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Spaces for Change?
The Politics of Participation
in New Democratic Arenas
Andrea Cornwall and Vera Schattan P. Coelho
The challenge of building democratic polities where all can realize
their rights and claim their citizenship is one of the greatest of our
age. Reforms in governance have generated a profusion of new
spaces for citizen engagement. In some settings, older institutions with
legacies in colonial rule have been remodelled to suit contemporary
governance agendas; in others, constitutional and governance reforms
have given rise to entirely new structures. These hybrid ‘new demo-
cratic spaces’ (Cornwall and Coelho
) are intermediate, situated
as they are at the interface between the state and society; they are
also, in many respects, intermediary spaces, conduits for negotiation,
information and exchange. They may be provided and provided for by
the state, backed in some settings by legal or constitutional guarantees
and regarded by state actors as
their
space into which citizens and
their space into which citizens and their
their representatives are invited. Yet they may also be seen as spaces
conquered by civil society demands for inclusion.
1
Some are fl eeting,
one-off consultative events; others are regularized institutions with a
more durable presence on the governance landscape.
In contrast to analyses that situate such institutions within the
public sphere, such as Avritzer’s (
) powerful account of Brazil’s
participatory governance institutions, or within the ambit of the state,
as in Fung and Wright’s (
) ‘empowered participatory governance’,
we suggest that they constitute a distinct arena at the interface of
state and society: what we term here the ‘participatory sphere’. The
institutions of this sphere have a semi-autonomous existence, outside
and apart from the institutions of formal politics, bureaucracy and
everyday associational life, although they are often threaded through
with preoccupations and positions formed in them. As arenas in
which the boundaries of the technical and the political come to
be negotiated, they serve as an entirely different kind of interface
with policy processes than other avenues through which citizens
can articulate their demands – such as protest, petitioning, lobbying
and direct action – or indeed organize to satisfy their own needs
(Cornwall and Gaventa
; Goetz and Gaventa
). These are
spaces of contestation as well as collaboration, into which heteroge-
neous participants bring diverse interpretations of participation and
democracy and divergent agendas. As such, they are crucibles for a
new politics of public policy.
This book explores the contours of this new politics. It brings
together case studies that examine the democratic potential of a
diversity of participatory sphere institutions: hospital facility boards in
South Africa; a national-level deliberative process in Canada; partici-
patory policy councils and community groups in Brazil, India, Mexico
and Bangladesh; participatory budgeting in Argentina; NGO-created
participatory fora in Angola and Bangladesh; community fora in the
UK; and new intermediary spaces created by social movements in
South Africa. Contributors take up the promises offered by advocates
of participation – whether enhanced effi ciency and effectiveness
of public policy, ‘deeper’ democracy or a more engaged citizenry
(Mansbridge
; Fung and Wright
; Dryzek
; Gaventa
) – and explore them in a diversity of social, cultural and
political contexts.
Together, contributors examine the extent to which the expansion
of the participatory sphere serves to further the project of democ-
ratization, via the inclusion of diverse interests and the extension
of democratizing practices in the state and public sphere, and that
of development, via the enhanced effi cacy and equity of public
policies. A number of studies focus specifi cally on health, a sector
that combines a history of radical promises inspired by the
Alma Ata Declaration, exciting innovations such as the Brazilian
health councils and experiments in deliberation in health systems in
the global North, with systemic challenges that include entrenched
inequalities of knowledge and power. They are complemented by
cases that explore a range of other democratic and developmental
spaces, from participation in resource allocation and management to
neighbourhood-based associations and fora.
Departing from a literature characterized more by success stories
in contexts where progressive government is matched with strong,
organized civil society and institutional innovation, such as participa-
tory budgeting in Porto Alegre or participatory planning in Kerala
(Heller
; Fung and Wright
), the majority of the cases we
consider here are much more ‘ordinary’. And the tales our contribu-
tors tell – of ‘empty spaces’ (Mohanty), of absent representatives
and voices (Mohanty; Mahmud; Williams; von Lieres and Kahane;
von Lieres), of the play of politics within these arenas (Cornwall;
Rodgers) and of the multiplicity of claims to legitimacy levered
by civil society (Barnes; Castello, Gurza Lavalle and Houtzager;
Roque and Shankland) – attest to the complexities of inclusive,
participatory governance. We explore the extent to which Northern
debates on deliberative democracy and participatory governance
travel to contexts where post-authoritarian regimes, fractured and
chronically under-resourced state services and pervasive clientelism
leave in their wake fractious and distrustful relationships between
citizens and the state, alongside two Northern cases that illustrate
some of the challenges of inclusion that remain in progressive
established democracies.
The expansion of participatory arenas has, in some contexts,
facilitated the creation of new political actors and political sub-
jectivities (Baocchi
; Heller
; Avritzer
). Yet for all
the institutional innovation of recent years, there remains a gap
between the legal and technical apparatus that has been created to
institutionalize participation and the reality of the effective exclusion
of poorer and more marginalized citizens. It is with this gap, and the
challenges of inclusion, representation and voice that arise in seeking
to bridge it, that this book is primarily concerned. It is organized
in two sections to refl ect a central concern with, on the one hand,
substantive inclusion and, on the other, the broader democratizing
effects of the participatory sphere. That these are interdependent is
evident; accordingly, this introduction weaves together themes arising
from across the book as a whole.
In what follows, we seek to contextualize themes emerging from
the case studies presented in this book with regard to broader debates
on the politics of participatory governance. We begin by highlighting
some of the promises of participation, and consider some of the
complexities of realizing them in practice. We go on to draw on
the case studies presented in this book to explore what they have to
tell us about the multiple interfaces through which citizens engage
with the state and the new confi gurations of actors and practices
of participation that animate the participatory sphere, and what this
implies for democratization and development.
Participation, Democracy, Development
Shifting frames for development intervention have brought debates that
have absorbed generations of political philosophers to the forefront of
contemporary development policy.
2
From local ‘co-governance’ and
‘co-management’ institutions promoted by supra-national agencies and
institutionalized by national governments (Ackerman
; Manor
), to the explosion in the use of participatory and deliberative
mechanisms, from Citizens Juries to Participatory Poverty Assessments
(Fischer
; Chambers
), the last decade has been one in
which the ‘voices’ of the public, and especially of ‘the poor’, have
increasingly been sought.
