Localism and the Design of Political Systems – Publication Version November 2017 LOCALISM AND THE DESIGN OF POLITICAL SYSTEMS Submitted by Riccardo Lucian Paul Harmes to the University of Exeter As a thesis for the degree of Doctor of Philosophy in Politics In May 2017 This thesis is available for library use on the understanding that it is copyright material and that no quotation from the thesis may be published without proper acknowledgement I certify that all material which is not my own work has been identified and that no material has previously been submitted and approved for the award of a degree by this or any other university Signature: Rick Harmes 1 Localism and the Design of Political Systems – Publication Version November 2017 ABSTRACT Localism places a special value on the local, and is increasingly prominent as a political doctrine. The literature suggests localism operates in three ways: bottom-up, top down and mutualistic. To assess its impact, localism needs to be seen within the broader context of multi-level governance. Here localism is examined in relation to three major themes: place, public value (PV), and institutional design. Regarding place, a key distinction is drawn between old and new localism. Old localism is about established local government, while new localism highlights the increasing room for manoeuvre that localities have in contemporary politics. This enables them to influence wider power structures, for example through trans-local organizing. With regard to public value, localist thinking makes a key contribution to core PV domains such as sustainability, wellbeing and democracy, as well as to others like territorial cohesion and intergovernmental mutuality. As for institutional design, the study is particularly concerned with ‘sub-continental’ political systems. A set of principles for the overall design of such systems is proposed, together with a framework of desirable policy outcomes at the local level. This can be used to evaluate how effective political systems are at creating public value in local settings. The thesis presents a comparative study of localism in two significant, sub- continental clusters: India/Kerala/Kollam and the EU/UK/England/Cornwall. Both can be seen as contrasting ‘exemplars’ of localism in action. In India, localism was a major factor in the nationwide local self-government reforms of 1993 and their subsequent enactment in the state of Kerala. In the EU, localism has been pursued through an economic federalism based on regions and sub- regions. This is at odds with the top-down tradition in British politics. The tension between the two approaches is being played out currently in the peripheral sub-region of Cornwall/Isles of Scilly. Cornwall’s dilemma has been sharpened by Britain’s recent decision to leave the EU. The thesis considers the wider implications of the case studies, and presents some proposals for policymakers and legislators to consider, together with suggestions for further research. 2 Localism and the Design of Political Systems – Publication Version November 2017 LIST OF CONTENTS Title page and declaration (p.1) Abstract (p.2) List of contents (pp.3−5) List of tables and maps (p.6) List of abbreviations and acronyms with brief explanations (pp. 7−11) Text of thesis: Part I: Introducing and Situating the Research Study Chapter 1: Introduction and Research Aims (pp.12−17) a. Why localism? b. Research questions and aims c. Research design and structure of the thesis d. Expected contribution to knowledge Chapter 2: Research Methodology (pp.18–25) a. Overview b. Methodology: how the different perspectives on localism are set out in the thesis c. Methodology: how the two case studies were selected and how they fit in with the scheme of the research d. Design framework for the two case studies e. Operationalizing the case study research and dealing with the practical issues encountered f. Data collection g. Ethical considerations relevant to the research h. Claims to knowledge Chapter 3: Assumptions, Concepts, Perspectives, Orientations (pp. 26−43) a. Core assumptions and beliefs b. Towards localism: mapping the intellectual and conceptual landscape c. Locating localism d. The turn to localism: overview of the literature so far e. Analytical perspectives on localism f. Critical orientations Part II: Theoretical and Policy Perspectives Chapter 4: Localism, Place and Multi-level Governance (pp. 44−70) a. Place, space and scale: fundamental elements of social and political organization b. Communities of place and their governance c. The sovereign state and the limits of government d. The global and the local e. Multi-level governance and polycentrism f. ‘Old localism’: established local governance 3 Localism and the Design of Political