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Paths to SOCIAL INCLUSION: Porto Alegre’s Network of Popular Participation

J U L I O JA C O B O W A I S E L F I S Z M A R LO VA J O VC H E LO V I TC H N O L E TO CÍNTIA BONDER MIRIAM THAIS DIAS PAU LO C H I E C H E LS K I

UNESCO Office in Brazil

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Paths to SOCIAL INCLUSION: Porto Alegre’s Network of Popular Participation

J U L I O JA C O B O W A I S E L F I S Z M A R LO VA J O VC H E LO V I TC H N O L E TO CÍNTIA BONDER MIRIAM THAIS DIAS PAU LO C H I E C H E LS K I

Brasilia, December 2003

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© 2003 Edition published by UNESCO Office in Brazil. Original title: Nos caminhos da inclusão social: a rede de participação popular de Porto Alegre. Brasília: UNESCO, 2003.

Pierre Sané, ADG Social and Human Sciences Sector Wataru Iwamoto Director of the Division of Social Sciences Research and Policy; Germán Solinís Responsible of Urban Policy Research, Management of Social Transformations Programme (MOST).

The authors are responsible for the choice and presentation of facts contained in this publication and for the opinions expressed therein, which are not necessarily those of UNESCO and do not commit the Organization. The designations employed and the presentation of material throughout this publication do not imply the expression of any opinion whatsoever on the part of UNESCO concerning the legal status of any country, territory, city or area or of its authorities or concerning the delimitation of its frontiers or boundaries.

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Paths to SOCIAL INCLUSION: Porto Alegre’s Network of Popular Participation

J U L I O JA C O B O W A I S E L F I S Z M A R LO VA J O VC H E LO V I TC H N O L E TO CÍNTIA BONDER MIRIAM THAIS DIAS PAU LO C H I E C H E LS K I

UNESCO Office in Brazil

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UNESCO publishing Editorial Council of UNESCO in Brazil Jorge Werthein Cecilia Braslavsky Juan Carlos Tedesco Adama Ouane Célio da Cunha Committee for the Area of Social Development Julio Jacobo Waiselfisz Carlos Alberto Vieira Marlova Jovchelovitch Noleto Edna Roland Editorial Coordinator: Célio da Cunha Editorial Assistant: Larissa Vieira Leite Translation: Thais de Marco and Zachary Orend Proofreading: Lori Ann Begley Eletronic Editing: Paulo Selveira Graphic Design: Edson Fogaça © UNESCO 2003 Paths to Social Inclusion: Porto Alegre’s Network of Popular Participation/ by Julio Jacobo Waiselfisz et al. – Brasilia: UNESCO, 2004 132 p. 1. Social Mobilization – Brazil 2. Social Integration – Brazil 3. Social Participation – Brazil I. Waiselfisz, Julio Jacobo II. UNESCO CDD 305 Office in Brazil SAS, Quadra 5, Bloco H, Lote 6, Ed. CNPq/IBICT/UNESCO, 9º andar 70070-914 – Brasília/DF – Brasil Tel.: (55 61) 2106-3500 Fax: (55 61) 3322-4261 [email protected] www.unesco.org.br

BR/2004/PI/H/5

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RESEARCH TEAM

General Coordination Marlova Jovchelovitch Noleto Technical Coordination Julio Jacobo Waiselfisz Local Coordination Cíntia Bonder Consultants Miriam Thais Guterres Dias Paulo César Chiechelski Technical Support Beatriz Maria Godinho Barros Coelho Assistant Arlei Márcia Weide Trainees Jane Damasceno Oliveira Melissa de Carvalho Farias Data Collection Claudia Correia Coelho Josiane Andrades Mara Regina da Silva Rodrigues Márcia Chaves Moreira Pâmela Caldart Sheila Silva de Oliveira Viviane Paliarini Treatment of Statistical Data Usiara Britto

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INDEX

Foreword . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9 Abstract . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .13 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .15 I. PORTO ALEGRE’S PARTICIPATORY BUDGET . . . . . .19 1.1 Definition of Participatory Budget . . . . . . . . . . . . . . . .19 1.2 Creation of the Participatory Budget . . . . . . . . . . . . . . .21 1.3 Institutionalization of the Participatory Budget . . . . . . .27 1.4 General Operation of the Participatory Budget . . . . . . .31 1.5 Participatory Budget Participants . . . . . . . . . . . . . . . . .35 1.6 Expansion and Repercussion of the Participatory Budget . . .43 1.7 Participation and Sectoral Policies . . . . . . . . . . . . . . . . .46 II. SOCIAL PROTECTION NETWORK . . . . . . . . . . . . . . .49 2.1 Facing Social Inequalities . . . . . . . . . . . . . . . . . . . . . . .49 2.2 Social Aid Network: Structure and Main Services . . . . .52 2.3 Family Programme: Support and Protection . . . . . . . . .55 III. SCOPE OF WORK . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .63 3.1 OBJECTIVES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .63

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3.1.1 General Objective . . . . . . . . . . . . . . . . . . . . . . . . .63 3.1.2 Specific Objectives . . . . . . . . . . . . . . . . . . . . . . . . .63 3.2 METHODOLOGICAL APPROACH . . . . . . . . . . . . .64 3.2.1 Qualitative Stage . . . . . . . . . . . . . . . . . . . . . . . . . .65 3.2.2 Quantitative Stage . . . . . . . . . . . . . . . . . . . . . . . . .70 IV. RESULTS: NETWORK OF POPULAR PARTICIPATION . . .73 4.1 Knowledge of and participation in civil society associations . . .73 4.2 Sectoral Councils . . . . . . . . . . . . . . . . . . . . . . . . . . . . .78 4.3 The participatory budget . . . . . . . . . . . . . . . . . . . . . . . .87 V.

RESULTS: THE SOCIAL PROTECTION NETWORK . . .103 Concluding remarks . . . . . . . . . . . . . . . . . . . . . . . . . . . . .111 Acronyms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .117 Bibliography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .119 About the Authors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .133

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FOREWORD

UNESCO’s priority, throughout the history of the Organization, has been to foster innovations, as well as their evaluation, so their possibilities and limitations can be better known. Brazil’s Federal Constitution of 1998, referred to as the Citizen Constitution, made way for new initiatives to be pursued within the Law-Abiding Democratic State. One of these initiatives was the participation of the population in decision-making at the public authority level, which would create a closer, more flexible relationship between the people and the government. With this Constitutional basis, the Municipality of Porto Alegre, in the State of Rio Grande do Sul, carried out a series of consubstantiated initiatives in the area of popular participation, the participatory budget being the highlight among them. Social policies whose purpose was to create a structure for networks for popular participation and for the protection of socially vulnerable families were also developed. The participatory budget experience, now functioning in more than 140 municipalities, was a cornerstone for democracy-building in Brazil as it broadened the scope of citizens’ participation in government decisions. Porto Alegre’s pioneering experience, over 16 years, should be evaluated and disseminated. This was the purpose of the research project published in this volume. The project was developed under the general coordination of Marlova Jovchelovitch Noleto and the technical coordination of Julio Jacobo Waiselfisz, both professionals from the UNESCO Office in Brazil.

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Through combining quantitative and qualitative methods of research (interviews and questionnaires), this publication outlines the Network for the Protection of Socially-Vulnerable Families and identifies the perception and image the main user groups have of the services provided, the main characteristics and the needs and expectations of these user groups. It also identified, through the awareness of citizenship, the perception of the manner in which the several projects and programmes are interlinked and how these, in turn, are linked to the structure of the Mayor’s Office. The research findings point out both the richness in the participation of citizens in volunteer associations (a broad network) and their active participation in the Councils, that is, several organizations that make decisions regarding sectoral policies in the municipalities. These different levels of administration are interlinked, and most of the individuals participating in councils had no difficulty with regard to access. In addition, 87% of the population considers these collegiate organizations either important or very important. It should be pointed out that participation in these councils for the most part does not depend on the income or level of schooling of individuals. In other words, with regard to their general outline, councils mirror the different sections of the population in terms of income and schooling. The social protection network, a highly visible entity among the questionnaires’ respondents, was positively evaluated. In terms of the perception of beneficiaries in regards to the Family Program: Support and Protection, it was observed that income transference had a relevant effect on the living condition of family groups. It met basic household needs in the areas of nutrition, hygiene and health in a more immediate fashion. The programme is linked to other social policies, which makes it possible for the target group to be included in other programmes developed in the fields of early childhood education, adult education, basic health care, socio-educational services and training programmes. These research findings make it possible to distinguish between accomplishments, limitations and fronts where progress is needed.

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UNESCO therefore has pleasure in presenting these findings for public discussion. This research will certainly be used for the improvement of municipal policies, and it will also foster the development of new initiatives in other locations. These research findings will help reduce limitations, maximize advantages and be a guide to adapting ideas and projects to different circumstances, thus combining their singularity to the richness of social plurality. Jorge Werthein UNESCO Representative in Brazil

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ABSTRACT

This report presents the results of an evaluative research on experiences developed in the municipality of Porto Alegre, a large city in Southern Brazil, from 1989 to 2003 in the areas of participatory budget and social policies for lower income population. The project combined quantitative and qualitative methods. The researchers conducted structured, semi-structured, and non-structured interviews with different groups, as well as 486 structured interviews in a sample survey. The results reveal high levels of civil society participation in associations and on the boards established by the local government. Participation on these boards was comparatively unrelated to income and schooling level, reflecting the diversity of the population. With regard to the social protection network, the researchers concluded that it is visible and well evaluated by the subjects. Income transfer to underprivileged families has immediate results in terms of meeting basic needs such as food, hygiene and health. This programme was linked to other initiatives developed in the fields of early childhood education, health care, etc. The programme’s possibilities and limitations are highlighted, as are suggestions for the improvement of social programmes and projects.

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INTRODUCTION

For some years now, sixteen, to be precise, an alternative political model based on the relationship between the State and civil society in Brazil, began to be implemented in the Municipality of Porto Alegre. This is an emerging model for participatory democracy, a powerful tool for social movements and citizenship to actively intervene not only at election times but also, in a more basic way , on decisions regarding public issues. This model entails an active network of civil society organizations and associations and multiple councils for sectoral decisions within an organizational matrix centred on a participatory budget strategy. Through public hearings, plenary sessions, consultations, etc., the design points towards a style of management of public issues that includes civil society. For this reason, Porto Alegre’s Network of Popular Participation cannot be reduced merely to the Participatory Budget (PB), even though that is its core, nor is the PB only an exercise in the division and allocation of revenues and expenditures by citizens. Because of its scope – there are currently 1.4 million inhabitants in the city, which is located in the heart of a metropolitan region with a population of 3.9 million – and its demanding, evolutionist method, it is an unparalleled experience in direct participatory democracy, as pointed out by Bernard Cassen, 1998, Director of Le Monde Diplomatique. For UNESCO, Porto Alegre’s experience is a reference for the world and should be analysed, studied and replicated in other cities. This experience changed the relationship between society and State and made the relationship between the people and the government more flexible, broadening participation channels and allowing the

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population to define priority investments and voice opinions regarding the course of the administration of the city. It should also be pointed out that the idea of a social protection network is innovative and makes it possible for an inclusion policy to be outlined, covering the various aspects of the human dimension in citizenship. Making this evaluation public means allowing other municipalities, public administrators, international agencies and individuals interested in the issue to learn from this innovative experience in the area of citizen participation and to distribute it as widely as possible. The main purposes of this study are to contribute to a better understanding of the several dimensions faced by the Mayor’s Office in Porto Alegre in dealing with social issues and to present suggestions that create conditions for the improvement of the tools used to put municipal public policies into practice. The intention was to evaluate the mechanisms used in the implementation of social policies in the municipality of Porto Alegre from 1989 to 2003, according to the terms of reference established by spokespersons for the Mayor’s Office in Porto Alegre. Bibliographic research on what has been produced and published on the issue so far, makes it possible to state that the great difference about this study is the fact that it presents the perception of the population in the municipality with regard to the participation networks implemented by the local executive branch. The establishment of these terms of reference involved the analysis of two specific and complementary lines of action developed as social policies – the Network of Popular Participation and the Network for the Protection of Socially-Vulnerable Families. The Network of Popular Participation is formed by formal and institutional mechanisms developed by the Mayor’s Office in Porto Alegre, and its purpose is to foster greater participation on the part of the population in the creation and implementation of municipal public policies. The Network for the Protection of Socially-Vulnerable Families is a set of actions and programmes carried out by different organizations

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within the municipality’s administrative structure (a centralized, foundation-based administration). The Network provides general social assistance services (in the areas of education, health and labour) to families in a situation of social exclusion. Great strides have been made in each of these lines of action over the past few years. Nevertheless, spokespersons for the Municipal Administration understand that the complexity of problems relating to the fulfilment of the demand for social services, the emergence of new forms of social exclusion and the limitations set by the structure and operation of government agencies justify taking a closer look at the scope of these actions, their level of coordination and their impact on the community in general.

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1. PORTO ALEGRE’S PARTICIPATORY BUDGET

1.1 DEFINITION OF PARTICIPATORY BUDGET The Participatory Budget experience in Porto Alegre is an innovative way of establishing relations between the State and Civil Society. It is based on the participation of the population in municipal administration, and its objective is to confront the historical social inequalities that are a product of capitalism. The Participatory Budget takes into account all of the characteristics of civil society and discusses the following issues: the role played by pre-organizational civil society structures in the success of participatory policies; the capacity of the State to foster association and deliberative practices like the ones that exist in the field of civil society; the capacity on the part of participatory practices to distribute resources in a general fashion, thus avoiding the transformation of existing associations into corporative channels for access to resources; and the discussion on the role of the associative tradition in variations in the level of success of Participatory Budget experiences (AVRITZER, 2003, p 17-18). The re-democratization Brazil experienced from 1985 on, with the reestablishment of direct elections in capital cities, and the decentralizing tendencies fostered by the Constitution of 1988 – which defined municipalities as autonomous entities within the Federation – made way for new potential in local management and brought about new complexities of action for urban agents. Municipal institutions became a privileged venue for the emergence of citizenship in the country, indicating a possibility for change in the deeply-rooted social authoritarianism of Brazilian society (FEDOZZI, 2003).

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The institutional basis for Porto Alegre’s Participatory Budget is the Federal Constitution itself, which authorizes municipal and state executive branch agents to elaborate their budgets. Since the Constitution does not specify the manner in which this should be done, (FARIAS, 2003), it makes a wide variety of options available to municipal managers to introduce new ways of relating to society. Thus, processes for decentralization and for the strengthening of local authority, which are foreseen in the Constitution, had a marked influence on the outline of the Participatory Budget. According to Baierle (1992), this decentralization was one of the most fruitful advances in Brazil’s emerging democracy. As a result of this process, municipalities have been strengthened within the federative system and have elected leaders linked to popular movements, thus making it possible for democratic-participatory practices to be structured. Through the Participatory Budget, community movements from different areas in Porto Alegre gained direct access to the local authority without cancelling out the role played by representational democracy. Both the executive branch and the legislative branch share part of the power, thus broadening the scope of their relationship with society and making it more complex (CIDADE, 2003, p.12). This represents no undue interference with the prerogatives of the Chamber of Aldermen. Considering the fact that empirical criteria are used in the allocation of resources, this model is more rational than conventional budgeting forms (GIACOMONI, 1994). The participatory budget consists of the inclusion of popular participation in the elaboration of the Municipal Budget for the following year, a responsibility of the local executive branch, through a broad discussion that takes place throughout the year. During meetings, revenue and expenditure values are established for investments, priorities are set and the actions to be developed

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by the government are defined. The process of elaboration of the budget framework should be completed by the 30th of September, the legal deadline for the municipal executive branch to submit it to the Chamber of Aldermen, as set forth in the Organic Law of the Municipality of Porto Alegre. 1.2 CREATION OF THE PARTICIPATORY BUDGET To approach the issue of the creation of the Participatory Budget, this research project sought studies that point out the existence of associational experiences and participation in the social, political and cultural configuration of Rio Grande do Sul and of its capital as the explanation for the acknowledgement of Porto Alegre’s Participatory budget. Statements from qualified informants, who spoke about their experiences and concepts with regard to the Participatory Budget, were also collected. The first recorded associational experience was developed by Jesuits in the north of the state. It was this economic and social cooperation that established the principle of joint effort (mutirão, originally potirão in Guarani), one that remains to this day (SCHNEIDER, 2003). In terms of the judicial branch of the government, the State Constitution of 1891 acknowledged the right for popular initiatives to be submitted as legislative proposals, but it did not dismiss the role played by Municipal Chambers (MAGRONE, 2004). At the same time, in regions within the state that had been colonized by Germans and Italians, it was common for the settlers themselves to decide on what would be done with the exceeding instalments of their social income long before the state regulation went into effect. This was the beginning of the cooperative movement in Rio Grande do Sul, which made it possible for the first primary sector cooperative association to be created in 1892 and for the first rural credit cooperative association to be created in 1902.

