11.S946 – Institutional Design and Inclusive Urban Governance MIT-DUSP / Spring 2012

Tue & Thu 2:30 – 4:00 pm, Rm 9-450B Visiting Professor Peter P. Houtzager Office Hours: Tuesday 11:00 – 12:00, Office: 9-637

& by appointment Email: p.houtzager@ids.ac.uk There are no blueprints for institutions that foster inclusive governance but it is, this seminar argues, possible to design processes that are more likely to produce such institutions, and maintain them over the medium-term. The seminar examines a wide range of initiatives in developing and developed countries that have sought to bring government agencies and civil society associations, service providers, and other actors together to negotiate public policy, strengthen accountability, or co-manage public initiatives. It looks closely at institutional theory to better understand the formation and transformation of governance institutions, and to explore how political support for specialized institutions of inclusion is constructed among strategic stakeholders. Cases illustrate the long arc of fostering more inclusive governance, and how different institutions are implicated in the iterative processes of planning, policy-making, and implementation. The seminar will further explore how informal social relations permeate formal organizations of the state and civil society, and when these relations enhance governance and are developmentally positive. Students are asked to address how the performance of institutions such as city budgeting, transportation planning, right to information, oversight of conditional cash transfers and others, is influenced by the broader institutional architecture of urban (and national) governance, and by local ecologies of actors such as professional associations, advocacy NGOs, associations representing urban poor, clientelist political groupings and others. Students are also expected to strategies to counter elite capture, political clientelism, or drift towards exclusion. Participation in the seminar is open to all graduate students. Requirements: This class is a seminar and the most important requirement is close and thoughtful reading of the materials each week and active participation in class (30%). Student will submit a succinct memo on each week’s readings Monday night. In no more than 1,000 words setout what you found the most interesting, puzzling, or infuriating about the readings and why. Please post your memos the evening before class, they will help guide our discussions. Groups of 2-3 students will also write up and present a Case Note (15 minutes, 30%). The Note should be 3-4 pages and provide a concise (i) summary of the case, (ii) analysis of author’s implicit and explicit assumptions, and (iii) reflection on what lessons we should take away. In the final Policy Paper (40%) students will design a strategy to enhance one or more dimensions of inclusive governance in a policy paper of no more than 25 pages (double spaced). The paper should identify the issue/problem that will be addressed, the institutional arrangement proposed, and a strategy for delivering this arrangement, taking into account potential allies and opponents in the public and private sectors, and the different phases of the policy process. Books: Graham Smith. 2009. Democratic Innovations: Designing Institutions for Citizen Participation-Theories of Institutional Design (Cambridge UP).

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Course Schedule & Readings I. Public Action: State, Government, or Governance?

02/07

Michael Mann, The Autonomous Power of the State: Its Origins, Mechanisms, and Results. In John A. Hall, ed, States in History (Blackwell, 1986). Pp. 109-136.

Peter Evans. Government Action, Social Capital and Development: Reviewing the Evidence on Synergy, World Development 24:6 (1996), 1119-1132. Recommended Peter Evans. The State as Problem and Solution: Predation, Embedded Autonomy, and Structural Change. In S Haggard and RR Kaufman, eds., The Politics of Economic Adjustment (1992). 139-181

Joel S. Migdal. State in Society: Studying How States and Societies Transform and Constitute One Another (Cambridge UP, 2001).

02/09

Judith Tendler (1997). “Preventive Health: The Case of the Unskilled Meritocracy.” In: Good Government in the Tropics (The Johns Hopkins University Press): Ch.2 (Pp. 21-45)

Jon Pierre. "Comparative Urban Governance: Uncovering Complex Causalities." Urban Affairs Review 40 (2005): 446-462.

II. Choice, Voice, and Going Local

02/14

Donald F. Kettl. The Transformation of Governance. (Johns Hopkins UP, 2002). Preface & Ch.6-7 (ix-xii, 118-172)

World Bank. 2004. World Development Report 2004: Making Services Work for Poor People. (Washington, DC: World Bank): Overview, Pp. 1-18

Patrick Heller. Moving the State: The Politics of Democratic Decentralization in Kerala, South Africa, and Porto Alegre, Politics Society 29 (2001), 131-163.

