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Corvinus University of Budapest a Comparative CORVINUS UNIVERSITY OF BUDAPEST A COMPARATIVE STUDY OF TOOLS AND PROCESSES OF EMPOWERMENT AND INCLUSION OF MARGINALIZED COMMUNITIES AS UNDER AFFIRMATIVE ACTION AND THE EU FRAMEWORK, THE CASE OF THE ROMA OF HUNGARY AND THE DALITS OF INDIA DOCTORAL DISSERTATION Supervisors: Dr Andrew Ryder, DPhil/ Thomas A. Acton, O.B.E. DPhil Professor Kaponyi Erzsebet PhD MALAY MISHRA Budapest, 2019 DEDICATION Dedicated to all the marginalized peoples of the world who are, and should be, a legitimate part of society. “Blessed are the meek for they shall inherit the earth”. Matthew 5:5 2 List of Contents Dedication p.2 List of Tables, Maps and Appendices p.11 Foreword and Acknowledgements p.12 Chapter One, Introduction 1.1 Connection with India p.15 1.2 The Policy and Social context p.17 1.2.1 Hungary p.18 1.2.2 India p.20 1.2.2.1 Indian policy responses p.21 1.3. Empowerment p.25 1.4 Role of Civil society p.29 1.5 Conclusion p.32 1.6 Thesis Outline p.32 Chapter Two, Literature Review 2.1 Introduction p.34 2.2 Contextualising the Hungarian Roma p.34 2.3 Evaluating the Indian Connection p.35 2.4 The Roma in European history p.36 2.4.1 Roma, seen as an Oriental Community in an Occidental setting p.38 2.4.2 Policy in modern times p.39 2.5 The threshold of market capitalism and the Roma dilemma p.41 2.5.1 The representation deficit p.44 2.5.2 Potential of Roma activism p.45 3 2.6 Importance of social inclusion p.46 2.6.1 The Roma platform: A European-wide mechanism for inclusion? p.46 2.7 Roma and the ‘Development’ paradigm p.47 2.8 Virtue of community development p.49 2.9 The EU Roma Framework p.50 2.10 Roma: a European issue? p.52 2.11 Role of Roma Civil Society bodies and elites p.53 2.12 Cause for action p.54 2.13 The future as seen in the contemporary literature p.55 2.14 Ideas from India and framework of the Dalit empowerment model p.56 2.14.1 Study of Personalities p.57 2.15 Methodological Literature on Field Visits? Case Studies p.58 2.16 Analysis and Evaluation of ‘Affirmative Action’ p.59 2.17 Conclusion p.61 Chapter Three, Methodology 3.1 Introduction p.63 3.2 Tools of Research p.63 3.3 Ethics p.64 3.4 Information Sheet and consent form (informed consent) p.65 3.5 Standpoint theory p.67 3.6 Avoiding Scientism p.69 3.7 Role of Interviews in data collection p.70 3.8 Analytical Methodology p.72 3.8.1 Importance of Ethnography p.72 3.8.2 Interpretivism p.72 3.8.3 Subjectivity as integral to research p.73 4 3.9 Research-Data Sample p.74 3.9.1 Selection and utility of subject for research p.74 3.9.2 Data collection p.75 3.10 Diary p.77 3.11 A Case Study and its methodology p.78 3.12 Reflexivity p.79 3.13 Summing up p.81 Chapter Four, Select Indian Thinkers and their experiences 4.1 Introduction p.82 4.2 Empowerment and Inclusion p.83 4.3 Mohandas Karamchand Gandhi p.86 4.4 Bhimrao Ramji Ambedkar p.88 4.5 Amartya Sen p.93 4.6 Gayatri Chakarvorty Spivak p.96 4.7 The Relevance of Gandhi, Ambedkar, Sen and Spivak to Development, Empowerment and Inclusion p.98 4.8 Theorizing social inclusion and empowerment for marginalized communities p.103 4.8.1 Cooperation and mutualism p.103 4.8.2 The role of tradition in the context of modernization p.103 4.8.3 Role of the state in effecting affirmative action p.104 4.8.4 Liberal notions of reforms as opposed to structural changes p.105 4.8.5 Economic gradualism p.106 4.9 Conclusion p.106 Chapter Five, Field work in Hungary among Roma communities 5.1 Introduction p.108 5.2 An Anthropological perspective p.110 5.3 Ethnographic insights p.111 5 5.3.1 Life in the Ghetto p.111 5.3.1.1 Csenyete, May 11, 2014 p.111 5.3.1.2 Tiszabo, June 09, 2014 p.113 5.3.1.3 Bagadmindszent and Gilvanfalva (Ormansag), June 24, 2014 p.114 5.3.1.4 Ozd, May 15, 2015 p.115 5.3.1.5 Istvan Oztok June 17 2015 p.115 5.3.2 Analysis of Ghetto Life p.116 5.3.3 Examples of Education for empowerment p.117 5.3.3.1 The Gandhi Gimnazium, Pecs, April 08, 2014, April 27, 2015 p.117 5.3.3.2 Sajokaza Ambedkar School, April 14, 2014 p.118 5.3.3.3 Inclusive schooling: the Hejokeresztur model p.119 5.4 Cultural capital: asset for Roma empowerment p.120 5.4.1 Amerhat, April 08, 2014 p121 5.5 Innovative Community Development and Empowerment p.122 5.5.1 Tiszaroff, June 09, 2014 p.122 5.5.2 Cserdi, 02 Sept 2014, 03 Dec 2014, April 25, 2015 p.123 5.6 Strengthening the roots: role of Foundations p.124 5.6.1 Bhimrao Foundation, Sajokaza, May 11, 2014 p.125 5.6.2 The Khetanipe Association and Szent Marton Caritas, Pecs, April 26, 2015 p.125 5.6.3 Napkerek Roma Foundation p.126 5.7 Conclusion: Analysis of Empowerment and Innovation p.126 Chapter Six, Interviewing the Elite: Insights into Causal Factors 6.1 Introduction p.128 6.2 Why the Elite? p.128 6.2.1 The power pyramid