St Comp Int Dev (2018) 53:365–378

https://doi.org/10.1007/s12116-018-9273-2

Reflections on BThe Politics of Informality^: What We

Know, How We Got There, and Where We Might Head
Next

Diane E. Davis 1

Published online: 30 July 2018

# Springer Science+Business Media, LLC, part of Springer Nature 2018

Abstract Building on the methodological and empirical contributions of the various

authors in this special symposium, this concluding reflection acknowledges the impor-
tant role that informality plays in urban and national politics in the global South, even
as it proposes a range of alternative ways, this critical topic could and should be
inserted into contemporary scholarship in comparative politics. It begins with a discus-
sion of two decades of research on urbanization and economic globalization, thus
introducing a wider set of disciplinary concerns than merely urban servicing into the
study of informality, ranging from the transformation of property rights regimes in the
context of ascendant neo-liberalization to the recent emergence of more decentralized
political structures for claim-making and governance. The essay then suggests that
greater historical and contextual specificity in the study of informality, along with the
methodological innovations highlighted in the papers, will further help reveal the range
of responses to informality seen across the different case studies. Specifically, it
proposes that closer attention to divergent urban and national pathways of democrati-
zation, attention to institutional variations within and across democratic regimes,
political party dynamics at the local and national level, and the existence of urban
violence, among other factors, will help explain how and why bureaucrats and elected
officials may choose to deal differently with the existence of informality. The essay
concludes by arguing that informality should be considered as both a form of gover-
nance and a means of enacting citizenship. It thus asks scholars to question the
longstanding conceptual dichotomies that permeate much of the literature on informal-
ity, including the stark conceptual divide between the formal and informal, and instead
to recognize that complex, interactive, and iterative relationships between citizens and
the state in the arena of informality are what drive urban servicing and sociopolitical
change.

* Diane E. Davis
[email protected]

1
Graduate School of Design, Harvard University, 48 Quincy Street, Cambridge 02138 MA, USA
366 St Comp Int Dev (2018) 53:365–378

Keywords Informality . Urban governance . Citizenship . State capacity . Democratic

politics . Party dynamics

What a pleasure to see this special issue of Studies in Comparative International

Development in which an array of pioneering political scientists offer inventive ap-
proaches to the study of urban informality. The four papers that comprise this sympo-
sium critically reflect on the appropriateness of long-standing methodologies in political
science and offer alternative pathways for the study of informality. The authors of these
papers build on the assumption that new forms of data collection are needed in order to
understand the politics of marginality and informality in cities of the so-called global
South. Their preferred methodologies include the embrace of historical and archival
analysis, as underscored by Adam Michael Auerbach; the deployment of crowdsourcing
technologies, as developed by Alison Post, Anustubh Agnihotri, and Christopher Hyun;
the adoption of ethnographic field methods as shown by Tariq Thachil; and a purposeful
mix of quantitative and qualitative methods to better reveal process tracing, as posited by
Tugba Bozcaga and Alisha Holland. The search for new research strategies and tactics
owes not merely to the paucity of reliable aggregated data on attitudes, outcomes, and
the interactions between citizens and the state among marginalized populations, or to the
fact that the informal activities in which they often engage by their very definition tends
to involve under-the-radar-screen behavior that is purposefully obscured and thus
difficult to access. It also owes to the fact that in recent years, the social, economic,
and spatial character of cities in the developing world has been transforming in dramatic
ways and at a speed that makes comprehensive and longitudinal measurement of causal
dynamics in the domain of informality quite difficult to obtain
The rapidity of urban change is not merely a methodological problem. It also has
implications for the field of comparative politics and many of its long-standing assumptions
about political order and even democratization and citizenship. If decades ago, scholars like
Samuel Huntington argued that the main challenge of political Bmodernization^ involved
confronting political cultures that prioritized ascription over achievement, or establishing
institutions that enshrined democratic rather than authoritarian values, in the current era
questions of Bmodernization^ increasingly revolve around the need to enhance state
regulatory capacities and strengthen the rule of law, particularly through the eradication
of corruption and the strengthening of bureaucratic capacities as well as accountability.
While these issues are relevant at all levels of government, these days, they are perhaps
most openly struggled over at the scale of the city, often in the form of ongoing negotiations
between citizens and the state over urban service provision. As I have argued elsewhere
(Davis 2017a), governance of cities in the developing world often requires informality—
not merely because the uneven reach of effective state institutions can limit the distribution
of public goods, but also because governing authorities often strategically use informality to
pursue their own state interests (Davis 2017b). In this complex environment, theorists of the
state and scholars of informality must be in dialogue with each other, if only to understand
the Janus-faced character of informality: its capacity to undermine as well as strengthen
governance, citizenship, and social order at the level of the city.
An argument can be made that decisions made by local states to shun or tolerate
informality do not merely reveal the state’s priorities with respect to upholding the law,
creating urban order, or accommodating citizen claims. They literally embody them, and
St Comp Int Dev (2018) 53:365–378 367