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Decades later, “during the period of great political-social mobilization in Brazilian society (which began in the early 1960s), there was a push towards ‘base reforms’, among which were the agrarian reform, the educational reform, the business reform and the urban reform” (SCHNEIDER, 2003, p. 316). At that time, there was a significant community mobilization involving the urban and the rural population in the Ijuí region (northern RS). From this stemmed the renowned Regional Cooperative Association Tritícola Serrana – COTRIJUÍ. These records reveal the capacity of cooperative association members to organize themselves in search of answers to their production needs, an activity that had participatory characteristics and significant social reach. In the capital, strong urban associative traits are one of the peculiarities found in the creation of the Participatory Budget (AVRITZER, 2003). In the 1940s, the community movement stemmed from the several Community Associations in Porto Alegre. This movement gradually became “a public venue for the autonomous organization of popular segments with the purpose of requesting that rights be observed in the areas of access to urban soil, equipment and public services” (FEDOZZI, 2003). In 1959 the social mobilization taking place in the city was recognized, and through a Municipal Decree it was established that the Mayor’s Office should be open to the several local councils because they represented several communities in the city. The significant actuation of these movements peaked with the creation of FRACAB (Federation of Community Associations and Neighborhood Friends of Rio Grande do Sul), in 1959. This entity reached an important level of congregation of movements, with a total of 65 member associations in 1979. Until 1964, this process was greatly influenced by the Brazilian Labor Party (PTB), especially under the leadership of Leonel Brizola. However, the military coup and the resulting establishment of a dictatorship in the country led to a federal intervention at FRACAB, and the mobilization activities developed by these movements suffered.

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At the end of the 1970s, there was a revival of the associative movement in Porto Alegre, especially of Urban Popular Movements. “Several movements were created and began to present claims and/or rebuttals to the court, having the ownership of land and access to urban services as a base. These motions were the expression of the establishment of a culture based on rights” (TELLES apud BAIERLE, 1998, p. 06). Fedozzi deepens the discussion by pointing out that these movements underwent a process of qualitative change. Representations and practices guided towards a confrontation with the State and the defence of a radical transformation of the social reality were created. These changes were, to a great extent, related to the action of socio-political agents, which increasingly begin to act in partnership with community organizations such as illegal political groups, popular education centres and churches. In 1983, the Union of Neighborhood Associations in Porto Alegre was created. It joined other organizations in urban-related pleas and got intensely involved in several aspects of city life like housing, education, the provision of public services and human rights, among several others. When its first congress was held, in 1985, its members were linked to 78 neighbourhood associations and community associations in the city. The set of existing movements also demanded that universal rights to citizenship be recognized and rebelled against the idea that individuals living on the outskirts were “criminals”. Fedozzi (2003, p. 9) expresses that the defence of the rights of these lowincome Porto Alegre inhabitants and the discussion of the issue in the local governmental sphere were a qualitative leap towards overcoming submissive paternalistic and/or clientelistic submission practices, traditionally present in the relation between popular segments and the executive and legislative branches of the government in the country. This does not mean, however, that these practices had been eliminated from community movements.

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Several resistance and pressure strategies were created by community movements, including “street barricades, assemblies held in communities, petitions, demonstrations across from the Mayor’s Office, open letters to the population, presentation of information by the media and joint effort on the part of inhabitants to carry out infrastructure work” (FEDOZZI, 2003, p. 9) in order to get recognition for their rights. These demonstrations were sponsored by individuals living in irregular or illegal areas and by people living in structured parts of the city. This mobilization created the conditions for the establishment of venues to foster the creation of links between the several movements and existing institutions (like FRACAB and UAMPA) in some of the more highly participative regions in the city. This is how Neighborhood Unions and Popular Councils were set up, and their objective was to strengthen the movement’s role in the presentation of claims. Three Neighborhood Unions and two People’s Councils were created in the 1980s (DIEGO, 2004). These leaderships and their respective movements fully backed the candidacy of Mr Alceu Colares, of the Brazilian Democratic Party, for Mayor. He won the 1985 elections with the motto “The People in the Government” (DIEGO, 2004). It was during this administration that popular leaderships began to develop the first ideas on the Participatory Budget, taking their claims to a new level. They pressured the elected mayor to hold a comprehensive discussion on investment priorities, demanding that the budgetary “black box” reveal how the city allocated investments (POZZOBON, 2000). It was at a meeting held by UAMPA on 26 March 1985, in preparation for a debate with the mayor on the participation of popular movements in the government, that the Participatory Budget was first mentioned, according to a research project developed by Avritzer. The minutes of the meeting recorded the following: “the most import things for the Mayor’s Office are revenue and the allocation of public resources. It is based on this

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that we will or will not have resources to meet the demands of communities and popular neighborhoods. This is why we want to intervene directly in the definition of the municipal budget, and we want to control its use” (AVRITZER, 2002, p. 28). Later, in a document relating to the organization’s second congress, held in 1987, this request is once again confirmed, as revealed in the following text: “seeking to increase the participation of the community movement in the administration of the municipality, in the elaboration and definition of the municipal budget, is the element that will make changes in the urban political structure possible” (AVRITZER, 2002, p. 28). The studies of Baierle (2000) show the influence of community social movements during the 1980s in the creation of the Participatory Budget, especially UAMPA’s establishment in 1983. Fedozzi believes this process led to “a new stage in the articulation of popular segments characterized by an increase in the social capital of these groups and revealed by the process of qualitative and quantitative broadening of community associational experiences and by the creation of a critical civic culture” (2003, p. 19). Porto Alegre’s political mobilization trend is also expressed in its people’s tradition of choosing leftist parties as their representatives in the city. From 1947 to 1963, the Brazilian Labor Party, from which PDT (the Democratic Labor Party) later stemmed, had the most votes at Municipal Chamber elections. In 1988, two leftist parties, PT (the Workers’ Party) and PDT, ran for office, both with projects for popular participation as part of their proposals (AVRITZER, 2002, p. 22). The expectation that organized movements would have a more significant participation in public administration was not met despite promises made by the mayor both during his campaign and over the course of his administration. It is within this context of frustration that the People’s Front (PT and PCB – the Brazilian Communist Party) took office in 1989, and announced a proposal

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for people’s participation in municipal administration to the social agents who had a great deal of experience in the areas of mobilization and collective action. The path that led to the creation of the Participatory Budget partly explains it, and this explanation is complemented by the conceptual field. Among qualified respondents to the present study, there is an explanation regarding the theoretical bases and experiences developed in other countries which served as an inspiration for the creation of the Participatory Budget. The first theoretical tradition to which the Participatory Budget is related is the discussion on democracy. The PB is a process that broadens the horizons of democratic practices, redeeming direct democracy elements – the choice made directly by the people at assemblies – and combining them with the elements of representational democracy. [...] The PB is an advance both in terms of the theoretical tradition upon which the French Revolution was founded – Rousseau and Montesquieu, among others – and in terms of the classical Greek ideals of direct democracy. It results from this theoretical/philosophical tradition, but it overcomes it by dialectically combining its elements [...] {through the} concept of participatory democracy. According to this concept, the PB is understood as a process of voluntary participation in which the citizen who has the need to go beyond his or her basic democratic rights – generally those relating to traditional parliamentary democracy – may intervene directly in the establishment of government practices. The second theoretical facet of the PB is the socialist movement, which has an influence on PT’s leftist members, especially in Rio Grande do Sul. This tradition contributes to the concept of priority inversion, of a redirection of the action of the state to favour primarily lower-income individuals and workers. This is one of the basic tenets of the PB. Its method is outlined so State resources will be a factor that will foster the redistribution of income from the richer to the poorer.

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The third theoretical line that contributed to the format of the PB results from the contemporary leftist tradition and adopts the ideas of management through councils and social hegemony. The former is historically affiliated with the theoretical tradition of the beginning of the Russian revolution, the concept of soviets, and people’s control over the management of the State and the establishment of priorities. We can also relate it to the Italian left, the idea that the production unit can be managed through factory councils. This facet can be observed in the organization of the process by regional delegate forums and in the COP (Participatory Budget Council). The theoretical tradition of the Italian left, especially Gramsci, contributed to the concept of hegemony and serves as a guideline for the PB to include open participation mechanisms capable of including different social segments. The process is thus organized to include and foster the interaction of gender and ethnic-based movements, union movements and the middle class. This can be seen more clearly in the organization of the process at theme plenary sessions. (CORDEIRO, André Passos (Statement given to UNESCO’s Research Team, 2004)

1.3 INSTITUTIONALIZATION OF THE PARTICIPATORY BUDGET Porto Alegre’s municipal administration initiated in 1989, run by the People’s Front (made up of the Workers’ Party, the Brazilian Communist Party, the Green Party and the Brazilian Socialist Party), made a political commitment to the democratization of the State and to an active participation on the part of the population. The objective was to democratize relations between the State and Civil Society. For this purpose, during the first year of government a new way to formulate and monitor the budget was created. This new dynamic was a significant break with the historical public thinking that the municipal budget should be elaborated exclusively by institutional agents.

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The evaluation of the situation carried out by the new administration, revealed that previous administrations had established physiological, clientelistic relationships that were not transparent to the public. Decisions on investments did not meet the real needs of the majority of the population, which had no access to assets and services, and 98% of the municipal revenue was used for the payment of staff members’ salaries (CORDEIRO, 2004). Several of the aspects that make up the current configuration of the Participatory Budget were established as it went along (CIDADE, 2004). One of these aspects is related to the division of the city into regions. The Urban Development Plan divided the city into four zones, but this division did not match the outline developed by popular urban movements, formed by a total of five Neighborhood Unions and Popular Councils (BAIERLE, 1998; DIEGO, 2004). This is why the first proposal for the division of the Participatory Budget by region included five regions in Porto Alegre – so as to respect the existing popular organization. The discussion of the budget through consultations with the population at meetings held in the five regions in August 1989 was an initiative of the Municipal Executive Branch (FEDOZZI, 2001). After several meetings with community leaderships, the city was divided into sixteen regions, a division that holds to this day: Ilhas-Humaitá-Navegantes, Northwest, East, Lomba do Pinheiro, North, Northeast, Partenon, Restinga, Glória, Cruzeiro, Cristal, Central-South, Extreme South, Eixo-Baltazar, South and Central. These regions have undergone internal divisions, referred to as micro-regions. Other difficulties faced in the early stages of the process related to the inexistence of pre-conceived models on how to co-manage public resources. There was also a lack of experience because of the innovativeness of this proposal (DIEGO, 2004; FEDOZZI, 2004). The fact that 98% of the municipal government’s revenue was tied up with staff members’ salaries added to the problem.

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This chaotic situation regarding municipal finances caused the administration great difficulties and rendered it incapable to invest in the city. This made it impossible to meet any of the demands of the population. The municipal government began a tax reform in order to increase the potential of municipal revenue through changes to the IPTU - Urban Building and Land Tax and the ISSQN - Tax for Services of Any Nature. Over the course of 1989, community leaders from the various regions and the government began to discuss the basic guidelines for a Participatory Budget process and to outline an investment plan. At the first Participatory Budget meeting, held in Zona Norte at the Metalworkers’ Union, and at open assemblies held in each of the sixteen regions, citizens were able to present their demands for investments. Approximately 400 people participated in the 16 assemblies, during which the first budget delegates were elected at a 1/5 ratio (one delegate per five attendees). A committee was formed in partnership with the Municipal Secretariat for Planning, the agency in charge of the budgetary process, to outline an investment plan for the following year. This committee was the seed that later developed into the Participatory Budget Council. Many of those who took part in the first investment plan describe it as a colossal list of demands that prevented controversial decisions and the definition of priorities. Almost all of the demands considered “high priority” were included in a budget draft that would compromise revenue for several years. It was only in 1990, however, that tax and administrative reforms began to generate resources for investment. Under pressure from popular movements, the administration began to invest in poor regions on the outskirts of the city. Nevertheless, because the investment plan did not define priorities, the agencies responsible for carrying out infrastructure work got to decide, based on their political and technical criteria, which demands would be met.

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The careful definition of priorities became essential, and this led the administration to restructure the Participatory Budget. On 1 March 1990, the Municipal Organic Law was passed. It established the Community Relations Coordination, which began to coordinate the Participatory Budget. A new Planning Cabinet, the GAPLAN, was also established, made up of a team specializing in Strategic Planning. At this point the process of participation in the definition of the budget began to be redesigned. Both GAPLAN and CRC are linked directly to the Mayor’s Office, and this was the group that developed the basic outline of the Participatory Budget. The group, with a few changes, exists to this day (ABERS, 1998). The Participatory Budget combined institutional design proposals from several participants: regional assemblies that resulted from community movement practices, the Community Relations Coordination (CRC) and the Planning Cabinet (Gaplan), created by the municipal administration (AVRITZER, 2003, p. 18). The Workers’ Party proposed that councils be created. Over the course of the operation of the Participatory Budget, changes were made with regard to the criteria for appointing delegates, distributing financial resources, referring to hierarchy-establishing themes and forming the Participatory Budget Committee. Organizations were created within the structure, like the Regional Participatory Budget Forum (1991), to allow for and monitor the development of requested and approved works. A position entitled “Regional Participatory Budget Coordinator” (CROP) was created in 1992 in order to strengthen relations with the community. In order to discuss global and sectoral policies for the cities, in 1994 the Theme Plenary Sessions became a new level of participation in the Participatory Budget cycle. These plenary sessions followed the model set by regional plenary sessions, “electing their own representatives to the Participatory Budget Council, whose number of members thus grew from 1994 on” (FEDOZZI, 2001, p. 133).

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In 1994, the Parity Committee became part of the Participatory Budget Council, which at the time went by a different name. The Parity Committee was responsible for coordinating the collegiate with four government representatives and four elected councillors. This proportion was changed in 1999, when the Coordination of the Council began to be formed by four government representatives and eight elected councillors. The theme of Culture, included in 2000, and the Participatory Budget – Internet, created in 2001 (which makes it possible for suggestions to be given online at www.portoalegre.rs.gov.br/ op/default.htm) were added after prior analysis by the government. An evaluation and deliberation during Participatory Budget Delegate Forums were mandatory. Also in 2001, a Work Group was created to evaluate the process, and with the presentation of the Seminar on the Modernization of the Participatory Budget, several institutions were consulted so as to foster discussions for the proposal of improvements. 1.4 GENERAL OPERATION OF THE PARTICIPATORY BUDGET1 The Participatory Budget (PB) is the process through with the population decides how resources will be used in infrastructure work and services to be provided by the Municipal Administration. The process is developed in the following fashion: a) Preparatory Meetings (March – April): when the Mayor’s office presents financial statements for the previous fiscal year, presents the Investment Plan (an annual publication which includes all of the demands for infrastructure work and services as defined by the population in the PB and approved at Regional and Thematic Forums), the By-laws (set of rules 1. CORDEIRO, André Passos. A Experiência do Orçamento Participativo em Porto Alegre (The Participatory Budget Experience in Porto Alegre), mimeograph, 2004. Website www.portoalegre.rs. gov.br/Op/texto

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according to which the PB should function) and General, Technical and Regional Criteria.2 b) Sole Round of Regional and Theme Assemblies (April – May), with the definition of theme priorities, election of councillors and establishment of the number of delegates. There are two councillors and two substitute councillors for each of the sixteen regions (see Participatory Budget Regions in Figure 02), and six Theme Regions. Eighty-eight councillors are elected (Transportation – Health and Social Aid – Education, Sport and Leisure – Culture – Economic Development, Taxes and Tourism – City Organization, Urban and Environmental Development). c) Regional and Theme Forums (May – June – July), when delegates are elected at a 1/10 ratio (1 per every ten Sole Round participants). The level of priority of works and services is also defined with the support of municipal secretariats and government agencies present at these meetings. They provide clarifications on the criteria used to guide the process and on whether or not the demands are viable. d) Municipal Assembly (July), when elected councillors take office and submit the prioritized list of works and services prepared by 2. Criteria – Rules approved by the COP. They can be divided into general criteria (which determine the procedures according to which resources will be distributed to the city) and technical criteria (used by agencies within the Mayor’s Office to analyse demands and verify whether or not they are viable). The three types of general criteria – lack of service or infrastructure (weight 4), total number of people in the region (weight 2), the region’s level of thematic priority (weight 4) – will be applied for the distribution of resources in the first three thematic priorities selected globally by all sixteen regions, with the exception of DMAE (which has its own criteria). The formula used for the definition of the first three global priorities is the following: each region selects 4 of the 13 theme priorities (Sanitation, Housing, Paving, Transport, Health, Social Aid, Education, Leisure Areas, Sport and Leisure, Public Lighting, Economic Development, Culture and Environmental Sanitation). Each region’s priority is rated: 1st priority – grade 04, 2nd priority – grade 03, 3rd priority – grade 02 and 4th priority – grade 01. By adding the grades for all of the priorities selected by the sixteen regions, the three priorities are established (those that reach the highest score). In four areas, technical criteria are used as conditions in the decision to develop actions and/or make investments: DMAE (the Municipal Water and Sewage Department), SMED (Municipal Secretariat of Education), SMS (Municipal Secretariat of Health), and FASC (Foundation for Social Aid and Citizenship).

