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through
participation
Understanding
participation:
A literature
review
Ellie Brodie
Eddie Cowling
Nina Nissen
with
Angela Ellis Paine
Vronique Jochum
Diane Warburton
December 2009
Understanding participation:
A literature review
December 2009
Contents
Understanding participation:
A literature review
December 2009
01
Participation
in focus: An
introduction
This literature review forms This review is designed to explore Section 4
part of a major national research the literature around the key issues Participation in
project called Pathways through for the project and provide a sound practice: The actors
Participation: What creates and basis for further research. It has six This section focuses on the actors
sustains active citizenship? led main sections: in participation, particularly who does
by the National Council for and does not participate, peoples
Voluntary Organisations (NCVO) Section 1
Participation in focus: motivations and the barriers and
in partnership with the Institute enablers to getting and staying
for Volunteering Research An introduction
involved.
(IVR) and Involve. All three This section summarises the aims
organisations have a history of the Pathways through Participation Section 5
of researching the different project, and the approach to the Participation in
forms of participation that will research. It also summarises the theory: The concepts
be explored in the project. aims of this literature review and This section draws on a number of
clarifies some of the terms used different theoretical approaches to
within the project. help develop a better understanding
Section 2 of the multi-faceted nature of
Participation in context: participation.
Historical and current drivers Section 6
This section explores the current and Participation in the round:
historical context and the drivers for Conclusions and next steps
participation in the UK today. The last section summarises the overall
Section 3 findings of the literature review, and
Participation in practice: identifies some gaps in the current
literature. The review closes with an
The activities
initial sketch of a framework for
This section describes participation in
understanding a round-earth view of
practice, defining participation in
participation that covers all aspects of
relation to the state, associational life
this complex field. The framework
and beyond, and explores various
will be further developed and
classifications and typologies of
will then guide and be tested by
participatory activities.
the research in the remainder
of the project.
Understanding participation: 01
A literature review Participation in focus:
December 2009 An introduction
1.1 By this we mean that the The overall aim of the literature review
The Pathways through project will focus on: is twofold. Firstly, it seeks to bring
Participation project how [participation] actually work[s]
together different bodies of literature
The Pathways through Participation around the thinking and doing of
in practice, and on who takes part, on
project seeks to explore how and why participation to clarify the broad
what basis, and with what resources,
individuals get involved and stay understanding of participation that the
whether in terms of knowledge,
involved in different forms of project adopts. Secondly, it aims to
material assets or social and political
participation. It aims to increase support the development of a
connections. (Cornwall, 2002: 51;
knowledge of peoples pathways into framework of participation that can
emphasis in original)
and through participation, and of the help to inform and shape (and be
factors that shape their participation Examining participation within the shaped by) our subsequent fieldwork.
over time. In this project, participation context of peoples lives has additional In addressing these aims we hope to
is understood in a very broad sense as implications for research and how develop a round-earth view, or a more
the act of taking part in a wide range of participation is conceptualised. As complete picture of participation,
social and civic activities, such as Cornwall notes: moving away from what Smith (1997)
volunteering to run a self-help phone- has characterised, in other contexts, as
Treating participation as situated a flat-earth map in which only part of
line, being a member of a local practice calls for approaches that
community group, purchasing fair- the whole is known, leaving much of
locate spaces for participation in the the terrain uncharted.
trade goods, attending a Parent places in which they occur, framing
Teacher Association meeting, their possibilities with reference to
responding to a local authority actual political, social, cultural and
consultation, and voting. historical particularities rather than
1.4
idealised notions of democratic Terms used in this review
The project is a qualitative research Our particular approach to
project that focuses on the following practice. (Cornwall, 2002: 51;
emphasis in original) understanding and researching
four questions: participation is also reflected in the
How and why does participation In addition, the project takes a broad terms we use throughout the review.
begin and continue? view of what it means to be political or The term participation is contested and
to act in political ways. We suggest used in different ways by different
Can trends and patterns of that individual and personal actions authors in the bodies of literature we
participation be identified over time? can be understood as having political examine. The term participation is
What connections, if any, are there implications and effects, and are also frequently qualified with an array of
between different forms of influenced by social, cultural and prefixes, such as civic, civil, vertical,
participation and what triggers political contexts. This is perhaps best horizontal, individual, political, public,
movement between them? expressed by the phrase the personal community, citizen and so on. To
is political (Ryan, 2007). simplify the language used in this
How can policy-makers and review, we use three broad categories
practitioners enable and encourage of participation - public, social and
different individuals and communities 1.3 individual participation:
to participate? A review of literature P
ublic participation. By public
on participation participation we mean the
The review focuses predominantly,
1.2 but not exclusively, on literature from
engagement of individuals with the
Our approach to community development, volunteering various structures and institutions of
exploring participation and public participation. We also refer democracy. Other authors refer to
The project is interested in the to other bodies of literature, including this as political, civic, or vertical
perspectives and experiences of literature on social movements, participation and/or participatory
individuals and seeks to explore everyday politics, and ethical governance. Examples of public
both past and present activities of consumption. We believe that these participation include: voting in local
participation in peoples lives. It will diverse bodies of literature have much or national elections; being a
examine the connections between in common and much to learn from councillor; and taking part in
different forms and episodes of each other. To date, they have tended government (or associated)
participation and explore how these to view different forms of participation consultations.
are shaped by context and in isolation.
relationships. We therefore understand
participation as situated practice
(Cornwall, 2002).
Understanding participation: 01
A literature review Participation in focus:
December 2009 An introduction
Understanding participation:
A literature review
December 2009
02
Participation in
context: Historical
and current drivers
Participation does not happen in 2.1 Prime Ministers Strategy Unit, 2006;
a vacuum. It is influenced and Why is everybody talking CLG, 2006a; Prime Ministers Strategy
shaped by a range of societal and about participation? Unit, 2007; HM Government, 2007a
contextual factors. This section Participation has captured the and 2007b; Parker, 2007; Duffy, 2007).
analyses the literature on the imagination and hopes of politicians, Finally, participation has been
context for participation to ground policy makers and practitioners alike associated with personal benefits for
the subsequent discussion on (White, 1996; Jochum et al., 2005; individual participants ranging from
what participation looks like in Cornwall, 2008). Across the globe increased political efficacy and
practice. We explore some of the from Brazil to India to the United States satisfaction gained from influencing
reasons why participation - we have witnessed an explosion of change to personal development and
remains high on the political and interest in participation over the past growth in self-esteem from learning
policy agenda before moving to a decade; this is particularly true for new skills such as public speaking
brief overview of the social and public participation (Dunn et al., 2007). (CLG, 2008b; Barnes and Shardlow,
historical context of participation. 1997; Popay et al., 2007). Participation
Finally, we look to the future and is thus associated with greater social
identify some of the key drivers, or 2.1.1 justice, more effective public services
trends, shaping participation now Governance, politicians and a society of self-confident citizens
and in the coming years. and policy makers (Beetham et al., 2008: 11) as well as
There are four primary, and being an expression of active
interconnected, reasons why citizenship (Brannan et al., 2006).
advocates of participation in national
and local governance see it as a good
thing. Firstly, by involving individuals 2.1.2
more directly in decisions that affect Beyond governance
their lives, participation is seen as a In one of the Zambian languages,
way of strengthening the legitimacy participation translates as to be part of
and accountability of democratic or to give oneself to what is going on
institutions (Creasy, 2007; see also (Gwaba, 2003: 88). What is going on
Cornwall, 2008; Beetham et al., 2008). is not necessarily connected to the
Secondly, there is a belief that involving public side of participation, driven by
people in local decision-making governments and policy makers.
processes and bringing them together Participation has a social dimension
around a common cause or interest and relates to an individuals
can empower communities and help associational activities in both formal
build social cohesion (CLG, 2006a; and informal contexts (Pattie et al.,
Home Office, 2004b; Blake et al., 2004; Jochum, 2003).
2008; Foot, 2009). Thirdly,
participation is considered a tool for
reforming public services and for
providing services that are better
suited to peoples needs and that are
more efficient (Leadbeater, 2004;
Understanding participation: 02
A literature review Participation in context:
December 2009 Historical and current drivers
(Gilchrist, 2004). As a result of the the voluntary and community sector participation in the UK underlying
increasing focus on difference and or what it refers to as the third sector them all is the assumption that
diversity, by the 1990s equality had to increase links between the state, participation is a good thing: the
secured its position as a core value communities and individual citizens. normative view of participation we
of community development (ibid: 17). The legal, statutory and financial noted above.
With the retreat of the state from operating environment for the sector
providing public services in the 1980s has been strengthened by a number of
and 1990s, the role of community policy initiatives from the 2000 2.3.1
development had a lower profile on budget outlining tax-efficient giving Democratic deficit
the governments agenda (Humm et methods such as Gift Aid and payroll Participation that takes place at the
al., 2005) and some voluntary and giving, to the introduction of the interface between individual citizens
community organisations were invited Compact (Robb, 2004) and the and the local and national state, from
to become agents of the state and continued emphasis on the role of the voting to political party membership to
provide public services (Taylor, voluntary and community organisations contacting elected representatives,
1995: 99). in partnership arrangements and has been in decline in Western
public service provision (Taylor, 2007). democracies (Pattie et al., 2004; Power
A parallel movement was also
Whilst the voluntary and community Inquiry, 2006; House of Commons,
developing in the 1990s as a result
sector, some may argue, has never 2008; Hansard Society, 2009). In
of global interest in the concept of
had it so good (Commission on the response to mounting concerns that
sustainable development, following
Future of Volunteering, 2008: 3), the continued drop in public
the adoption by the United Nations in
concerns exist about co-option and participation is leading to a crisis of
1992 of Agenda 21 the agenda for
overstretch as the voluntary and legitimacy, enhancing citizen
the 21st century. The concept of
community sector is drawn into public participation has become an official
sustainable development led to the
sector provision and governance priority in many countries (Smith,
fragile links between global issues of
(Taylor, 2007). Beyond the focus on the 2005: 13), and there have been
environmentalism, international
voluntary and community sector, the numerous government initiatives to
development to tackle poverty,
governments aim to re-engage directly encourage participation in formal
economic development, and social
with individual citizens has led to the politics. These have included the
change through greater participation in
development of a range of initiatives introduction of all-postal voting and
governance being strengthened and
around participation, in the form of the development of deliberative
institutionalised at local, national and
citizenship education (in schools and innovations such as citizens juries.
international levels (della Porta and
beyond), volunteering, active However, participation in formal
Diani, 2006). By 2000, every local
citizenship, and a remarkable growth political channels remains at an all
authority in the UK had a Local Agenda
in government consultations at all time low (Lodge and Gough, 2009).