by so doing tell us something about the state’s own character and self-definition as a
source of authority that may be as likely to find its legitimacy or electoral successes
through informal mediation as through formal processes. To recognize this is also to call
for a more phenomenological understanding of the state, its form and function, as well as
how it operates as a system of governance institutions and practices at multiple scales.
What we are suggesting here is that no account of urban politics, governance, or
citizenship in the developing world can be complete without understanding the role and
reach of informality and how the state responds to or deploys it. And if one truly seeks to
advance this particular approach to state theory, we will need to develop new analytical
lenses, new forms of comparison, and new methodologies better able to capture, docu-
ment, assess, and theorize these complex interactions. Evidence from sociological re-
search on the relations between informality and governance has shown that one of the
most powerful ways to advance these aims is to deploy deeply ethnographic methods
(Boudreau and Davis 2017; Schavelzon 2012; Sharma and Gupta 2006).
The papers in this symposium confront these challenges head on, but collectively take
them one step further by innovating or adopting a wide range of new methodologies—not
merely ethnography—to understand whether and how housing, water, and other basic
urban infrastructural public goods are provided to marginal populations; whether and why
they may be as likely to be provided through informal as formal mechanisms; to ascertain
which types of political strategies both citizens and the state use to achieve these urban
servicing aims; and to reveal what these practices tell us about quintessential concerns of
political scientists, ranging from bureaucratic capacity to the legitimacy of local author-
ities to the nature of distributive politics to the ethics of governance.

Some Necessary Background: Cities and Economic Globalization

Before diving into their findings, it may be worth giving a brief overview of the empirical
and scholarly context of both urbanization and governance into which these papers insert
themselves. Over the past decade or two, scholars in a variety of social science fields have
increasingly turned to the study of cities, often for the purpose of understanding macro-
economic shifts as reflected in the twin phenomenon of globalization and liberalization
(Satterthwaite 2007), with these studies engaging questions of informality either directly or
indirectly. Broadly speaking, two distinct analytical frameworks have emerged: one focus-
ing on the role of cities as the principle drivers of economic and social development at both
the urban and the national scale, the other calling attention to the significant social and
environmental costs associated with rapid and often unplanned urbanization. In neither of
these currents are political scientists as active as they could or should be, perhaps because
urban politics that has a subfield has been out of favor for several decades.
Those who have argued that cities are the privileged sites for economic development
tend to focus on how urbanity unleashes creative potential through agglomeration and
the spillover effects of knowledge economies. These ideas have gained most popularity
among economists, who view the proliferation of urban slums and informal settlements
in the developing world not as markers of systemic weakness, but rather of Bthe city’s^
ability to attract rural poor through the promise of improved livelihoods and health
(Glaeser 2011). Among economists, attention is also shifting to economic clusters in
key cities or areas within them, with research suggesting that such experiments can
368 St Comp Int Dev (2018) 53:365–378

support new, creative economies in previously declining, post-industrial cities and