Recommended

Merilee S. Grindle (2004). “Good Enough Governance: Poverty Reduction and Reform in Developing Countries.” Governance (17, No. 4, October): 525-548. 02/16

Merilee Grindle. 2007. Going Local: Decentralization, Democratization, and the Promise of Good Governance (Princeton UP): Ch.1

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Steven Friedman & Caroline Kihato. South Africa’s Double Reform: Decentralization and the Transition from Apartheid. In P Oxhorn, JS Tulchin, and AD Selee, eds., Decentralization, Democratic Governance, and Civil Society in Comparative Perspective (Woodrow Wilson Center Press, 2004). Pp. 141-189.

02/21 No Class III. Why Institutions Matter & How They Change

02/23

James G. March and Johan P. Olsen. 2006. Elaborating the “New Institutionalism.” In R. A. W. Rhodes, Sarah A. Binder, and Bert Rockman, eds,. The Oxford Handbook of Political Institutions (Oxford University Press): Ch.1, Pp.3-22

Dennis Galvan. 2004. The State Must be Our Master of Fire: How Peasants Craft Culturally Sustainable Development in Senegal. (University of California Press). Ch.1 “Buying Rope is a Young Man’s Job: Transformation of Culture and Institutions.”

Ato Kwamena Onoma. 2009. The Contradictory Potential of Institutions: The Rise and Decline of Land Documentation in Kenya. In James Mahoney and Kathleen Thelen, eds, Explaining Institutional Change: Ambiguity, Agency, and Power. (Cambridge UP): Ch.3, Pp. 63-93

Recommended

Terry M. Moe. Power and Political Institutions. In Ian Shapiro, Stephen Skowronek, and Daniel Galvin. Rethinking Political Institutions: The Art of the State (New York UP, 2006): Ch.2, Pp. 32-71

Walter W. Powell & Paul J. DiMaggio. Introduction. In WW Powell and PJ DiMaggio, eds., The New Institutionalism in Organizational Analysis (Chicago UP, 1991). pp. 1-38.

Claus Offe. Political Institutions and Social Power. In Ian Shapiro, Stephen Skowronek, and Daniel Galvin. Rethinking Political Institutions: The Art of the State (New York UP, 2006): Ch.1. , Pp. 9-31

James Mahoney, “Path Dependence in Historical Sociology,” Theory and Society 29, no.4 (2000), pp. 507-548. 02/28

Kathleen Thelen. 2006. Institutions and Social Change. In Ian Shapiro, Stephen Skowronek, and Daniel Galvin, eds. Rethinking Political Institutions: The Art of the State (New York UP, 2006): Ch.6, pp. 135 -170

Kellee S. Tsai, Adaptive Informal Institutions and Endogenous Institutional Change in China, World Politics 59, Number 1, October 2006, pp. 116-141 Recommended

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James Mahoney and Kathleen Thelen. 2009. A Theory of Gradual Institutional Change. In James Mahoney and Kathleen Thelen, eds, Explaining Institutional Change: Ambiguity, Agency, and Power. (Cambridge UP 2009): Ch.1, Pp.1-37

Lauren Edelman, Christopher Uggen, & Howard Erlanger. The Endogeneity of Legal Regulation: Grievance Procedures as Rational Myth, AJS 105: 2 (1999), 406-54.

Paul J. DiMaggio & Walter W. Powell 1983. The Iron Cage Revisited: Institutional Isomorphism and Collective Rationality in Organizational Fields, ASR 48: 147-60.

Tullia Faletti. 2009. Infiltrating the State: The Evolution of Healthcare Reforms in Brazil, 1964-1988. In James Mahoney and Kathleen Thelen, eds, Explaining Institutional Change: Ambiguity, Agency, and Power. (Cambridge UP 2009): Ch.2, Pp. 38-62

IV. Inclusion in Decision Making: Empowering Institutions

03/01

Graham Smith. 2009. Democratic Innovations: Designing Institutions for Citizen Participation-Theories of Institutional Design (Cambridge UP).