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Regional and Theme Forums. At that time, GAPLAN and the Municipal Revenue Secretariat present expenditures and revenues foreseen for the following year. All of the discussion is recorded in minutes and specific forms. e) Analysis of Demands (July – August – September) – made by the government. The government also carries out a technical and financial analysis of these demands and prepares the budget matrix. f ) Voting on the Budget Matrix (August – September) presented by the Participatory Budget Council3 containing the distribution of resources to regions and themes. The final draft is prepared by GAPLAN, which submits the Budget Proposal to the Chamber of Aldermen on 30 September – the date established by the Organic Law of the Municipality of Porto Alegre. g) Detailed Presentation of the Investment Plan (October – December) at the Participatory Budget Council, based on the Budget Proposal submitted to the Chamber of Aldermen. The demands prioritized by the community and general criteria for the distribution of resources to regions are considered. h) Discussion, at Regional and Theme Forums (November – December) on changes to the By-laws, Cycle and Criteria. i) Vote (December – January) on previously discussed changes, to be adopted in the next round of the Participatory Budget. The organization of these several phases is entitled Participatory Budget Cycle, as shown in the figure below:

3. Participatory Budget Council (COP) – the highest level for deliberation on the Participatory Budget. It is made up of 96 councillors, eighty-eight of whom are directly elected by the population. Two councillors (one acting and one substitute) are appointed by the Union of Neighborhood Associations in Porto Alegre (UAMPA), two (one acting and one substitute) are appointed by the Municipal Workers’ Union and four (two acting and two substitutes) represent the Mayor’s Office on the Council (with no right to vote during deliberations). The COP plans, proposes, monitors and discusses the set of revenues and expenditures of the municipal budget. It also yearly revises general and technical criteria in PB By-laws.

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FIGURE I – Participatory Budget Cycle

March/April Preparatory Meetings

February Recess December/ January Discussions and elections

2nd fortnight April/May

May/June/July Regions and themes

November/ December Discussions October/ December Detailing of Investment Plan

August/ September Elections in Headquarters

July/August/ September Demand Analysis

1st fortnight July Municipal Assembly

Source: www.portoalegre.rs.gov.br/Op/

For the past four years (2001 – 2004), the theme priorities of the Participatory Budget have been housing (first since 2002), paving (first in 2001 and third in 2002 – 2003), education (second in 2002 and 2003 and third in 2004) and social themes (health and social aid, second in 2004).

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FIGURE 2 – Map Showing Participatory Budget Regions

Source: www.portoalegre.rs.gov.br/op

1.5 PARTICIPATORY BUDGET PARTICIPANTS The basis for the participatory management strategy adopted by the municipal government in Porto Alegre is the principle that the population is interested not only in private issues but also in public matters and is capable of making decisions based on solidarity. The population is better equipped than municipal employees to discuss the needs and reality of their city or neighbourhood. At first, the municipal administration had to convince people that their presence at assemblies would have an effect on their daily lives. This mobilized them to take part in the decisions, and resolutions were put into practice (ZIMMERMAN, 2004).

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The low level of public participation during the first two years of implementation of the Participatory Budget was a direct reflection of the situation in the municipality. In 1989, public expectations were greater than the administration’s capacity to meet them, and this caused a decrease in participation in 1990. Popular participation began to increase when the municipality regained its capacity for investment, especially through the Tax Reform. From 1991 on, the Participatory Budget increasingly mobilized communities from all regions. This is shown in the Chart below, which presents the number of participants in the set of rounds. TABLE 1.5 – Participatory Budget Participants per Year YEAR 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003

PARTICIPANTS 976 3,694 7,610 10,735 9,638 11,821 10,148 11,908 13,687 16,813 15,331 18,583 28,907 23,520*

Source: CRC – PMPA * Data for 2003 includes only participation up to the sole round.

In her analysis of participation in Porto Alegre’s Participatory Budget, researcher Abers concluded that “participation is a developing process: its practice may result in a cascade effect that would improve the participation process and transform political life in a more general form” (ABERS, 1998, p. 18). This conclusion came

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after an investigation carried out in 1995, when she found that most of the first neighbourhoods to receive investments from the Participatory Budget were those historically known for their greater mobilization capacity. Over time, however, new groups of citizens began to mobilize themselves as inhabitants from other neighbourhoods saw results and became convinced that their participation in the Programme could result in similar improvements in their own neighbourhoods. Another conclusion reached by the researcher was that, contrary to expectations that more organized participants would maintain disproportionate control over the process over time, in Porto Alegre new participants and new neighbourhoods were continuously mobilized through a “demonstration effect”. As the perception that participants were rewarded with public investment in their neighbourhoods spread, sceptical citizens were convinced to act the same way (ABERS, 2000). A survey carried out in September 1994 found that 8.4% of the adult population in Porto Alegre had participated in at least one budget plenary session in the five years the process had been open to popular participation (META4 apud ABERS, 1998, p. 05). In 1996, a research project involving a questionnaire developed by the Community Relations Coordination – PMPA, FASE/RS, NGO CIDADE and North American researcher Rebecca Abers, collected data on participation, presented below: For the question “Why did you come to the meeting today?” the following results were obtained: demands account for 33.9% of the answers, and neighbourhood/community-specific demands account for 17.6%. This answer was obtained more frequently from those with lower levels of income and schooling. The second most mentioned type of answer had to do with the motivation to 4. META, 1994. “Report on the evaluation research on the municipal administration of Porto Alegre, September 1994”. Unpublished manuscript, META, Opinion Survey Institute.

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participate in a generic fashion, even “to get something from it”. These answers accounted for 18.7% of the total. Other significant data: voting (13.5%), the fact that the individual was a leader or was a member of an organization (12.5%), to get information (9%) and references to citizenship, rights, union and the struggle of the people (7%) (POZZOBON, 1996, p. 01). Research already carried out indicates that there is a relation between income levels among Participatory Budget participants. A research project developed in 1996 (POZZOBON, 1996) outlined the socio-economic profile of individuals participating in the Participatory Budget. Data showed that there is great diversity: a significant portion of respondents are up to 41 years of age (57.9%), white (71.4%), have a family income of up to three minimum salaries (39.6%) and their schooling level is up to completion of primary education (53.9%, including 5.5% with no schooling whatsoever). There is gender parity, but the number of men is slightly higher. Family income and schooling indicators tend to be better among theme forum participants. This can be verified through the following data: in regional forums, 59.8% of the respondents have an income of up to five minimum salaries, while 50.7% of theme forum participants earn more than five minimum salaries. In 1998 (BAIERLE, 1999), NGO CIDADE carried out a research project to determine the level of knowledge of theme and regional plenary session participants and their involvement in the Participatory Budget Process. With regard to income levels, it was verified that most of the respondents had an income of up to four minimum salaries (55.7% of participants, 42.6% of regional plenary session delegates, 43.2% of theme plenary session delegates and 38.6% of the councillors). At theme plenary sessions, a significant number of people whose income was over 12 minimum salaries could be found. This was due to the presence of professionals from the health area and

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from the education area. It is thus possible to explain the relative increase in the income level of participants in comparison to the income of participants in 1995. A comparison of the income of participants and income in the city showed that PB participants have a lower income. According to the Brazilian Institute of Geography and Statistics (IBGE – 1991 Census), 29% of the households had an income of up to three minimum salaries. Among PB participants, however, 30.3% have an income of up to two minimum salaries. With regard to the level of schooling, the research concluded that most participants finished the 4th grade (61.3%). The highest percentage of people with a college education (complete or incomplete college) is found in theme plenary sessions on Education, Culture and Leisure (50% of the participants) and on Health and Social Aid (42.8% of the participants). The schooling level is extremely important for the role of a councillor, and the schooling level of most councillors (56.5%) spans from incomplete high school to higher education levels. Another issue investigated in research already carried out relates to the participation of Participatory Budget participants in associative entities. According to a 1995 survey, held with individuals participating in large regional assemblies, 76% of the respondents stated that they participated in civil associations of some sort. Among them, 62% spent most of the time they dedicated to these organizations at neighbourhood associations, and 14% dedicated themselves mostly to other types of regional or local associations such as Regional Links, informal Street Committees or Community Centres (ABERS, 1998). Silva (2003) systematized the results of research projects developed in 1993 (FEDOZZI, NUÑES, 1993), 1995 (FASE, CIDADE, CRC/MAYOR’S OFFICE IN PORTO ALEGRE - PMPA, 1995) and 1998 (CIDADE, CRC/PMPA, 1999) by preparing the following chart, on the participation of individuals present in plenary sessions in entities of an associative character.

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TABLE 1.6 – Participation of Porto Alegre Participatory Budget Plenary Session Attendants in Entities – 1993, 1995 and 1998 1) Participation in entity or association? *

OP/1993 Atten dance

OP/1995

OP/1998

Atten dance

%

Atten dance

%

2,896 71.28

472

73.88

695

66.9

Do not participate in entities 1,044 25.70

135

21.7

292

28.1

No answer

Participate in entities

Total

%

123

3.03

15

2.41

52

5

4,063

100

622

100

1,039

100

* For 1993, the question refers specifically to participation in Neighbourhood Associations. (Source: SILVA, 2003, p.161)

According to BAIERLE (1999), Neighbourhood Associations (AMs) were the organizations with the greatest number of participants (40.9%). Second came participation in religious and cultural groups (9.0%), which are also of a communitarian nature. The increase in the number of individuals affiliated with political parties (6.0%) was considered significant. Among delegates and councillors, the number of individuals affiliated with parties is greater than that of people involved with religious and cultural entities (14.5% vs. 11.3% and 30.8% vs. 10.3%, respectively). This situation may be connected to the central role taken up by the PB in the political arena, and it may also indicate a new tension between politicization and the inappropriate use of the government structure within the process of community participation. Only time will tell whether PB structures are enough to make room for new learning based on greater participation in political parties. At any rate, the fact that, so far, active (and non-active) affiliates of a wide variety of parties and political backgrounds have participated in the PB has guaranteed the observance of the regulations established by the group for dealing with differences (BAIERLE, 1999, p. 09).

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The comparison of this information with the 1995 survey shows a decrease in the number of people affiliated with entities. In 1995, there was greater participation (75.9%). The explanation of this fact might be related, firstly, to the fact that the 1998 survey was conducted during the First Round while the 1995 survey was conducted during the Second. It is natural, therefore, for the number of individuals affiliated to entities to be greater owing to the nature of the Second Round (election of councillors). Also, there is the fact that the Second Round takes place after a number of intermediate meetings (BAIERLE, 1999, p. 10). A piece of information pointed out by the researcher was the decrease in the number of individuals participating in People’s Councils or Neighbourhood Unions (4.0% in 98 and 8.7% in 95). One possible explanation might be the fact that less organized social sectors began to participate in the PB, thus causing an increase in the number of participants (around 40% in 95 and 98). Nevertheless, the author calls attention to the possibility that a tendency to substitute People’s Councils with Participatory Budget Regional Forums may be under development. With regard to this issue, according to the survey, before the PB 40% of the individuals participating in entities said their level of participation was “lower” or “non-existent”, and 39.9% said their level of participation had not changed, it was “the same”. Only 15.1% of those who participate in entities said they participated more before (the percentage was 9.1% in 1995). It was significant that 22.2% of the councillors participating in entities also stated that their level of participation in their organization of origin was greater before. Despite these points, there is no doubt that participation in entities increased after the PB since only 9.9% of interviewees participated in organizations before 1989. This is why this issue makes more sense when the survey is directed at delegates and councillors, as 21.4% of the former and 25.8% of the latter already participated in entities before the establishment of the PB (BAIERLE, 1999, p. 10).

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Previously conducted research projects also verified the manner in which Porto Alegre citizens are notified of Participatory Budget meetings. Starting with Silva’s systematization, the Neighbourhood Association became the greatest source of information on PB meetings although the attendance level of its members decreased between 1993 and 1998. It is observed that from 1995 to 1998 information provided by the Neighbourhood Association almost doubled the degree of importance of informational materials distributed by the Mayor’s Office. TABLE 1.7 – How Plenary Session Participants Heard about PB Meetings – 1993, 1995 and 1998. How you became aware of Participatory Budget Meetings

OP/93

OP/95

OP/98

Informed by Neighbourhood Association

57.35%

48.23%

41.9%

Informed by Neighbours, Friends or Relatives

18.26%

12.76%

14.4%

Informed by PB Delegate or Councillor

–

12.38%

9.7%

Informed through Newspapers or Mayor’s Office Posters

–

4.50%

9.2%

7.31%

6.58%

8.7%

Informed by Advertising Vehicles Source: SILVA, 2003, p. 162

Although the importance of government advertising has increased, organizations continue to be the main tools that gather people to participate in PB meetings (BAIERLE, 1999, p.10). Posters, newspapers, radio, television, advertising vehicles and mayor’s office representatives reached 35% of the participants in 1998, while 41.9% were invited by Neighbourhood Associations. Neighbourhood Associations were also responsible for bringing 34.6% of those who do not participate in Neighbourhood Associations to PB meetings. NGO CIDADE, in the document entitled “The Main Characters in the Participatory Budget – What it Means to be a Delegate or a

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Councillor” (2004), expresses its expectation with regard to the quality of the participation of people’s representatives in the Participatory Budget. In order to exercise this representation, delegates and councillors have to present collective interests and the will of their communities. This is not always an easy task in a process that involves several different interests. Their action requires permanent discussion with those who elected them, the capacity to inform, answer and, above all, respect decisions made by the majority. The role played by delegates and councillors is educational – depending on their stance, the process may either be democratic, educational and developed with solidarity, or corporative and clientelistic, thus driving a wedge between people rather than uniting them. Therefore, the greater the discussion on community demands and projects, the higher the number of people contributing to their establishment, the more these demands and projects will represent the will of the majority, thus ensuring legitimacy and representative power to councillors and delegates when they discuss these projects and demands with the city representatives in the Participatory Budget Council. 1.6 EXPANSION AND REPERCUSSION OF THE PARTICIPATORY BUDGET The Participatory Budget experience in Porto Alegre caused a series of debates and studies on participatory public management and inspired to other municipalities in Brazil and abroad to adopt similar management strategies. It also inspired the municipal government to expand it to other sectors of the administration, and its initial purpose – a more equal distribution of financial resources – was attained. Repercussions at the international level occurred when the United Nations selected the experience developed in Porto Alegre “one of the forty best urban interventions” (FEDOZZI, 2003)

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presented at the Second World Conference on Human Settlements, held in Istanbul in 1996. As a consequence, from 1997 on UN-HABITAT’s Urban Management Programme – Regional Latin American Coordination began to take part in the participatory budget in order to study it and contribute to the World Campaign for Good Governance (PMPA, 2004). The number of Brazilian cities that have adopted the Participatory Budget model, each of which has adapted it to its situation, has reached 130, according to Avritzer (2003) and PMPA, and 140 according to research currently being developed by the National Forum on Popular Participation (FEDOZZI, 2003). According to Cabannes (2004), with the Urban Management Programme of the United Nations Regional Coordination for Latin America and the Caribbean, 250 cities are developing participatory budget experiences in Latin American and European countries, reaching approximately 24 million inhabitants. Because of this recognition, Porto Alegre was selected to hold the first World Social Forum, which took place in 2001, and most of the subsequent forums also took place in that city. From 1998 on, the Participatory Budget was expanded to include the Municipal Education Network, seeking to establish democracy in the school. Since then, teachers, parents, students and staff have voted and defended proposals for the establishment of libraries and laboratories, the presentation of workshops and cultural activities and the acquisition of equipment with the resources earmarked for projects at each school. The school community also decides on the improvements necessary to the physical structure of schools, renovation projects and construction of classrooms. Another initiative, created in 1999, is the Participatory Budget for Youth, whose specific area of activity is the field of social aid. Its purpose is to valorize popular initiatives and coordination between Councils for the Rights of Children and Adolescents and

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Social Aid Councils and to distribute information and strengthen the services connected with the network for children and adolescents. The re-distributive effects of the Participatory Budget were made possible by the “financial recovery of the Mayor`s Office in Porto Alegre, which created objective conditions for the efficacy of the PB as it provided the government with the capacity to respond to the deliberations that resulted from the process” (SILVA, 2003). The same author consulted the GAPLAN for 2002 and obtained the following results: out of 3,956 demands included in Investment Plans from 1989 to 2001, 3,282 (83%) have been concluded, 204 (5%) are in progress, 441 (11%) are under elaboration (project, solicitation, etc.) and 29 are pending (due to judicial action, waiting for the acquisition of the area, etc.). The opinion of participants on the degree to which established priorities were met was assessed and the results were systematized by Silva (2003), as shown in the chart below. TABLE 1.8 – Benefits (Construction and Services) obtained through the PB-1995/1998 Benefits attained in the areas of construction and service provision through the Participatory

OP/1995 OP/1998 % of 622 participants % of 1,039 interviewed during participants plenary sessions interviewed during plenary sessions

Budget Have benefited

52.72%

58.5%

Have not benefited

30.96%

22.9%

Do not know

9.57%

12.9%

Did not answer

6.75%

5.7%

Total

100%

100%

Source: Silva, 2003, p. 169.