Systems – Publication Version November 2017 g. Neighbourhood governance h. Governing locally in a polycentric world: towards a ‘new’ localism? i. Trans-localism and the upward-shaping potential of the local j. Taking stock: localism, place and multi-level governance Chapter 5: Localism and Public Value (pp. 71−97) a. On public value b. Environmental sustainability and localism c. Wellbeing and localism d. Democracy and localism e. Cohesion and mutuality within political systems f. Taking stock: localism and public value Chapter 6: Localism and System Design (pp. 98−111) a. Institutions, political systems and their design b. Principles for institutional and system design c. Design and evaluation framework for an effective localism d. Applying an outcomes framework at the local level: area assessment in the UK e. Taking stock: localism and system design Part III: Empirical and Comparative Perspectives Chapter 7: Two Contemporary Case Studies of Localism and Multi-level Governance (pp. 112−137) a. Rationale and methodology b. Introduction to, and broad comparison between, the two case study settings: India and the European Union c. The sub-national tier: comparing Kerala and England d. The local tier: comparing Kollam and Cornwall e. Conclusions: a basis for comparison? Chapter 8: Localism in the Global South: India, Kerala and Kollam (pp. 139−171) a. Introduction and overall approach b. Society and state: India’s distinctive ‘localist’ tradition c. Localism and the formation of the modern state of India d. State and democracy in India e. Centre/sub-national relations in India f. Towards decentralization and localism in India g. Kerala’s sub-nationalism and the Kerala model h. Democratic decentralization in Kerala and the ‘new’ Kerala model i. Critical perspectives on local self-government reform in India and Kerala j. Taking stock: localism on the Indian sub-continent Chapter 9: Localism in the Global North: EU, UK, England, Cornwall (pp.173−225) a. Introduction and overall approach – regime evolution b. The EU: subsidiarity, cohesion and multi-level governance 4 Localism and the Design of Political Systems – Publication Version November 2017 c. The UK and the EU: a semi-detached relationship? d. The UK and the evolving position of England e. Sub-national governance and localism in England: towards a new order? f. Cornwall as part of England, the UK and the EU: a land apart? g. Cornwall Council: painful birth of a new polity (2007–2009) h. Cornwall Council: hopeful but fraught transition (2009–2013) i. Cornwall Council: growing maturity and confidence (2013–2017) j. Taking stock: localism in the UK and Europe Part IV: Discussion, Implications and Conclusions Chapter 10: New Design for the Governance of Places and Communities? (pp. 228−259) a. Recapitulation: an outcomes framework for localism b. Comparing systems: applying the localism outcomes framework to the case studies c. Explaining the main findings from the two case studies and looking ahead to the future d. What is the wider significance of these findings? e. Implications for the design of political systems f. Some principles and proposals g. Suggestions for further research h. Taking final stock: localism and the design of political systems Annex 1: Primary interviews carried out in relation to Cornwall Council (2009– 2017) (pp. 260–261) Annex 2: Interview questionnaires used in the fieldwork interviews (pp.262–279) Annex 3: Ethics approval information (including draft consent form) (pp.280–288) Glossary and definitions (pp. 289−297) Bibliography (pp. 298−334) A – Academic and literary references B – Policy documentation (including interviews, media and organizational websites) Acknowledgements (p. 335) 5 Localism and the Design of Political Systems – Publication Version November 2017 LIST OF TABLES AND MAPS Figure 1: Map of Europe with EU countries highlighted (p.138) Figure 2: Outline map of India with the state of Kerala highlighted (p.138) Figure 3: Outline map of Kerala showing its 14 districts, including Kollam (p.172) Figure 4: Outline map of Great Britain with Cornwall highlighted (p. 226) Figure 5: Map of Cornwall showing Cornwall Council’s 19 Community Network Areas and the county’s main towns (p. 227) 6 Localism and the Design of Political Systems – Publication Version November 2017 LIST OF ABBREVIATIONS AND ACRONYMS WITH BRIEF EXPLANATIONS AD – Anno Domini ASEAN – Association of Southeast Asian Nations BBC – British Broadcasting Corporation BC – Before Christ BJP – Bharatiya Janata Party (Indian political party. Currently holds power in India) BL – The British Library BPT – British Political Tradition (see also glossary and definitions) BT – British Telecommunications CA – Combined Authority (formally constituted group of English local authorities