A confl uence of development and democratization agendas
has brought citizen engagement in governance to centre stage.
De centralization policies promoted in the
s claimed to bring
government closer to ‘the people’ (Blair
; UNDP
).
Governance and sector reforms, instigated and promoted by lend-
ing agencies and bilateral donors, created a profusion of sites in
which citizens came to be enlisted in enhancing accountability and
state responsiveness (Crook and Sverisson
; Manor
; Goetz
and Jenkins
). A decade of experimentation with participa-
tory method ologies and efforts to ‘scale up’ participation within
development bureaucracies (Thompson
; Chambers
)
led to a late-
s turn to questions of participatory governance
(Gaventa
). At the same time, the ‘deliberative turn’ in debates
on democracy and the politics of public policy refl ects growing
interest in the potential of deliberative institutions and practices for
democratic renewal in the North (Bohman and Rehg
; Dryzek
; Hajer and Wagenaar
; Fung
), and democratization
of state–society relations in the South (Heller
; Avritzer
;
Coelho and Nobre
).
These distinct strands come together in the belief that involving
citizens more directly in processes of governance makes for better
citizens, better decisions and better government (Mansbridge
;
Cohen and Sabel
; Avritzer
; Gaventa
). Common to
all is a conviction that participatory fora that open up more effective
channels of communication and negotiation between the state and
citizens serve to enhance democracy, create new forms of citizenship
and improve the effectiveness and equity of public policy. Enabling
citizens to engage directly in local problem-solving activities and to
make their demands directly to state bodies is believed to improve
understanding, and contribute to improving the quality of defi nition
and implementation of public programmes and policies (Cunill
;
Cohen and Sabel
; Abers
; Fung
). These policies and
programmes are seen, in turn, as contributing to guaranteeing the
access of the poorest to social services, thus enhancing prospects for
economic and political inclusion, and for development (World Bank
; UNDP
).
A host of normative assumptions are embedded in accounts of the
benefi ts of participation, which tend to merge descriptive and pre-
scriptive elements without clearly defi ning the boundaries between
empirical reference and normative political discourse. Underlying
these assumptions is the belief that citizens are ready to participate
and share their political agendas with bureaucrats as long as they are
offered appropriate opportunities – and that bureaucrats are willing
to listen and respond. As the studies in this book demonstrate,
the gap between normative expectations and empirical realities
presents a number of challenges for the projects of democratization
and development. It becomes evident that the participation of the
poorer and more marginalized is far from straightforward, and that
a number of preconditions exist for entry into participatory institu-
tions. Much depends on
who
enters these spaces, on
whose
terms and
whose terms and whose
with
what
‘epistemic authority’ (Chandoke
what ‘epistemic authority’ (Chandoke what
).
Evelina Dagnino (
) highlights a ‘perverse confl uence’ between
two versions of participation in contemporary debates on governance.
On the one hand, participation is cast as a project constructed around
the extension of citizenship and the deepening of democracy. On
the other, participation has come to be associated with shrinking
state responsibilities and the progressive exemption of the state from
the role of guarantor of rights, making the market what Dagnino
has called a ‘surrogate arena of citizenship’ (
:
). In this logic,
citizens as ‘users’ become self-providers as well as consumers of
services (Cornwall and Gaventa
). The paradox, Dagnino observes,
is that
both
require an active, indeed proactive, civil society.
One of the themes that runs through this book is an insistence
on the need to unpack the category ‘civil society’, to examine
critically who comes to represent citizens in the participatory sphere
and the role that civil society organizations might play in enhancing
access and democratizing decision-making in this arena. Civil society
organizations are commonly believed to possess the democratizing
properties that are associated with the public sphere (Cohen and
Arato
; Acharya et al.
; Edwards
). Yet ‘civil society’ is
in effect a residual category, in which more progressive politicized
elements come to be confl ated with apolitical or positively reactionary
civic organizations that may have anti-democratic ideals and practices
(Dryzek
). After all, as Chandoke (
) reminds us, civil society
is only as democratizing as its practitioners.
Accounts of civil society’s virtues highlight the role such organiza-
tions can play in holding the state to account. Yet the growing part
civil society organizations have come to play as providers as well
as intermediaries not only blurs the boundaries of the ‘state’/‘civil
society’ binary, it also raises questions about their autonomy and
indeed accountability (Chandoke
; Tvedt
). Where civil
society actors are able to stimulate new social and political practices
that they then carry into the participatory and public spheres, they
can make a signifi cant contribution to inclusiveness and deliberation
(Avritzer
; Cohen and Arato
). Yet it is a leap of faith to
extend these positive effects to ‘civil society’ at large, as Acharya
et al. (
) point out. A key question, then, is which kinds of
civil society organizations enable inclusive participation, and what
are the conditions under which they come to fl ourish and gain
infl uence.
The reconfi guration of state–society relations that is taking place
with the introduction of the kinds of new democratic sites and
practices that are the focus for this book also calls for a view of
the state that goes beyond constructing it as a monolith. As Iris
Marion Young argues:
it is a misleading reifi cation to conceptualise government institutions
as forming a single, uniform, coherent governance system, ‘the state’.
In fact, at least in most societies in the world today with functioning
state institutions, these institutions interlock at different levels, sometimes
overlap in jurisdiction, and sometimes work independently or at cross
purposes. (
:
)
Indeed, state actors in the participatory sphere may share beliefs,
ideals, prejudices and social networks with social actors (Heller
);
and some of these actors are a far cry from the dull or intrusive
bureaucrat (du Gay
), even if others make an art form of
technocratic obstruction. It is, after all, the state that is often the
object of mobilization and that remains the guarantor of rights; and
state-provided participatory spaces, such as many of those analysed
here, not only provide venues for civil society engagement but can
actively stimulate the creation of new political collectivities (Baocchi
; Young
).
What this discussion underscores is the need to understand both
‘the state’ and ‘civil society’ as heterogenous and mutually constitu-
tive terrains of contestation (Houtzager
; Skocpol and Fiorina
; Chandoke
). This calls for a view of participation as ‘a
contingent outcome, produced as collective actors (civil society,
state and other) negotiate relations in a pre-existing terrain that
constrains and facilitates particular kinds of action’ (Acharya et al.