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A study carried out by Marquetti concluded that “poorer regions were the ones that received the greatest per capita investment from 1992 to 2000 and the greatest amount of urban development per thousand inhabitants from 1989 to 2000 [...]. Also observed was a significant increase in the offer of public assets and services” (2003, p. 154). 1.7 PARTICIPATION AND SECTORAL POLICIES Since the Federal Constitution of 1988, sectoral policies in Brazil have been institutional venues for participation and channels for social control to be exercised. This participation takes place through Municipal Councils and Conferences and has several different characteristics. Tatagiba (2002) divides Councils into three types. One is the Council for Policies, relating to public policies organized into national systems such as those in the areas of Health, Social Aid, Education, and Rights of Children and Adolescents. There is also the Council for Government Programmes relating to emergency action, among which are Housing and Human Development. Finally, there are Theme Councils, which are not connected with any national system or legislation. They stem from local demands and include Transport and Sports Councils. In 1992, Complementary Law number 267, which regulates the Municipal Councils established by article 101 of the Organic Law of the Municipality of Porto Alegre, was passed. According to its first article, Municipal Councils are Agencies for the direct participation of the community in public administration. Its purpose is to propose, supervise and discuss issues relating to each sector of the administration. The city of Porto Alegre has an expressive set of Councils established over the years. These councils are listed below: CMDUA – Municipal Council for Urban and Environmental Development; COMATHAB – Municipal Council for Access to Land and Housing; COMAM – Municipal Council for the Envi-

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ronment; COMPHAC – Municipal Council for Historical, Artistic and Cultural Heritage; CONCET – Municipal Council for Science and Technology; CONCONT – Taxpayers’ Council; COMCOM – Municipal Council for Communications; COMTU – Municipal Council for Urban Transport; CMS – Municipal Health Council; CMAS – Municipal Council for Social Aid; CMDCA – Municipal Council for the Rights of Children and Adolescents; CMDH – Municipal Human Rights Council; CMAA – Municipal Agriculture and Provision; CMD – Municipal Council for Sport; COMAE – Municipal School Meal Council; CONTUR – Municipal Tourism Council; CONEN – Municipal Narcotics Council; CONDIM – Municipal Council for Women’s Rights; CME – Municipal Education Council; CMC – Municipal Council for Culture; COMUI – Municipal Council for Senior Citizens; Community Security Council; CMDC – Creation of the Municipal Council for Citizen’s Rights against Discrimination and Violence; Technical Council of Porto Alegre’s Technological Village. In addition to sectoral Municipal Conferences, held periodically according to guidelines established by each council, another body was established: City Congresses. The first City Congress was held in 1993, and its theme was “Constituent City – What is the City that We Want in the Future?” In 1995, the second City Congress was held, and it initiated the reformulation of the Plan for Urban and Environmental Development. The third City Congress, held in 1999, established guidelines for the urban, economic, social and cultural development of the city. The fourth was on Democracy and Management of the State. Before the fourth City Congress, a Working Group entitled Participatory Democracy Mechanisms (coordinated by both government agencies – SPM, CRC and GAPLAN – and by civil society – COP, CMDUA and UAMPA representatives) evaluated the several channels in the municipality of Porto Alegre whose purpose is to make popular participation possible – either directly or through civil society organizations – in discussions and decision-making regarding public policies developed

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by the municipality. During this process, representatives from twenty municipal councils, from the Participatory Budget Council and from Regional Planning Forums were interviewed from March to May 2003. The discussion that resulted from the research indicated that “one of the issues identified in the daily operation of Municipal Councils is fragmentation in the establishment of public policies [...]. Coordination between policies and sectoral councils is one of the greatest challenges to be faced by protagonists in the creation of public policies, thus redeeming the wholesome view of human action” (ALFONSIN, 2003, p. 04).

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2. SOCIAL PROTECTION NETWORK 2.1 FACING SOCIAL INEQUALITIES The existence of great social inequality in Brazilian society has fostered significant efforts on the part of the several government levels to respond more effectively to social issues. Many initiatives have been developed and are currently in progress at national, state and municipal level. Their purpose is to reduce or minimize problems that result from the conditions of poverty and extreme poverty in which a significant portion of the population in Brazil lives. Despite the awareness that income differences are only one of the manifestations of the social situation in the country, they have been discussed by analysts and served as the inspiration for the creation of several models of public policies for intervention. According to Henriques (UNESCO, 2003, p. 63), poverty is the most pressing issue the country has to face in the new millennium since there are 55 million people living on the poverty line. Moreover, 24 million other Brazilians are at the extreme poverty level, that is, not even their most basic nutritional needs are met. The evolution of social protection systems in Brazil has always been linked to the regulation of labour relations. In this regard, the institutional structure established over time was directed towards the creation of a set of measures in the fields of social security, health and education in order to meet the needs of more highly organized categories that had greater influence in terms of pressure. Thus, a significant portion of the population in Brazil, individuals who had no formal job or survived at the poverty level, had no access to established social protection mechanisms. This evolution pattern created a complex, centralized system with low re-distributional capacity that generated operational inefficiency. Public policy management during this period was markedly aid-based.

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In light of the limited results attained through social policies of a centralized, aid-based nature – which were dominant until the early 1990s and linked to the reforms set forth in the Constitution of 1988 – innovations started to be implemented in the institutional structure and in social protection system. These innovations were related to the decentralization of public policies, the universalization of services and the increase in the impact of redistribution. Following these innovations, programmes to combat poverty began to be developed by the various government spheres. They were based in the direct transference of income to at-risk or vulnerable individuals and families. These programmes were created to increase the effectiveness of social policies. Some of these initiatives, according to Rocha (UNESCO, 2003, p. 70), were a mere expansion of programmes that had existed since the 1970s (aid to the elderly and to the physically-challenged). Others considered the priorities in the provision of services to target groups (School Scholarship, Meal Scholarship and the Programme for the Eradication of Child Labour – PETI) and the objective of establishing compensational mechanisms as a result of the increase in the prices of certain goods (Gas Aid) and of the limited per capita income (Meal Card). In reality, the first generation of minimum income programmes that establish a social protection network for low-income populations through the direct transference of income date back to seventeenthcentury liberals. International experiences in this area were first developed in the 1930s and 1940s, and currently the European Union and the Organization for Economic Cooperation and Development recommend that they be adopted by Member States (LAVINAS, 1998). In Brazil, minimum income programmes gained attention owing to their innovative characteristics in institutional terms. Even though these programmes have been conceived and proposed since the late 1980s, it was only in 1995 that they began to be implemented in several cities, like Campinas, the Federal District, Recife and

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Salvador. According to Draibe (2000), despite differing circumstances and operational procedures, these interventions developed by mayors’ offices had common characteristics: (i) resources to fund programmes were calculated as a percentage of current municipal revenue, (ii) resource transfers were limited to low-income families with children up to fourteen years of age, and (iii) school attendance and visits to health centres were mandatory. In addition to decentralization processes and income transfer programmes, the concept of management through networks was gradually introduced into the creation and implementation of social policies. The use of this organizational model was based on the Organic Law for Social Aid, which establishes that social aid should be integrated to sectoral policies. It is still an attempt to minimize problems that arise from the lack of coordination between different government levels and public and private agencies acting in the field of social aid. The truth is that the network model is an organizational response to the principles of decentralization and coordination. Its purpose is to foster a greater degree of efficacy on the part of administrations and different levels and to ensure that decisions are made in a joint fashion. According to Castells (1999), this institutional logic is being developed in all areas based on a threefold process: the crisis of the Nation-State, the development of supranational institutions and the transference of attributions and initiatives to the local and regional level. As a result of these changes, in the establishment of guidelines and in the process of management of social policies, the different government levels began to structure and develop their interventions observing, on the one hand, regulatory frameworks and, on the other, specific circumstances relating to local social issues. In this regard, this text seeks to describe the experience of the Mayor’s Office in Porto Alegre with the implementation of the Social Protection Network for Socially-Vulnerable Families. This intervention has been developed by the Foundation for Social Aid and Citizenship – FASC especially through a programme entitled “Family: Support

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and Protection”. In order to foster a better depiction of the addition of this programme to the set of social aid policies and of the manner in which it relates to the institutional structure, below is a brief description of how the social assistance network is set up in the municipality of Porto Alegre. 2.2 SOCIAL AID NETWORK: STRUCTURE AND MAIN SERVICES In light of the context of social policies in Brazil, the Mayor’s Office in Porto Alegre (PMPA) has developed a set of initiatives and created different organizational structures in the area of social aid in order to foster access to basic services and change the living conditions of low-income groups within the population of the municipality. These initiatives and structures form Porto Alegre’s Social Aid Network and involve programmes and services provided by the Foundation for Social Aid and Citizenship (FASC), the organization responsible for the development of social policies in the municipality. In addition to the implementation of specific programmes and to the provision of services to the population, FASC supervises the activities of partner non-governmental organizations and establishes coordination efforts involving other government levels in order to foster the integral fulfillment of the demands of at-risk social groups. Currently, the Social Aid Network in the Municipality is divided into two structures: the Basic Network and the Special Services Network. The Basic Network encompasses programmes and services that must be available in every community and, consequently, have to be offered near the locations where the population served lives. In terms of its physical structure, the Basic Network comprises nine regional social aid centres and thirteen modules that offer priority services to certain communities, the equipment being used as support to provide greater geographical coverage and deepen the decentralization of social aid services at the municipal level. The main organizations linked to this structure are the Centres for Social and Family Support

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(NASF), the Social-Educational Support Service (SASE), the Social Programme for Support to the Elderly (PAI), the Community Service Centre and the Programme for the Open Execution of Social-Education Measures (PEMSE), which are briefly described below: • NASFs are multidisciplinary technical teams made up of professionals in the areas of social aid, psychology and pedagogy. They are responsible for the provision of services to families and for providing technical support. NASF services are provided at operational units, decentralized modules and partner nongovernmental organizations. • The Social-Educational Support Service (SASE) provides services to children and adolescents aged 7 to 14 either before or after school (afternoon students during the morning shift and morning students during the afternoon shift). Beneficiaries receive meals and psychosocial and pedagogical support. When the need arises, they are referred to health services, take part in cultural and expression workshops and participate in play-based activities to foster their emotional and social development. • The Social Programme for Support to the Elderly (PAI) comprises a set of activities and strategies for motivation and involvement. It was developed to serve senior citizens who are excluded from access to goods and services. At each centre, FASC technicians work with Interaction Groups. Arts and crafts workshops, speeches and physical activities are offered to programme participants. These meetings foster the awareness of rights and the participation and social reintegration of these individuals. • The Community Service Centre offers activities in the areas of social support and provides information on social rights and other social policies. It also distributes transport stamps, photo stamps and basic food baskets, among other things. • The Programme for the Open Execution of Social-Education Measures (PEMSE) coordinates the provision of services to adolescents in centres located in the Municipality of Porto Alegre.

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The Special Services Network consists of programmes and services offered to specific groups. For the most part, access to this network takes place through referrals. The programmes that make up the Special Services Network are shelters for children and adolescents, halfway houses for violence victims, homes, residential shelters and hostels, in addition to services for the elderly and physically challenged (provided by partner institutions). Other services include the Interaction House, the Street Social Service and the Street Social Education Service, which operate according to the following guidelines: • The Temporary Housing Service is provided at municipal shelters for individuals living in the streets. This service maintains an agreement with hostels that also serve homeless adults. At these locations, beneficiaries have access to social services in order to reestablish goals for their lives. • The Interaction House offers services to homeless adults during the day. Their basic needs – such as hygiene and nutrition – are met at this location. Group activities are also developed to foster self-esteem and self-organization among users. Beneficiaries are referred to health and identification public services. • The Street Social Service is developed with excluded adults in the streets of Porto Alegre. A technical team goes to different locations, approaches individuals, monitors them and establishes links in order to identify the basic needs of this population group. Individuals are referred to social services in the areas of health and identification (provision of documentation). At times, they gain access to programmes developed by the Special Services Network. • The Street Social Education Service consists of activities for children and adolescents living on the streets. This service involves the FASCs and the Municipal Secretariats of Health, Education and Sport, Recreation and Leisure. The work is initiated by approaching children and adolescents on the street and continues with games, recreational activities and other encounters until a

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relationship based on trust has been established. The children and adolescents then gain access to the programmes. The objective of this service is to instil these youths with a desire to set new goals for their lives and, whenever possible, lead them back to their families or to a shelter maintained by the Special Services Network. As shown above, several services are offered by the Basic Network and by the Special Services Network, and they present different levels of managerial and technical complexity. The issue of whether or not these services are essential and the impact they have on their target groups will not be discussed at this point. It should be pointed out, however, that the most important programme in the context of social aid in the municipality of Porto Alegre is the “Family Programme: Support and Protection”. The real importance of this programme is not limited to the reach of services provided or to its special approach (focusing on the family rather than on specific groups, as do conventional actions). It is also related to the amount of necessary coordination with existing social aid structures, with the sectoral infrastructure of the several organizations linked to the social area in the municipality and with other government levels. The truth is that the several actions developed by the programme are the main structures that support the social protection network for socially-vulnerable families. Presented below is an explanation on its evolution and operation and its links to other social policies developed in the municipality. 2.3 FAMILY PROGRAMME: SUPPORT AND PROTECTION The Family Programme: Support and Protection is linked to the Basic Social Aid Network. It stemmed from several initiatives recently developed by FASCs based on the concepts of income transfer and focus on at-risk families. The following projects can be cited as examples of these initiatives: Green Light (1994), which consisted of the provision of services to families with children and adolescents begging at traffic lights in the capital, and the project for implemen-

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tation of NASFs (1995) at FASC operation centres. In addition to these initiatives, the project Family Support and Protection Network was implemented in 1997 in partnership with four non-governmental organizations. Its scope of action was the same as that of previously mentioned projects, but it was different with regard to the benefits offered. Aid scholarships were provided for six months (and renewable for another six) to socially-vulnerable families. From 1998 on, through Municipal Decree No. 11.997, the Support and Protection Network and the Centres for Social and Family Support were unified and became the Family Programme: Support and Protection. The programme’s core concepts are based on the notions of family and social vulnerability. Family is understood as a natural, fundamental nucleus of society and as a venue for social protection. Programme actions should, therefore, seek to strengthen family bonds and foster spontaneous solidarity within communities. The idea of social vulnerability indicates a policy for protection whose purpose is to face the situations that result from poverty and social exclusion and threaten the physical, social, mental and moral development of children, adolescents and/or senior citizens. These include homelessness, violence, drug use, child labour, malnutrition, HIV, teenage pregnancy and physical handicaps. Protection measures (such as sheltering) and social-educational measures had to be respected. In addition to the concepts of family and social vulnerability, the aspect of the construction of autonomy among users was also relevant when managers designed the programme. According to Martins (2002), it is not enough to have a social policy that merely distributes income; it is also necessary to foster the conditions needed so that all socially-vulnerable citizens will have the right to eat, support their households and ensure the observance of the rights of their children. They should make it possible for fathers and mothers to protect and maintain their homes. Regardless of the origin of initiatives, FASCs adopted the strategy to concentrate all actions on attention to families and on the provision

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of financial benefits as part of the Family Programme: Support and Protection. Federal initiatives such as the Programme for the Eradication of Child Labour (PETI), state programmes such as the Citizen Family Programme and the Centres for Social and Family Support, and municipal programmes began to be managed in an integrated, unified manner, but their specific operational characteristics were preserved. Coordination with the PETI began in 2000 and involved the transference of federal government resources (R$40.00 – forty reais) per child/adolescent aged 7 to 15 involved in child labour. The benefit is provided until the adolescent reaches the age of 15. The municipality of Porto Alegre complements the benefit until the maximum total, R$150,00 per family, is reached. The fundamental condition for participation in the PETI is the withdrawal of children from situations of hard, dangerous, unhealthy or degrading labour. Also necessary are school attendance and participation in complementary educational activities developed during extended school shifts. The Citizen Family Programme is a minimum income programme developed by the Government of the State of Rio Grande do Sul. The municipality of Porto Alegre develops activities in the areas of coordination and technical assistance to the project at the local level, and the state government is responsible for transferring resources to fund benefit payments, which vary from R$90,00 (ninety reais) to R$225,00 (two hundred and twenty-five reais). Conditions for inclusion in the programme are related to situations of risk to children and adolescents. Families with senior-citizen members, persons with a disability (PPDs) and HIV-positive individuals who cannot provide for themselves are also eligible. This programme was implemented in 2001 in partnership with the Secretariat of Labour, Citizenship and Social Aid – STCAS, which provided resources for the municipality to serve 1,626 families. NASF, a municipal programme, is the third initiative for attention to socially-vulnerable family groups. NASF was conceived in 1995

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with the objective of redeeming the importance of the role played by the family in the development of the child and adolescent. In fact, the creation of NASF was a result of a proposal presented during the First Municipal Conference on Social Aid, held in 1993, and the First Municipal Conference for Childhood and Adolescence, held in 1994. At these conferences, it was recommended that the Public Authority should implement a social policy for protection to at-risk families and to families that could not protect their children and adolescents. In addition to responding to recommendations from the highest level of deliberation on social aid policies in the municipality, the project sought to meet the requirements set forth in the Statute of the Child and Adolescent – ECA, especially with regard to Paragraph I of Article 90, which determines that service agencies are responsible for planning and developing programmes for children and adolescents, offering guidance and social and family support. NASF’s original concept defended the implementation of service centres at all operational FASC units and the provision of benefits (initially basic food baskets) to selected families. In order to qualify as project beneficiaries, families had to attend service sessions, participate in group meetings, register and keep their children in school and take part in other referred services as necessary. The scope of the programme gradually increased, which called for the establishment of inter-institutional partnerships with non-governmental organizations. This broadened the scope of services to include families with children and adolescents living on the streets. The following issues were considered: physical and psychological ill treatment, drug addiction, sexual exploitation, sexual abuse and child labor. As time went by, NASFs began to coordinate and develop all of the initiatives that involved methodologies of intervention with family groups. In addition to providing monthly minimum income, technical assistance and support, NASFs began to offer operational support to other initiatives developed by the different levels of the government, such as PETI and the Citizen Family Programme.