21 strategy, many of which provided
levels (Kendall, 2005; Jochum et al.,
the first local focus for campaign Whilst people are turning away from
2005; Millner, 2008). This overarching
groups on environmental, poverty and participation in traditional or formal
aim to re-engage citizens is
governance issues to work together in politics, via the ballot box and through
encapsulated in the 2008 White Paper,
new networks, and also the beginning membership of political parties, data
Communities in control: real people,
of very practical links between local from the Power Inquirys research
real power (CLG, 2008a), which looks
and global issues (Christie and found that over a third of people who
at the range of existing and new tools
Warburton, 2001; Warburton, 2004). do not vote are members of, or active
that citizens can use to access and
These new relationships formed the in, a charity, community group, public
lever power at local and national levels.
basis for much local to global body or campaigning organisation
campaigning that created spaces for (Power Inquiry 2006: 42). MORIs
participating in various forms of action research has found little evidence of
on issues from global poverty to 2.3
declining public participation in Britain
climate change. Policy and practice
besides voting and activities closely
drivers of participation associated to party membership
There are numerous drivers shaping
(Marshall et al., 2008). NCVOs Civil
2.2.3 participation now and, potentially, in
Society Almanac also suggests that
the future. Drivers link, overlap and
New Labour, communities people are willing to engage in issues
influence each other and include
and the third sector political, social, economic,
that concern them, but see voluntary
The election of a Labour government in action as a more effective way of
environmental and technological
1997 put participation and community making a difference than engaging in
forces. We focus on those which we
involvement back on the public policy politics (Kane et al, 2009: 123).
understand to be the most relevant to
agenda. The government has looked to
the current operating environment of
Understanding participation: 02
A literature review Participation in context:
December 2009 Historical and current drivers
advances in communications, the consumers, and also consumers who sorted out between those who live
self-actualising individual can create ask more questions about the source in the hyper-real shrunken world
multiple and fluid identities and of their food. of instant communication, cyber-
engage in different behaviours and dynamics and electric money
activities more easily. This can be both transactions and those, more
liberating (see, for example, the work 2.3.6 disadvantaged than ever, who live
of Harris (2001) on young women using Changing technologies in the real space of local villages, cut
internet magazines to create their Technological developments have off from temporal forces that drive
own space from which to negotiate enabled changes in the spaces in politics and economics (cited in
and redefine politics, citizenship and which participation takes place. Kaldor, 2003: 111).
gender) and stressful (in a 24 hour People are expressing their values
culture, young people particularly and political identities in new ways
feeling the need to constantly move (www.3s4.org.uk), facilitated by 2.4
through multiple identities) increasing interconnectedness and Conclusion
(Riley, 2008). perceptions about how peoples lives We can see that participation has a
are influenced by events taking place rich history in political and social
far away (Kaldor, 2003: 111). Air travel, thought, and continues to be a
2.3.5 satellite television, instant messaging preoccupation of governments, policy
Global consciousness and new technologies such as Web 2.0 makers, practitioners, academics and
and world views are helping people to organise and interested individuals across the world.
Although many people take an interest take action. Shirky notes that, In Figure 1, below, we summarise some
in their local issues and participate at [e]verywhere you look, people are of the key developments and drivers
local community level, recent years coming together to share with one affecting participation. These trends
have seen an unprecedented rise in another, work together, or take some may continue to influence the future of
individual and collective mobilisation kind of public action. For the first time participation. Understanding these
around global concerns (NCVO, in history, we have tools that truly allow trends helps to ground our empirical
2007). Alongside the rise in global for this (Shirky, 2008: cover page). A and theoretical discussions in the real
capitalism has been the emergence of recent survey carried out in the United world, and draw our attention to the
a common global consciousness States found that peoples use of the wider forces shaping the different
(Kaldor, 2003: 112). We can relate this internet and mobile phones is contexts of participation. In the next
common consciousness to the associated with larger and more varied two sections we move on to discuss
increased awareness of the winners discussion networks and that social the practice of participation.
and losers, or the have nots and the networking services, in particular
have-yachts (CarnegieUK Trust, 2007: Facebook, are associated with more
24) of global neo-liberalism, and also diverse social networks (Hampton et
to the more positive messages of al., 2009).
global policies around sustainable
Individuals can increasingly bypass
development to tackle poverty and
existing organisations using social
environmental threats.
media and create their own alternatives
Direct action against the varied and for participation. This is likely to lead to
manifold shortcomings of globalisation the emergence of a greater number of
from rising inequality to climate less formal and looser groups and
change have become a feature of the networks (NCVO, 2009). However,
last decade, as the Makepovertyhistory there is evidence that governments are
campaign, protests at the G8 summits also increasingly aware of the
from Geneva to Edinburgh, and the opportunities presented by the internet
burgeoning grassroots Climate Camp both for them to advance their own
movement all demonstrate (http:// case and to challenge their opponents
www.climatecamp.org.uk/). The rise in (Morozov, 2009).
ethical consumerism illustrates that,
New technologies may provide new
alongside these collective actions,
opportunities for individual and
people are taking individual acts of
collective action but are also a source
conscience. Tallontire et al (2001: 3)
of exclusion, fragmentation and
assert that the globalization of food
atomisation (CarnegieUK, 2007; Riley,
sourcing and foreign travel have
2008). On a global scale, Virilio notes
resulted in more adventurous
that haves and the have-nots are then
10
Understanding participation: 02
A literature review Participation in context:
December 2009 Historical and current drivers
Figure 1:
Key developments and
drivers affecting participation
11
Understanding participation:
A literature review
December 2009
03
Participation
in practice:
The activities
As Section 2 has illustrated, 3.1 Attending NHS public
participation has become one Exploring the breadth of consultations on health issues
of the mainstays of policy and participatory activities
practice across the globe (Mohan, A wealth of participatory activities Giving blood
2007). However, different bodies and diverse forms of participation Donating to a charity or
of literature around the thinking can be identified in the different campaigning organisation
and doing of participation bodies of literature about participation.
highlight that participation Examining the wide range of Going on a sponsored walk
means different things to different participatory activities that individuals Being a trustee
people (Arnstein, 1969; White, engage in helps to unpick some of
1996; Jochum et al., 2005; Mohan, the overlapping meanings and Being a school governor
2007; Cornwall, 2008). Some of expressions of participation. Figure 2 Being a voluntary member
these meanings are examined gives a flavour of a few of the many of a Youth Offender Panel
in this section, after an initial and diverse participation activities
exploration of the range of people get involved in. Being a voluntary member
participatory activities people of prison visiting scheme
are involved in. Belonging to a befriending
Figure 2: and mentoring scheme
The diversity of
participatory activities Volunteering in a charity shop
Being a conservation volunteer
Contacting an elected Purchasing fair-trade products
representative/public official
Purchasing energy
Signing a petition efficient products
Voting Carbon off-setting
Participating in a demonstration Boycotting a product
Participating in a strike Organising a book club
Being a member of Helping a neighbour/someone
a trade union in need with shopping
Being a member of Making sandwiches
a political party for a village fete
Attending a planning meeting Helping out in a faith group
Being a representative on a
Local Strategic Partnership
Completing a questionnaire
about local issues
12
Understanding participation: 03
A literature review Participation in practice:
December 2009 The activities
The literature often focuses on one government election; signing a NCVOs spectrum
single form of participatory activity, petition; boycotting certain products of active citizenship
such as voting or membership of or buying products for ethical, The classification proposed by
leisure clubs (for exceptions, see for political or environmental reasons; NCVO (Jochum et al., 2005) draws
example Davis-Smith, 2000; Pattie contacting a public official or on a spectrum of active citizenship.
et al., 2004) and tends to neglect the politician; contacting an organisation Active citizenship here is understood
fluid and dynamic relationships or the media; attending a political to comprise both public and social
between the different activities and meeting, rally or protest; and taking engagement, based on individual
their overlapping boundaries. part in a strike or participating in and/or collective action of a formal
This lack of attention to the links illegal protests. or informal nature.
between different participatory
Associational activities are C
ivic participation (or vertical
activities is reinforced by the lack
grouped according to: participation) relates to participation
of cross-over between the various
bodies of literature that examine in state affairs, including participation
types of organisations and distinct
participation. A focus on individual acts in political processes and in
interests (e.g. motoring, trade
of participation also tends to neglect governance (most of which
unions or professions);
peoples pathways in and through we are classifying as public
participation how individuals engage organisations or activities participation).
in different ways within the context of bringing people together in
Civil participation (or horizontal
their lives and throughout their life sports and leisure;
participation) includes participation
times. This is the focus of the wider causes (such as environmental in community activities and other less
research project that will follow and social welfare); formal types of associational activities
this literature review. (such as residents associations,
culture (such as the arts, music
sports clubs and faith groups, most
and hobbies); and,
of which we are classifying as
3.1.1 social, womens, ethnic and social participation).
Classifying participatory residents organisations.
The Citizenship Survey
activities Associational activities are In the annual Citizenship Survey, the
A number of classifications have, Department of Communities and Local
further distinguished as being:
however, been put forward to Government (CLG) distinguishes three
categorise different participatory (passive) membership in strands of public participation under
activities. The different classifications, organisations; and, the overall term citizen engagement
as outlined below, aim to make sense (CLG, 2009: 2):
(active) participation in the running
of the breadth of participatory activities
of an organisation and volunteering. C ivic activism refers to involvement
that can be identified in the empirical
literature. Reflecting the different Also included under associational in direct decision-making about local
subject areas within which activities are the following: services or issues or in the actual
participation is often analysed, these provision of these services by taking
classifications tend to focus on a participation in informal networks on a role such as local councillor,
particular form of participation. (e.g. book reading groups; school governor or magistrate.
They do, however, provide a useful pub quiz teams; child care
groups); and, Civic consultation refers to active
starting point.
engagement in consultation about
Citizen Audit for Britain personal support networks local services or issues through
The Citizen Audit for Britain in beyond the family (e.g. shopping activities such as attending a
2000 (Pattie et al., 2003) provide for neighbours; volunteering consultation group or completing a
a two-fold classification of with meals on wheels; visiting questionnaire about these services.
participation, making a distinction old people; and involvement
in self-help groups). Civic participation refers to
between political participation
activities such as contacting a
(or what we are calling public Pattie et al (2003) suggest that this local councillor, attending a public
participation) and associational classification of activities allows the meeting, signing a petition or
activities (our social participation): identification of different types of engaging in consultations about
P
olitical participation is used to actors; these are explored in more local services and issues through
refer to acts that seek to influence detail in Section 4. completing a questionnaire or
rules, laws or policies. Included here attending consultation group.
is: donating money to or raising funds
for an organisation; voting in a local
13
Understanding participation: 03
A literature review Participation in practice:
December 2009 The activities
14
Understanding participation: 03
A literature review Participation in practice:
December 2009 The activities
In this model, the status quo of social, In understanding social participation in Writing a letter to ones MP about the
economic and political conditions may this way, it may overlap in some pro-posed closure of a community
remain unchallenged (ibid). instances with notions of community centre is one example that could be
development, especially a notion seen to fit into all three of the above
By contrast, a shift to a model of
of community development that categories of participation.
community development that is based
focuses on service delivery, but
on community organising involves the At first glance, public participation
also on community organising
craft of building an enduring network appears to be more prominent in the
(e.g. campaigns by residents
of people, who identify with common literature than social and individual
associations). Different forms and
ideals and who can act on the basis of participation, especially in the literature
activities of social participation may
those ideals (Stall and Stoecker, 1998: produced by policy-makers. However,
hold the potential for more radical
730). While community organising when looking across diverse bodies of
social, economic and political
tends to be local and is often pre- literature, particularly the literature on
transformations (Stall and Stoecker,
political, it may also provide the volunteering and community
1998; Dominelli, 2006) or harbour
foundation for multi-local and explicitly development, we note multiple
resistance to societal change (della
political social movements (Stall and overlaps between the different forms
Porta and Diani, 2006).
