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ON DEVELOPMENT, POVERTY, and AUTONOMY: a CASE STUDY of a WORLD BANK PUBLIC-PRIVATE PARTNERSHIP in LATIN AMERICA by SIMONE R

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ON DEVELOPMENT, POVERTY, and AUTONOMY: a CASE STUDY of a WORLD BANK PUBLIC-PRIVATE PARTNERSHIP in LATIN AMERICA by SIMONE R ON DEVELOPMENT, POVERTY, AND AUTONOMY: A CASE STUDY OF A WORLD BANK PUBLIC-PRIVATE PARTNERSHIP IN LATIN AMERICA by SIMONE R. BRIDGEMOHAN A Dissertation submitted to the Graduate School – Newark Rutgers, The State University of New Jersey in partial fulfillment of the requirements for the degree of Doctor of Philosophy Graduate Program in Global Affairs written under the direction of Dr. Karen D. Caplan and approved by _________________________________ _________________________________ _________________________________ _________________________________ Newark, New Jersey May 2019 © 2019 Simone R. Bridgemohan ALL RIGHTS RESERVED ABSTRACT OF THE DISSERTATION On Development, Poverty, and Autonomy: A Case Study of a World Bank Public-Private Partnership in Latin America By SIMONE R. BRIDGEMOHAN Dissertation Director: Dr. Karen D. Caplan Using a qualitative, exploratory single-case study approach, this study examines the theoretical and practical discontinuities between the World Bank’s current development model of public-private partnerships (PPPs) and development and poverty trends “on the ground” in localities where Bank-supported projects operate. There exists a disconnect between the Bank’s development rhetoric – framed in terms of Bank projects as “pro-poor” – and how “locals,” especially the poor, perceive what is happening to their livelihoods and community as a result of these development projects. Data was collected through semi- structured interview, participant observation, and primary source documents. This study is grounded in the constructivism paradigm, which, alongside conventional content analysis, guided the data analysis process. This study’s results show that two critical factors, basic needs and autonomy, are integral to study participants’ conceptualizations of poverty and development; in other words, they attribute their own and others’ impoverished livelihoods to a shared inability to meet basic needs and a lack of autonomy. Keywords: development, poverty, public-private partnerships, autonomy, Latin America ii ACKNOWLEDGEMENTS It has been my great privilege to work under the expertise and guidance of my Dissertation Committee chaired by Dr. Karen D. Caplan, and comprised of Dr. Gabriela Kütting, Dr. Kurt Schock, and Bruce Rich, all of whom have approached this dissertation and my needs as a doctoral student with a great deal of kindness, unfailing support, and, of course, a vast wealth of knowledge. I am fortunate to have been able to draw upon their invaluable expertise regarding numerous dimensions of poverty and development. To Dr. Karen D. Caplan, thank you for being my advocate, for years of support and interest in my research, and for your responsiveness. At Rutgers University–Newark, I am grateful to have received funding from the Division of Global Affairs, and invaluable assistance and mentorship from Desiree Gordon, Marne Benson, Jennifer Arena, Traymanesha Moore-Lamy, Kimberly Brown, Dominick McKoy, and Catherine Siemann (New Jersey Institute of Technology). Beyond friendship, Joanna Maulbeck, Hélène McLaughlin, Reela Khalifa, Tony Chen, Heather Estonactoc, Kimberly Brown, Christina Walling, and Carsten Schein have made great contributions to my intellectual and professional development. The important work they do in the world is a continuous source of inspiration and personal determination. I am also immensely grateful to Yekaterina Jelcic, Maya Lerner, Amy Grosshandler, and Jessica Tovar for lasting friendship on which I have relied countless times over the past nearly twenty years. When I had left for fieldwork and was alone in a foreign country, their letters, phone calls, and care packages made those initial months away easier. A heartfelt thank you goes to Jessica Tovar for assistance with Spanish translations in the early stages of this work. iii I thank my father, Ram, and my mother, Sumintra, for instilling in me that life must be lived fully, which means joyfully, responsibly, and always in the service of others, particularly those less fortunate. I am grateful to them for teaching me by example to have a strong work ethic, the merits of adventure and risk-taking, and the importance of having a plan. I am also thankful to MB and JW for providing wisdom and guidance in matters great and small, but especially as pertains to selfhood and womanhood. To Christopher, thank you for your love, compassion, and steadfastness, and for supporting and respecting my decisions. You have been a great source of motivation and calm during the completion of such an all-consuming project. My deepest respect and gratitude are reserved for nearly everyone I met in Cajamarca, Peru. This dissertation would not have been made possible without your contributions. For your invaluable insights into poverty and development, your kindness, hospitality, and patience with a new and foreign researcher, thank you. I dedicate this dissertation to the children of Rayos de Luz in Cajamarca and the people who work tirelessly on their behalf to create a more just and equitable world. iv TABLE OF CONTENTS ABSTRACT………………………………………………………………………………ii ACKNOWLEDGEMENTS……………………………………………………………....iii LIST OF TABLES AND FIGURES………………………………………………….