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NASF is therefore an action programme and serves at-risk families (family violence, begging in the streets, drug use, sexual exploitation and child labour) with children and adolescents in Porto Alegre with a per capita income of up to half the minimum salary. Its objective is to strengthen family bonds, and it is developed through the inclusion of individuals into the operational structure of each Regional Social Aid Centre. In addition to committing to keeping their children in school, families participate in group dynamics sessions, consult with social workers and psychologists and receive a stipend for a period ranging from six months to one year. In December 2002, the Family Programme: Support and Protection served a total of 3,371 families in its own network and through partner institutions. According to a report prepared by the Basic Coordination Network (FASC, 2002) these families were divided as follows: 1,175 participated in the programme developed by the Centres for Social and Family Support (NASF), 570 participated in the Programme for the Eradication of Child Labour (PETI), and 1,626 participated in the Citizen Family Programme. Families are referred to Family Programme: Support and Protection triage by Guardianship Councils, the Child Support Divisions of Prosecutor’s Offices and the Childhood and Youth Court. These agencies develop activities that involve children and adolescents and refer families that seek services at operation centres or participate in projects developed by FASCs. The objective of the triage is to identify the difficulties faced by the family and possibilities for intervention. Selection interviews are done individually in the family’s place of residence and are based on criteria for inclusion in each of the programmes that make up the Family Programme: Support and Protection. The triage seeks to identify the degree of need for supervision on the part of the family based on basic criteria that define the situation of social vulnerability. Selected families sign a contract that sets forth the commitments that must be fulfilled for its duration. These commitments involve the following aspects:

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a) Seeking to overcome the causes for joining the programme, implementing the individual action plan designed in partnership with the social technician; b) Registering and keeping school-age children (7 to 14) in state or municipal schools. Attendance at no less than 80% of the classes is mandatory, as defined by the Ministry of Education. Children under seven years of age should be registered at early childhood education schools or community day care centres. c) Registering and keeping children and adolescents in programmes that foster their development – music and dance workshops, recreational activities, educational work and Social Educational Support Service – SASE activities, among others; d) Using the stipend for the healthy development of family members, resulting in direct improvement in the living conditions of beneficiaries; e) Regularly attending group meetings and scheduled individual appointments; f ) For PETI, no child or adolescent under 16 years of age can work, and SASE attendance (or attendance to a similar extended school shift programme) is mandatory. After the inclusion of families in any of the services offered through the Family Programme: Support and Protection (PETI, Citizen Family and NASF), individual, family and group services may be provided according to the predefined intervention plan. Individual services include periodic visits to the family’s place of residence by technicians from administrative structures within the Basic Assistance Network (Regional Centres). This type of supervision takes place when a given member of the family group goes through difficult times or a crisis and seeks to reestablish the structure of the family. During these visits, the fulfilment of the following commitments should be verified: the maintenance of children in school, registration at a health care centre, hygiene conditions and the way in which the stipend is being used.

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The objective of family supervision is to work on the improvement of relationships within the family. This intervention takes place based on the verification of the degree of assistance necessary to the group and their need to have specialized family therapy services available. The purposes of the group supervision are to make it possible for experiences to be exchanged between families participating in a certain programme and to foster mutual help. In this type of supervision, families begin to interact with others in order to create social bonds. The core concept in this type of intervention is based on the idea that social inclusion should not be limited to the family – families should be included in a larger social group. The several types of intervention can lead to the suspension of services and to exclusion from the programmes. Suspension occurs due to the inobservance of commitments established in the contracts and does not result in exclusion from the programme. Suspension ends when the inobservance of commitments that caused it is corrected. Procedures for exclusion from the program are initiated when the family no longer fulfils the necessary requirements to receive the stipend or does not continuously fulfil the requirements set forth in individual action plans. Other situations that may cause exclusion from the programme are related to the expected duration of each of the services offered by the programme and to the possibility for their renewal. An internal study (FASC, 1997) conducted to identify the characteristics of families participating in the programme indicated the following: with regard to socio-economic factors, 37% of these families had no income whatsoever, 33% were unfit for work for health or qualification reasons and 30% had an insufficient monthly income and were at very accentuated levels of poverty and exclusion. In terms of risk factors for children and adolescents, 27% begged in the streets, 18% were not in school, 18% had health problems, 17% were physically abused, 11% used drugs, 4% were involved in child labour and a few were involved in child prostitution. In addition, 3% of the teenagers were pregnant. Begging, one of the main survival

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strategies of these families, was identified as the main reason for joining the programme. Among risk factors for adults, the following should be pointed out: 28% stated that they were victims of domestic violence and 45% used drugs and alcohol. In terms of the use of the stipend provided by the programme, results indicate that resources are utilized in home improvement – building bathrooms, tiling floors, fixing the roof or enlarging the house. It was also verified that a large portion of the resources was used to purchase school supplies, food, clothing, domestic appliances, furniture and electronic equipment, as well as to pay outstanding utility and grocery bills. Some families used the funds to pay for health care, purchase work tools or pay for professional training courses. With regard to the impact of the programme on the life of the families, studies conducted by FASC technicians indicated that it strengthened family and community bonds and fostered community participation and the establishment of relationships based on solidarity. It also had an influence in terms of the inclusion and maintenance of children in school and the decrease in dropout rates. It aided in the identification and suspension of mendicancy and had an effect on child labour, ill-treatment, drug addiction and homelessness. It fostered the participation of children and adolescents in activities such as educational, cultural and pedagogical workshops offered by FASC or non-governmental organizations. The evaluation presents a rather positive view of the programme and finds it to be an important tool in the field of policies for the protection of children and adolescents since it makes it possible for risk factors that lead children and teenagers to a condition of extreme personal and social vulnerability to be overcome. The stipend and technical supervision were considered important elements that fulfil the basic needs of the family and provide the necessary conditions for them to reflect on their relationships with their children, spouses, friends, neighbours and the community in general.

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3. SCOPE OF WORK 3.1 OBJECTIVES The initial outline of the study proposed the following objectives: 3.1.1. General Objective: To carry out an evaluation on the social policies developed in the Municipality of Porto Alegre from 1989 to 2003 in terms of the structure and operation of the popular participation network and the network for the protection of socially vulnerable families. The purposes of the evaluation are to provide information for a better characterization of the effectiveness of these processes and to contribute to the improvement of the creation and implementation of social policies in the municipality. 3.1.2 Specific Objectives: • To gather information on the creation, structure and operation of the Popular Participation Network, identifying characteristics of the institutional and legal framework used to make the participation of society and other decision-makers possible; • Characterize the Network for the Protection of Socially-Vulnerable Families in relation to its creation and to the following issues: social demands, accessibility, coordination between different areas involved, coverage level of the services provided, extension and awareness of the population; • Identify the perception and opinion of the several public users on the services provided by the Network for the Protection of Socially Vulnerable Families;

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• Identify the main characteristics, needs and expectations of target publics in relation to popular participation processes; • Identify the ways in which the responding public seeks information for their inclusion in the participation and social protection networks; • Identify, within the awareness of citizenship, the perception of coordination between the several projects and programmes and between programmes and the mayor’s office; • Prepare a publication containing the final results of the evaluation, a report on the experience and the results reached by the Municipal Mayor’s Office in Porto Alegre through the development of popular participation processes and the creation and implementation of the Network for the Protection of Socially-Vulnerable Families. 3.2 METHODOLOGICAL APPROACH The methodological procedures used in the elaboration of the study were established based on the proposed objectives, the several types of groups involved in the processes and the funds available for the development of the work. In relation to the objectives, the research sought to investigate a set of variables that would make it possible to characterize the processes linked to the Network of Popular Participation and to the Network for the Protection of Socially-Vulnerable Families in Porto Alegre. Secondly, it sought to assess the coordination between these processes and other social areas, as well as the level of coverage of the services provided and the level of awareness of the population with regard to their availability. Finally, it sought to identify the perception and the opinion of users on the services provided by the popular participation network and the network for the protection of socially-vulnerable families. With regard to the issue of target publics, because this study encompasses several analytical dimensions – the institutional level, community participation and services provided through social protection programmes – the strategy adopted was to include the subjects involved in public actions: decision-makers, implementers,

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beneficiaries and other social agents involved, either directly or indirectly, in decisions and the level of impact of the actions being analysed. The focus in this field, unlike that of other studies, was the general public, that is, possible beneficiaries of the strategies for popular participation and social protection. Finally, limitations relating to funding and to the schedule for the development of the work made it necessary for the team to reduce the scope of the proposed study. Thus, in light of the objectives proposed, the groups involved, financial limitations and time constraints, the study was developed in two different, integrated stages: one of a qualitative nature and one of a quantitative nature. 3.2.1 Qualitative Stage The qualitative stage sought to obtain information on the processes developed within the areas dealt with in the study (the popular participation network and the protection network) and to register the opinion of several social agents on the results and impact of these structures. The involvement of individuals relating to these public actions was particularly important – it made it possible to assess countless aspects of the definition of operational dynamics for public policies, and it created the necessary conditions for the collection of a wide variety of opinions and perceptions on the subject. During the qualitative stage, the mechanisms used to collect information were the following: a) non-structured interviews with representatives of the popular participation network – this involved technical team members responsible for the elaboration and execution of the participatory budget cycle in the municipality of Porto Alegre – both from the social protection network and from several social area sectoral policies (education, health and social aid); b) non-structured interviews with specialists and protagonists from social movements in Porto Alegre;

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c) structured interviews with beneficiaries of the programmes for the protection of socially-vulnerable families. The purpose of these interviews, conducted with representatives involved in processes related to the popular participation network and to the network for the protection of socially-vulnerable families, was to get an overview of the several aspects that guided the creation and design of the programmes being analysed. They also provided the conditions for the establishment of coordination between UNESCO’s consulting team and the different sectors of the Mayor’s Office in Porto Alegre, a necessity since the broad scope of this study called for multiple contacts within the administrative structure of the municipality. In addition to these aspects, the themes presented and discussed made it possible to consolidate the bibliographic institutional materials and to outline the techniques for data collection necessary to complement/verify information provided. Another important aspect of the interviews carried out with representatives was the possibility of getting an initial idea in relation to the records they have on the progress and difficulties observed so far and to their perception of how these processes will unfold in the future. In fact, this methodological procedure is based on participatory evaluation methods, in which those responsible for the development of social programmes express their opinions and perceptions on planning, execution and results observed. PMPA representatives were interviewed in June and July 2004. The following municipal organizations were represented: the Planning Cabinet – GAPLAN, the Municipal Secretariat of Education, SMED, the Municipal Secretariat of Health – SMS and the Foundation for Social Aid and Citizenship – FASC. In reality, GAPLAN and FASC are the core organizations within the municipal administrative structure. They support the processes developed by the Popular Participation Network and the Network for the Protection of Socially-Vulnerable Families. The SMED and the SMS were included in the study as complementary organizations owing to their level of

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coordination and to the importance of the activities they develop to the operation of the two analysed networks. On the other hand, representatives were appointed by the municipal administration. Each organization that participated in the study was responsible for supplying documentation, providing the necessary information and logistical support for the development of the work and defining the services that would make up the sectoral teams responsible for the contact. Interviews with representatives were conducted in a manner which left interviewees free to express their opinions and clarifications. There was, however, a minimum set of questions that had to be approached. At this point in the evaluation process, panels were also utilized, and each of the areas dealt with by the study presented the main programmes they developed and their links to popular participation and social protection processes. The objective of the interviews conducted with specialists and protagonists from social movements was to include critical contributions based on the experience of individuals who have already presented theories on the issues analysed or have participated actively in social or community movements in Porto Alegre. The selection of this category of respondents was based on the fact that the study sought to include qualified opinions and to evaluate the degree of social pluralism in these processes considering both the structuring element of the Popular Participation Network – the participatory budget – and that of the Network for the Protection of SociallyVulnerable Families – the Family Programme: Support and Protection. These are themes that foster discussion, questions and reflections of an ideological and political nature. In this regard, it should be pointed out that this procedure did not attempt to neutralize or confront the considerations collected through interviews with PMPA representatives; it did, however, seek to collect the widest possible variety of opinions, expectations and perceptions in order to enrich the evaluation.

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Interviews with specialists and protagonists from social movements occurred in July 2004 and involved a total of six interviewees: three researchers from the fields of planning, urban development and social studies and three community movement participants who closely followed the implementation and execution of the participatory budget in the municipality. Just as in interviews with PMPA representatives, the idea was to examine the issues more deeply within a minimum set of questions or propositions presented to interviewees. The selection of specialists was based on secondary data sources, used to contextualize analysed themes according to the scheduling availability during the period established for the collection of information. The choice of social movement protagonists was random based on a list of participants from several popular participation venues in the municipality, such as members of formally established Councils, community representatives and representatives of neighbourhood associations. The purpose of the interviews with beneficiaries of the Programmes for the Protection of Socially-Vulnerable Families, in turn, was to gather the perception of beneficiaries with regard to social aid actions in the municipality, including their significance, coverage, level of coordination and degree of public awareness of this social policy tool. Owing to the characteristics of the public involved, the nature of collected information and the need for data comparison, a set of questions was adopted for all selected interviewees. The tool used to gather information was a form containing open-ended questions divided into four analytical dimensions: (i) the characterization of the family group, with information regarding the individual responsible for the family, the family group and vulnerability/risk situations faced by the family; (ii) the characterization of services provided by the programme, which included information on the forms of access, requirements, level of knowledge and amount of information received from social agents, recommended referrals, procedures developed and advances perceived by the beneficiary; (iii)

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coordination with other social protection initiatives in the municipality, which included data on the relation with the municipal education network, with the basic and specialized health network, programmes for professional training and income generation, programmes that provide socio-educational services and programmes in the area of housing; (iv) coordination with participatory budget levels, with questions on the inclusion of beneficiaries in venues and processes for the discussion of social demands and decision-making with regard to the allocation of municipal resources. The choice of interviewees was random and based on lists of beneficiaries from the Centres for Social and Family Support – NASFs and the Programme for the Eradication of Child Labour – PETI, provided by FASC. Eleven families were selected (five linked to the NASF and six linked to the PETI). The establishment of the number of families that would participate in the study was based on saturation, that is, the addition of families would cease when new interviews stopped adding significant contributions to the study. The objective was not to generalize observations or perceptions based solely on this section of the evaluation but to seek qualitative elements that would support or confirm information collected through the institutional materials provided and the quantitative research carried out during the second stage of the study (quantitative approach). The purpose of this form of data collection, in addition to presenting the qualitative nature of the research through open-ended questions with a preestablished structure, was to deepen knowledge on the operational characteristics of programmes and on the reality of beneficiaries. The survey with social programme beneficiaries was conducted during the first two weeks of August 2004 by interviewers who were specially trained for this activity. Interviews were conducted at the residences of selected families so the environment would be adequate and there would be no external influence whatsoever. Interviews with families were scheduled with the support of sectors within FASC’s administrative structure.

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3.2.2 Quantitative Stage The objective of the quantitative stage was to verify the perception of municipality residents in relation to the operation and results of the main tools of the participatory process (the participatory budget) and of the Network for the Protection of Socially-Vulnerable Families (the Family Programme: Support and Protection). For this purpose, an extensive survey was conducted, and structured interviews were used. A questionnaire containing openended and yes/no questions divided into the following analytical dimensions: (i) a socioeconomic profile, whose purpose was to characterize aspects related to the age bracket, gender, race, income, schooling level and family structure; (ii) degree of participation in associations, degree to which individuals had information on organizations in these areas and how likely the respondents were to participate in activities developed by civil society organizations and in formally established venues for the discussion of public and community actions; (iii) knowledge on and perception of the participatory budget, with information regarding how appropriate municipality residents believe the different procedures adopted for the elaboration and execution of the participatory budget are, as well as their impression of the effectiveness of this tool; (iv) participatory budget links, a follow-up to the analysis that sought to assess the relationship between elaboration and execution procedures and other social policies in the municipality of Porto Alegre; and (v) knowledge on, participation in and evaluation of the several sectors that make up the social protection network, seeking to increase the level of popular awareness of the different services linked to the network. Interviewees were selected according to a random multiple-stage technique made up of three stages. The first stage consisted of the random selection of five out of the sixteen regions that form the political-administrative structure of the municipality of Porto Alegre. The second stage was the random selection of neighbourhoods in a

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proportion equal to the population density of pre-selected regions. The third stage was the systematic field selection of one private household for every five residences listed during a fast census. According to the established criteria, a maximum of five interviews could be held in each neighbourhood, and addresses that were not exclusively residential were left out. These guidelines were established to ensure the possibility to draw randomly each of the components of the sample at all stages of the selection. Table 3.1 – Distribution of the Sample by Participatory Budget Regions – makes it possible to visualize how interviews were distributed during the quantitative stage. TABLE 3.1 Distribution of the Sample by Participatory Budget Regions Number of Sample Neighbourhoods

Number of Interviews Conducted

Leste

15

143

Lomba do Pinheiro

14

69

Partenon

34

165

Restinga

12

55

Glória

10

54

Total

85

486

PB Regions

In order to determine the size of the sample, the survey took into account the number of people who had already participated in at least one stage of the participatory budget in relation to the total population. This was the main classification criterion used to determine the possibility of occurrence of the event. Thus, with a 5% error margin and the probabilities regarding the occurrence of the key variable, the size of the sample was established at 486 interviews. The form used for the survey was adapted to be processed with a scanner. To this end, the Teleform package and high-performance

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scanners were used, and this made it easier to transcribe data into digital form. The Statistical Package for Social Sciences was used for dealing with statistical data. For statistical analyses and interpretations that were not complex, Microsoft Excel was used. A pre-test was given to a sample of 18 people in order to verify their comprehension of the variables presented in the form and the sequence in which questions were presented. After the form was validated, it was given to the sample defined from 15 July to 12 August 2004.