Stoecker, 1998; Dominelli, 2006; of participation, and that the activities
Beetham et al., 2008) which may Individual participation and issues addressed in these
collectively challenge elites, People also engage on an individual bodies of literature resonate with what
authorities, other groups or cultural basis. For instance, they may chose we call public, social and individual
codes (Klandermans, 2004). In these to buy fair-trade products, donate participation. It can therefore be
rather fluid contexts of community money to charity or informally help suggested on the basis of this review
action, participation can be their neighbours. Here, participation that there may be a less coherent
understood as the visible exercise of a is based on an individuals personal body of literature about social and
latent capacity in collaboration with values and worldviews as much as on individual participation, or that the
others, which is only effective through personal experiences or identity/ies concept of participation is simply
its public manifestation (Beetham et such as being an environmentalist, a rarely used to describe some of
al., 2008: 17). feminist or an anti-racism activist; or these participatory activities.
living according to/acting on ones
Social participation The exploration of the different
religious beliefs. As such, individual
Social participation refers to collective ways in which participation can be
participation covers the choices and
activities that individuals may be understood highlights four
acts that individuals make as part of
involved in as part of their everyday key points:
their everyday lives, and that reflect the
lives. It is generally associated with an
kind of society they may wish to create Firstly, participation is a multi-
individuals associational activities in
and live in (Melucci, 1989, 1996; dimensional and fluid concept, with
both formal and informal contexts
Ginsborg, 2005). Ginsborg (2005) multiple overlaps and blurred
(Jochum, 2003; Pattie et al., 2004),
calls such individual participation the boundaries between different forms
and may include engagement in
politics of everyday life where of participation. This indicates the
cultural, leisure and social groups
individuals draw inspiration from importance of examining the diverse
and involvement in voluntary and
personal convictions and experiences forms of participation within the wider
community organisations (Jochum,
as well as local actions, and are often contexts in which they are practised.
2003; Pattie et al., 2004; Jochum
pushed to make connections
et al., 2005). Secondly, many of the meanings and
between their own lives and the
larger and more distant forces that classifications explored above imply
People choose to participate in
shape them in an increasingly an egalitarian idea of politics (Haus
associational life for a range of reasons
globalised world. and Sweeting, 2006); that
that may have little to do with the state
participation is a normative term
or the institutions and processes of
Overview and overlaps [that] evokes and embodies ideals of
governance. As Jochum et al (2005:
Within each of these three broad forms how society and the polity ought to
33) note, [they] are motivated by their
of participation there are of course a be, and of the role that people can
faith or values; their sense of
plethora of individual participation play in government. [] Qualified
community, whether of interest or
activities and many overlaps exist with citizen, participation has a
place; or simply a desire for friendship
between what we call public, social definitely democratic ring to it;
and conviviality. The associations
and individual participation. coupled with community, it evokes a
that people form between and for
warm and inclusive feeling of people
themselves are at the heart of
working together for the common
social participation.
good (Cornwall, 2008: 19).
15
Understanding participation: 03
A literature review Participation in practice:
December 2009 The activities
16
Understanding participation: 03
A literature review Participation in practice:
December 2009 The activities
Table 1:
IAP2 spectrum of
public participation
Public To provide the To obtain To work directly To partner with the To place final
participation public with public feedback with the public public in each decision-making
goal balanced and on analysis, throughout the aspect of the in the hands of
objective alternatives and/or process to ensure decision including the public
information to decisions that public the development
assist them in concerns and of alternatives and
understanding aspirations are the identification of
the problem, consistently the preferred
alternatives, understood and solution
opportunities and/ considered
or solutions
Promise to We will keep We will keep We will work We will look to you We will implement
the public you informed you informed, with you to ensure for advice and what you decided.
listen to and that your concerns innovation in
acknowledge and aspirations formulating
concerns and are directly solutions and
aspirations, reflected in the incorporate your
and provide alternatives advice and
feedback on developed and recommendations
how public provide feedback into the decisions
input influenced on how public to the maximum
the decision input influenced extend possible.
the decision We will implement
what you decided.
Example Fact sheets Public comment Workshops Citizen advisory Citizen juries
techniques Web sites Focus groups Deliberative
committees
Ballots
polling Consensus
Open houses Surveys Delegated
building
decision
Public meetings
Participatory
decision-making
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A literature review Participation in practice:
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Table 2:
Whites typology
of participation
This typology helps to identify where Information: tells people what is In conclusion, it can be suggested
and under which circumstances planned. that new systems of participation often
different forms of participation can reflect existing wider systems of power
Consultation: offers some options
create either opportunities for and control of resources (Wilcox, 1994;
and listens to feedback, but does not
participation or entrench and White, 1996; Cornwall and Goetz,
allow new ideas.
reproduce existing power relations. 2005; Gaventa and Cornwall, 2006;
It is important to stress that White Deciding together: encourages Cornwall, 2008; Beetham, et al., 2008).
(ibid) conceptualises participation as a additional options and ideas and As Beetham et al (2008:37) argue:
dynamic process which changes over provides opportunities for joint The extent to which departments
time but also as a site of contestation decision-making. consult varies enormously; and just
and conflict. Which interests are because a body or individual has
Acting together: different interests participated, [], that it does not
favoured over others reflect the power groups decide together on what is
relations that underpin participation, guarantee their views will be accorded
best and for a partnership to the same importance as others who
since [s]haring through participation carry it out.
does not necessarily mean sharing in are more favoured. They do, however,
power (White, 1996: 6). At times the Supporting independent go on to remind us that other handles
discourse of participation can obscure community interests: local groups on power (ibid) can be exerted
as well as challenge inequalities of or organisations are offered funds, through recourse to the 1988 Human
resources and power (Arnstein, advice and other support to develop Rights Act and also through civil
1969; White, 1996; Gaventa and their own agendas within specific society, with its diversity of trade
Cornwall, 2006). guidelines. unions, independent pressure groups,
self-help groups, charitable and
Underlying these different ways This model is grounded in the philanthropic societies, advocacy and
of considering the depths of aspiration of collaboration and campaigning groups, churches and
participation and the techniques used partnership working between a range faith communities (ibid).
to facilitate this is a zero sum view of of stakeholders and informed by the
power. Either the state or the individual/ understanding that working together
group holds power, with the best form allows everyone to achieve more than
3.4
of participation and power being in they could on their own (ibid) (see also
Section 3.1.2 above and CLG, 2006).
Dimensions within
the hands of individuals/groups rather
than the state (Cornwall, 2008). This model also highlights that different participation
degrees of control (such as over Taking a view of public participation
This view of power, however, does
information, the allocation of funding beyond the examination of the
not encourage partnership working.
and the setting of agendas) are the relationship between the individual and
Building on Arnsteins model of
result of power and depends on who structures of governance, Beetham et
participation, Wilcox (1994: 2) proposes
has information and money. As Wilcox al (2008) offer a typology that
a five-rung ladder of participation
(1994: 2) notes: the initiator is in a distinguishes between four modes, or
that stresses collaboration and
strong position to decide how much dimensions, of participation. These
partnership working:
or how little control to allow to others. different dimensions help to examine
diverse forms of participation and
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Understanding participation: 03
A literature review Participation in practice:
December 2009 The activities
reflect both institutional and individual governance structures and may pose participation. These dimensions can
perspectives of participation. In doing powerful challenges to institutional be seen as a range of factors which
so, this typology highlights tensions values and ways of functioning, highlight institutional and/or individual
between institutional power and demonstrate innovative alternatives perspectives. Each of these
individual/collective empowerment, and promote the changing of dimensions forms a spectrum or a
and how distinct forms of participation established practices and norms continuum, rather than static, binary
can challenge institutional power. (Melucci, 1989, 1996; Castells, 1997; opposites. This may help to approach
The dimensions are: della Porta and Diani, 2006). Examples different activities and forms of
range from campaigns against wind participation in a more nuanced and
Individual vs collective
farms to individual and collective fluid way. The following are some of the
action or initiative.
actions against global warming. dimensions suggested in the different
Unstructured vs structured through bodies of literature that we examined:
Underpinning Beetham et als (2008)
existing organisations and channels.
typology is an understanding that any unstructured structured
Time-bound or one-off vs form and activity of participation in the
informal formal
ongoing through time. UK is as unequal as the distribution of
power and resources throughout passive active
Reactive vs proactive. society. This also, they suggest, leads
to unequal access to participation in individual collective
In contrast to the previous typologies,
here the issue of depth of public governance as well as to other social one-off ongoing
involvement is less prominent. In some and individual forms of participation.
However, the authors conclude that unpaid paid
respects this links to the discussions
on breadth of participation (see widening and deepening participation reactive proactive
Section 3.1.1, particularly the Citizen can lead to greater social justice and
Audit for Britain and NCVOs spectrum more effective public services. self-interested altruistic
of active citizenship), although now the Accordingly, they recommend to resisting social change
focus is not on the range of individual individuals, organisations and driving change.
public, social and/or individual communities (of interest, identity and/
activities encompassed within or place) that [t]he governments This overview highlights how critical
participation but on the various commitment to participation should it is to take into account the multiple
additional dimensions which those be grasped but without illusions contexts in which participatory
activities might take. Participation can (Beetham et al., 2008: 60). activities and diverse forms of
be seen to encompass multiple forms participation take place, as well as
of both a formal and informal nature, the purpose, forms and impacts of
including individual and collective 3.5 participation: the practice of
actions at local, national and global Conclusion participation. Overall, a privileging
levels and across a range of different This examination of the practice of of the institutional perspective can
contexts (Cornwall, 2002, 2004, 2005; participation across diverse bodies of be noted in much of the literature
Gaventa, 2006; Gaventa and literature reveals a number of different reviewed. Some authors, however,
Cornwall, 2006). approaches to and overlaps between complement the predominant focus on
understandings of public, social and the public arena with explorations of
Between the vast variety of individual personal and individual participation
individual participation and related
and collective actions and campaigns (for example Cornwall and Goetz,
activities. The review of classifications
is often, according to Beetham et al 2005; Ginsborg, 2005; ESRC, 2007),
of participatory activities highlights the
(2008), a shared sense of anger, as well as those forms of participation
breadth of activities that individuals
injustice or grievance that individuals that take place outside of the
engage in as well as an underlying
and/or communities (of interest, place governance framework (for example
tension in understanding public, social
and/or identity) experience. This, it is Cornwall, 2002; Gaventa, 2006;
and individual activities of participation
argued, leads to reactive or proactive, Beetham et al., 2008). Also missing
in relation to what is political. By
as well as to individual and/or is a sense of who is populating these
contrast, the typologies of forms of
collective protest activities. Such participatory activities: who the
participation reviewed here reveal a
popular participation (Cornwall, 2008) participants actually are. It is to this
concern with variable depths of
or social movement activities (della subject that we now turn.
involvement.
