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Pin Laura G 2019 Phd.Pdf (7.248Mb) Participatory Governance, Neoliberal Restructuring and Participatory Budgeting in Chicago, IL Laura G. Pin . A dissertation submitted to the Faculty of Graduate Studies in Partial Fulfillment of the Requirements for the Degree of Doctor of Philosophy Graduate Program in Political Science York University Toronto, Ontario January 2019 © Laura G. Pin, 2019 Abstract This dissertation examines the relationship between participatory democracy and neoliberal restructuring in cities through an empirical examination of the practice of participatory budgeting in Chicago, Il. Using a critical institutionalist approach, in conjunction with scholarship on neoliberalization and colourblind racism, I examine how participatory budgeting in Chicago operates in a broader context of budgetary austerity, and race- and class-based inequity. My main argument is twofold. First, I argue that the emergence of participatory budgeting in Chicago is intimately related political histories of machine governance, especially patronage relations and racial exclusions. In a context of declining legitimacy of both clientelism and explicit racial exclusion from governance, participatory budgeting is a useful strategic tool for aldermen to solicit political support and distance themselves from the legacy of patronage in municipal governance. The political and institutional context helps explain why participatory budgeting in Chicago has been initiated primarily by political elites. Second, I find that in Chicago, as an elite-driven governance tool, the democratic possibilities of participatory budgeting have been limited. Participatory budgeting has sometimes enabled new social solidarities to emerge, particularly when community members creatively mobilize through the process to address shared social struggles. Nonetheless, the articulation of participatory budgeting in Chicago largely within a neoliberal framework has limited its ability to challenge budgetary austerity, and systemic race- and class-based exclusions in local democracy. In the absence of a more comprehensive shift towards participatory democratic politics in other arenas, participatory budgeting risks manifesting as an isolated and commodified form of participatory democracy: a stand-alone initiative that is palatable to elites, rather than a more substantive transformation of the exercise of political power more broadly. ii Acknowledgements While a single author may be listed on the front page, this dissertation only reached completion thanks to the support of many. Thank you to the staff in the Department of Politics at York University, especially Marlene Quesenberry and Margo Barreto, for their assistance over the years with matters large and small. I am grateful for the support of my supervisory committee members: Dr. Barbara Cameron and Dr. Karen Murray, who provided necessary and thoughtful feedback during the dissertation process, and my supervisor Dr. Dennis Pilon who had great confidence in my ability to complete a dissertation, even when I did not. Many thanks to Dr. Peter Graefe, Dr. Roger Keil and Dr. Ethel Tungohan for serving on the examination committee. I am deeply appreciative of Dr. Rachel Weber at the University of Illinois, Chicago, for responding kindly to an email from an unknown graduate student and supporting my fieldwork. I owe a substantial debt of gratitude to Thea Crum at the Great Cities Institute for her collegiality and generosity in introducing me to Chicago’s participatory budgeting process; and to Nick Vlahos for doing the same in Hamilton. Sincere thanks to the many people in Chicago and Hamilton who were generous with their time and open with their experiences: this research would not have been possible without your participation. I benefitted from funding secured through SSHRC and CUPE 3903, and wish these crucial financial supports were available to all graduate students. I would have been unable to complete a doctorate without those who provided emotional and material support, who suggested research collaborations, helped me secure paid work, edited drafts, proofread proposals, shared application documents, gave pep talks, and made space for me in many other ways. Tobin LeBlanc Haley, Jennifer Mussell, Rebecca Hall, Alana Cattapan and Jessica Parish, thank you for moments of mentorship and care, which may have seemed small to you, but were much needed. Annelies Cooper, Mandi Gray, and Sarah Naumes: your humour, tenacity and friendship have been invaluable, and I am proud to know each of you. Thank you to the brilliant Jessica Evans for coffee and reassurances, both of which I required in abundance; and to the brilliant Nicole Bernhardt for being a wonderful co-conspirator on so many projects and pushing me to think hard. Gratitude and love to my parents, who always encouraged my education; to Leigh who has been so generous in making space for my work in our lives; and to Emmy for a little push at the end. iii Table of Contents Abstract ........................................................................................................................................... ii Acknowledgements ........................................................................................................................ iii Table of Contents ........................................................................................................................... iv List of Tables ................................................................................................................................ vii List of Figures .............................................................................................................................. viii List of Acronyms and Abbreviations ............................................................................................. ix Chapter 1: Participatory Budgeting as a Policy Practice ................................................................ 1 Statement of the Problem .......................................................................................................................................... 3 Structure of the Chapter ............................................................................................................................................ 6 Participatory Budgeting as a Policy Practice ............................................................................................................. 7 Literature Review: Geographic Scope and Analytical Currents .............................................................................. 12 Situating My Approach: Critical Institutionalism, Neoliberalism and Critical Race Scholarship .......................... 24 Methodological Approach: A Qualitative Case study of Chicago, IL ..................................................................... 36 Research Sources: Semi-Structured Interviews and Participant Observation, and Secondary Data ....................... 39 Demographic Data and Racial Categories ............................................................................................................... 48 Conclusion: Plan of the Dissertation and Contribution to the Literature ................................................................ 50 Chapter 2: Institutional Dynamics: Machine Governance, Neoliberal Restructuring and the Origins of Participatory Budgeting in Chicago ............................................................................ 53 Introduction ............................................................................................................................................................. 53 A Brief History of Municipal Politics in Chicago: Patronage and Machine Government ...................................... 54 Post-Patronage Chicago? ......................................................................................................................................... 60 Executive Control: Strong Mayors and the “Mayoral Budget” ............................................................................... 65 Budgetary Austerity and Neoliberal Restructuring in Chicago ............................................................................... 73 Infrastructure Funding: The Capital Infrastructure Plan (CIP), Neighbourhood Infrastructure Program (NIP) and origins of Aldermanic Menu Funds ......................................................................................................................... 78 Conclusion: Constituency Relations and Democratic Distancing ........................................................................... 86 Chapter 3: The Uneven Emergence of Participatory Budgeting Projects: Neighbourhood Demographics and Electoral Politics ............................................................................................ 88 Introduction ............................................................................................................................................................. 88 The Spatial Distribution of Participatory Budgeting Projects in Chicago ............................................................... 89 iv The Political Dynamics of Aldermanic Elections in Chicago: Democratic Party Support, Electoral Regulation and Ward Redistricting .................................................................................................................................................. 99 Neighbourhood Electoral Dynamics and the Emergence of Participatory Budgeting in the 49th, 45th, and 22nd Wards ...................................................................................................................................................................
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