Recommended

Archon Fung and Erik O. Wright. Deepening Democracy: Institutional Innovation in Empowered Participatory Governance, Politics and Society, 29:1 (2001): 5-41.

Andrea Cornwall and Vera Schattan Coelho. 2000. Spaces for Change? The Politics of Participation in New Democratic Arenas, London: Zed Books.

03/06

Antonio Postigo, (2010) “Accounting for Outcomes in Participatory Urban Governance through State− Civil-society Synergies,” Urban Studies 48(9) 1945–1967.

Gianpaolo Baiocchi. Emergent Public Spheres: Talking Politics in Participatory Governance, American Sociological Review 68 (2003), 52-74.

Recommended

Boaventura de Sousa Santos. Two Democracies, Two Legalities: Participatory Budgeting in Porto Alegre, Brazil. In B de S Santos & CAR Garavito, eds., Law and Globalization from Below: Towards a Cosmopolitan Legality (Cambridge UP, 2005). Pp. 310-338.

Benjamin Goldfrank and Aaron Schneider. 2006. “Competitive Institution Building: The PT and Participatory Budgeting in Rio Grande do Sul,” Latin American Politics and Society 48(3): 1-31.

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V. Challenges of Participation 03/08 Government Agencies: Hierarchy, SOPs, and Professionalism

JP Olsen, 2006. “Maybe it is time to rediscover bureaucracy,” Journal of Public Administration Research and Theory16, 1-24.

James Q. Wilson. 1989. Bureaucracy: What Government Agencies do and Why They Do It (Basic Books, Harper Collins Publishers): Preface, Ch.3 & Ch.7

Weber, Max. 1968. Economy and Society. Berkeley: University of California Press. Pp. xx Recommended Schön, Donald A. 1983. The Reflective Practitioner: How Professionals Think in Action. New York: Basic Books.

Ritzer, George. 1975. “Professionalization, Bureaucratization and Rationalization: The Views of Max Weber,” Social Forces 53(4), 627-634.

03/13 Unequal Access to the Government

Banerjee, A.; Duflo, E.; Glennerster, R.; Banerji, R and Khemani, S. 2010. “Pitfalls of Participatory Programs: Evidence from a Randomized Evaluation of Education in India”, American Economic Journal: Economic Policy, 2(1), 1-30.

Peter P. Houtzager and Arnab K. Acharya. 2011 “Associations, Active Citizenship and the Quality of Democracy in Brazil and Mexico,” Theory and Society 40(1), 1-36.

Recommended

Ryan Centner, “Microcitizenships: Fractious Forms of Urban Belonging after Argentine Neoliberalism,” International Journal of Urban and Regional Research 15 APR 2011: DOI: 10.1111/j.1468-2427.2011.01050.x

Michael Bratton, Robert Mattes, and E. Gyimah-Boadi. Public Opinion, Democracy and Market Reform in Africa (Cambridge UP, 2005). Introduction, Ch.1, 5, 10, 12 (Pp.1-33,130-162, 250-270, 295-314).

Stuart Corbridge et al. 2005. Seeing the State: Governance and Governmentality in India (Cambridge UP): Introduction, Ch.1 & Ch3. VI. Collaborative and Stakeholder Governance

03/15

Christopher Ansell & Jane Gingrich. “Reforming the Administrative State.” In BE Cain, RJ Dalton & S E Scarrow, eds., Democracy Transformed? Expanding Political Opportunities in Advanced Industrial Countries.

Margaret Weir, Jane Rongerude, and Christopher K. Ansell. 2008. “Collaboration Is Not Enough: Virtuous Cycles of Reform in Transportation Policy,” Urban Affairs Review 44 n(4), 455-489.