Porta and Diani, 2006) may draw on
existing organisations or on Various authors draw attention to the
unstructured networks and alternative need to consider different dimensions
channels of organisation. These forms that characterise and structure of both
of participation generally thrive outside participatory activities and forms of
20
Understanding participation:
A literature review
December 2009
04
Participation
in practice:
The actors
The literature on participation 4.1 The voter/traditional
activities and techniques, and Who participates, in what? public participant
the classifications and typologies Overall, the literature suggests that
proposed, tend to focus on specific different people are active to varying Research exploring traditional
types of participation whether degrees across a wide spectrum of public participation shows that the
public, social or individual (as participatory activities. There are a most active participants are those
shown in the previous section). number of assumptions around the in mid to later life. At the last election,
It tends to neglect the overlapping types of people who participate in older voters far outnumbered the
boundaries between different certain activities, and for some youngest, with 70 per cent of those
types of participation and little activities there is no shortage of over 65 turning out to vote
evidence exists about how these literature exploring participant compared to 39 per cent of people
different activities may or may demographics and characteristics aged between 18 and 25 (Keaney
not be connected, or how much (voting, for example). and Rogers, 2006). People in older
movement occurs between them. age groups are also more likely to
It is by looking at participation contact an elected representative
from peoples personal 4.1.1 (ibid), and although recent
experiences that some of these The typical participant? comprehensive data is scarce,
connections might be uncovered. The boxes that follow summarise it appears older people are more
In addition, while the above the literature on who is most likely to likely to subscribe to party
discussion of the activities of participate within specific activities. membership (Whiteley et al.,
participation raises the questions 1994; Whiteley, 2009).
of who is and is not getting
involved, and why this might Men and women tend to participate
be, none of the models or via traditional political channels
classifications reviewed relatively equally (Keaney and
gave answers to these central Rogers, 2006, Hansard Society,
questions. This section 2009), and many political
therefore considers the actors in commentators now acknowledge
participation: who participates that gender differences in public
in what and why. participation, once significant, have
largely disappeared (Coxall et al.,
2003). However, although men and
women were almost equally likely to
vote in 2005 (Electoral Commission,
2005: 24) the proportion of women
holding elected decision-making
posts is still unrepresentative of the
adult population at large. Only 29
per percent of councillors are
female, for example (Haberis and
Prendergrast, 2007), and it has
been argued that men are still
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December 2009 The actors
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The charitable giver There is often a positive correlation The consumer activist
with religious practice and giving,
Overall, the literature suggests those respondents actively The most committed ethical
that people of all ages are equally practising any religion donate consumers tend to be in the
likely to give to charitable causes. significantly higher amounts on 30-44 age range. However, the
However, the youngest adults (age average than those not actively 18-29 age group are most likely
16-24) are noticeably less likely to practising or with no religion to seek information on a companys
donate, and donate proportionately (Low et al., 2007:85). behaviour when making a
less when they do (Low et al., consumer decision (Co-operative
2007; Hansard Society, 2009; In summary: The typical charitable Group, 2007).
CAF/NCVO, 2009). givers are likely to be professional,
white, females more than males, The UK Ethical Consumerism
Women have been consistently above the age of 24, religiously Report suggests that those in the
more likely than men to donate to affiliated and living in a childless 60+ age group tend to be less
charitable causes (Low et al., 2007; household. Higher earners are more responsive to ethical messages as
Brennan and Saxton, 2007; Clegg et likely to give, but not proportionally. a whole, and are least likely to be
al., 2008; CAF/NCVO, 2009). Single, committed ethical consumers
childless women are particularly likely (Co-Operative Group, 2007: 7).
to give, as are all child-free households
Recent research however tentatively
(Brennan and Saxton, 2007).
concludes that it is no longer the
Although BME groups are far less case that younger consumers are
likely to donate to a charity or more ethical than older individuals
campaigning organisation (Hansard (Doran, 2009). It appears that there
Society, 2009; Low et al., 2007), is no longer a typical age of ethical
when they do give they are on consumers, and the evidence
average likely to give the same or suggests the age demographic of
more per donor, and more likely to ethical consumers might be in
donate at a place of worship and to transition.
people begging. Asian people are
Research conducted by DEFRA
most likely to give to overseas aid
found a positive female skew of
and disaster relief (Low et al, 2007).
concerned consumers (Muckle,
The higher the educational 2009), whilst Diamantopoulos et al
qualifications attained, the more (2003) found women more likely to
likely the individual is to give (Clegg undertake recycling activities more
et al., 2008).Those in managerial often and display greener shopping
and professional positions have a habits than their male counterparts
higher propensity to give too (Clegg (Diamantopoulos et al., 2003: 475).
et al., 2008). Although there is a However according to the Co-
positive correlation with earnings operative Groups national ethical
and propensity to give (ibid), consumerism report, men and
research has found that when lower women are equally represented in
income households do give, they the ethical consumer market,
donate a larger proportion of their despite women being far more
income (Brennan and Saxton, 2007; concerned than men about animal
Taylor et al., 2007). welfare when deciding on food
purchasing (Co-Operative
Group, 2007).
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Understanding participation: 04
A literature review Participation in practice:
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4.2 Findings from this study resulted They are said to be younger than the
Classifications of actors in an engagement segmentation politically engaged, but like them are
Overall, the literature presents a and the classification of five key also frequently male. However, they
nuanced picture of participation. groups of actors (Harrison and include a high proportion of people
To expand on and illuminate this Singer, 2007: 55-59): with lower incomes, such as students.
picture, we now turn to an examination C
ommunity bystanders are the By contrast, and drawing on the
of classifications of participants that least engaged across a range of Citizen Audit a large-scale study
some authors have developed based activities and less likely to participate involving face-to-face surveys and
on explorations of the diversity of even passively. The authors suggest postal questionnaires with 13,000
activities that individuals engage in. that a disproportionately high number people across England, Scotland
Some classifications focus on the of lower income people and older and Wales (Pattie et al., 2004) Pattie
increasing intensity of participation people fall within this group. et al observe that peoples public
(from occasional to regular, for engagement is multi-faceted. The
example); others interrogate the Passive participants engage in
authors identify three types of political
structure of individuals participatory easy activities, such as socialising
activists. Unlike the classifications
activities. with neighbours, using local leisure
explored above, this classification
facilities and participating in local
One widely applied model of public does not focus on the depth of
school events. Passive participants
participation the civic voluntarism engagement. Rather, the authors
are said to be disproportionately
model has its origins in the research argue that different types of people
middle income and middle aged.
work of Verba and Nie (Verba and Nie, are interested and engaged in different
It is also suggested that passive
1972) on participation in the US, which types of participatory activities:
participants are often parents and
was subsequently applied in the UK typically tired, short of time and I ndividualistic participants are
(Pattie et al., 2004). Verba and Nie energy, and feel unwilling to do more. people who purchase or boycott
(ibid) classified individuals into six particular goods for political or ethical
different groups on the basis of the The community conscious have
reasons; they are also more likely
types of activities they undertook a strong belief in the values of
to donate to or raise money for an
(Pattie et al., 2004: 145): community and in a sense of
organisation, sign petitions, display
community where they live. They are
Inactives do little or nothing. a poster or wear a badge with a
described as making things happen
political message, and vote in local
V
oting specialists vote regularly in their community, though they are
government elections with the aim of
but do nothing in addition. not necessarily political or engage
influencing political outcomes. The
in local politics. The community
Parochial participants contact middle-aged, the rich and the better
conscious are said to be
officials in relation to specific issues. educated are more likely to be
disproportionately women. Like
individualistic participants.
Communalists intermittently engage community bystanders, they tend
in political action on broad social to be older, but are much more Contactors are individuals who
issues, but are not intensely involved. affluent and although they feel time contact public officials and are also
pressures they are not low on energy. more likely to engage in other contact
Campaigners are intensely involved with politicians, organisations, the
in a various campaigns. The politically engaged focus on
media or legal personnel. Contactors
local activities, such as local planning
Complete activists participate in a are more likely to come from among
meetings and public consultations.
number of activities. the poorer members of society.
They may also write to newspapers
This classification is framed around and their MP, or canvass for their Group activists form groups of
the increasing intensity of engagement, local party, but do not socialise with like-minded people or take part
particularly in the public arena. neighbours or go to local leisure in demonstrations and political
Similarly, a small scale qualitative facilities. They are said to be in the meetings, and may also participate
research study carried out by the oldest age group, the most affluent in illegal protests. That is, they
Henley Centre examined patterns and frequently male. participate in or initiate collective
of engagement in the public realm. action. The young and highly
The active protesters put their
Individuals attitudes and activities educated are more frequently
time and energy into going on
concerning engagement, community, found to be group activists.
demonstrations and writing letters
public services and politics were to newspapers. According to the
profiled against their personal time, authors they tend to be less satisfied
energy and money budgets. with their local area and this, they
suggest, may drive their participation.