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4. RESULTS: THE NETWORK OF POPULAR PARTICIPATION

4.1. KNOWLEDGE OF AND PARTICIPATION IN CIVIL SOCIETY ASSOCIATIONS This section of the study describes respondents’ knowledge level about civil society associations and the intensity of respondents’ participation in them. This study defines “civil society associations” as all formal and informal organizations that channel social and community needs and are voluntary. Some generic examples are religious, neighbourhood, cultural and labour associations. We decided to use a broad definition of “knowledge” in our questioning about respondents’ knowledge of civil society associations. We accepted “knowledge of ” an association as everything from superficial or vulgar knowledge (i.e. “I heard about it”) to detailed ideas about how particular organizations work. The second column of Table 4.1.1 therefore specifies the percentage of interviewees that had any knowledge at all of the proposed entities. Religious associations were the groups that had the most visibility among interviewees, with 68.9% recognition. Neighbourhood associations and political parties were also well known, with 62.1% and 59.5% recognition respectively. The associations that are not as well known by the public include Popular Councils (29.4%), social movements (34.8%) and cultural groups (35.2%).

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TABLE 4.1.1 Respondents’ Knowledge of and Participation in Civil Society Associations Knowledge of? (%)

Current participation? (%)

Past participation? (%)

Neighbourhood associations

62.1

6.2

7.8

Religious groups

68.9

22.8

5.6

Cultural groups

35.2

5.1

2.9

Political parties

59.5

3.9

4.5

Sport or recreational clubs

47.9

9.3

6.8

Social movements

34.8

4.1

3.1

Unions

47.3

7.8

4.5

Community centres

48.6

4.5

2.7

Popular Council/ União de Vilas

29.4

2.7

2.3

Carnival groups

47.3

2.9

3.1

Mothers’ clubs

43.4

2.9

5.6

Association type

The third column of Table 4.1.1 refers to the percentage of the population that currently participates in each of these types of associations. The highest participation index is that of religious groups (22.8%). Following religious groups are sport or recreational clubs and unions with 9.3% and 7.8% participation, respectively. The associations with the lowest levels of participation are popular councils, Carnival groups and mothers’ clubs. The fourth column refers to the percentage of the population that responded that they had participated in a type of association in the past but do not currently participate. The percentage distribution of positive responses in this column is very different from that of the previous column. Here, we see that the highest levels of prior participation occur in neighbourhood associations and sport or recreational clubs (7.8% and 6.8% respectively).

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The number of respondents who previously participated in a type of association but no longer participate leads to a number of possible interpretations. If we compare the data obtained by the question about the present (“participate”) and the question about the past (“participated”), we see that for a number of types of associations the number of people who had previously participated but no longer participate is much lower than the number who currently participate. This type of information can be taken as evidence of an increase in associational behaviour among the surveyed population. It could also indicate a broader fluorescence in the number of people participating in different facets of civil society generally. Thus, comparing the data in the third and fourth columns of Table 4.1.1, we see that, with the exception of neighbourhood associations, political parties and mothers’ clubs, there has been an increase in current participation when compared to the recent past, especially among religious groups. Nevertheless, these inferences should not be taken as conclusive because the categories of analysis that would explain the motivations and reasons behind the increase or reduction of participation in different types of associations were not part of this study. We also verified the profile of the surveyed population that participates or has participated in civil society associations in relation to demographic variables of family position and income. We developed this procedure with the aim of describing respondents’ predisposition to participate in civil society associations based on different sociodemographic characteristics. Toward this end, we created the variable “Participation in Associations”, which describes the total number of associations that respondents with a particular socio-demographic characteristic would be participating in or had participated in on average. The tables below refer to the average number of associations that people participate or participated in for each given socio-demographic variable.

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TABLE 4.1.2- Average Participation in Associations by Gender Gender

Average participation

Female

1.35

Male

1.49

Total

1.40

Table 4.1.2 – Average Participation in Associations by Gender – shows a slightly higher participation rate among males (1.49 associations) than females (1.35 associations). This result allows us to minimize the effects of the gender variable with respect to the levels of participation in associations and assume that levels of participation by gender are not significantly different. TABLE 4.1.3 – Average Participation in Associations by Race/Skin Colour Race/skin colour

Average nº. of associations participated in

Asian

1.80

White

1.36

Indigenous

0.80

Black

1.90

Brown/Mulatto

1.31

Total

1.40

Regarding the race/skin colour variable, we see that black and Asian populations (although the Asian population has a low total number of respondents) have significantly higher levels of participation in the civil society associations represented in the survey (1.90 and 1.80 respectively). White and brown/mulatto populations have lower levels of participation (1.36 and 1.31 respectively). The most startling datum in this table refers to the low index of participation among the indigenous population in comparison to other ethnic groups (although the indigenous population also had a low total number of respondents).

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TABLE 4.1.4 Average Participation in Associations by Position in the Family Family position

Average nº. of associations participated in

Head

1.34

Spouse

1.53

Child

1.58

Others

1.11

Total

1.40

Regarding position in the family, one sees that spouses and children have higher rates of participation than other categories of family members. Those who represented themselves as “others” (generally second-degree relatives) had the lowest rate of participation. TABLE 4.1.5 Average Participation in Associations by Schooling Level Education level

Average nº. of associations participated in

Elementary school incomplete

1.05

Elementary school complete

1.12

High school incomplete

1.59

High School complete

1.58

College incomplete

1.93

College complete

1.90

Total

1.40

With respect to schooling levels, we verified a strong correlation between the level of participation in civil society associations and the level of education of the interviewee. This result demonstrates the importance of education as a facilitating and catalysing force for involvement in different social networks.

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TABLE 4.1.6 Average Participation in Associations by Family Income Family income

Average nº. of associations participated in

To R$260

1.19

R$261 to R$520

1.26

R$521 to R$2,080

1.37

R$2,081 to R$3,120

1.62

R$3,121 and up

1.94

Total

1.40

The data in Table 4.1.6 demonstrate that family income, like education level, is strongly correlated with levels of participation in civil society associations. The higher the income level, the greater the number of associations in which individuals participate. 4.2. SECTORAL COUNCILS A different set of survey questions was set up to gauge the knowledge of and participation in the formal organizations established for decision-making in the different social service sectors in the municipality. Taken together, these organizations are known as the “Sectoral Councils”. Table 4.2.1 shows us that the organizations with the greatest level of public visibility are, in order: the Guardianship Councils (80.7%), the Municipal Council for Children and Adolescents (56.0%), the Municipal Council for Human Rights (53.9%), the Municipal Council of Education (51.9%) the Council for the Rights of Women (51.6%) and the Municipal Health Council (51,4%). The Guardianship Council and the Municipal Council for Children and Adolescents also had the highest rates of current and prior participation among those interviewed. The fact that a large number of people (over 10%) stated that they participate or had participated in the Guardianship Councils is an impressive finding in our research.

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In order to verify the influence of socio-demographic variables on the knowledge of survey respondents about the different councils in the questionnaire, we calculated the number of councils positively recognized by each respondent and determined the average number of councils known to members of different socio-demographic categories. For example, taking the variable of respondents’ gender (see Table 4.2.2) we see that the number of councils known by women (8.3) is slightly greater than the number known by men (7.7). TABLE 4.2.1 – Population (%) that Knows of and/or Participates in Sectoral Decision-Making Organizations Council

Knows of

Current Past Participant Participant

CMDUA – Urban Development and Environment

31.5

0.2

1.6

COMATHAB – Access to Land and Housing

17.5

0.2

0.4

COMAM – Environment

49.2

0.2

1.2

COMPHAC – Historic Preservation, Art, and Culture

39.5

0.2

1.4

CONCET – Science and Technology

32.5

0.2

0.6

CONCONT – Tax Contributions

12.8

0.2

0.2

COMCOM – Communication

20.6

0.2

0.0

COMTU – Urban Transport

42.8

1.2

1.6

CMAS – Social Assistance

47.5

1.2

1.6

CMDCA – Children and Adolescents

56.0

2.1

1.4

CMDH – Human Rights

53.9

0.2

1.6

CMAA – Agriculture and Food Supply

24.9

0.4

0.4

CMD – Sport

25.9

0.2

0.6

CMS – Health

51.4

0.6

1.6

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TABLE 4.2.1 – conclusão Council

Knows of

Current Past Participant Participant

CONTUR – Tourism

33.3

0.4

0.6

CONEN – Narcotics

29.6

0.4

0.6

CONDIM – Women’s Rights

51.6

0.4

0.6

CME – Education

51.9

0.6

1.9

CMC – Culture

42.6

0.2

1.2

Guardianship Council

80.7

2.5

8.4

TABLE 4.2.2 – Average Number of Councils Known by Gender Gender

Average

Female

8.3

Male

7.7

Total

8.0

We can see significant differences with respect to the race/colour of respondents. While “white” respondents knew an average of 8.3 Councils, “brown/mulattos” knew 7.7, “blacks” knew 7.0, and “indigenous” (with a small total number of respondents) knew 4.6. TABLE 4.2.3 – Average Number of Councils Known by Race/Colour Race/skin colour

Average

Asian

7.2

White

8.3

Indigenous

4.6

Black

7.0

Brown/Mulatto

7.7

Total

8.0

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Spouses and children showed a slightly greater knowledge of Councils than heads of household and a markedly greater knowledge than other family members. TABLE 4.2.4 – Average Number of Councils Known by Family Position Family Position

Average

Head

7.42

Spouse

8.16

Child

8.19

Others

5.61

Total

7.96

In general, there was a strong tendency toward greater knowledge of councils among those with higher education level and higher income levels. TABLE 4.2.5 – Average Number of Councils Known by Education Level Education level

Average

Elementary school incomplete

7.0

Elementary school complete

8.6

High school incomplete

6.7

High School complete

8.8

College incomplete

7.7

College complete

9.2

Total

8.0

TABLE 4.2.6 - Average Number of Councils Known by Family Income Family income

Average

To R$260

6.1

R$261 to R$520

6.1

R$521 to R$2,080

9.0

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TABLE 4.2.6 – conclusão Family income

Average

R$2,081 to R$3,120

9.8

R$3,121 and up

10.1

Total

8.11

Of the 486 respondents, 39 (8%) indicated that they are currently participating in one of the Councils included in the questionnaire. If we add to these the 68 respondents who had previously participated in the Councils, we come up with a total of 107 respondents (22%) that are participating or have participated in one or more of the 20 Councils. When we look at the characteristics of the participants, we find, first of all, a slight difference in favour of women. Among women, 22.9% have participated in the Councils. The corresponding figure for men is 19.8%. Asians and indigenous peoples had the highest rates of participation in the councils (40%, with a small total number of respondents). In third place, brown/mulatto respondents had a 31.5% participation rate. Whites (20.9%) and blacks (16.0%) had the lowest rates of participation. The variable of education level does not show as marked a difference in relation to participation as race/colour. The same can be said of income level. The following table illustrates that there is a relatively homogeneous rate of participation across income levels, with slightly higher rates of participation at both extremes of the income scale.

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TABLE 4.2.7 – Percentage of Participants in Councils by Family Income Family Income

%

To R$260

25.9

R$261 to R$520

21.7

R$521 to R$2,080

22.0

R$2,081 to R$3,120

23.8

R$3,121 and up

24.2

Total

22.7

In addition to questions about knowledge and participation in the Councils, we also asked respondents about the degree of difficulty they encountered initiating participation. Only 9.3% of participating respondents said that they had found it very difficult to participate, and 16.8% said they had found some difficulties in participating. This means that the vast majority of those who have participated did not have any difficulties in participating (73.9%). TABLE 4.2.8 – Difficulty in Participating in Councils Difficulty

%

Very difficult

9.3

Some difficulties

16.8

No difficulties

73.9

Total

100.0

The survey also solicited an evaluation of the Councils as spaces of participation by respondents. As can be seen in the following table, fully 86.9% of respondents evaluate the councils positively, as important or very important.

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TABLE 4.2.9 – Importance of Councils Importance

%

Very important

40.8

Important

46.1

Indifferent

10.4

Of little importance

2.3

Of no importance

0.5

Total

100.0

However, in contradiction with the importance people attribute to the Councils, we found that almost 3 in 4 respondents would not like to participate in them.

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TABLE 4.2.10 – Would you Like to Participate in the Councils? Would you like to participate?

%

No

73.7

Yes

26.3

Total

100.0

Lack of time was by far the most common of most of the motives cited for non-participation in the Councils. TABLE 4.2.11 – Motives for Non-Participation in the Councils Motives

%

Not enough time

46.3

Ill health or old age

18.7

Does not like participating

12.8

Does not know the councils

11.3

Not interested

6.4

Councils do not resolve anything

1.5

Others

3.0

Total

100.0

Another interesting issue is the close association between the various forms of social and political participation. Those individuals who participate or have participated in Councils are also more likely to participate in other civil society associations. The table that follows describes this relationship. Only 15.9% of those who participate or have participated in the Councils have not participated in other civil society associations. Among those who have not participated in the Councils, the corresponding figure is 42.7%. Looked at positively, 84.1% of those who have participated in the Councils have also participated in the civil society associations described in the

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questionnaire. Only 57.3% of those who have never participated in the Councils are participating or have participated in the civil society associations. TABLE 4.2.12 – Participation in Civil Society Associations and Councils Participation in Councils?

Participation in Associations?

No

Yes

Total

No

42.7

15.9

36.8

Yes

57.3

84.1

63.2

Total

100.0

100.0

100.0

Confirming the correlation between Council and association participation, we see in Table 4.2.13 that those who participate or have participated in Councils show greater participation in all categories of associations when compared with those who have never participated in the Councils. The highest rates of participation in associations among those who participate or have participated in Councils are found in religious groups (45.8%), sport and recreation clubs (29.9%) and political parties (25.2%). The largest differences (the last column of table 4.2.13) between those who participate or have participated in Councils and those who have not are found in the categories of Popular Councils/União de vilas (with a difference of 476.9%), political parties (375.5%) and community centres (235.8%). These data indicate the heavy political and social weight of those who participate in Councils.

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TABLE 4.2.13 – Participation in Associations by Type Compared with Participation in Councils Participates in Councils? Association Type

Difference (%) No

Yes

Total

Neighbourhood associations

10.8

29.9

15.0

176.9

Religious group

26.4

45.8

30.7

73.5

Cultural group

7.9

11.2

7.9

41.8

Political party

5.3

25.2

9.7

375.5

Sport or recreational club

17.4

29.9

20.2

71.8

Social movement

6.1

15.9

8.2

160.7

Community centre

14.2

22.4

16.0

57.7

Popular Council/ União de Vilas

2.6

15.0

5.3

476.9

Carnival groups

5.5

11.2

6.8

103.6

Mothers’ clubs

6.9

21.5

10.1

211.6

4.3 THE PARTICIPATORY BUDGET Among its other objectives, our research project aimed to describe the main characteristics, necessities and expectations of the public with regard to the processes of popular participation as set forth by Porto Alegre’s Municipal Government. Earlier studies had investigated the individuals who participate in Regional and Theme Assemblies of the Participatory Budgeting process. That is, this public is already well known, especially because of the systematic supervision of NGO Cidade (“City”) since the beginning of the Participatory Budget programme. The Participatory Budget (PB) has been in place in Porto Alegre for fifteen years, and it is now of interest to know the amount of knowledge of and participation in – on the part of the general popu-

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lation – this mechanism for participation in public management. We also need to know the significance the public attributes to this process as a management strategy. The results of this section of the study will be presented below and compared with results obtained by earlier studies about the same theme. Respondents were asked: “Do you know about or have you heard of the Participatory Budget?” The purpose was to detect the level of familiarity of respondents, in terms of information, with the process. Respondents’ answers revealed a high rate of knowledge, 91.2% of the survey population, as seen in Table 4.3.1. TABLE 4.3.1 – Do you Know about the Participatory Budget? Do you know about the PB?

%

Yes

91.2

No

8.8

Total

100.0

It was also found that 90.9% of the families taking part in the social protection network knew of or had heard about the Participatory Budget. Results showed that the average education level of those who had heard about the PB was 9.2 years, while the average for those who had not heard about the PB was 5.7 years. These data confirm what Fedozzi (2004) detected in his studies – that education level is a preponderant factor in the acquisition of new knowledge. As for family income, ranges corresponding to multiples of the national minimum wage, which is now R$260.00, were established. All of the respondents in the two highest income ranges knew about the Participatory Budget. Generally, the higher the family income, the more likely family members were to know about the PB, as seen in Table 4.3.2.