…...x 1. THE WORLD BANK, PUBLIC-PRIVATE PARTNERSHIPS, DEVELOPMENT, AND POVERTY…………………………………………………………………...……..1 1.1 Introduction…………………………………………………………………………....1 1.2 Statement of the Problem and Study Research Questions……………………………...3 1.3 Definition of Terms…………………………………………………………………....5 1.3.1 Economic Growth…………………………………………………………………....5 1.3.2 Development…………………………………………………………………….…..5 1.3.3 Poverty Alleviation………………………………………………………………..…6 1.3.4 The “Poverty vs. Development” False Dichotomy………………………………..…7 1.4 The World Bank’s Long-Standing Focus on Economic Growth…………………….....7 1.5 What About Poor People?.............................................................................................10 1.5.1 Cajamarca, Peru: Poverty and the Yanacocha Gold Mine…………………………..12 1.6 Research Plan………………………………………………………………………...17 1.6.1 Methodological Approaches and Data……………………………………………...18 1.6.2 Goals of This Study………………………………………………………………...21 1.7 Summary of Chapters………………………………………………………………...23 2. LITERATURE REVIEW……………………………………………………………27 2.1 The World Bank’s Conceptualizations of Development, Poverty, and Poverty Alleviation………………………………………………………………………………..29 v 2.1.1 The World Bank’s Evolving Conceptualization of Development: A Brief Overview…………………………………………………………………………………30 2.1.2 The World Bank’s Evolving Conceptualization of Poverty and Poverty Alleviation: A Brief Overview………………………………………………………………………...39 2.1.3 The “Pro-Growth and Pro-Poor” Development Model……………………………..42 2.1.4 Conclusion………………………………………………………………………….46 2.2 The World Bank, International Finance Corporation (IFC), and Public-Private Partnerships (PPPs)………………………………………………………………………47 2.2.1 Conclusion………………………………………………………………………….62 2.3 (Neo-)Extractivism, Development, and Poverty……………………………………...64 2.3.1 Conclusion………………………………………………………………………….79 2.4 The Human Capability Approach (HCA): Human Flourishing and the Role of Basic Needs and Autonomy…………………………………………………………………….79 2.4.1 Human Development and its Significance to Poverty Alleviation…………………80 2.4.2 Human Capability Approach: An Alternative Framework for Development………82 2.4.2.1 The Role of Basic Needs………………………………………………………….86 2.4.2.2 The Role of Autonomy…………………………………………………………...88 2.4.3 Conclusion………………………………………………………………………….91 3. STUDY DESIGN AND METHODOLOGY………………………………………...93 3.1 Rationale for Qualitative Study Design………………………………………………95 3.2 Single-Case Study Methodology……………………………………………………..97 3.2.1 Single-Case Study Profile: Yanacocha Gold Mine, Cajamarca, Peru……………..101 3.3 Data Collection Methods……………………………………………………………103 vi 3.3.1 Interviews…………………………………………………………………………104 3.3.1.1 Purposive Sampling……………………………………………………………..105 3.3.1.2 Interview and Survey Process…………………………………………………...106 3.3.2 Participant Observation…………………………………………………………...111 3.3.3 Primary Source Documents……………………………………………………….113 3.4 Data Analysis……………………………………………………………………….115 3.4.1 Conventional Content Analysis…………………………………………………...118 3.5 Participant Privacy………………………………………………………………….120 3.6 Reflexivity: Implications During Fieldwork………………………………………...122 3.7 Credibility, Transferability, Dependability, and Confirmability…………………....123 3.7.1 Credibility………………………………………………………………………...124 3.7.2 Transferability………………………………………………………………….…126 3.7.3 Dependability……………………………………………………………….…….127 3.7.4 Confirmability…………………………………………………….………………127 3.8 Delimitations and Limitations………………………………….…………………...129 4. CONCEPTUALIZING POVERTY: A CLOSER LOOK AT THE YANACOCHA GOLD MINE………………………….……………………………………………….131 4.1 The Numbers: Overview of Poverty in Cajamarca, Peru…..………………………..133 4.2 Poverty as Multidimensional………………..………………………………………134 4.3 How Do Cajamarquinos Define Poverty?..................................................................136 4.3.1 Basic Needs/Necessities…………………….…………………………………….136 4.3.1.1 Implications……………………………………………………………….…….146 4.3.2 Resources………………………………………………….……………………...150 vii 4.3.2.1 Education…………………………………………………………..……………151 4.3.2.2 Jobs/Work……………………………………………………….……………...158 4.4 The World Bank, Poverty, and Poverty Alleviation………...……………………….164 5. CONCEPTUALIZING DEVELOPMENT: A CLOSER LOOK AT THE YANACOCHA GOLD MINE………………………………………………….……..168 5.1 What is Happening in Cajamarca Regarding “Development”?...................................169 5.2 What is the Primary Purpose of the
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