26
Understanding participation: 04
A literature review Participation in practice:
December 2009 The actors
Like the work by the Henley Centre highlights four explanations in the and help people (53 per cent). This
(above), these conclusions from the volunteering literature why people was followed by an affiliation with the
Citizen Audit highlight that there is a volunteer: cause, and an availability of time for the
structure to [peoples] actions (Pattie individual (41 per cent). A plethora of
S ocio-economic factors: people
et al., 2003: 623), though this is not to other motivations have been cited,
with higher education and income
suggest that the different categories such as to use existing skills, part of
volunteer more than those with
are mutually exclusive and that people my life philosophy, part of my religious
fewer resources.
do not engage in a range of different belief and to assist career. Life
activities. Opportunity or access: this is experience has also been cited as a
connected to peoples social key driver, and can contribute heavily
The empirical literature reviewed
networks; people who volunteer to a participants choice of activity; an
identifies how the characteristics of
often do so because they have individual is likely to participate within a
actors vary across the broad range
been asked. particular cause if they have been
of participatory activities, while the
affected by it during their life course.
classifications of actors illustrate how Historical and cultural factors at This is supported by some of the new
the depth of involvement differs for the wider societal level: for example, social movement literature. Searle-
different people, as well as how the bias in the UK for volunteering to Chatterjee (1999) argues that the
different people appear to be attracted take place within the realm of social propensity to participate is established
to different forms of engagement. The welfare and the way in which people early in the life course, and emerges
literature suggests that participation from certain cultures or religions are from the intersection of socialisation
is unequal across different sections routinely involved in activities which within the family and personal life
of society, reflecting the unequal might be seen as volunteering (e.g. experience.
distribution of power and resources Chinese and African-Caribbean
in society. We now attempt to make communities caring for members of Helping Out (Low et al., 2007)
sense of how and why such inequality their family and neighbours). identified some variation between
influences participatory behaviour, by motives and social demographics.
reviewing the literature on why some Individual motivation: some people Age was fairly constant across the
participate more, and others do to a have personalities which are more various motivations; however
lesser degree. helpful and generous than others. volunteering in order to meet people
These broad explanations, although and widen social networks was more
originally focusing on volunteering, common for the youngest and oldest
4.3 provide a useful way in which to think age groups. Young people were also
Why participate about why people participate. more likely to volunteer to enhance
The literature suggests that the Unearthing all the reasons why people their employability. Perhaps rather
reasons people become active and participate and become active is, more surprising, however, was the
the reasons they do not, are numerous, unfortunately, a task beyond the scope disparity within ethnic groups; white
hugely diverse and vary according to of this review. This section does not people for example were significantly
personal, cultural, environmental and therefore exhaustively explore all the more likely to volunteer because they
structural circumstances. By teasing motivations and triggers of had time on their hands compared to
out motivational factors, barriers, participation, but provides an insight black or Asian volunteers.
triggers and enablers of participation into the variety and breadth of The literature on public participation
across the different forms of activity individual drivers for participation, and also identifies a variety of reasons for
we can begin to understand why some the difficulties of investigating them. getting involved. A personal interest,
people participate more and why an aspiration to change things,
others participate less. These can be background influences such as
addressed by adopting a sociological 4.3.1 upbringing, faith, life experiences,
perspective that examines the Why people say and exposure to the community and
structural/societal elements that inhibit they participate voluntary sector all affect individuals
peoples engagement, and by taking a There is a considerable body of propensity to participate politically
psychological perspective to explore literature on the reasons people within their communities (Rai, 2008;
peoples motivations. volunteer. Respondents to the Helping CLG, 2008b; Haberis and
In the formal volunteering field Out survey (a national survey of Prendergrast, 2007). More specifically
alone there have been numerous volunteering and charitable giving, however, some commentators stress
psychological and sociological Low et al., 2007) identified a variety how individuals want to have a voice,
studies that have attempted to explain of pragmatic, egotistic and altruistic and by participating through these
motivation (Rochester et al., 2009 reasons for volunteering. The most direct political channels they are given
forthcoming). Rochester (2006) common motive was to improve things the opportunity to have their say
27
Understanding participation: 04
A literature review Participation in practice:
December 2009 The actors
(CLG, 2008b; Foot, 2009). Indeed more philosophical approach. participants themselves make sense of
this voice in the community and sense Barnett et al (2005) discuss two their involvement. As a result, socially
of empowerment means individuals philosophical positions regarding desirable responding may mean that
can feel they are making a positive ethical consumption. Firstly, these people are reluctant to admit they are
difference in the local and wider authors suggest that ethical doing something without concern for
area (ibid). Perhaps not surprisingly consumerist choices are often made their own welfare. They feel social
considering these reasons, it has with consequentialist underpinnings; pressure to avoid taking too much
been suggested that the stronger the where consumers are concerned with credit for their selfless actions
commitment to the local area, the more the consequences or outcomes of their (Musick and Wilson, 2008).
likely the individual is to participate in
actions. The authors discuss how
An additional methodological caveat
local activities (Skidmore et al., 2006).ethical consumption campaigns and
is that the researchers often provide
Furthermore, it has also been policies usually rely on and assume a
the list of motivations, from which
demonstrated how individuals are consequentialist position of the
respondents can choose so, although
more motivated to get involved and consumer, and that such a position
the motivational factors discussed
stay involved politically when they are implies that there is a single measure
above give us an indication that
asked or invited, when an active of what the good is, and of what
some respondents perceive their
interest is shown in their opinion, when acting ethically should entail, and that
involvement as value-driven, this
they have had a positive previous the main challenge is to get consumers
cannot be explicitly identified as
experience and feel their engagement to adopt the appropriate forms of
their prime reason for volunteering.
was influential and acted upon, and conduct and behaviour (Barnett et al.,
Empirical survey data can only go
when they feel confidently equipped 2005: 12). Secondly, and in contrast,
so far in explaining motivation.
(practically and mentally) with the they suggest that ethical consumption
resources needed to engage can be understood from a
(Lowndes et al., 2006; CLG, 2008b). deontological perspective. Such a
duty-based approach identifies right 4.3.2
Many of these factors are similar
actions as independent of the Psychological motivations
to the motivating factors for people An extended understanding of
outcomes/favoured goals. The authors
getting involved in less formal and motivations can be developed through
acknowledge how the reasons for
structured participation. For example, considering the psychological factors
consumers to shop ethically may be
Klandermans (2003) notes how people that may underpin survey results, and
based around moral obligation, as the
join social movements when they care the sociological considerations of the
ethical consumerist agenda invokes
about an issue and aggrieved, and wider circumstances which encourage
highly universalized arguments about
when individuals and organisations participation. Two key studies provide
peoples responsibilities to care for
have the resources to mobilise (money, valuable insights based on the analysis
others whether this is other people,
time, technical expertise etc.). More of motivations for volunteering
other creatures, the environment, or
than a decade before this, Taylor (1992) specifically.
future generations (Barnett et al.,
identified various social, economic,
2005: 13). Clary and Snyders work focuses
political and cultural reasons people
have to form and participate in Altruism prevails, or does it? specifically on volunteer motivational
community organisations. These The motive to improve things and help behaviour. They developed the now
motivational factors include a desire people is consistently reported as well-known Volunteer Functions
to engage in shared activities, to important across social groups and UK Inventory (Clary et al., 1992) which
provide mutual support, to reinforce regions. There has long been extensive identified six primary psychological
a community identity and give psychological exploration into the motivations for volunteering:
individuals a sense of belonging, altruism factor of volunteering, and V
alues: Acting on altruistic beliefs
to try and improve services for the whether altruism actually exists in in order to help others.
community and to gain influence in terms of pro-social behaviour (Smith,
the larger environment. Such 1981; Unger, 1991; Maner et al., 2002; Understanding: Volunteering to
motivations, Taylor argues, flow from Burns et al., 2006; Carpenter and learn and experience new things
a number of common interests which Myers, 2007). and develop life skills.
she describes as cultural heritage, Career: Gaining career related
social relationships, common However, the most common way to
determine why people participate has employment skills and experience
economic interests and the basis for work advancement.
for political power. been to ask them their reasons for
doing so, and the findings from the Social: Volunteering conforms
Literature attempting to explain empirical research studies that make to behaviours favoured by
why people participate in individual, up a large part of the motivation peoples peer group.
everyday spaces tends to take a literature are therefore based on how
28
Understanding participation: 04
A literature review Participation in practice:
December 2009 The actors
E
nhancement: Volunteering to (instrumentality), to belong to a group 4.4.1
enhance ones self-esteem. (identity) and to give meaning to ones Institutional barriers
life (meaning). Klandermans later work The literature suggests that officialdom
Protective: Using volunteering as
goes further and argues that together and the complex structures of
an escape mechanism to deal with
these three motives account for a government and voluntary and
negative feelings about themselves.
majority of the collective political action community organisations can often
Clary and Snyders model has since in society (Klandermans, 2004). deter people from participating.
been the subject of much reflection Bureaucracy is often cited as a
and refinement, both by themselves prominent put-off for would-be formal
and others (Omoto et al., 1995; Clary et 4.3.3 volunteers, with increasing numbers
al., 1996; Clary et al., 1998; Clary and Triggers for involvement: being potentially deterred by lengthy,
Snyder, 1999). McEwin and Jacobsen- The importance of social formal recruitment processes (Low
DArcys (1992) Volunteer Motivation relationships et al., 2007). Local governance
Inventory, built on Clary and Snyders Beyond personal motivations a structures are often perceived as
Volunteer Functions Inventory, has four number of factors can encourage and frustratingly bureaucratic, complex
further functions: enable participation and help explain and unnecessarily formal (Rai, 2008;
why people choose to continue or CLG, 2008b). Consequently those
R eciprocity: The individual
withdraw their involvement. more at ease in such environments are
volunteers with the belief that what
over-represented in these activities,
goes around comes around. Altruistic Personal circumstance, socio-
whilst non-participants may be those
behaviour brings about positive demographics, life events and that find the process intimidating and
things for the volunteer. other factors can help explain inaccessible. There have also been a
Reactivity: The individual is involvement. Individuals may have number of structural barriers identified
motivated to volunteer out of a need similar motivations, values and for individuals becoming and remaining
to deal and eradicate personal circumstances, yet some may act a local councillor, including the current
problems (past or present). on these and some may not. So how electoral system and restrictive anti-
do motives transfer into active discriminatory legislation (Haberis
Social Interaction: The individual participation? Merely being asked and Prendergrast, 2007).
volunteers to build social networks is seen as an important trigger
and to interact with others. (Rochester, 2006; Lowndes, 2006; The role and influence of existing
Haberis and Prendergrast, 2007; Low community leaders has also been
Recognition: The individual is
et al., 2007; CLG, 2008b) as is finding identified as a hindrance for wider
motivated to volunteer by the appeal
out through word of mouth. Some participation. According to Francis
of being recognised for their
individuals referred to as moving and Henderson (1992: 24) the
contribution.
spirits by Gibson (1996) can motivate tendency can be for existing leaders
A rather different analysis is provided whole communities into action with and gatekeepers to play a dominant
by Batson et als (2002) study into their powerful community networking role. The authors note how such
motives for community involvement. prowess. Social linkages therefore gatekeepers, who may be formal
This work suggests that participants seem key, and the well-resourced, leaders or simply powerful local
are driven by one of four motives: with further education, higher incomes figures, often facilitate peoples entry
and wider social networks are more into particular networks in the
E goism where the intention is to community. This can be an enabling
increase ones own welfare. likely to hear about opportunities for
participation, and to be asked mechanism, but it is important to
Altruism where the goal is to (Musick and Wilson, 2008). recognise that, by controlling access
increase the welfare of one or more and pathways into groups and
individuals. networks they can also reinforce
4.4 the existing social system and
Collectivism where the goal to encourage exclusion.
increase the welfare of a group or Reviewing the barriers
collective. to participation At a national level, the Power Inquiry
As well as reviewing why people (2006) suggests that individuals are
Principalism which aims to uphold become participants, we also need becoming disengaged from
some moral principle. to look at the barriers that prevent established political participatory
Away from traditional volunteering, people from participating, to gain channels because of a perceived lack
Klandermans (2003) notes how further clarity of individuals of principles of and differentiation
individuals are motivated to join social participatory patterns. between the main political parties.