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TABLE 4.3.2 – Family Income and Knowledge of Participatory Budget Family income/ knowledge of PB

No (%)

Yes (%)

to R$260

20.8

79.2

R$260 to R$520

17.0

83.0

R$521 to R$2080

4.3

95.7

R$2081 to R$3120

0.0

100.0

R$3121 and above

0.0

100.0

The survey revealed that those interviewees who identified themselves as spouses were those who were most likely to know or have heard about the PB (97.5%), followed by those who described themselves as children (92.6%). TABLE 4.3.3 – Family Position and Knowledge of Participatory Budget Family position

No (%)

Yes (%)

Head of household

12.4

87.6

Spouse

2.5

97.5

Child

7.4

92.6

Other

27.8

72.2

The majority of respondents who knew or had heard about the PB learned about it through the mass media (58%), followed by actual participation in the process (11.3%). However, 16.3% knew about the PB through either neighbours or community leaders. One should note that only 6.8% of those interviewed heard about the PB through community leaders and that 10.7% did not respond to this question.

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TABLE 4.3.4 – How did you find out about the Participatory Budget? How did you find out about the PB?

%

Mass media

65.0

By participating

12.7

Neighbours

10.6

Community leaders

7.6

Others

4.1

Total

100.0

There has been a significant change in responses to this question over the course of the history of the Participatory Budget. In the previous decade, neighbourhood associations, now the equivalent of community leaders, were the main sources of information about the PB. The waning of neighbourhood associations’ influence is charted by Silva (2003: 162 passim). In 1993 neighbourhood associations were cited as the principal source of information about the PB by 57.35% of respondents, in 1995 by 48.23% and in 1998 by 41.9%. In a related change, knowledge about the PB gained from newspapers and posters published by the city government increased from 4.50% in 1995 to 9.2% in 1998. Knowledge of the PB gained by sound cars equipped with loudspeakers increased from 7.31% in 1993 to 8.7% in 1998. Among respondents whose families participated in the guaranteed minimum income programmes, the most often cited source for information about the Participatory Budget was community leaders, followed by mass media and the structure of social security programmes themselves. In reality, this shows that when these families find themselves in socially vulnerable positions the local community detects them and leads them to specific social services. Research participants were asked about what they thought to be positive and negative aspects of the Participatory Budget. It was

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relevant to know people’s opinions about the PB, whether or not they participated in it, since the focus of this research project was the population. The description given by the largest number of respondents (30.1%) is that they do not know of or cannot remember any positive aspect of the PB. Following this position, with similar frequencies, were two opinions. One position was that the PB helped people participate in the community in a democratic way (24.4%) and the other was that it brought infrastructural improvements to the community (24.1%). The data is shown in Table 4.3.5 TABLE 4.3.5 – Positive Aspects of the Participatory Budget Positive aspects

%

Infrastructural improvements in the community (light, water, pavement, etc.)

24.1

Participation of the community, democracy

24.4

Does not know of any advantages or cannot remember any advantages

30.1

Does not participate, so does not have opinion

1.6

Does not see any positive aspects

4.1

It helps needy communities

6.0

All aspects are positive

3.8

Others

2.4

Did not respond

3.5

Total

100.0

The most frequently given negative opinions about the PB were, first, that promised public works were not completed (16.7%); second, that there were insufficient public resources (15,8); and third, people described petty politics and political posturing as a negative aspect of the PB (10.8%). Nevertheless, one can conclude that the majority of negative aspects cited relates to the scarcity of

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social services, whether referring to public works or the way services are offered to the population. Other negative aspects described by the respondents can be seen in Table 4.3.6. TABLE 4.3.6 – Negative Aspects of the Participatory Budget Negative aspects

%

Too slow

6.7

Bureaucracy

2.5

Lack of resources

2.5

Manipulated

2.5

Public works are not completed

16.7

No negative aspects

9.2

Lack of publicity

7.5

Lack of participation

4.2

Petty politics

10.8

Inconvenient meeting times and places

4.2

Did not participate

5.0

Lack of public resources

15.8

Did not answer

5.0

Does not work

7.5

Total

100.0

Research participants were asked: “What do you know about the operation of the Participatory Budget?” The objective was to discover the degree to which the Porto Alegre population knew about the structure, organization and operation of the process, independently of whether or not they participated in it. The answers revealed that a complete lack of knowledge about the PB was the most common response (37.6%). Following this were

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people who knew some aspect about the operation of the PB (35.8%), distributed between those who knew about meetings and plenary sessions in communities (23.7%) and those who cited popular participation and clarifications of doubts (12.1%). The most commonly known aspects about the operation of the Participatory Budget were presented generically, that is, without reference to any historical instance or specific moment in the history of the PB. TABLE 4.3.7 – What Does the Population Know about the Participatory What does the population know?

%

Voting

2.1

Meetings and plenary sessions in communities

23.7

Does not know how it works

37.6

Knows little about the system

5.3

Community chooses a project and brings it to the Council

3.2

You learn where public monies are spent

2.1

Improves living conditions

0.9

Knows about it through the media

3.7

It helps needy communities

5.1

Popular participation and clearing up of doubts

12.1

It brings regional privileges/petty politics

0.7

Others

1.9

It works well in needy areas

1.6

Total

100.0

Research participants were consulted about whether they had participated in any PB meetings and 24.5% responded affirmatively (Table 4.3.8). We can compare this result to that of META (Abers, 1998), from a survey conducted in 1994, where 8.4% of the adult population in Porto Alegre had participated in at least one of the

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assemblies in the five years since the Participatory Budget’s beginning in 1989. The comparison shows that there has been a significant increase in the number of people who have participated in at least one meeting. For Fedozzi (2004), this result reveals that participation in the PB has reached beyond the scope of its permanent public. A different view is that the PB is a cumulative process and that new sectors of the population tend to become involved as time goes by. Respondents who said that they had attended a PB meeting were asked how often they attended meetings. Of those who had attended at least one meeting, 85.5% responded that they had attended “some” meetings, and only 4% said that they had attended “all” meetings. TABLE 4.3.8 – Participation in a Participatory Budget Meeting Participation in any PB meeting

%

Yes

27.8

No

72.2

Total

100.0

TABLE 4.3.9 – Frequency of Participation in Participatory Budget Meetings Frequency of participation

%

All meetings

4.0

Most meetings

10.5

A few/some meetings

85.5

Total

100.0

Those who have attended PB meetings are for the most part less educated: 50.4% had only attended and/or completed elementary school, 31.1% had attended and/or completed high school and 17.6% had attended and/or completed college. According to Baierle’s study, conducted in 1998 (Baierle: 1999, ibid), the majority

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of participants had an elementary education or less (61.3%). Those with some high school or high school education totaled 20.6% and those with some college or a college degree totalled 16%. With regard to family income, 45.4% of respondents who had attended PB meetings were among those in families that earned two to eight minimum salaries. In his 1998 study, Baierle found that the largest number of respondents who had attended meetings were from families that earned up to four minimum salaries (55.7%). Summing up the totals of those who earned two to four minimum salaries with those who earned four to eight minimum salaries, a total of 46.1% is reached (Baierle 1999: 06). Thus, there has been an increase in the education levels of those who have attended PB meetings over time, but there has been no corresponding increase in attendees’ family income levels. TABLE 4.3.10 – Education Level and Attendance at Participatory Budget Meetings Education level

No (%)

Yes (%)

Elementary school incomplete

70.9

29.1

Elementary school complete

70.9

29.1

High school incomplete

77.1

22.9

High School complete

72.8

27.2

College incomplete

69.2

30.8

College complete

77.8

22.2

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TABLE 4.3.11 – Family Income and Attendance at Participatory Budget Meetings Family income

No (%)

Yes (%)

R$3,121 and up

75.8

24.2

R$2,081 to R$3,120

90.2

9.8

R$521 to R$2,080

72.4

27.6

R$261 to R$520

63.5

36.5

Up to R$260

66.7

33.3

Do not know

78.8

21.2

When people were questioned about what they thought the purpose of the Participatory Budget was, the most common answer was “participation of the community” (54.2%), followed by the thought that the PB was a social accomplishment (13%). Therefore, the participatory character of the cooperatively administered PB is its most recognized aspect. TABLE 4.3.12 – Purpose of the Participatory Budget Purpose

%

Community participation

54.2

Petty politics

1.9

Problem resolution

5.7

Social accomplishment

13.0

Budgeting of funds and public works

5.3

Public works in the neighbourhoods

5.3

Government transparency

3.8

Integration of the mayor’s office with the community

4.2

None/no positive purpose

2.3

Others

4.2

Total

100.0

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A large majority of those interviewed (66.6) did not know about or had not heard about the final decisions of the Participatory Budget. Those who knew about the PB’s decisions, 20.8% of research participants, most commonly learned about them through the mass media (45.8%). Tables 4.3.13 and 4.3.14 describe these results. TABLE 4.3.13 – Do you know or have you heard about the Participatory Budget’s final decisions? Know of or heard about final decisions of the PB?

%

No

66.6

Do not know

12.6

Yes

20.8

Total

100.0

TABLE 4.3.14 – Ways People Learned about Participatory Budget decisions How people learned of PB decisions

%

PB meetings

22.4

Community, neighbours, friends

21.4

Mass media

45.9

Local improvements

6.1

Do not remember

1.0

Information pamphlets

3.1

Total

100.0

Interviewees (41.8%) also expressed that decisions made through the Participatory Budget are almost always implemented. Those who believe PB decisions are always implemented account for 10.9% of the respondents. One third of the interviewees (33.0%) responded with indifference, and only 14.3% were sceptical and said that the PB decisions were never, or almost never, implemented.

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TABLE 4.3.15 – Opinion about Whether Participatory Budget Decisions are Implemented Are PB decisions implemented?

%

Always

10.9

Almost always

41.8

Indifferent

33.0

Almost never

10.5

Never

3.8

Total

100.0

An opinion scale was elaborated based on respondents’ answers to this question. One point was given to those who responded that Participatory Budget decisions are never implemented, and those who said PB decisions are always implemented scored 5 points. The other values on the scale were 2 points for almost never implemented, 3 for indifferent and 4 for almost always implemented. Men and women have very similar opinions about whether Participatory Budget decisions are implemented: 3.5 for women and 3.3 for men (showing that women had a slightly more favourable opinion). Spouses, on the other hand, had the most favourable opinion about the implementation of Participatory Budget decisions. The schooling level did not seem to have an influence on the answers given by respondents to this question. TABLE 4.3.16 – Average Opinion about Implementation by Family Position Family position of respondent

Average

Head of household

3.3

Spouse

3.7

Child

3.4

Other

3.3

Total

3.5

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TABLE 4.3.17 – Average Opinion about Implementation by Schooling Level Schooling level

Average

Elementary school incomplete

3.5

Elementary school complete

3.4

High school incomplete

3.3

High school complete

3.5

College incomplete

3.5

College complete

3.5

Total

3.4

Family income seemed to have a slight influence on the average opinion about the implementation of the Participatory Budget. People with higher incomes tended to have slightly higher opinions of the PB. TABLE 4.3.18 – Average Opinion about Implementation by Family Income Family income

Average

R$3,121 and up

3.63

R$2,081 to R$3,120

3.65

R$521 to R$2,080

3.41

R$261 to R$520

3.51

Up to R$260

3.42

Total

3.48

Other questions addressed the respondents’ opinions about the improvements brought by the Participatory Budget. The perception of 52.1% of those interviewed was that the PB brought improvements in public services. This was followed by 30.1% of interviewees who declared that they did not know whether the PB brought improve-

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ments and 17% who do not agree that the PB brought improvements (Table 4.3.19). The improvements perceived by interviewees were mostly related to public works and infrastructure. Improvement of infrastructure-urbanization was referenced by 28.8% of respondents and improvement of roads (paving) was referenced by 27.7%. The third most common response was “others” (12.5%). TABLE 4.3.19 – Did the Participatory Budget Improve Public Services? PB improved services

%

Agree

52.1%

Disagree

17.0%

Do not know

30.9%

Total

100.0%

The interviewees were also asked whether their lives had improved because of the Participatory Budget. The result was that 38.1% perceived an improvement, while the vast majority did not (Table 4.3.21). TABLE 4.3.20 – Improvements in Public Services Described by Respondents Improvement detected

%

Improvement of infrastructure/urbanization

28.8

Road improvements/pavement

27.7

Sanitation

7.6

Transport

6.5

Cleaning/Rubbish Collection

4.9

Street lights

4.3

Public health

3.3

Education

2.2

Do not know

2.2

Others

12.5

Total

100.0

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TABLE 4.3.21 – Improvement in Living Conditions through the Participatory Budget Did your life improve because of the PB?

%

Yes

38.1

No

61.9

Total

100.0

Research respondents were also asked whether they understood the Participatory Budget to be a strategy to confront social inequalities. The most common response (45.3%) was provided by those who confirmed that they did see the PB as combating inequality. This was followed by the equally expressive response of 30.1% of respondents, who said that they did not know. The other 24.6% said they did not think the PB confronted inequalities. TABLE 4.3.22 – Has the Participatory Budget Helped to Combat Social Inequalities? Has the PB combated inequalities

%

Yes

45.3

No

24.6

Do not know

30.1

Total

100.0

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5. RESULTS: THE SOCIAL PROTECTION NETWORK

The purpose of this aspect of the study was to gauge the perception of interviewees about the diverse sectors that compose the municipality’s social protection network. To this end, the study sought to establish the visibility of public assistance programmes in the social, health, education, professional qualification and housing sectors. Also researched were the impressions of those who use social services. Table 5.1 – Distribution of Respondents by Knowledge and Recognition of Social Protection Network Programmes – presents the percentage of respondents who declared to have some information about the activities of the different social assistance programmes as well as the percentage of respondents who had used the programmes. TABLE 5.1 – Knowledge and Use of Programmes Social Programme

% of Respondents Do you know?

Have you used?

Social Assistance

65.6

12.6

Health

63.2

40.5

Education

43.2

18.3

Professional Training

28.0

7.0

Housing

37.6

5.4

The second column of this table presents the distribution of responses in relation to the knowledge respondents have about social

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service programmes. The most well-known sectors were social assistance (65.6%) and health (63.2%). The least often cited social programmes were those in the areas of professional training (28.0%) and housing (37.6%). Education programmes occupied an intermediate position (43.2%). The explanation as to why education only occupied an intermediate position can be puzzling given that education is one of the public services with the broadest coverage. However, it is helpful to remember that the survey looked to identify services operating at the level of the municipality, directly or indirectly administered by the city or administered by associations working with the city. The study did not consider references to other governmental spheres (such as the state and federal governments), philanthropic organizations and private companies that complement the municipality’s work. The most well-known social assistance services were those related to the guaranteed minimum income programme (36), sheltering programmes for children and adolescents (15) and work with street children (13). Administrative structures that implement social service programmes such as the Regional Social Assistance Centres (4) and the Foundation for Social Assistance and Citizenship – FASC (5) were also cited. This indicates the visibility of these programmes among respondents. In the health sector, the most cited programmes were those responsible for the provision of services such as the health clinics (140) and the municipal emergency hospital (8). After these, the most commonly cited programmes were family health programmes (14) and vaccination campaigns (25). Municipal schools (110) were the most frequently cited city programmes in the education sector. Also cited, but much less frequently, were services relating to the education of young children and adults (18) and literacy programmes (5). In the area of professional training, interviewees cited professional training courses run in association with SENAI/SENAC (38),

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programmes offered by technical schools (8) and the business incubation programme (8). The most often cited programmes in the housing sector were those related to building houses (87), urbanization of shanty towns (15) and programmes removing houses from high-risk areas (14). The third column of Table 5.1 shows the number of respondents who had actually inquired about or used services they declared to know. Health services were the most commonly used by the respondents (40.5%). These were followed by education services (18.3%). Those who had used public services were then asked to evaluate the treatment or service received. Table 5.2 – Evaluation of Social services by Users shows the percentage distribution of responses for the different social service sectors. The last column of the table presents an average satisfaction rating for each sector.5 TABLE 5.2 – Evaluation of Social services by Users Service Sector

Evaluation Excellent

Very Good

Good

Average

Insufficient

Total

Scaled Average

Social Assistance

0.0

21.7

39.2

21.7

17.4

100.0

2.7

Health

4.5

25.5

34.5

20.0

15.5

100.0

2.8

Education

8.7

21.7

39.2

17.4

13.0

100.0

2.9

Professional Training

0.0

40.0

60.0

0.0

0.0

100.0

3.4

Housing

0.0

33.3

33.3

33.4

0.0

100.0

3.0

Professional training programmes were the most positively evaluated by the respondents even though they were the least visible and least used service sector. In second place came the housing 5. The satisfaction scale was formulated by giving the following weights to individual responses and averaging the scores: Excellent (5), Very Good (4), Good (3), Average (2), Inadequate (1).