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03/20 Democratic Experimentalism

Joshua Cohen and Charles Sabel, 1997. “Directly-Deliberative Polyarchy,” European Law Journal 3(4), pp. 313-340.

Accountability: Horizontal, Vertical, and Social

03/22

Schedler, A. 1999. “Conceptualizing Accountability” in A. Schedler, L. Diamond and M. Plattner eds. The Self Restraining State: Power and Accountability in New Democracies. Boulder, Co.: Lynne Riener.

World Bank. 2004. World Development Report 2004: Making Services Work for Poor People. Washington, DC: World Bank. Ch.3, Pp.46-63

Recommended

C. Scott. 2000. “Accountability in the Regulatory State,” Journal of Law and Society. 27(1), Pp. 38-60.

O’Donnell, Guillermo. 1994. “Delegative Democracy,” Journal of Democracy 5 (1), 55-69.

Mainwaring, S. 2003. “Introduction: Democratic Accountability in Latin America.” In S. Mainwaring and C. Welna eds. Democratic Accountability in Latin America. Oxford: Oxford University Press. 03/27 No Class (Spring Break)

03/29 No Class (Spring Break)

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04/03

C Malena, R Forster, and J. Singh. 2004. “Social Accountability: An Introduction to the Concept and Emerging Practice.” Social Development Paper 76. Washington DC: The World Bank.

Anuradha Joshi. 2008. “Producing Social Accountability? The Impact of Service Delivery Reforms,” IDS Bulletin 38(6), 10-17

World Bank. 2004. World Development Report 2004: Making Services Work for Poor People. Washington, DC: World Bank. Ch.5, Pp.78-91 Recommended

Peruzzotti, E. and Smulovitz, C. 2006. “Social Accountability: An Introduction.” In E. Peruzzotti and C. Smulovitz eds. Enforcing the Rule of Law: Social Accountability in the New Latin American Democracies. Pittsburgh: University of Pittsburgh Press.

Ackerman, J. 2005. “Social Accountability in the Public Sector: A Conceptual Discussion.” Social Development Papers. Washington, DC: World Bank.

S. Khemani. 2008. “Does Community Monitoring Improve Public Services? Diverging Evidence from Uganda and India”, Research Brief, September 16, 2008. Human Development and Public Services Research, World Bank. Washington D.C.

R. Reinikka and J. Svensson. 2005. “Fighting Corruption to Improve Schooling: Evidence from a Newspaper Campaign in Uganda”. Journal of the European Economic Association 3(2-3).

M. Claasen and C. Alpin-Lardies. 2010. Social Accountability in Africa—Practitioners Experiences and Lessons. IDASA-ANSA Africa.

I. Novikova. 2007. Stocktaking of Social Accountability Initiatives in Europe and Central Asia. ECSSD/WBI/SDV.

K. Sirker and S. Cosic. 2007. Empowering the Marginalized: Case Studies of Social Accountability Initiatives in Asia. DC: The World Bank.

04/05 The Long Arc: Pragmatic Rights Advocacy & Enforcement

w/ Lucie K. White (Louis A. Horvitz Professor of Law, Harvard Law School)

Jeremy Perlman and Lucie K. White, eds, Stones of Hope: How African Activists Reclaim Human Rights to Challenge Global Poverty (Stanford University Press):

• Introduction (1-16) • Ch.4 Jeremy Perelman and Katherine Young, with Mahama Ayariga. 2011. “Freeing

Mohammed Zakari: Rights as Footprints.” (122-148) • Ch.6 Peter P. Houtzager and Lucie E. White. 2011. “The Long Arc of Pragmatic

Economic and Social Rights Advocacy.” (172-194) Recommended

Jeremy Perlman and Lucie K. White, eds, Stones of Hope: How African Activists Reclaim Human Rights to Challenge Global Poverty (Stanford University Press):

• Felix Morka. Ch. 1 “A Place to Live: Evictions in Ijora-Badia, Nigeria.”