:
). Democratization comes with this to extend beyond the
introduction of standard packages associated with liberal democratic
reform programmes. As John Dryzek argues:
Democratization … is not the spread of liberal democracy to ever more
corners of the world, but rather extensions along any one of three di-
mensions … The fi rst is franchise, expansion of the number of people
capable of participating effectively in collective decision. The second is
scope, bringing more issues and areas of life potentially under democratic
control … The third is the authenticity of the control … : to be real
rather than symbolic, involving the effective participation of autonomous
and competent actors. (
:
)
Participatory sphere institutions potentially contribute along all
three of these dimensions, multiplying spaces in which growing
numbers of people come to take part in political life, giving rise
to new political subjectivities and opening up ever more areas of
decision-making to public engagement. It is, however, with the third
of Dryzek’s dimensions that this book is primarily concerned. And
it is in relation to the question of the authenticity and the quality
of citizen participation that our work intersects with vibrant debates
in political theory on issues of representation and deliberation, as we
go on to explore in more depth later in this chapter (Fraser
;
Young
; Mansbridge
; Dryzek
; Fung
).
Towards Substantive Participation
What does it take for marginalized and otherwise excluded actors
to participate meaningfully in institutionalized participatory fora and
for their participation to result in actual shifts in policy and practice?
Institutionalists have argued that the key to enhancing participation
is to be found in better institutional designs: in rules and decision-
making processes that encourage actors to participate (Immergut
; Fung
). Social movement theorists have argued that the
key lies in social mobilization that pushes for fairer distribution
of available resources (Tarrow
; Alvarez, Dagnino and Escobar
). The studies in this book point to a more complex set of
interactions between getting design principles right and stimulating
participation ‘from below’. If participatory sphere institutions are to
be genuinely inclusive and ‘have teeth’ – that is, if they are to be
more than therapeutic or rubber-stamping exercises (see Arnstein
) – a number of critical issues need to be addressed.
First, expanding democratic engagement calls for more than
invitations to participate (Cornwall
). For people to be able to
exercise their political agency, they need fi rst to recognize themselves
as citizens rather than see themselves as benefi ciaries or clients.
Acquiring the means to participate equally demands processes of
popular education and mobilization that can enhance the skills and
confi dence of marginalized and excluded groups, enabling them to
enter and engage in participatory arenas. The studies in this book by
von Lieres, Williams, von Lieres and Kahane, Mahmud, and Mohanty
point to the signifi cance of societal spaces beyond the participatory
arena in building the capacity of marginalized groups to participate
(see Fraser
; Kohn
). Yet participatory sphere institutions
are also spaces for
creating
citizenship, where through learning to
creating
citizenship, where through learning to creating
participate citizens cut their political teeth and acquire skills that can
be transferred to other spheres – whether those of formal politics
or neighbourhood action – as Roque and Shankland’s, Barnes’s, and
Cornwall’s chapters suggest.
Second, questions of inclusion imply questions of representation.
If these institutions are to represent ‘the community’, ‘users’, ‘civil
society’ or indeed ‘citizens’, on what basis do people enter them
– and what are their claims to legitimacy to speak for others? What
mechanisms, if any, exist to facilitate the representation of marginalized
groups, and what do these amount to in practice? And what else
might be needed to create the basis for broader-based representation?
Across our cases, there is a signifi cant contrast between settings in
which highly organized and articulate social movements participate
as collective actors as in Brazil and Argentina (Castello et al., Coelho;
Cornwall; Rodgers), and those like Bangladesh, India and South Africa
in which individuals take up places made available to them as an
extension of family responsibilities, or by virtue of their sex or race,
rather than the constituencies they represent (Mahmud; Mohanty;
Williams). These questions of representation draw attention to the
different kinds of politics and prospects for democracy that emerge
in and across different cultural and political contexts.
Third, simply putting structures of participation in place is not
enough to create viable political institutions. Much comes to depend
on the motivations of those who enter them, and what ‘participation’
means to them. Is participation promoted so that bureaucrats can
listen to people’s experiences and understand their concerns, so as
to make better policies? Or so that citizens come to play an active
part in crafting and monitoring policies? Or, indeed, so that these
publics can challenge bureaucrats to be more accountable? Our studies
demonstrate not only the polyvalence of the concept of participation
(Mahmud; von Lieres; Mohanty) but also the coexistence within any
single setting of plural – and competing – understandings of what
can be gained that are in constant negotiation (Cornwall; Rodgers;
Roque and Shankland).
Fourth, no one wants to just talk and talk and not see anything
change. What, then, does it take for participation to be
effective
as
effective as effective
well as inclusive (Warren
)? Coelho (
and here) suggests
that the conjunction of three factors is critical: involvement by a
wide spectrum of popular movements and civil associations, com-
mitted bureaucrats, and inclusive institutional designs that address
exclusionary practices and embedded bias. In contexts with highly
asymmetrical resource distribution among participants, there is a
very real danger of elite capture (Mahmud; Mohanty). Equally, the
path-dependency of policy choices can constrain deliberation to
issues of implementation, offering little real scope for rethinking
policies.
3
Certain institutional designs are, Fung (
) argues, more
or less inclined to promote the legitimacy, justice or effectiveness of
decisions taken in these spaces. These dimensions do not converge,
Fung points out: it is hard to privilege one without sacrifi cing
others. Where institutions are implanted without attention to design
features that help mediate confl ict, secure particular confi gurations
of roles and forms of representation, and address the tensions and
trade-offs between inclusiveness and effectiveness, it is easy enough
for ‘old ways’ and forms of exclusion and domination to persist in
‘new spaces’ (Cornwall
).
