Participatory Democracy in Porto Alegre and Belo Horizonte
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View metadata, citation and similar papers at core.ac.uk brought to you by CORE provided by ResearchArchive at Victoria University of Wellington Participatory Democracy in Porto Alegre and Belo Horizonte Terence Wood Participatory Democracy in Porto Alegre and Belo Horizonte Terence Wood Victoria University of Wellington Wellington, New Zealand Contact: [email protected] Submitted in partial fulfilment of the Master of Development Studies Degree August, 2004 Abstract Participatory budgeting is a form of Participatory Democracy that is being increasingly used in Brazilian cities. This dissertation describes research conducted on the participatory budgets of two Brazilian cities, Porto Alegre and Belo Horizonte. The research was undertaken with the overall aim of examining and comparing the participatory budgeting experiences in these two cities and then using this examination to identify the key local variables that can influence the outcomes of participatory budgets. The research made use of both primary and secondary data sources. The primary data used the result of 22 semi- structured interviews that took place in April and May 2004, and the secondary data was the already existing body of literature on participatory budgeting in Porto Alegre and Belo Horizonte. The key findings of this research are that participatory budgeting has had some significant successes in both Porto Alegre and Belo Horizonte. At the same time though the participatory budgets in Porto Alegre and Belo Horizonte have encountered problems that have limited their abilities to produce results. There are also several areas where the outcomes of participatory budgeting are, at present, unclear. Some of the outcomes of the participatory budgets in Porto Alegre and Belo Horizonte are very similar yet there were differences in the processes’ results. Two key variables are identified in the analysis: the ability of the participatory budget to produce tangible results and the degree of need that a city’s populace has for municipal services. Associated with these key variables are a range of secondary variables that also influence the outcomes of participatory budgets. i Acknowledgements In New Zealand, I would like to thank Vijay Naidu, my course co-ordinator, and Warwick Murray, my research supervisor, for their assistance with this project. I would also like to thank my parents for supporting me – again. And finally, I would like to thank Joanna Spratt for her helpful suggestions, meticulous proofreading and constant support. In Brazil, I would like to thank all my research participants for their time and assistance. In particular, I am grateful to Sergio Baierle and Alexandre Stolte for going out of their way to help me. I would also like to thank Ricardo Holtz, Magaly Pazello, and Nara Hirschland for their help and friendship. And I am most grateful to Rodrigo Valente Noronha and his family for taking me in and showing me true Minero hospitality. And above all, I want to thank Flávio Carvalho Brito, Yamil Dutra and Liseth Bacellar, without whose assistance this project would definitely not have been possible. Although I am indebted to all of the people listed above, I want to stress that any errors or omissions in this dissertation are mine alone. ii Contents ABSTRACT................................................................................................................................I ACKNOWLEDGEMENTS.......................................................................................................II CONTENTS ............................................................................................................................ III LIST OF FIGURES................................................................................................................ VII LIST OF TABLES.................................................................................................................. VII CHAPTER 1 – INTRODUCTION, AIMS AND OBJECTIVES...............................................1 1.1 INTRODUCTION....................................................................................................................1 1.2 PARTICIPATION AND PORTO ALEGRE....................................................................................3 1.3 THE NEED FOR A BROADER RESEARCH FOCUS .....................................................................3 1.4 RESEARCH AIMS AND OBJECTIVES .......................................................................................4 1.5 THE STRUCTURE OF THIS DISSERTATION ..............................................................................5 CHAPTER 2 - EPISTEMOLOGY, METHODOLOGY AND METHODS.............................8 2.1 INTRODUCTION....................................................................................................................8 2.2 EPISTEMOLOGY ...................................................................................................................8 2.3 METHODOLOGY...................................................................................................................9 2.4 CHOICE OF SETTING...........................................................................................................10 2.5 METHODS USED ................................................................................................................11 2.5.1 A Mixture of Primary and Secondary Research...........................................................11 2.5.2 A Comparative Approach to Primary Research...........................................................12 2.5.3 Semi-Structured Interviews.........................................................................................12 2.5.4 Critical Analysis......................................................................................................... 13 2.5.5 Finding My Participants.............................................................................................13 2.5.6 Observing the Participatory Budget in Action.............................................................15 2.6 ETHICAL CONSIDERATIONS................................................................................................16 2.7 PROBLEMS ENCOUNTERED.................................................................................................17 CHAPTER 3 – DEMOCRATIC THEORY AND PARTICIPATION ....................................20 3.1 INTRODUCTION..................................................................................................................20 3.2 BASIC DEMOCRATIC THEORY.............................................................................................20 3.3 PARTICIPATION AND DEMOCRACY .....................................................................................24 3.4 WHAT IS PARTICIPATORY DEMOCRACY? ............................................................................27 3.5 DEVELOPMENT AND PARTICIPATION ..................................................................................27 3.6 CONCLUSION.....................................................................................................................30 CHAPTER 4 – BRAZILIAN POLITICAL HISTORY...........................................................31 4.1 INTRODUCTION..................................................................................................................31 4.2 EARLY POLITICAL HISTORY...............................................................................................31 4.3 ‘IMPERIAL’ BRAZIL AND THE FIRST REPUBLIC ....................................................................32 4.4 VARGAS, THE SECOND REPUBLIC AND THE RETURN TO MILITARY RULE .............................34 4.5 RETURN TO DEMOCRACY...................................................................................................36 4.6 BRAZIL’S CURRENT POLITICAL SYSTEM .............................................................................36 4.7 DEMOCRATIC BRAZIL ........................................................................................................37 4.8 CONCLUSION.....................................................................................................................39 CHAPTER 5 – THE PT IN OPPOSITION AND IN POWER...............................................40 5.1 INTRODUCTION..................................................................................................................40 5.2 THE RISE AND RISE OF THE PARTIDO DOS TRABALHADORES ...............................................40 5.3 THE PT AND THE PROBLEMS OF MUNICIPAL GOVERNANCE.................................................46 5.3.1 The PT’s Inexperience in Municipal Government........................................................47 iii 5.3.2 Divisions between Different Party Factions ................................................................47 5.3.3 The Gulf Existing between Expectations of Social Reform and what is Actually Possible 48 5.3.4 The Hostility of Local Elites to the PT.........................................................................48 5.3.5 The Need to Form Political Coalitions........................................................................49 5.3.6 Hostility from State Governments ...............................................................................49 5.3.7 Tensions with Municipal Workers...............................................................................49 5.4 FAILURE IN SÃO PAULO .....................................................................................................50