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sector, which had visibility and usage levels similar to those of professional training. The social assistance, health and education sectors had similar usage levels and small variations in terms of their average evaluations by users. In order to reach a more detailed understanding about the actions of the Family Programme: Support and Protection and its links to the social protection network, interviews were conducted with users of the Centre for Social and Family Support (NASF) and the Programme for the Eradication of Child Labour (PETI). These interviews were conducted because the objective of the study was to elucidate the perceptions of the several groups involved with the city’s social policies. Detailed interviews were therefore conducted with responsible adults in order to bring together their impressions about the importance, range and visibility of the Family Programme, as well as the links between the programme and other social policies in the city. These responsible adults had the following characteristics: all were women and the large majority had not completed elementary school and was not currently in school. Most of these women declared that they were either unemployed or worked without an employer. Most of the responsible adults indicated that they earned between 1 and 2 minimum salaries per month (R$261 – R$520). The average number of household members in these women’s families was 5.8; household members were calculated as all of those living in the same residence, regardless of kinship relation. The vulnerability/risk factors that brought these families into the minimum income programme included domestic violence, negligence, child labour, living on the streets, unemployment/absence of income and nutritional risk. When asked how they found out about the minimum income programme with which they are linked, most interviewees responded that they learned of the programmes either through Guardianship Council referrals, information from neighbours

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and/or friends or the service centres of the Basic Social Assistance Network. With regard to their knowledge on the programmes, interviewees said that they were informed of all admission requirements by officials responsible for programme admittance. In general terms, the research determined that the interviewees had a good level of knowledge about the necessary documentation for admission, selection criteria, amount of benefits, responsibilities for benefit renewal, duration of the programme and causes for suspension. We asked about the amount of time between people’s registration and their full entry in the programme. The majority of those interviewed perceived benefits as being received quickly. The question needs to be relativized, however, because each participant has a different perception of how long the registration and entry process should take. Responses indicate that people believe they should be completely participating in the programme one to four months after registering. Interviewees who thought the registration process took too long generally waited more than four months before they effectively participated in the programme. With regard to referrals to the areas of early childhood education, elementary and high school education, adolescent and adult education, basic health services, specialized attention and counselling and professional training, results indicate that, in most cases, beneficiaries of the minimum income programmes received sufficient orientation to access the other services offered by the social protection network. Only one family indicated that they were not led to other network services even though the family had a real need for early childhood education services. The interviewees revealed that monitoring of beneficiaries occurs about every 30 days. Monitoring services included supervision of whether children are in school, sanitary and health conditions, daily routines and use of monetary benefits, along with guidance on the use of other social services. The majority of beneficiaries also indicated

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that they receive benefits promptly as long as they can demonstrate that their children are attending school. A few beneficiaries, however, mentioned delays in receiving benefits. For interviewees, the programme is helping their families to overcome their difficulties. The financial benefits are being used for food, housing improvements, and goods necessary for basic hygiene, among other items. In addition, a number of interviewees indicated that there has been an increase in self-esteem for themselves and their families because they had a possibility to rebuild their lives. Among the positive aspects of the programme described by the beneficiaries were the lectures about health, the interest shown by social service workers in the well-being of families and the provision of family-level guidance. The most commonly cited negative aspects of the programme were the lack of participation in meetings by beneficiaries, the breaking of rules by both the responsible parties and their family members and difficulties in accessing other services of the social protection network. In order better to understand the links between the programme and other sectors of the social protection network, respondents were asked to evaluate their experiences with regard to the availability of services, customer service, time from procurement to enrolment and ease of access. The responses showed difficulties with access to and availability of early childhood education. Elementary education and high school education, however, were characterized as easily accessible and readily available owing to the broad coverage of public education networks (state and municipal) in Porto Alegre. Respondents generally described participation in the minimum income programme as facilitating their access to basic health services. These include access to prescribed medicines and consultations with doctors and dentists. There were differing opinions about the time it took to receive care. Some people praised the rapid access to medical attention that they received while others described delays. The

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coordination of services was described as adequate – those who were referred to health services found their reception to be good and their access to the needed service fast. However, some of those interviewed stated that the service quality at health centres was not good when they went without a referral. As for specialized medical attention, interviewees had been led to diverse services such as those for children with special needs, psychiatry and neurology. They evaluated these services as satisfactory. We found that the minimum income programmes established links with other sectors of the municipal structure in order to provide opportunities for family members to get training. The interviewees described family members being led to courses in textile printing, baking, computer skills, cabinet-making/joining and industrial sewing. Interviewees also stated that the training courses were good and that being in the guaranteed income programmes helped family members gain access to the training courses. Some interviewees and their family members were still waiting for course openings, however. The social education service provided through the city’s social protection network was described as being implemented satisfactorily and in accordance with the perceptions of the subprogrammes of the Family Programme: Support and Protection. That is, families linked with PETI are those that are most likely to be referred to the social education service since children have to participate in additional educational activities (in the morning for students attending school in the afternoon and in the afternoon for morning students) as part of the programme. These referrals facilitated the access of these families to the social education services, even though some children are waiting for openings. Interviewees were least satisfied with the housing provisions of the programme. Even though the housing sector has been highly visible to the general public, as we saw in Table 5.2, families that are beneficiaries of the Family Programme: Support and Protection programme were dissatisfied with the time it took for the service to

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be proffered, the information received, the lack of availability of housing units, and the delay between the procurement and reception of services. Interviewees described how they procured housing programmes through their own initiative and through signing up for services because they lived in precarious housing. Until now, their demands have not been met. The dissatisfaction of the interviewees should be put into context, however. Housing issues in Brazil are complex, especially housing issues relating to building homes for low-income groups. Local governments have limited space and capacity to build low-income units because of budgetary restrictions and a lack of financing options. Finally, beneficiaries made an overall evaluation of the ways in which the minimum income programme was linked with other social services in the social protection network. We asked for an overall evaluation to see if beneficiaries perceived the effort made by city administrators to extend the provision of services and meet the diverse demands of the population through intersectoral cooperation by different social services. The results obtained described a perception of limited service integration. A number of interviewees had difficulties relating to information flow, especially the lack of information within any given social service sector about other social service sectors.

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6. CONCLUDING REMARKS Diverse sectors of society have expressed the need for a more exact analysis of the strategies used to encourage popular participation in the social and political life of the municipality of Porto Alegre. The present study has attempted to respond to the need to systematize this experience, aiming to provide detailed data for national and international evaluation and diffusion. The study was centred on people’s perceptions of, behaviours in and opinions about social participation and social protection programmes. Throughout the study, city-run public administration programmes were emphasized. An attempt will be made to systematize the main findings of this study in order to make a contribution to public management and to the general population in terms of the reflection about the significance of participation and the ways in which it can be made effective. Another objective is to evaluate the strategies for the provision of infrastructural and social needs. a) The extent of Porto Alegre’s population’s participation in voluntary civil society associations is impressive. Looking at either the survey data we have presented or the history we have analysed (the state of Rio Grande do Sul is considered a historical cradle of agrarian cooperativism), we find a rich network of social institutions through which citizens channel the provision of a broad range of social and political needs. b) The active participation of the population in the diverse agencies of public decision-making in the city – the Councils – is even more suggestive. Currently, 8% of the survey population (almost one in ten interviewees) participates in the Councils. If we add to

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this number those who have participated in the past but do not, for a variety of reasons, participate today, we come up with a total of 22% (almost 1 in 4 interviewees) who have been a part of one or another of the Councils. The Guardianship Councils are, by far, the most visible and frequented of the Councils. The Guardianship Councils are known by 81% of the public, 2.5% of the public currently participates in them and 8.4% participated in them in the past. The Guardianship Councils have a distinctive characteristic when compared to the other sectoral councils: Councillors in the Guardianship Councils are elected. There is, therefore, also the indirect participation of some who do not attend meetings. In Porto Alegre, Guardianship Councillors are elected directly. c) Another fact worth mentioning is the strong correlation of participation in the different modes of participation analysed in the survey (civil society associations, Councils and the Participatory Budget). People who participate or have participated in the Councils have higher levels of participation in other categories of voluntary associations than those who do not participate in Councils. The largest differences are found in participation in Popular Councils/União de Vilas (with a difference of 476.9%), political parties (375.5%) and community centres (235.8%). These data indicate the heavy political and social weight of Council participants. d) A large majority of participants in the Councils did not experience difficulties of access and 87% of the population considers the councils important or very important. Somewhat contradictorily, despite the importance that the population attributes to the Councils, few who have not yet participated in the Councils expressed a desire to participate. These respondents alleged a lack of time or cited other impediments to participation. e) Another noteworthy result is the relative independence of participation in the Councils when compared with family income and

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education levels. Different categories of income and education have effectively similar participation levels. Even if this does not represent the “inversion of priorities” commonly cited in writing about the Councils, it does show the incorporation of traditionally marginalized sectors into public decision-making processes. f ) The Participatory Budget is an institution that is widely known by interviewees. There is a correlation between family income, education level and the likelihood that someone knows about the PB: those with lower incomes and less education are those who are less likely to know about the PB. g) Despite the fact that most people have heard about the Participatory Budget, most were unable to describe a positive aspect of the PB. Those who did describe a positive aspect were most likely to mention the budget’s participatory and democratic character, followed by those who mentioned that the PB makes neighbourhood improvements possible. h) The most frequently cited negative opinions about the Participatory Budget referred to delays in the execution of public works, followed by the lack of social resources and the use of the PB as a forum for petty politics. i) The survey revealed that one in four of those interviewed had already participated in a Participatory Budget meeting. The most likely to participate in PB meetings were those with less education and incomes between two and eight minimum salaries (R$ 521 to R$ 2,084). j) Knowledge of the purpose of the Participatory Budget process is excessively generic, and people cannot describe its aims. There is also a low level of knowledge about how the PB system works and about the final results of the system. Despite this, a majority of respondents thought that PB projects were implemented after the policy had been set. k) The majority of interviewees also described the Participatory Budget as having a positive impact. They thought that the PB

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brought improvements in public services, helped with the provision of infrastructure and helped to lessen inequality. However, a significant number of respondents declared that they could not confirm/did not know if the PB brought improvements. l) We asked the further question of whether people thought the Participatory Budget had improved people’s lives. While a large majority responded negatively, a significant minority concurred. The survey also studied Porto Alegre’s social protection network, including, generally, the complex of programmes engaged in by the different branches of city government that address social services, and, specifically among these, the Family Programme: Support and Protection minimum income programme. Social service programmes include social assistance, education, health, professional training and housing programmes. After discussing attitudes about and use of social service programmes, the study turned to focus on attitudes of people enrolled in the Family Programme: Support and Protection minimum income programme and how this programme was articulated with other social service programmes. The results of our survey show that the different institutions that make up the social protection network are very visible to the survey population. That is, 47.7% of respondents were familiar with one or another of the services in the social protection network. Of every 100 interviewees, 48 had some information about the actions of the network. We also analysed the number of people who had procured or received a service offered by the social protection network. For every 100 respondents, 16 had procured or received social services. In addition, those who procured or used services had positive things to say about them. The average evaluation of the quality of services offered was 2.96 on a scale from 1 (insufficient) to 5 (excellent). We further researched the qualitative evaluations of families who participated in the city’s minimum income programmes, the Family Programme: Support and Protection. Our results indicated that the

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prerequisites for participation in the programmes and the norms of programme functioning are closely observed by the technical teams of social workers. The technical teams verify whether the intervention plans are followed through by the beneficiaries and steer the beneficiaries to other branches of the social protection net as needed. Beneficiaries of minimum income programmes noted that the income transfers proffered under the programme produced improvements in the material living conditions of their families. That is, monetary aid helps families to supply basic nutritional needs and helps improve housing, health and sanitary conditions. Programme beneficiaries also evaluated positively other aspects of the Family Programme: Support and Protection. Beneficiaries cited programmes that helped to improve their relationships with their families and with their communities through training in organizing family routines and through individual and group counselling. Beneficiaries also described how these activities were further complemented by the cooperation between the minimum income programmes and other social service programmes. Beneficiaries were able to be included in early childhood education programmes, young adult and adult education, basic health care, social education services and professional training courses. The success of these programmes is especially important given that social groups who live in extreme poverty are often difficult to include in the social protection network. Because of this, referrals from the basic social assistance network are of primary importance in helping people to access the other social services available. This makes it possible for the social service network to attend to the broad range of its beneficiaries’ needs..

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ACRONYMS

UNESCO PMPA GAPLAN SMED SMS FASC NASF PETI UAMPA FRACAB AM OP (PB) PT PCB PDT PTB IPTU ISSQN CRC FROP COP FASE CT CAR

United Nations Educational, Scientific and Cultural Organization Municipal Government of Porto Alegre Planning Cabinet Municipal Education Secretary Municipal Health Secretary Foundation for Social Assistance and Citizenship Centte for Social and Family Support Programme for the Eradication of Child Labour Union of Neighbourhood Associations in Porto Alegre Federation of Community Associations and Neighbourhood Friends of Rio Grande do Sul Neighbourhood Association Participatory Budget Workers’ Party Brazilian Communist Party Democratic Labour Party Brazilian Labour Party Urban Building and Land Tax Tax for Services of Any Nature Community Relations Coordination Popular Regional Forum Participatory Budget Council Foundation for Social-Educational Support Guardianship Council Regional Administrative Centre

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Brazilian Institute of Geography and Statistics Participatory Budget Councillors Municipal Planning Secretary Municipal Council of Urban Development and Environment Organisation for Economic Cooperation and Development Social-Education Support Service Social Programme for Support to the Elderly Programme for the Open Execution of SocialEducation Measures Person with a Disability

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ABOUT THE AUTHORS

JULIO JACOBO WAISELFISZ is the Regional Coordinator of UNESCO in Pernambuco. He has a Master’s Degree in Educational Planning from the Federal University of Rio Grande do Sul. He was Academic Pro-Rector at the Universidad Nacional del Comahue in Argentina. He has taught in Latin American Universities and served as a consultant to international organizations like UNDP, OAS and IICA. He implemented an evaluation system for public education in Brazil (with MEC/IBRD) and in Pernambuco (with the Government of the State of Pernambuco/Education Secretariat). Among his most recent publications are “Juventude, Violência and Cidadania: Os Jovens de Brasília” (Adolescence, Violence and Citizenship: Youths in Brasília; São Paulo: Cortez 1998); “Mapa da Violência II” (Map of Violence II; Rio de Janeiro: Garamond, 2000); “Mapa da Violência III: Os Jovens do Brasil” (Map of Violence III: Youths in Brazil; Brasília: UNESCO, Instituto Ayrton Senna, Ministry of Justice, 2002); and “Revertendo Violências, Semeando Futuros” (Reverting Violence, Sowing Futures; Brasília: UNESCO, 2003). MARLOVA JOVCHELOVITCH NOLETO is General Programme Coordinator of UNESCO in Brazil and is responsible for the Coordination of Social Human Science at UNESCO, Brazil. She has a Master’s Degree in Social Services from the Pontificia Universidade Católica do Rio Grande do Sul – PUC/RS and is a specialist in Social Policy and Social Well-Being of the International Federation of Social Workers – IFSW, in Sweden. She was President of the National Council of Social Assistance – CNAS (1994-1996); Public Policy and Rights Officer at the United Nations Children’s Fund – UNICEF (1997-1999); Professor of Social Service Theory

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and Methodology at the Pontifícia Universidade Católica do Rio Grande do Sul – PUC/RS (1987-1997); Technical Coordinator of the Social Area for the Government of the State of Rio Grande do Sul (1987); and Coordinator of Social Assistance and Citizenship in the Federation of Associations in Rio Grande do Sul Municipalities (1988-1997). She has also written numerous publications on social services, urbanization, human rights and the third sector, including: “Assistência Social no Contexto dos Diretos Humanos e Sociais no Brasil” (Social Assistance in the Context of Human and Social Rights in Brazil); “A UNESCO Brasil e o combate à pobreza” (UNESCO-Brazil and the fight against poverty) and, “Abrindo Espaços: Educação e Cultura para a Paz” (Making Room: Education and Culture for Peace), along with numerous articles in specialized periodicals. CÍNTIA BONDER has a B.A. in Social Services and M.A. and Ph.D. degrees in Social Service through PUC/RS. She is a specialist in Administration and Planning of social well-being programmes, Information Systems for Health, and Nordic social policies; She has written the book “Eco-trabalho social: do bem estar à qualidade de vida” (Eco-social work: from well-being to quality of life). Her most recently published articles are: “Social assistance and participatory planning”, “Sustainable development as a means of mitigating globalization’s negative impact”, “Bibliographic research as a principle of scientific rigour in the training of researchers and Ph.D.s in Social Service: the scientific production of Social Service and its environmental interface, 1992-2002”, and “The training of social service researchers: questions and contributions of MULTIFORME”. She is also a Consultant for social environmental planning, and she is currently a Technical Advisor in UNESCO’s satellite office in Rio Grande do Sul, where she is responsible for the areas of health, environment and social development.

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MIRIAM THAIS DIAS is a Social Worker. She holds a Master’s and a Doctoral degree from the Graduate Programme in Social Service at PUC/RS, Porto Alegre. She is a Social Service professor at the Universidade do Vale do Rio dos Sinos – UNISINOS, São Leopoldo, Rio Grande do Sul. She is a specialist in Social Mental Health and Social Service Supervision. She is a state worker in the area of health. She has professional experience in the area of public policies for mental health. She is a researcher in the area of public policies for mental health within the sphere of evaluation of policies and programmes in projects financed by FAPERGS, CNPq and the Ministry of Health – Reforsus, having published numerous articles on the theme. She is a consultant to scientific meetings on the theme of social security. She was also a member of the National Coordination of the Brazilian Association of Education and Research in Social Service – ABEPSS from 2003 to 2004. PAULO CHIECHELSKI is a Professor in the Administration Department and Vice-Director of the College of Administration, Accounting and Economics of the Pontifícia Universidade Católica do Rio Grande do Sul – PUC/RS. He has a bachelor’s degree in Administration from PUC/RS. He is a specialist in Development, Planning and Public Policy in the Latin American and Caribbean Institute of Social and Economic Planning – ILPES/CEPAL/ONU. He also holds Master’s and Doctoral Degrees in Social Service from the Pontifícia Universidade Católica do Rio Grande do Sul – PUC/RS.

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