Lastly, what effects do participatory spheres have on citizenship
and on political engagement more generally? While some writers are
optimistic about their potential to stimulate further participation and
democratization from below (Baocchi
; Avritzer
), others
point to the ambivalent effects of institutionalized participation on
social and political energy and thus on further democratization
(Piven and Cloward
; Dryzek
; Taylor
). Negative
effects such as disillusionment and a gradual fi zzling out of energy
and commitment emerge most clearly in Barnes’s chapter. But
other chapters point to other, unanticipated, democratizing effects,
as institutions that began with a relatively restricted remit gave rise
to forms of engagement that spilled beyond their boundaries, or
where social actors seized opportunities to repoliticize these spaces
(Rodgers; Roque and Shankland). These cases drive home the point
that participation is a process over time, animated by actors with
their own social and political projects. Most of all, they emphasize
the importance of contextualizing participatory sphere institutions
with regard to other political institutions and situating them on the
social, cultural and historical landscapes of which they form part
(Heller
; Cornwall
).
In the sections that follow, we explore issues arising from these
points in more depth. We begin by considering what the studies in
this volume have to tell us about the micropolitics of participation in
institutionalized participatory arenas. We go on to address questions
of difference, and the issues of representation and the politics of
inclusion that arise. Finally, we turn to consider the democratizing
effects and dimensions of the participatory sphere, with a focus
both on engagement with the state and on substantive prospects for
democratizing democracy.
Spaces of Power: The Micropolitics of Participation
From the discursive framing that shapes what can be deliberated, to
the deployment of technical language and claims to authority that
reinstitutionalize existing cleavages in society, to the way the use
of labels such as ‘users’ or ‘community members’ circumscribes the
political agency of participants, power courses through every dimen-
sion of the participatory sphere. As ‘invited spaces’,
4
the institutions
of the participatory sphere are framed by those who create them,
and infused with power relations and cultures of interaction carried
into them from other spaces (Cornwall
). These are spaces of
power, in which forms of overt or tacit domination silence certain
actors or keep them from entering at all (Gaventa
). Yet these
are also spaces of possibility, in which power takes a more productive
and positive form: whether in enabling citizens to transgress positions
as passive recipients and assert their rights or in contestations over
‘governmentality’ (Foucault
).
Viewing participation as a contingent, contested process highlights
the micropolitics of encounters in participatory arenas. The studies in
this book situate this micropolitics in sites with very different histories
of state–citizen interaction, confi gurations of political institutions,
and political cultures. From post-confl ict Angola to New Labour’s
Britain, from rural Bangladesh to urban Brazil, the studies in this
volume range across contexts with distinctively different histories
and cultures. While persistent inequalities and forms of embedded
exclusion exist in all, their dimensions and dynamics differ, as do
notions of citizenship, and the degree and kinds of social mobilization
and state-supported efforts to redress systemic discrimination, whether
on the basis of gender, race, caste or class (Kabeer
).
Chaudhuri and Heller (
) argue that a critical shortcoming
of the debate on deepening democracy has been its assumption
that individuals are equally able to form associations and engage in
political activity. This, they argue, ignores fundamental differences in
power between social groups:
If this is problematic in any less-than-perfect democracy (and there are no
perfect democracies) it is especially problematic in developing democra-
cies where basic rights of association are circumscribed and distorted by
pervasive vertical dependencies (clientelistic relationships), routine forms
of social exclusion (e.g. the caste system, purdah), the unevenness and
at times complete failure of public legality, and the persistence of pre-
democratic forms of authority. (
:
)
Williams’s account of health facilities boards in South Africa reveals
the tenacious hold of older practices of paternalism in these new
spaces, reproducing patterns of interaction inherited from the racist
past. He argues that the very culture and design of South African
health facilities boards serve to perpetuate the dominance of whites,
and sustain existing hierarchies of power and privilege. Internalization
of norms valuing certain knowledges and forms of discourse can
lead to people silencing themselves. Williams quotes a young Black
businesswoman: ‘Black people do not participate because they feel
inferior to white people. Participation requires special knowledge
and Black people do not have the necessary knowledge to engage
white people on matters such as health.’
Simply creating spaces does little to rid them of the dispositions
participants may bring into them (see Bourdieu
). Professionals
valued for their expertise in one context may be unwilling to
countenance the validity or value of alternative knowledges and
practices in another; and citizens who have been on the receiv-
ing end of paternalism or prejudice in everyday encounters with
state institutions may bring these expectations with them into the
participatory sphere. Mahmud’s study of Bangladeshi Community
Groups (CGs), which were created as part of health sector reforms
as ways of engaging ‘community participation’ in the governance
of health services, reveals some of these dynamics. She shows how
existing social cleavages are mapped onto participatory institutions,
reducing poorer men and women to silence. Mahmud cites a landless
woman CG member, who commented: ‘I am poor and ignorant,
what will I say? Those who are more knowledgeable speak more.’
Yet she also reveals a reversal of these power dynamics when it
comes to other forms of engagement, in which those silenced in
participatory spaces regain their agency and voice. She cites a female
grassroots Community Group member: ‘the educated and well-off
members can debate or discuss a point in an organized way but
when it comes to protesting they are usually silent and try to stay
out of the scene.’
Mohanty’s chapter highlights precisely this kind of contrast in the
context of rural India: between ‘empty spaces’ of local governance
and watershed management in which women’s participation is
marginal or absent, and women-only health groups in which they
are active. She shows how available opportunities to participate are
circumscribed by essentialized stereotypes of women’s concerns and
capabilities, leaving little scope for women to participate as
citizens
rather than as wards or mothers. In a context where women have
scant opportunity to learn the skills needed to engage effectively in
the participatory sphere, and where social sanctions work to ostracize
those who do assert themselves, there are potent barriers to inclusion.
Some women do manage to break with normative expectations and
begin to claim their rights to voice. But this may invite other forms
of exclusion. She cites Nirmala, a women’s health worker:
Few women here have the awareness about their rights. Some of us who
are educated and are aware about our rights, we are seen as a ‘nuisance’
and a constant threat within the village. Hence, while women who are
silent and docile will be called to meetings, we will be deliberately kept
outside.
For people living in poverty, subject to discrimination and exclusion
from mainstream society, the experience of entering a participatory
space can be extremely intimidating. How they talk and what they
talk about may be perceived by professionals as scarcely coherent
or relevant; their participation may be viewed by the powerful as
chaotic, disruptive and unproductive. Iris Marion Young argues that
‘norms of deliberation are culturally specifi c and often operate as
forms of power that silence or devalue the speech of some people’
(
:
). A potent challenge for substantive inclusion is, then,
overcoming the embedded inequalities in status, technical knowledge
and power that persistently undermine what Chandoke terms the
‘linguistic and epistemic authority’ (
:
) of subaltern actors.