p.129 6.3 The Interviews p.130 6 6.4 Key thematic analysis p.134 6.4.1 The nature of the problem p.134 6.4.1.1 The Roma profile p.134 6.4.1.2 Culture/Identity p.135 6.4.2 Causal factors p.136 6.4.2.1 Poverty/Marginalization/Employment p.136 6.4.2.2 Education, including adult education p.136 6.4.2.3 Healthcare p.138 6.4.2.4 Accommodation/Discrimination/Segregation p.139 6.4.2.5 Racism/Scapegoating p.140 6.4.2.6 Integration/Inclusion p.142 6.5 Conclusion Chapter Seven, Interviewing the Elite: Insights into solutions 7.1 Introduction p.144 7.2 EU/Open Method Coordination p.144 7.2.1 Roma Decade/NRIS p.144 7.3 An Overview of Civil Society p.147 7.4 Empowerment/Advocacy p.149 7.5 Affirmative action p.150 7.6 The value of India’s Development Model to the Roma p.152 7.7 Entrepreneurship/Economic Tools/Skilling p.153 7.8 Public Works p.155 7.9 NGOisation and the government p.156 7.10 Roma elite/leadership p.158 7.11 Political representation p.159 7.12 Roma Minority Self Government (RMSG)/National Roma Self Government (NRSG) p.161 7 7.13 Corruption p.162 7.14 Human Rights p.163 7.15 Media p.164 7.16 General Reflections on the gap between rhetoric and reality p.165 7.17 Conclusion from hypotheses drawn and paradigm building p.171 Chapter Eight, Marginalized Communities in India: Defining Context and Comparing Paradigms 8.1 Introduction p.174 8.2 The Champions of affirmative action and inclusion measures: Gandhi, Ambedkar and Sen p.175 8.3 Broadening the scope of affirmative action: the beginning of appeasement politics p.177 8.4 Socio-economic tools of empowerment under the Modi government p.182 8.5 Role of micro-finance and Self-Help Groups in boosting incomes of marginalized communities p.184 8.6 Conclusion p.186 Chapter Nine, The Odisha Case Study: Insights from the Field: Empowerment and Inclusion of the marginalized 9.1 Introduction p,188 9.2 Field visits in 4 Districts p.191 9.2.1 Kandhamal p.193 9.2.1.1 Tribal displacement and rehabilitation p.194 9.2.1.2 Special Education for the tribal students: The Ekalavya model p.196 9.2.1.3 Livelihood interventions p.197 9.2.1.4(a) Interview with the stakeholders p.197 9.2.1.4(b) Interview with the principals in government intervention p.197 9.2.1.5 Role of local agencies and projects undertaken p.199 9.2.1.6 Interview with the Principal Administrator p.200 8 9.2.2 Koraput p.201 9.2.2.1 Field visit p.202 9.2.2.2 Livelihood interventions p.202 9.2.2.3 Study of a case of extreme marginalization and attempts to raise it in interviews p.202 9.2.2.4 Rounding up p.204 9.2.3 Puri p.204 9.2.3.1 Field Work p.205 9.2.3.2 NGO and grassroots projects p.205 9.2.3.3 Role of Anganwadi Centres as the first point of child education p.206 9.2.3.4 Experience of political governance at the grassroots level p.206 9.2.3.5 SHGs in action p.207 9.2.3.6 Role of rural banks p.208 9.2.3.7 Observations from the field visit: alcoholism and political disengagement p.208 9.2.3.8 Interview with the Collector p.209 9.2.4 Cuttack p.210 9.2.4.1 Familiarisation meeting with Collector p.211 9.2.4.2 Field Study: SHGs in Cuttack Sadar Block p.211 9.2.4.3 A Case Study of empowerment in a model village p.214 9.3 Overall assessment of the field studies in Odisha p.214 9.4 Interviews with key decision makers p.215 9.4.1 Secretary, Department of SC & ST Development, Government of Odisha p.215 9.4.2 Central Minister for Tribal Affairs, New Delhi p.217 9.5 Critical and Comparative Review and Paradigm Building for community empowerment p.218 9 Chapter Ten, Conclusion 10.1 Introduction p.221 10.2 The argument of the thesis revisited p.221 10.3 The Need for a Critical Deconstruction of the Policy Paradigms p.228 10.4 Role of Civil Society and Media p.229 10.5 Recommendations: Lessons to be learned p.230 Bibliography p.233 10 LIST OF TABLES, MAPS, AND APPENDICES Chapter One: Table 1- Models of Empowerment p.24 Chapter Three: Table 2- Indicative Table of elite interviews conducted in Hungary p.71 Chapter Four: Table 3- Indian Thinkers compared p.99 Chapter Six: Table 4- Elite interviews p.130 Chapter Nine: Map 1- India (States and Union Territories) p.189 Map 2- Odisha with boundary and districts p.190 Table 5- Names of places visited, date/period of visits and methods of data collection p.192 LIST OF APPENDICES 1- Questionnaire used for elite interviews p.268 2- Letter of participation/consent p.270 3- Questionnaire designed to elicit response from Roma respondents in individual or group settings p.271 4- Interviews (arranged in alphabetical order), and Themes of interviews p.273 5- Questionnaire for interview with Collector, Kandhamal District p.275 6- Questionnaire for interview with Collector, Puri District p.276 7- Questionnaire for interview with Minister for Tribal Affairs, Govt of India p.
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