movements and protest activities by a Disengagement is also seen to result
desire to change circumstances from a perception that the processes
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Understanding participation: 04
A literature review Participation in practice:
December 2009 The actors
do not give individuals enough Practical deterrents business models, and question
influence, as well as pessimism over Practical difficulties such as not whether they provide a hand-up or
the electoral system and the impacts knowing how to get involved, lack a hand-out (Hibbert and Farsides,
of voting, and the perceptions that of time, childcare, timing of events/ 2005: 6). Certain groups have
voting procedures are difficult participatory opportunities, access reservations that volunteering may
and unappealing. and location of meetings and transport adversely affect their welfare benefits
difficulties are often identified as (IVR, 2004; Ramsey, 2005). A lack of
Lack of resources faith in the engagement process at
obstacles to participation (Ellis, 2003;
Education as an individual resource local decision-making level also often
IVR, 2004; Morris, 2006; Skidmore et
is a strong predictor of participation. appears to limit participation (Lowndes
al. 2006; Blake et al., 2008; Low et al.,
Some commentators argue that the et al., 2001; Skidmore et al., 2006;
2007; CLG, 2007; CLG, 2008b).
more education people have the more Blake et al., 2008; CLG, 2008b), where
Practical impediments can differ by
extensive and heterogeneous are their people often suspect their views will
activity, OBrien and colleagues for
social networks, which increases the not be taken on board and they
example do not cite lack of time as a
chance they will be asked (Musick consider that their input will not have
barrier in environmental volunteering,
and Wilson, 2008: 120), thus a lack any tangible outcomes. Distrust in
but rather identifies obstacles such as
of education and the opportunities it ethical marketing claims is also
costs and transport issues (OBrien
brings can be seen as a barrier to growing, and the literature indicates
et al., 2008). Practical barriers also
participation. The Department of that consumers are becoming
inevitably differ with individual
Communities and Local Government desensitized and suspicious of
circumstance; those with dependents
(CLG, 2008b) note how a gap in environmental and ethical advertising
face specific barriers for example,
education can deter participants in claims, hindering peoples enthusiasm
whilst those with long-term limiting
other ways. For example, a lack of to participate on an individual level in
illness may face a different set of
awareness and understanding of their everyday lives (Shrum et al.,
practical barriers.
governance and political processes 1995; Futerra Sustainability, 2008).
can prevent people from getting involved.
Perceptions of the stereotypical
Financial resources, or rather a lack 4.4.2 participant can create additional
of them, can also create a barrier to Psychological barriers barriers. The idea of a dominant
participation. Lack of disposable Individual lack of confidence to participant, or the usual suspects
income is consistently the most participate appears to cut across many can exacerbate divisions between
common reason why people do not different participatory activities. It has those who participate and those who
give to charitable causes (Low et al., been suggested that peoples lack of do not. Active participants are often
2007), and the financial costs involved confidence and insecurity about their seen as an elite clique, and part of the
in more demanding roles of knowledge of formal politics, and establishment. This in turn makes it
participation can also be a barrier to difficult voting procedures, is a barrier difficult for non-participants to join in
engagement (CLG, 2008b). For for many in formal politics (Power and become active; the fear of
instance, childcare costs can deter Inquiry, 2006). A lack of knowledge alienation or setting yourself apart
potential school governors (Ellis, and confidence are cited as barriers from the crowd puts people off
2003) and the cost of travel for local to people becoming councillors, (CLG, 2007: 26). Likewise in formal
councillors in rural parishes has been especially women and young adults volunteering, the clichd image of an
identified as an obstacle (Haberis and (Haberis and Prendergrast, 2007) as old, do-gooder volunteer can deter
Prendergrast, 2007). Cost can also be well as Further Education governors certain groups (Marta and Pozzi,
a deterrent in the ethical consumption (Collinson et al., 2007), school 2008; Volunteering England, 2008;
market (Harrison et al., 2005), and for governors (Ellis, 2003), and volunteers IVR, 2004; Rochester et al.,
people on low incomes, the incidental more generally (IVR, 2004). Self-image 2009 forthcoming).
expenses of providing food and other and lack of self-confidence can also be
services to people in need...decent an issue for would-be formal volunteers; It should also be noted that some of
clothing, or the costs of transportation two-thirds of respondents in the the practical barriers cited above may
can make all the difference between Helping Out survey did not feel they also be psychological. Lack of time
volunteering and not volunteering had the adequate skills or experience for example is the most commonly
(Reitsma-Street et al., 2000: 665). to volunteer (Low et al., 2007). identified barrier for participation.
Lack of time (see below) and poor However, as has been established,
health are also seen as barriers to Suspicion and lack of trust also seem those who do participate are often in
participation (Musick and Wilson, to be an underlying deterrent. For full-time employment and lead busy
2008; Harrison and Singer, 2007). example, people are often deterred lives, suggesting time may be less of a
from committing financially to a cause practical barrier than often claimed,
because they are cynical about charity and more a perception barrier (IVR,
30
Understanding participation: 04
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December 2009 The actors
2004). Lack of time may be an easier, 4.5.1 concerns them directly, who withdraw
more socially acceptable reason given Personal continuation from the public arena once their
for non-participation. and withdrawal factors purpose has been achieved (Coxall
A range of other personal factors et al., 2003). However as global green
can contribute to continuation along issues continue to rise in political
4.4.3 an individuals pathway through significance (along with increased
Discrimination and prejudice participation. Some researchers activism), it will be interesting to
Blakey et al (2006) suggest that certain suggest that having a stable and examine whether the sporadic
groups may face high levels of stigma settled personal life, such as being participation of such activists
from within their own communities, as married and having children, diminishes.
well as the wider population, contributes to sustained participation Jasper (1998) on the other hand
discouraging individuals involvement. in the volunteering field (Locke et al., emphasises the importance of the
Rai (2008) found BME women often 2003). Higher levels of education, individuals emotional attachment to
experience gender, race and/or faith previous experience of participation protest and social movement activity
discrimination which can deter them and friendships and networks made in shaping the participants pathway.
from participating politically. At through participation have also been The author argues transitory, context-
councillor level, the literature suggests found to sustain activity (ibid). specific emotions (for example
women are often put off by the male- Interestingly however, a number of frustration, compassion, anger,
oriented culture of local government studies exploring factors such as alienation and anomie) explain and
whilst a barrier for some BME personality and attitudes, type of provide motivations for beginning and
candidates is hostility; for those with motivation, faith, and demographics remaining active in collective action,
a disability, discriminatory or ignorant do not find conclusive connections as well as reasons for withdrawal.
attitudes are also cited as a deterrent between these factors and continued According to Jasper, emotions both
(Haberis and Prendergrast, 2007). participation (ibid). A number of reactive and affective can help explain
Within formal volunteering, some personal withdrawal factors have why individuals join protest events or
commentators have suggested BME been suggested, for example moving groups, ranging from emotional
groups also face racial hostility and to another area (Davis-Smith, 1998) responses they can have as individuals
discrimination (Niyazi, 1997; Reid, or changing employment to those that recruiters can stir in
2004). It is likely that those who have (Wardell et al., 2000). them...[I]n many cases, the same
encountered such discrimination in emotions - in different contexts, or with
the past are going to be more cautious In less structured forms of different objects - that lead people into
in the future (IVR, 2004; Rochester et participation, it is harder to explore
pathways and decipher continuation social movements can lead them out
al., 2009 forthcoming). again (Jasper, 1998: 404-405).
and withdrawal factors. Indeed
compared to the abundant literature Passy and Giugni (2000) argue that
on why people join movements, once participants have established a
4.5 literature on why they exit is almost
Sustaining participation connection between the three principal
nonexistent (Klandermans, 2004: life spheres (namely family, studies and
Why people continue participating 372). Unlike formal volunteering,
(or not) is as complex an issue as work) and their political engagement,
where, as discussed above, personal then their commitment to an issue will
exploring what motivates people to stability and children can sustain
begin, and [A] great deal of attention be interlocked and strengthened by
participation. Doherty et al. (2003) this intertwining of spheres, thus: the
has been given to understanding find that direct action in social
initial motivation and comparatively higher the chances that such an issue
movements often ends with the arrival will become a crucial element in the
little to explaining why people stay of children, marriage, full-time jobs
(Rochester, 2006: 13). Commentators and mortgages. Klandermans (2004) construction of the self, and as a result,
are not under the illusion that there the higher the chances that their
on the other hand argues insufficient political commitment will stabilize,
is a single answer. Within the formal gratification combined with declining
volunteering field for example, [T]here commitment is the core route to leading to sustained participation
is no factor x that explains why some (Passy and Giugni, 2000: 125).
withdrawal. Some authors identify
people continue volunteering and why a continuity in social movement
others withdraw...not only has no factor involvement across generations
x been found it does not appear to (Searle-Chatterjee, 1999) while
be worth looking for one (Locke others have described activists such
et al., 2003: 95). as environmentalists as sporadic
interventionists; as individuals
protesting about a threat that
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December 2009 The actors
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December 2009 The actors
Table 3:
Participation as
situated practice
Who? Participants and non-participants, and the myth of the typical participant
Why? Or why not? Motivations, barriers, triggers, enablers
What? (Breadth) Activities and type of activity (e.g. mutual aid, service, self help, governance)
What in? (Breadth) Fields of interest (e.g. personal experience, identity, values and worldviews);
How? (Depth) The different techniques that are used to create spaces for participation,
combined with other triggers that facilitate or lead to participation
Where? (Context: spaces Different contexts/spaces (e.g. public, everyday life; closed/invited/
and places) claimed spaces, etc)
33
Understanding participation:
A literature review
December 2009
05
Participation
in theory:
The concepts
Previous sections have analysed This section focuses on theories civil society but they are united in that
literature on the practical aspects both structural/contextual theories and public participation, whether directly or
of participation activities, actors, agential/individual-level theories that via elections, is a prime component,
motivations and barriers. Through help to explain and/or conceptualise and that individual participation is
the course of this review, we have participation, particularly in relation to essential to democratic governance
identified key themes around the the themes outlined above. Drawing on and in creating legitimate institutions
wider social and political context social science literature, we explore (Keohane, 2002: 340, 343).
for participation, as well as the theories associated with wider political
In his landmark book, Democracy
overall state of participation in and social contexts including
and its Critics, Dahl (1989) sets out
practice. These themes include: democratic, social capital and social
the institutional features of liberal
movement theories. Understanding
the crisis of democracy representative democracy (which he
participation as situated practice leads
and emergence of new calls polyarchy). These include:
us to a cross-cutting theme of power.
governance spaces; accountable government; free and fair
We conclude with an overview of life
the endurance of an competitive elections; civil and political
course theory and life spheres which
independent and thriving rights, and associational autonomy. In
draw together macro- and micro-level
civil society and new this analysis, governments gain their
theories and relate them to both
forms of activism; legitimacy and mandate to govern
individual and social change.
the importance of the primarily via the result of competitive
individual participants elections. Concerns about the
personal experience; democratic deficit connect to this:
personal experience as 5.1 if people are voting in fewer numbers,
situated, or contextualised; Citizen and state and if the profile of people voting is
the importance of relationships relationships becoming narrower, the government is
between individuals and the The changing relationship between not being effectively held to account by
state and of relationships citizens and the state is fundamental to its citizens and it has a questionable
between individual participants; our understanding of how participation mandate to rule (Power Inquiry, 2006).
how these relationships shape (public in particular, but also social and
individual participation) has developed Models of participative democracy
the spaces for and experience
over recent years. Democratic theories have been proposed as a way to re-
of participation;
provide an analytical tool to help us engage citizens and reinvigorate
the dynamics of power
think about this issue. They help us to democracy (Mulgan, 2005; Smith,
which underpin these
understand the current preoccupation 2009; CLG, 2008a; Goodin and
relationships; and,
by policy makers with the democratic Dryzek, 2006). Participative
how power dynamics
deficit and the drive to increase citizen democracy is seen to extend and
manifest themselves in terms
engagement through new techniques deepen liberal representative
of exclusion/inclusion and
of participation such as participatory democracy by involving the majority
inequality/equality.
budgeting, citizens juries and of people in decisions that affect their
partnership governance. lives from the workplace (Pateman,
Representative and participative 1970) to all of society (Barber, 1984)
democracy two strands of including economic enterprises, local
democratic theory propose different communities and the household
relationships between the state and (Potter, 1994).