Bridging these inequalities through mediation, training or coaching
offers the promise of enhancing the possibilities of deliberation. But
there are also risks. As we go on to suggest, strategies to amplify
the voice of marginalized groups may complicate efforts to foster
deliberation. Barnes describes, for example, how young people in the
UK were coached by youth workers to present ‘acceptable’ versions
of concerns that might have been devalued if they were expressed
in young peoples’ own language. Strategic interpretation on the part
of well-meaning intermediaries may, as Chandoke (
) argues,
overshadow authentic communication and leave the subaltern no less
silenced than before. Mobilization may bring marginalized actors into
participatory spaces, but not necessarily equip them with the skills
to communicate effectively with the others that they meet there.
And activists with experience in social movements, political parties
or unions may bring with them more confrontational and directly
partisan styles of politics that depart from the consensus-seeking
and ‘rational’ modes of argumentation of deliberative democracy, as
Cornwall’s Brazilian case study shows.
Yet these very power dynamics can also imbue participatory
spaces with their dynamism. Spaces for participation may be created
with one purpose in mind, but can come to be used by social
actors to renegotiate their boundaries. Discourses of participation
are, after all, not a singular, coherent, set of ideas or prescriptions,
but confi gurations of strategies and practices that are played out on
constantly shifting ground (Foucault
). In Mahmud’s account of
the activist NGO Nijera Kori’s work with health watch committees
in Bangladesh, the transformation of management spaces into
political
spaces redefi ned their possibilities. Roque and Shankland’s account
of the ‘mutation’ of donor-introduced institutions in Angola reveals
how participants’ other projects refashioned and reconfi gured their
scope, generating new leadership and democratizing effects. Rodgers’s
chapter provides a particularly rich account of these dynamics. He
shows how the Participatory Budgeting process in Buenos Aires
overlaid existing sociopolitical practices and relations to provide ‘spaces
of autonomy’ within the process, which allowed the ‘subverting of
the subversion’ of politicization. These studies reveal the vitality of
the participatory sphere and its transformatory potential; they also
underscore the point that much depends on
who
comes to participate
within its institutions, to which we now turn.
Questions of Representation
Distinctive to the participatory sphere are new, plural and marked ly
different forms of representation and accountability from those
conventionally associated with the institutions of liberal democracy
(Houtzager et al.
). These encode different logics and norms of
democracy, construing different understandings about who
ought to
participate. ‘Civil society’ comes to be represented in a variety of
ways: by individuals speaking about and for themselves, by nominated
representatives from non-governmental organizations, by elected
representatives from neighbourhood associations, by members of col-
lective actors such as unions or movements, and other variants besides.
There is evidence of tension resulting from the different sources of
legitimacy that underpin claims to speak and act as representatives;
inclusionary aspirations or objectives may confl ict with claims based on
the legitimacy afforded by evidence of committed action on the part
of marginalized groups (chapters by Barnes, and Castello et al.).
The extensive literature on representation offers a range of per-
spectives on how best to ensure the inclusion of less organized
and vocal groups. There is a current that argues for a more direct
democratic approach: participatory sphere institutions should be
open to everyone who wants to participate. Some point out the
risk self-selection poses for favouring those with most resources, and
propose methods of random selection that seek to mirror the makeup
of the population (Fishkin and Luskin
). Others focus less on
the methods of selection and more on incentives, concentrating the
focus of fora on questions of particular interest to poorer citizens
(Fung
). This current is counterposed to arguments that the very
process of creating a basis for representation for marginalized social
groups is only possible if there is a parallel process of mobilization
and defi nition of collective identities and agendas.
Across our cases, there is a diversity of forms of representation that
speak to both these perspectives. Mahmud describes how in Com-
munity Groups managing village-level health services in Bangladesh
individuals speaking as ‘community representatives’ are generally elites
– professionals, teachers, wealthy farmers and their wives – appointed
by the chairman. In Williams’s account of South African health
facilities boards (HFBs), those who speak for patients’ interests are
more likely to be working for community health than representing
particular social groups. Castello et al.’s chapter offers a different
perspective, from a context that is markedly different: Brazil’s largest
city, São Paulo, where ‘citizen participation’ generally refers to the
engagement of registered civil society organizations, of which there
are many hundreds. Their fi ndings shed further light on questions
of representation in the participatory sphere. Less than
per cent
of the organizations surveyed represented themselves as descriptive
representatives; and a similarly small number saw themselves in classic
electoral terms. For almost half, the vast majority, representation was
about
mediation
. Such organizations saw themselves as about advocat-
ing for the rights of others, and providing a bridge between poorly
or under-represented segments of the population and the state.
The experiences brought together in this book point to trade-offs
that need to be taken into account when examining the capacity
of the participatory sphere to promote the inclusion of sectors of
society that have traditionally been marginalized. To what extent, for
example, would a preference for forums where the public come to be
represented by methods of random selection open the doors of these
institutions for those who may otherwise fi nd it diffi cult to enter (see
Fishkin and Luskin
)? And to what extent would this reproduce
the highly asymmetrical distribution of social, symbolic, political and
economic resources that exist in society at large, unmediated by
practices of organizing that can lend more marginalized actors the
skills to participate effectively? It is one thing for citizens to enter
participatory fora to inform themselves and generate opinions from
reasoned discussion, and another again for these discussions to consist
of debates among politicized collective actors with strongly polarized
positions. The challenge associated with the fi rst situation is how to
foment processes in which poorer and more marginalized citizens
can fi nd their voice; that of the second is the risk of contributing to
the radicalization and amplifi cation of the power of veto of groups
who feel themselves to be on the margins politically, which can
substantially restrict the democratic potential of these arenas.
Deliberative democrats would argue that providing participants
with suffi cient information and access to expertise, and seeking to
encourage them to form positions during discussions rather than to
bring pre-prepared positions and agendas with them, can instil new
norms of conduct (Fung
). Good facilitation can play a hugely
important role. Techniques that are explicitly oriented to amplifying
the voices of the least vocal enhance the possibilities of deliberation,
allowing positions to be openly debated rather than defensively
asserted. And the introduction of innovative interactive practices can
begin to change the culture of interaction in the participatory sphere,
countering the reproduction of old hierarchies and exclusions, and
enabling a greater diversity of voices to be heard.
