Takeovers, 2002 & 2011 87 Municipal Takeover, 2002 87 Municipal Takeover, 2011 94 Instrumental Feedback Effects: Access, Benefits, and Burdens 101 Changes in Participator Access 101 Improved Access 102 Restricted Access 103 Allocation of Resource Benefits 110 Allocation of Resource Burdens 113 Community Responses to Municipal Takeover: Perspectives of the Polis 117 Reflections on the 2002 Takeover 117 Reflections on the 2011 Takeover 119 Shifts in the Political System 123 New Pathways for Engagement 126 Chapter 6. Conclusion : Summary Findings, Implications, and Recommendations 129 Implications 133 Consequences of Municipal Takeover 133 Recommendations 134 Appendix 1: Relevant State Statutes 137 Appendix 2: Interview Guide 139 viii Appendix 3: Table of Actions Allowable under PA 72 PA 4 & PA 436 142 Appendix 4: Flint Timeline- Municipal Takeover Key Events 155 References 173 Curriculum Vitae 190 ix List of Tables Table 1.1 Approaches to State Intervention 21 Table 1.2 Characteristics of State Intervention by State 22 Table 3.1 Interview Respondents by Race and Takeover Opinion 47 Table 5.1 Flint’s Emergency Managers, 2002-2015 101 Table 5.2 Charter Amendment and Review Ballot Questions and Results, 2014 109 x List of Figures Figure 4.1 Total Population, 1950-2010 58 Figure 4.2 Population by Race, 1950-2010 59 Figure 4.3 Unemployment Rate, 1990-2015 61 Figure 4.4 Poverty Rate, 1970- 2010 62 Figure 4.5 City of Flint Wards and Precincts Map, 2010 63 Figure 4.6 Stakeholder Power versus Interest Grid 71 xi 1 Introduction Michigan has one of the most aggressive policies for addressing local fiscal crises in the United States. First passed in 1988 to address financial issues in Hamtramck, the policy has been revised several times, most recently in Public Act 436, approved in 2012. Over the past three decades, nine Michigan municipalities have seen the power of local elected officials usurped by the state for varying periods of time. Theoretically, municipal takeovers are intended to be temporary and limited: once the fiscal crisis is abated, the city is supposed to return to its ex ante political status. Michigan Governor Rick Snyder addressed the residents