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• William Forbath. Ch.2 “Cultural Transformation, Deep Institutional Reform, and ESR Practice: South Africa’s Treatment Action Campaign.”

04/10 Right to Information in India

Suchi Pande, 2011. “Citizenship and Contentious Politics: The Right to Information in India.” Manuscript. Institute of Development Studies, Brighton, UK.

Subramaniam, V. (2008), ‘RTI now a common man’s tool: study’. The Hindu. 15th October. http://www.hindu.com/2008/10/15/stories/2008101552401400.htm

Recommended

S. Pande. (2008) ‘The Right to Information and Societal Accountability: The Case of the Delhi PDS Campaign’, IDS Bulletin, 38, 47-55.

A. Baviskar. (2007), Is information power?: the Right to Information Campaign in India. Web version. September 2007. www.ids.ac.uk/ids/part/proj/pnp.html. [Viewed on 2 December 2008].

A. Florini. (2007), ‘Introduction: The Battle Over Transparency’, in A. Florini (ed), The Right to Know: Transparency for an Open World, New York: Columbia University Press.

P. Hubbard. 2007. “Putting the Power of Transparency in Context: information’s Role in Reducing Corruption in Uganda’s Education Sector.” Centre for Global Development Working Paper Number 136 http://www.cgdev.org/content/publications/detail/15050/

H. Mander. (2003), ‘Corruption and the Right to Information’, in R. Tandon and R. Mohanty (eds), Does Civil Society Matter? Governance in Contemporary India, New Delhi: Sage Publications.

http://commons.wikispaces.com/Access+to+Information+in+Health+and+Education+Service+Delivery, accessed 30 June 2010.

04/12 Accountability and Civil Society Representation

John Harriss. Political Participation, Representation and the Urban-Poor: Findings from Research in Delhi, Economic and Political Weekly (12 Mar 2005), 1041-54.

Peter P. Houtzager and Adrián Gurza Lavalle. 2010. “Civil Society’s Claims to Political Representation in Brazil,” Studies in Comparative International Development 45(1), 1-29. Recommended

Ruth B. Collier and Samuel Hadler. 2009. “Popular Representation in the Interest Regime.” In Collier and Hadler, eds., Reorganizing Popular Politics: Participation and the New Interest Regime in Latin America (Pennsylvania State University Press): Introduction (pp.3-31) 04/17 No class

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04/19 Democratic Design Exercise (no reading memo)

Vera Schattan Coelho. 2007. Brazilian Health Councils: Including the Excluded? In Andrea Cornwall and Vera S. Coelho, eds., Spaces for Change? The Politics of Citizen Participation in New Democratic Arenas. London: Zed. Ch2, pp.33-54

Schönleitner, Gunter. 2006. “Between Liberal and Participatory Democracy: Tensions and Dilemmas of Leftist Politics in Brazil,” Journal of Latin American Studies 38, 35-63.

Rene Loewenson, Public Participation in Health: Making People Matter in Zimbabwe. IDS Working Paper 84, Institute of Development Studies, UK.

JJ Williams, 2007. Social Change and Community Participation: The Case of Health Facilities Boards in the Western Cape of South Africa. In Andrea Cornwall and Vera S. Coelho, eds., Spaces for Change? The Politics of Citizen Participation in New Democratic Arenas. London: Zed. Ch.5, Pp. 95-113

04/24 w/ Judith Tendler (Professor DUSP)

Pires, Roberto. (2009) “Promoting Sustainable Compliance: Styles of Labour Inspection and Compliance Outcomes in Brazil.” International Labour Review 147 (No. 2-3): 199-229.

Salo V. Coslovsky. (2011) “Relational Regulation in the Brazilian Ministério Publico: The organizational basis of regulatory responsiveness,” Regulation & Governance 5, 70–89. State Reform: State Elites or Middle-Class Professionals

04/26

Nelson, Joan. 2004. “The Politics of Health Sector Reform: Cross-National Comparisons.” In Robert R. Kaufman and Joan M. Nelson, eds., Crucial Needs, Weak Incentives: Social Sector Reform, Democratization, and Globalization in Latin America (WoodrowWilson Center Press, Johns Hopkins University Press).