Yet, at the same time, it is evident that
some
actors inevitably
some actors inevitably some
arrive at the table with ideas, impressions and knowledge that no
amount of facilitation or deliberation can budge; to expect any less
is to depoliticize profoundly the process of deliberation, as well as
to shunt out of the frame preferences, beliefs and alliances that are
by their very nature political. Those who have some resources – for
example, links with the party political system or powerful patrons
– stand better placed to expand their chances of access to these fora
to advance their own agendas. Affi liation to other societally produced
means of organizing collective interests, whether mass-based popular
movements or formal political parties, are never simply left at the
door when people come to deliberate, as Cornwall’s, Rodgers’s, and
Barnes’s studies show. Understanding the politics of these spaces
requires closer attention to political networks that span the state,
participatory and public spheres, and to the implications of the
articulations they make possible.
Von Lieres and Kahane’s study of a national-level deliberative
process in Canada raises a further question: to what extent are the
rules of the game adopted to facilitate inclusive deliberation cultural
artefacts – and how do they implicitly exclude other culturally defi ned
ways of thinking about representation? The Romanow Commis-
sion’s review of Canada’s healthcare system failed, they contend, to
take seriously enough how marginalization may be perpetuated in
deliberative spaces. By enlisting citizens as individuals, the dialogue
failed to give Aboriginal people suffi cient opportunity for voice,
precisely because the individualistic premisses of the method used
clashed with indigenous forms of group-based representation that
works through affi liation. Their analysis highlights the signifi cance of
responsiveness to culturally located forms of organization, representa-
tion and deliberation, as well as the importance of the creation of
spaces for what they call ‘affi liated’ marginalized citizens.
Jane Mansbridge suggests that in ‘communicative settings of
distrust, uncrystallised interests and historically denigrated status’ (
:
), descriptive representation – the representation of a social group
by those from that social group who speak
as
,
as well as
for
, that
group – is necessary if substantive attention is to be given to the
issues that affect this group. It is precisely this kind of setting that
Williams’s account addresses, and he highlights a series of factors that
conspire to exclude black participants from being able to engage in
a ‘politics of presence’: a lack of associations that can put forward
black interests, a mismatch between mechanisms for enlistment and
forms of communication that would reach black citizens, historical
domination of similar institutions by middle-class whites – often
of the do-gooder variety, whose concern for ‘poor black people’
eclipses black citizens’ capacity to represent their own interests and
needs – and internalized disprivilege, with entailments in terms of
self-confi dence and capacity to associate and voice demands. As
Phillips (
) argues, a ‘politics of presence’ offers both the symbolic
value of visibility and the possibility of more vigorous advocacy of
the interests of otherwise excluded groups. In this setting, Williams
contends, it is precisely this that is needed.
In a critique of Habermas’s (
) notion of the public sphere,
Fraser argues that marginalized groups may fi nd greater opportunities
for exercising voice through creating their
own
spaces, which she terms
own spaces, which she terms own
‘subaltern counterpublics’. She suggests that these spaces have ‘a dual
character. On the one hand, they function as spaces of withdrawal
and regroupment; on the other hand, they also function as bases
and training groups for agitational activities directed toward wider
publics’ (
:
). Mansbridge (
) highlights another dimen-
sion of such spaces: as ‘laboratories of self-interest’ they can enable
historically marginalized groups to build positions, construct a politics
of engagement and gain greater legitimacy to voice demands within
participatory sphere institutions. Such spaces can come to serve a
politics of transformation by giving previously excluded groups the
time and opportunity to construct their political preferences and
express their concerns for themselves. They can also provide an arena
for making demands and concerns legible to the state.
Mobilization creates not only a shared language but also oppor-
tunities for political apprenticeship and the conditions under which
new leaders can emerge. In many of our cases it is activist NGOs
that have taken the lead in creating these spaces. But, as Mohanty,
Barnes and Cornwall emphasize, the state has a crucial role to play
in redressing societal discrimination and actively supporting inclusion
of marginalized groups in political arenas of all kinds (Young
).
As Heller (
) argues, closer attention needs to be paid to synergies
between social movements and state-supported political projects in
fostering the substantive participation of subaltern actors.
Engaging the State
Greater attention has been given in work on participatory sphere
institutions to social actors than to the state actors whose committed
involvement is so decisive for their success (Abers
; Fox
;
Heller
). Mahmud’s case study of citizen mobilization in the
absence of engaged state actors shows critical limitations to achieving
changes in health delivery if those who plan and deliver services are
not part of the discussion, and the signifi cance of recognition and
institutional support by the state for the viability of participatory
institutions. Coelho highlights the signifi cance of public offi cials’
commitment as a co-factor in producing successful and inclusive
participatory fora. Barnes details what such actors contribute to
making participation meaningful. But surprisingly little is known
about what drives these actors to defend social participation as a
political project. What is it that motivates state offi cials to participate
and to follow through decisions arrived at in these spaces? What
makes bureaucrats amenable to what can end up being long and
convoluted deliberative processes, rather than resorting to quicker
and more authoritarian decision-making processes? What incentives
motivate them to invest in creating a more enabling environment and
act in the interests of poorer and more marginalized citizens? And
what do
they
get out of participating in the participatory sphere?
The commitment of politicians and bureaucrats to participatory
governance needs to be analysed against a backdrop of a complex
conjunction of variables. These include the values and party political
affi liations of these actors, attempts to infl uence and gain information
about public opinion, and the structure of opportunities defi ned by
the political system (Skocpol and Fiorina
). Where preferences
are unstable, it may be expedient for politicians to seek means
of securing opportunities to infl uence as well as respond to the
concerns of the electorate. Participatory sphere institutions may offer
such an opportunity if they are well grounded in relationships with
broader constituencies and communities; it may well be in politicians’
interests to seek to enhance their viability (Heller
; Mansbridge
). As such, they form one way of discovering what infl uences
electoral preferences – alongside instruments such as opinion polls
or focus groups.