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Understanding participation: 05
A literature review Participation in theory:
December 2009 The concepts
Participative democracy is that the state is involved in the achievement and improved housing
considered by some as keeping reproduction of everyday life, and status (Portes, 1998; Woolcock,
community life vital and public accordingly there is a meshing of 2001; Field, 2003).
institutions accountable (Roberts, state and civil society. Citing de
Despite the popularity of social capital
2004: 315). Although no nation-state Tocquevilles Democracy in America
as a concept and a theory, it has come
currently conforms to a fully (2000 [1835-1840]), Ginsborg (2005:
under criticism, both theoretically and
participatory democratic political 165) asserts that if the habit of forming
empirically. One of the main theoretical
regime, there are examples of associations in ordinary life is not
critiques of social capital theory is that
deliberative democratic models encouraged then democracy is
it fails to establish the causal links
operating at the local and regional unlikely to survive, because the act
between associational life, high social
levels, such as the much-celebrated of forming and taking part in voluntary
trust and better government. Whilst
New England Town Meetings (Bryan, associations teaches members
social capital may lead to positive
2004; Smith, 2009). In deliberative civic skills and values voluntary
outcomes, its very existence could be
democracy, decision-making is associations act as schools of
inferred from those outcomes (Jochum,
reached through deliberation and democracy (c.f. Tocqueville, 2000
2003; Portes, 1998). There is also a
discussion rather than through [1835-1840]; Morales and Geurts,
body of empirical evidence on social
voting (Elster, 1998). 2007). Here social participation is
capital which brings issues of power
seen as having a by-product which
Attempts to re-engage citizens and inequality to the fore (Fox and
benefits public participation.
and revitalise democracy seem, Gershman, 2000; Silvey and Elmhirst,
in principle, only to have positive Theories of social capital allow us 2003; Jochum, 2003; Field, 2003).
implications, although some critics to further our understanding of the Social capital can entrench inequality
are concerned about the way these complementary nature of partly because access to different
principles translate into practice and representative and participatory kinds of networks is unequally
fail to shift existing power relationships democracy and the role of civil society distributed, as Field notes (2003: 74),
(Hay et al., 2008). Whilst it is important within it, and to reflect on power [e]veryone can use their connections
to be aware of some of the criticisms relationships between individuals, as a way of advancing their interests,
of models of representative and amongst groups and in wider society. but some peoples connections are
participative democracy, Ginsborg Theories of social capital, popularised more valuable than others. Field
(2005) asserts that there is hope for by Putnam, draw on de Tocquevilles therefore suggests seeing social
democracy, particularly when both interest in civil society and capital as both an asset in its own right
representative and participatory forms associational life. Putnam describes that is unequally distributed and as a
of democracy are combined for mutual social capital as the connections mechanism that can further promote
benefit. He calls for a sense or culture among individuals social networks inequality (ibid: 75). The French
of everyday politicsmechanisms by and the norms of reciprocity and sociologist Bourdieu (1986) viewed the
which ordinary lives are connected to trustworthiness that arise from them networks associated with social capital
extraordinary problems (2005: 171-2). (Putnam, 2000: 19). He proposes that as a source of privilege that benefited
To ensure the health and survival of joining and taking part in local the already privileged in society, and
democracy, Ginsborg suggests that organisations helps to foster trust in excluded other sections of society from
the state act as a facilitator in linking an others and a sense of shared values, opportunities for advancement.
active civil society with family life to put broadening participants sense of self
Bourdieus and Fields critiques of
an end to politics as an excessively and enhancing participants taste for
social (and cultural capital) can be
separate sphere (2005: 171). collective benefits (Putnam, 1995: 67).
connected to resource-based theories
Putnam highlights how the norms and
of socioeconomic inequality, which
networks of participation affect the
draw on the work of Weber and neo-
5.2 performance of representative
Marxist theories of the class structure
Democracy, civil society government, whereby the presence
of society (Gilchrist, 2004). Weber
and social capital or absence of public engagement
argued that socioeconomic resources
The concept of civil society is impacts on the quality of governance,
and status are the principle
closely linked to democratic theories. democratic institutions and public life
determinant of voluntarism (Janoski
For democratic theorists, a critical (see also Stoker, 2007). There is a
and Wilson, 1995). More recent studies
component of democracy is the growing body of evidence that
of social capital in Britain tend to
provision of space for voices of suggests social capital can have a
support that view in that class is an
different stakeholders to associate range of other positive impacts as a
important determinant of participation,
(Dahl, 1989). Whilst the state is source of network-mediated benefits
with middle-class people being more
separate from civil society, it is not beyond the family (Portes, 1998)
likely to be members of voluntary or
divorced from it: Held (1996) notes including increased educational
civic associations (Hall, 2000).
35
Understanding participation: 05
A literature review Participation in theory:
December 2009 The concepts
5.3 These different types of social capital They frequently treat social
Social networks and can be illustrated and utilised in networks as predictors of individual
social movements different ways. For example, a high participation (Diani, 2003). For
Social network and social degree of bonding social capital in Melucci (1989) networks act as
movement theories contribute to our groups and networks can undermine cultural laboratories where personal
understanding of participation in a the development of cross-cutting ties, involvement and individual investment
number of ways. In particular, they which enable public good outcomes in the experimentation and practice
help us to better understand the notion that benefit the community at large of new cultural modes, new forms
of loose and informal and networked (Stone and Hughes, 2001). Jochum of relationships and alternative
forms of participation and of networks (2003) notes that if bonding ties exist conceptions of the world are
as sources of power, influence and without bridging and linking ties, they experienced and shaped. These
social change. can lead to the pursuit of narrow personal experiences, Melucci (1989,
self-interests and/or to the rejection 1996) argues, result in personal and
Castells (1996: 469) suggests that of outsiders. individual change and transformation
social networks are the new social and can introduce new agendas and
morphology of the contemporary era In social movement literature, the
alternative ways of doing politics
and the concept of social networks is concept of social networks features
which, in turn, can lead to cultural,
important in the literature beyond prominently. Social movements can
social and political change. By linking
social capital. It features, for example, be defined as collective challenges
personal change with wider social
in the literature on community by people with common purposes and
transformations in values, attitudes and
development and social movements. solidarity in sustained action against
social practices (Melucci, 1989, 1996)
It has been suggested that the term elites, authorities, other groups or
social movement activities challenge
network was used first by cultural codes (Klandermas, 2004).
conceptions of the private and the
anthropologist Radcliffe-Brown in A common factor among these diverse
public (della Porta and Diani, 2006)
1940 and that early sociologists movements is their largely informal
but also of the personal and the
recognised the significance of character and the fact that collective
political (Nissen, 2008).
networks as an aspect of community challenges are posed against power
living (Gilchrist, 2004). Networks can holders and/or social and cultural
be understood as a web of lateral norms and expectations; and that
collective actions are informed by a 5.4
connections and avoidance of formal Space and place
bureaucratic structures and common purpose and solidarity
(Klandermans, 2004). Key to our approach to exploring
comprised of a set of nodes (where the dynamics of participation are the
connections are made either through Social movement theories shift the notions of space and place. Cornwall
individuals or organisational units) and emphasis from organisations to social (2002) advocates the notion of
the linkages between them (Gilchrist, networks, which allows for greater participation as situated practice
2004: 29). Network theories can help understanding of the importance of which involves a theoretical approach
understanding of the interactions of individual participants: social to participation that:
daily life, community dynamics and movements do not have members,
collective action. Social network but participants (della Porta and Diani, locate[s] spaces for participation in
analysis suggests that the number 2006: 26) who have a sense of being the places in which they occur, framing
and kinds of ties, and levels of involved in a collective endeavour. their possibilities with reference to
communication, people have are Social movements are distinct from actual political, social, cultural and
key to determining the range of other movements of collective action historical particularities rather than
opportunities, influence and power such as consensus or solidarity idealized notions of democratic
they have (Granovetter, 1973; Burt, movements often found in the voluntary practice (Cornwall 2002: 51,
1997; Lin, 2001). The idea of different and community sector because they emphasis in original).
types of networks being important in aim for a redistribution of political, Considering participation as situated
different ways has permeated the social and economic power and an practice in different spaces enables
social capital literature in discussions alteration in social structure (Della a deeper understanding of
on the different types of social capital: Porta and Diani, 2006: 23). participation. This understanding
bonding (ties between people who are
Social movement scholars highlight a brings together the public side of
similar); bridging (ties between people
dynamic relationship between social participation, characterized in invited
who are different), and linking (ties
networks and participation (Melucci, spaces such as deliberative forums
between people without power with
1996; della Porta and Diani, 2006; with the social side of participation
those in authority) (Jochum, 2003;
Melucci, 1989; Ginsborg, 2005; where people create their own
Woolcock, 2001; CarnegieUK Trust/
Buechler, 2000). opportunities and terms of
NCVO, 2009).
engagement (Cornwall, 2002: 50).