Peter P. Houtzager and Monika Dowbor. Forthcoming. “Where Have All the Professionals Gone? Reforming Health and Social Assistance in São Paulo, Brazil (1990-2008),” Latin American Politics & Society. Recommended

Dobbin, Frank and Erin L. Kelly. 2007. “How to Stop Harassment: Professional Construction of Legal Compliance in Organizations,” America Journal of Sociology 112(4), 1203-43.

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Generative Civil Society

05/01

Leonardo Avritzer, Democracy and the Public Space in Latin America (Princeton UP, 2002). Intro., Ch.2, ch.5, 6 (36-54, 103-164) Recommended

Dietrich Rueschemeyer. 1998. "The Self-Organization of Society and Democratic Rule: Specifying the Relationship" Participation and Democracy East and West: Comparisons and Interpretations. Ed. Rueschemeyer, Rueschemeyer, and Wittrock (Armonk, NY: ME Sharpe): pp. 9-25.

Theda Skocpol, Marshall Ganz & Zaid Munson. A Nation of Organizers: The Institutional Origins of Civic Voluntarism in the United States, APSR 94:3 (2000), 527-545.

05/03

Saumitra Jha, Vijayendra Rao, & Michael Wookcock. Governance in the Gullies: Democratic Responsiveness and Leadership in Delhi’s Slums, World Development 35:2 (2007), 230-246.

Sudha Narayanan. One Kind of Representation: Associational Activity and the Urban Poor in Bangalore City. Paper presented at international workshop Rights, Representation and the Poor, Bellagio, Italy, 2005. Recommended

Emmanuel Gyimah-Boadi. Civil Society in Africa, Journal of Democracy 7:2 (1996), pp. 118-132 Richard Rose. Getting Things Done in an Antimodern Society: Social Capital Network in Russia. In P Dasgupta and I Serageldin, ed., Social Capital: A Multifaceted Perspective (World Bank, 2000). pp. 147-171

Collaborative Governance in a Networked Polity

05/08

Christopher Ansell. The Networked Polity: Regional Development in Western Europe, Governance 13:2 (2002), pp. 279 – 291.

Graziela Castello and Peter P. Houtzager. 2012. “How Society Permeates the State: Issue Networks in the City of São Paulo.” (manuscript) Recommended

R.A.W Rhodes. The New Governance: Governing without Government, Political Studies XLIV (1996), 652-667.

R.A.W. Rhodes. Policy Network Analysis. In M Moran, M Rein, & RE Gooding, eds., Oxford Handbook of Public Policy (Oxford UP, 2006). Pp.425-447

Francisco J. Granados & David Knoke. Organized Interest Groups and Policy Networks. In T Janoski, ed., The Handbook of Political Sociology: States, Civil Societies, and Globalization (Cambridge UP, 2005). Pp.287-309

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Walter W. Powell. Neither market nor hierarchy: Network forms of organization, Research in Organization Behavior, 12 (1990), pp. 295-336.

05/10

John F. Padgett & Paul McLean. Organizational Invention and Elite Transformation: The Birth of Partnership in Renaissance Florence, AJS 111:4 (2006), 1463-1568.

Charles Sable. Globalization, New Public Services, and Local Democracy: What’s the Connection? In Sylvain Giguère, ed., Local Governance and the Drivers of Growth (OECD, 2005). Pp.111-132 Recommended

Francisco J. Granados & David Knoke. Organized Interest Groups and Policy Networks. In T Janoski, ed., The Handbook of Political Sociology: States, Civil Societies, and Globalization (Cambridge UP, 2005). Pp.287-309 & Knoke 2005

Walter W. Powell et al. Network Dynamics and Field Evolution: The Growth of Interorganizational Collaboration in the Biotechnology Industry, AJS 110:4 (2005), pp.1132-1205. 05/15 Class Presentations 05/17 Class Presentations (last session)