Yet an ostensible commitment to participatory governance can in
itself also pay political dividends. Politicians and senior bureaucrats
can adopt the mantle of participation to give themselves distinctive
public identities as champions for the cause of open and accountable
government. In Brazil, for example, claims to be promoting popular
participation appear on many a municipal government logo, and have
been the leftist Workers’ Party’s badge of respectability as well as,
arguably, a factor in their electoral success in the past. Politicians may
seek new allies in participatory arenas, whether against other politi-
cians or to control the bureaucracy; in turn, participatory bureaucrats
may seek similar kinds of alliances, whether against elitist politicians
and bureaucrats or to gain support and legitimacy. Participation as a
political project can be seen, then, as a strategy that seeks to cultivate
allies, strengthen networks and gain votes.
‘Champions of change’ within bureaucracies play a crucial role
in creating and resourcing spaces for change, and as such become
allies for social movements and civil society (Fox
). Indeed, state
support and recognition are needed if these spaces are to function at
all, as Mahmud points out. Infrastructural support, funding for public
events, and for training and transport to carry out consultations or
inspect facilities are tangible measures of commitment; they are also
essential for the very viability of these institutions. But there are other
dimensions to constructive state engagement. As Barnes suggests, this
may be as much about redressing disciplinary tendencies, valuing
diverse forms of dialogue and expression, and modifying the offi cial
norms and rules that often come to dominate participatory sphere
institutions as about offering citizens opportunities to participate.
The personal and political commitment of state offi cials to the
participatory project not only makes this support and engagement
possible, it also contributes to their willingness and capacity to
be responsive. Cornwall shows how a complex mesh of ideology,
party-political affi liations and personal and professional biases appear
in Brazilian bureaucrats’ and health workers’ accounts of their role
in a municipal health council. She argues that to see these spaces
purely in terms of their citizen participants is to miss an important
dimension of their democratizing effects.
The politics of inclusion by the state invites further complexities.
Von Lieres argues, for South Africa, that in a political context that
features prevailing expectations of the non-bindingness of public
deliberation, a history of distrust and manipulation, a lack of viable
social mobilization to articulate demands, and residual authoritarian
and paternalist tendencies in the conduct of state offi cials, participa-
tory arenas may simply reinforce relations of power patterned by
experiences in other institutional spaces, rather than create viable
arenas for democratization. It may well be that it is in these other
spaces – such as those of oppositional social movements and popular
protest – that those who are silent fi nd their political agency, develop
their skills and nourish their passion for engagement (see Mouffe
). Yet in bridging these arenas and those of the participatory
sphere, there may be much at stake. Dryzek (
) argues that the
price of inclusion may be high for groups whose agendas diverge
so signifi cantly from state priorities that entry risks co-option and
demoralization. For some groups, and for some issues, investment
in engagement with the state may fail to pay off as energies are
diverted into backwaters that detract from larger political struggles
(Taylor
). Barnes’s analysis of the transformation of an institution
initiated by citizens in the UK into a government-sponsored forum
demonstrates one of the most evident consequences: a loss of social
energy as seeping bureaucratization kills off spontaneity and creativity,
leaving such an institution a pale shell of its former self.
Von Lieres’s account of the South African Treatment Action
Campaign (TAC) shows how engagement at multiple interfaces
with the state – from the courts and the streets to the clinic – may
offer greater prospects for extending the boundaries of the political
(Melucci
). It is, she argues, in their capacity to
intermediate
,
to work across arenas with a politics of identifi cation that brings
together a diverse spectrum of interest groups, that their effi cacy
lies. As the TAC case shows, strategic participation may come to
depend on the exercise of agency outside the participatory arena,
to lever pressure for change (Cortez
). Barnes’s account high-
lights the signifi cance of the construction and mobilization of an
‘oppositional consciousness’ as a means of animating participation
(see Mouffe
). But, as she points out, this in itself poses new
challenges for state actors, including the need for skills for creative
confl ict management to work constructively with oppositional
positions without dousing their passion, and for acknowledging a
plurality of discursive styles, rather than trying to manage voices
into ‘acceptable’ versions. Intermediation is required
within
as well
as across sites for engagement if participation is to produce better
mutual understanding between the diversity of actors within the
participatory sphere.
Conclusion
The normative expectations of deliberative and participatory democ-
racy fi nd weak support in the fi ndings of the studies of everyday
experiences of participatory governance in this book. But, despite
considerable shortcomings, the cases presented here give some cause
for optimism. Their very ordinariness tells other stories: of incremental
change, of a growing sense of entitlement to participate, of slow but
real shifts in political agency. They reveal glimpses of how open-
ing up previously inaccessible decision-making processes to public
engagement can stimulate the creation of new political subjects as
well as new subjectivities and, with it, deepen democracy along all
three of Dryzek’s axes.
What does it take for participation in the participatory sphere
to offer real prospects for change in the status quo for historically
marginalized social groups? Coelho shows here how it is the
conjunction
of enabling policies and legal frameworks, committed and responsive
bureaucrats, well-coordinated, articulate social actors and inclusive in-
stitutional designs that produces greater diversity among representatives,
thus expanding access if not the infl uence of historically marginalized
groups. Yet these co-factors do not add up to a one-size-fi ts-all recipe.
Context matters. In many of the cases in this book, a number of these
factors are striking in their absence. In contexts such as Bangladesh
and Angola, ineffective, under-resourced and corrupt state structures
fracture the possibilities for responsiveness. In contexts like the UK,
India, South Africa and Brazil where the state is relatively strong, a fear
of letting go of control, high levels of bureaucratization and embedded
aspects of political culture provide potent obstacles to the participation
of traditionally excluded citizens.
These contrasts urge that more attention be paid to the contingen-
cies of political culture. They underline the need for any analysis of
participation to be set within the histories of state–society relations
that have shaped the confi gurations and contestations of the present.
Political histories and cultures – of struggle as of subjugation, of
authoritarian rule as of political apathy – may embed dispositions in
state and societal actors that are carried into spaces for participation.
These may make alliances with state actors or forms of collaboration
diffi cult to realize, especially for groups whose right to participate at
all has been persistently denied in the past. Changing political culture
calls for changes ‘on both sides of the equation’ (Gaventa
).