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Understanding participation: 05
A literature review Participation in theory:
December 2009 The concepts
We can include online as a space 5.5 This insidious face of power helps us
that also needs to be considered. The ubiquity of to understand why people become
Academics working within power relations willingly compliant in decisions that are
anthropology, geography and Before moving from the macro-level against their interests by being
elsewhere are engaging with debates theories to the micro or individual prevented, to whatever degree, from
about virtual locality and place, and level theories, we turn our attention to having grievances by shaping their
alternative universes such as Second a theme that cuts across all of the perceptions, cognitions and
Life (Boellstorff, 2008), as well as theories outlined so far: the theme of preferences in such a way that they
theories of place (Castells, 2000; power. Power cuts across all the accept their role in the existing order of
Ingold and Vergunst, 2008). Such theories (and activities and actors) things (Lukes, 2005: 28). This reading
ideas of place and space are closely covered throughout this review from of power also helps us to understand
linked to the notion of community the critique of power relations not why some people are routinely and
whether this is a geographical being fundamentally changed perpetually excluded from some forms
community located in a particular by certain types of deliberative of participation, and the importance of
place (urban neighbourhood, village democracy, to the power gained dominant worldviews and ideologies,
or town) or a community of interest from belonging to particular from neoliberalism to ethical
where people have a common interest social networks. consumerism.
through shared characteristics or
Here we draw on three (of many Third, building on the work on power
circumstance (Conn, 2009).
possible) theorists to enhance our by Lukes (1974, 2005), Gaventa (2006)
To further develop the notion of understanding of these different types suggests that different forms of power
participation as situated practice, of power, and examine why they are need to be understood in relation to
Gaventa (2007) sets out a typology of important. First, Beetham highlights two dimensions: how spaces for
three spaces for participation: closed, the notion of power as legitimacy, or participation and engagement are
invited and created/claimed spaces. that the effectiveness and acceptability created, and the levels of power (from
Closed or uninvited spaces are spaces of power depend on its degree of local to global) in which they occur.
in which bureaucrats, experts, elected legitimacy (Beetham, 1991). Without Understanding each of these the
representatives make decisions with legitimacy, power is diminished, which spaces, the levels and forms of power
little broad consultation or involvement. suggests a possibly more sinister as separate yet interrelated
Invited spaces are those in which reason behind politicians concern with dimensions permits these dimensions
people are invited to participate by the democratic deficit. to be analytically linked together.
various types of authorities. Claimed
spaces are spaces which are claimed Second, Lukes classic analysis (1974,
by less powerful actors from or against 2005) of power as having different
the power holders, or created more faces: a public, hidden and an
autonomously by them (Gaventa, insidious face. The public face relates
2007). A second dimension to to the world of public decision-making
Gaventas typology is place: he asserts and the power to make and implement
that the three spaces of participation decisions; the hidden face relates to
take place at local, national and global how certain topics are simply kept off
levels. All of these spaces and places the public agenda, and the insidious
are informed by a conceptualisation of face refers to the shaping of the public
power (see Figure 5). domain through the beliefs, values and
wants that are considered normal or
acceptable (Beetham et al., 2008: 15).
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Understanding participation: 05
A literature review Participation in theory:
December 2009 The concepts
Figure 5:
Gaventas power cube
Global
Forms
Levels
Nationa
l
Local
sib le
Inv i
d en
Closed
I nv i te d Hid
Claimed ble
Created / V isi
Spaces
This framework for analysing through the different forms, spaces (ibid). Because of the globalised
relationships of power highlights how and levels and explicit engagement nature of contemporary societies
the dynamics of power create different with issues of inequality requires it is important to consider the
obstacles and entry points towards more attention (Cornwall and Goetz, interrelationships between these
changing power balances in emerging 2005; Gaventa, 2006). multiple levels, even though ones
new forms of governance. As attention might be on individual
Other levels may be equally important
mentioned earlier, the processes of or local levels (Gaventa, 2006).
and may comprise the household,
power have to been considered within
formal and informal networks, and
wider social, political and economic
personal spheres of engagement
contexts. Unequal power relations run
38
Understanding participation: 05
A literature review Participation in theory:
December 2009 The concepts
39
Understanding participation:
A literature review
December 2009
06
Participation in the
round: Conclusions
and next steps
The literature of participation 6.1 6.2
is extensive. Much of what is People first Context is all important
relevant in the different bodies of The review has confirmed our starting While the individual experience is
literature examined here does not conviction that in order to understand central to our understanding and
even frame itself as being about participation we need to understand it exploration of participation, it is clear
participation it is about, for from the point of view of the individuals that this can only be understood in
example, volunteering or ethical doing it: we are understanding context. Our reading has confirmed
consumerism. In this review we participation as an experiential our belief that participation cannot
have attempted to map out this phenomenon. Putting individuals at the be understood by looking at the
vast and complex landscape, to forefront of our thinking about individual in isolation we need to
integrate different bodies of participation forces us to question who bring the individual and the institutional
literature on participation, and is getting involved at different points in perspectives together and understand
to move towards a round-earth time and across different types of participation not only as experiential
view of participation. In doing activities; where, how and why they got but as situated practice
so, we hope to have mapped the involved; who is left out and how; what (Cornwall, 2002).
terrain for our Pathways through they have been doing, where, how
Participation project, as well as In considering the wider context,
and why this has been facilitated
providing what we hope will be we have drawn on notions of situated
and to what effect.
a useful review for other readers. practice as developed by
Emerging from this review are four Much of the literature on participation, commentators such as Cornwall
key conclusions that we discuss and particularly on public participation, (2002) and Gaventa (2006) to begin
below and which will form the tends to start with the institutions to understand the significance of
foundations of our ongoing with those that are seen as creating space and place in shaping and
investigations. the spaces for and putting in place defining peoples participatory
the techniques to enable participation. activities. In order to understand an
Where these questions have been individuals participation we must
addressed, studies tend to focus on understand how that participation is
participation of one particular form rooted in place and space: placing
(volunteering, voting, and political participants within their communities
party membership, for example) and (be they geographical, of interest or
risk treating individual episodes of other types of communities) becomes
participation as if they were frozen in important to our understanding. While
time and space (Kamerade, 2009). the literature does provide some
There is very little sense of peoples insight into participation as a practice
pathways through participation within situated in space and place, again the
the existing literature. emphasis tends to be on individual
episodes of participation rather than
on exploring how participation flows
through and across these different
spaces and places and how
participants navigate through these.
40
Understanding participation: 05
A literature review Participation in the round:
December 2009 Conclusions and next steps
Further gaps exist in the literature course, or according to life course and the state has the potential to
concerning how participation is events? The existing empirical marginalise certain forms of
situated in time both in individuals literature offers relatively little insight participation, certain participatory
life times and in the sense of spaces into the nature of these relationships activities and certain participatory
for participation being bounded in or their relative importance. We hope actors, with a tendency for the
time. A consideration of time in this that our project will begin to address privileging of a consensus, rather
way does emerge as a theme from the this important research gap. than conflict, based approach to
empirical literature (Passy and Guigni, participation which seeks to maintain
Relationships between people:
2000; Janoski and Wilson 1995; rather than challenge the status quo
The existing literature, both
Rotolo, 2000; Selbee and Reed 2001) (Beetham et al., 2008; Taylor 2007).
empirical and theoretical, stresses
and reviewing the more theoretical
the importance of the social Investigating the significance of all
literature on life course and life spheres
relationships and networks between these sets of relationships will be
has given us a framework to take this
people in shaping access to and fundamental to the subsequent
thinking forward, but to date there has
the experience of participation development of our project.
been very little systematic study of
(Bourdieu 1986; Portes, 1998;
participation in this way. As with the
Melucci, 1989, 1996; Putnam, 1995,
implications of situating participation
in space and place, in adopting the
2000; Hall, 2000). The role of social 6.4
approach of viewing participation
networks, for example, in determining The pertinence of power
whether or not someone is asked to It is impossible to review the literature
as also situated in time we need to
get involved in a participatory activity or indeed just the above three points
understand how individuals move
has been repeatedly shown to be of without recognising the significance
in and out of different forms of
significance (Diani, 2003). Drawing of power dynamics in shaping
participation over time.
on social movement and social participation and the participatory
capital theories can help experience. All participatory activities,
conceptualise our work in this area. the contexts in which they happen and
6.3
the relationships which shape them,
Relationships matter Relationships between people
and the state: With the potential are affected by power relationships,
A third key conclusion is that
to influence all the above sets of and as such a consideration of power
relationships are essential to the
relationships, the relationship and its manifestations is central to an
study of participation (Cornwall 2002;
between citizens and the state exploration of peoples pathways
Melucci, 1989, 1996). We need to
have emerged from the literature as through participation. The various
consider the relationships between
fundamental to our understanding manifestations of power particularly
different elements:
of participation and as a potentially highlighted within this review include,
Relationships between activities: crucial influence in pathways through for example: inequality/equality of
What links are there, if any, between participation. There is much written access and of opportunity; inclusion/
different types and episodes of about the importance of these exclusion of participatory activities
participatory activities, between the relationships in shaping public and of participatory actors. The
techniques that are used to facilitate participation (Dahl, 1989; Power different theories of power that we
participation and the dimensions of Inquiry, 2006; Hay et al., 2008; Smith, reviewed above will help to shape
the participatory activities that 2009), but less so in terms of social our exploration of peoples pathways
emerge? The literature makes clear and individual participation. Yet their through participation and the
that there are multiple forms of relevance is likely to spread across analysis of our findings.
participation, which vary in nature, the broad spectrum of participation
field, depth and intensity, but sheds that we have identified. Views of what
very little light on the links and flows these relationships should look like
between them, focusing instead on have fundamental implications for
individual forms or indeed acts of the amount of emphasis placed on
participation without looking at the public, social and/or individual
relationships between them. participation and on the spaces
Relationships between individual that are opened (or indeed closed)
life experiences and participatory for participation. They affect which
activities: Do certain life experiences forms of participation are seen as
lead individuals to engage in certain legitimate, and can influence what
types of participatory activities? Can and who is included/excluded from
any patterns be identified in peoples participation. The framing of
participatory histories across the life relationships between citizens
41
Understanding participation: 05
A literature review Participation in the round:
December 2009 Conclusions and next steps
Figure 6:
Framework for understanding
individuals pathways through
participation
Places
Home Multiple
Outdoor spaces dimensions
Institutions
Community Formal Informal
organisations Paid Unpaid
Life stages Individual Workplace
Retail
Occasional
One-off
Regular
Ongoing
Childhood participatory Individual Collective
Youth practice
Local
Online
Global
Offline
Early adulthood
Late adulthood Self-interest Altruism
Active Passive
Old age Activities Member Organiser
Instrumental Transformative
Public participation Consultative Empowering
Campaigning, Proactive Reactive
advocacy &
Driving change Resisting change
direct action
Services to others
& environment
Mutual aid/self help
Fundraising & giving
Ethical consumerism
Serious leisure
Shaping forces
6.5 the key experiential elements of framework highlights what are emerging
Moving forward participation in practice: the actors; the as some of the key shaping forces,
The conclusions we have drawn from this activities; the places in which activities influencing peoples pathways through
review of the literature have shaped the occur; and the time over which they participation. This framework will be
development of our emerging framework develop. It then focuses on what have developed further before becoming the
for participation (see Figure 6). The been identified as some of the key basis for our fieldwork. It will be then
framework reflects our understanding of dimensions of participation in the tested through the subsequent stages
what participation is and how it needs to literature the intensity of engagement, of the research and refined on the
be viewed in the context of our project. It for example, or whether it is an individual basis of our research findings.
also focuses on what we believe to be or collective activity. Finally, the
42
Understanding participation:
A literature review
December 2009
07
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