Gaventa’s equation highlights the mutually constitutive relationship
between state responsiveness and citizen mobilization. Contextual
factors modify the possibilities of this relationship. Where state capacity
is attenuated by under-resourcing, corruption or plain ineffectiveness,
citizens may mobilize to provide for themselves; where cultures of
paternalism, patrimonialism or authoritarianism persist, some citizens
may gear themselves up for a fi ght but others may never enter the
fray. What a number of the cases in this book show is that in such
contexts, the introduction of new political practices, new spaces for
the articulation of concerns and interests, and new opportunities
for political apprenticeship can begin a process of change that may
have broader ripple effects. They point to shifts that have begun to
reconfi gure democratic engagement.
The routinization of discussion about public policies in the partici-
patory sphere has successfully served to broaden debate beyond more
closed technical and political spaces, as Coelho, von Lieres and Kahane,
Roque and Shankland, Barnes, and Rodgers show. Certain conditions
amplify possibilities for change: mobilized collective actors (Castello et
al.; von Lieres; Rodgers; Cornwall); state actors interested in building
longer-term alliances with civil society (Coelho; Barnes; Cornwall);
institutional design characteristics that contribute to reducing asym-
metric distribution of resources among participants (Coelho; von
Lieres and Kahane); and opportunities to infl uence resource allocation
as well as the shape of public policies (Rodgers; Barnes). Our cases
also show that other, more contingent, factors can alter the balance of
power. These may be unintended consequences, such as the ‘mutations’
described by Roque and Shankland or the processes of politicization
that accompany resource negotiations analysed by Rodgers, whose net
effects are ‘unexpected democratization’. Or they may be the subtle
shifts that new discourses of rights, social justice and citizenship create
as they circulate through networks that support different social actors
and expand their interpretive and political horizons.
Participatory sphere institutions can become ‘schools for citizen-
ship’ – in the words of a Brazilian activist cited by Cornwall – in
which those who participate learn new meanings and practices of
citizenship by working together. The sheer diversity of actors and
positions within this sphere offer opportunities for developing an
‘expanded understanding’ (Arendt
) that allows people to see
beyond their own immediate problems or professional biases. As
Rodgers, Barnes and Cornwall observe, participants in these spaces
bring commitment to them and talk of getting an enormous amount
of personal fulfi lment out of their engagement. Interactions in this
sphere can help change dispositions among bureaucrats as well as
citizens, instilling greater respect, and enhancing their propensity
to listen and commitment to respond. Yet much depends on the
openness and capacity of the state. Where entrenched inequalities and
the postures and practices of state offi cials mute marginal voices, and
where little willingness or capacity exists to redress these inequali-
ties and address the specifi c concerns of these groups, other spaces
outside these arenas become especially critical: as sites both in which
to gain confi dence and consolidate positions and from which to act
on other parts of the state through other forms of political action,
including strategic non-participation (Cortez
).
Our studies show that pervasive inequalities in power and knowl-
edge and embedded political cultures pose considerable challenges for
creating inclusive deliberative fora. They suggest that even in cases
where there is considerable political will to ensure the viability of
these institutions, inequalities of power and knowledge and embedded
technocracy affect their democratizing prospects. What do they tell us
about how these inequalities can be addressed and how marginalized
groups can become more meaningfully involved? The fi rst step is
to guarantee a place at the table for such groups, through rules of
engagement as well as of selection that seek to broaden participation
beyond established interest groups. This, in turn, requires processes
that can build the capabilities of more marginalized actors to use
their voices and
that extend capacity building efforts to state offi cials,
as much to unlearn attitudes as to acquire the capacity to listen to
citizens and recognize their rights.
The challenge for expanding democracy through the participatory
sphere may be less the extent to which democratic institutions
can bring about change than
which
changes in
whom
and in
whose
interests. An ever-present dilemma is how to insulate these spaces
from capture by non-democratic elements, including administrations
that simply use them for therapeutic or rubber-stamping purposes
(Arnstein
). Another is how to guarantee their political effi cacy
and viability, and address some of the very real tensions that arise
between short-term and long-term solutions, between inclusiveness
and effectiveness, between struggle and negotiation. The very newness
of many of these institutions, the weakness of their institutional
designs and the limited purposes for which some of them were
originally created have tended to create fragile connections, if any,
with the formal architecture of governance. This creates a number
of problems, including the diffi culty of ensuring the democratic
legitimacy of decisions made in fora that bypass electoral and parlia-
mentary mechanisms of representation (Dryzek
; de Vita
).
Ultimately, the extent that the participatory sphere is able to promote
legitimate representation and distributional justice may depend not
merely on how each space within it performs, but on relationships
with other institutions within the public sphere and the state.
Amplifying the democratic potential and enhancing the democratic
legitimacy of the participatory sphere, the cases presented here suggest,
need to take place on three fronts: catalysing and supporting processes
of social mobilization through which marginalized groups can nurture
new leaders, enhance their political agency and seek representation
in these arenas as well as effi cacy outside them; instituting measures
to address exclusionary elements within the institutional structure
of the participatory sphere, from rules of representation to strategies
that foster more inclusive deliberation, such as the use of facilitation;
and articulating participatory sphere institutions more effectively with
other governance institutions, providing them with resources as well
as with political ‘teeth’. It is with addressing these challenges – for
theory, as well as for practice – that future directions for participatory
governance lie.
Notes
We would like to thank the ‘Spaces for Change’ working group of the
Development Research Centre on Citizenship, Participation and Account-
ability, and John Gaventa, DRC Director, for all their contributions to the
ideas presented in this chapter. Our analysis benefi ted from the comments
of John Gaventa, Peter Houtzager, David Kahane, Ranjita Mohanty and
Ian Scoones, to whom we are very grateful.
. We are grateful to Marcus Melo for this point.
. The genealogy of writing on participatory democracy can be traced back
to Aristotle, and has its more recent roots in the work of Pateman (
)
and MacPherson (
).
. Indeed, as Dryzek points out, public policy is not indeterminate and there
are ‘certain imperatives that all states simply must meet’ (
:
).
. The term ‘invited spaces’ originates in joint work with Karen Brock and
John Gaventa (Brock, Cornwall and Gaventa
; Cornwall
; Gaventa
).
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