regions, thus re-energizing the study of the urban economic development nexus at a
scale smaller than the nation (Porter 2003). As a sign of the globalization of ideas,
cluster theory also is migrating to the developing world, particularly to South and East
Asia where bottlenecks among export-led industrializers pushed their national govern-
ments to invest in industrial clusters outside major cities. But the theoretical and
practical significance of cluster theory in the developing world has been slow to gain
a foothold in the face of the increasing national obsession with producing global cities
that can showcase high-end real estate, global finance, and ICT (information and
communications technology) activities, all considered the principal avenues through
which cities and their nations were to prosper economically (Olds 2011).
The preoccupation with finance, services, communications, and other tertiary sector
activities can be explained by international capital’s search for new investment outlets in
the face of declines in industrial and agricultural output. Yet, it also captures the
imagination of investors—both public and private—in emerging economies that seek
to generate national economic gains through more than export-led industrialization or
agriculture. The cases of India and China are exemplary in these regards. In these and a
selected array of other emerging economies in Latin America and elsewhere, including
Turkey (one of the cases examined in this symposium), urbanization has become
associated with major transformations of the urban built environment—either in the form
of slum clearance and the regularization of property so as to revitalize urban land markets,
or in the form of iconic architectural projects and massive mega-project developments
that often co-exist side by side with high overall levels of urban poverty and informality.
Scholars have suggested that the move to transform urban landscapes into economic
incubators and showcases of innovation and development may be greater in cities
where decentralized governance has limited the local state’s fiscal capacities. This
pushes local authorities to generate revenues through transformations of their own
spatial backyards. In the search for fiscal incentives to attract the innovative classes,
authorities have turned to the private sector for resources and ideas, thus increasing
state willingness to support a massive rebuilding of the city landscape. Reliance on
local public-private partnerships for urban development is seen as enabling regional
and national progress outside the typically slow moving and bureaucratic mechanisms
of national-level governance, echoing processes enabled through the introduction of
special economic zones (SEZs) in the 1980s and 1990s (Romer 2010).
In the second line of research, focusing more on the downside of urbanization,
scholars are divided with respect to who is most responsible for the negative external-
ities associated with rapid urbanization. Some of this has to do with the fact that, in the
current neoliberal era of decentralization and state downsizing, major urban servicing
and land use transformations usually involve both public and private sector actors, as
both share incentives to generate and capture revenues. But when city authorities begin
to ally with real estate developers around such massive urban transformations, and
when they join private investors in displacing or dispossessing residents from proper-
ties or locations, they often face political opposition. While similar challenges in the
1970s placed the analytic focus on the failure of the state to keep pace with increasing
urban populations, contemporary scholars and development agencies have broadened
the focus to include the failure of the market, limited private sector investment, and
neoliberal structural adjustment policies unable to adequately account for the needs of
St Comp Int Dev (2018) 53:365–378 369

the urban poor (Beall 2004; Harvey 2008). Thus, to the extent that neoliberal
restructuring of urban space within the context of continued globalization produces
extreme spatial fragmentation, exclusionary urban development, and local conflict, the
route to prosperity via transformation of urban land uses and accelerated real estate
development—rather than manufacturing and industrialization—continues to be paved
with social and political obstacles.
For this reason, much of recent scholarship continues to highlight the many negative
political externalities associated with the dispossession and dramatic transformations in
urban land use deployed in order to pave the way for new urban projects central to the
global city aspirations of the governing elite, both public and private. Some of these
changes include decreasing access to shelter and secure tenure for existing and incoming
populations of urban poor, and displacement of vulnerable populations to the urban
periphery. Much of these changes are occurring in an urban context where the proportion
of the working population in the informal sector is increasing rather than decreasing,
owing to macroeconomic changes associated with the decline of manufacturing and the
rise of an IT and service-driven economy. As such, even among those scholars whose
concern is less about land use change and more about urban economic growth, there is
recognition that these transformations are unfolding in the context in which urban
service provision is stressed beyond capacity. From inadequate infrastructure to envi-
ronmental degradation to significant increases in urban poverty and rising rates of
violence and insecurity (Martine et al. 2008), rapidly urbanizing cities in the developing
world today are seen as hosting a plethora of social and political problems that persist in
the midst of accelerating prosperity. This is where the focus on informality, the subject of
this symposium, becomes absolutely central to our understanding of politics and the
trade-offs between economic prosperity and political stability.

Urban Informality and Development Goals

In the most rapidly urbanizing regions of the world, the management of urban poverty,
most clearly manifested through the increasing occurrence of slums and informal
settlement patterns, has emerged as one of the most consistent lenses through which
scholars and practitioners now address the costs and benefits of rapid urbanization
across the developing world (Roy and AlSayyad 2005). While the cities of Sub-
Saharan Africa have the highest rates of informality and slum growth as a percentage
of total urban expansion, Asian cities are now home to the largest total number slum-
dwellers, placing the issue at the center of a multidisciplinary debate over the role of
urban informality as a driver or inhibitor of economic development. From an economic
standpoint alone, that informal economy in developing nations, operating primarily in
the urban periphery and Bslum^ settlements, is estimated to account for upwards of
50% of all urban employment across the developing world (Becker 2004). Despite the
observable increases in per capita economic productivity that accompany rural-urban
migration, others point out that the lack of formal tenure and property rights which has
accompanied the relative lack of affordable housing provision by local governments
and the private sector alike, alongside the inadequate provision of educational oppor-
tunity, likely account for tens of billions of dollars of unrealized capital in slums (de
Soto 2001; Yamauchi et al. 2009).
370 St Comp Int Dev (2018) 53:365–378

Renewed interest in the forms and functionality of informal settlements is also closely
related to the continued consolidation of human rights at the heart of development
discourse, first clearly articulated through the formulation and adoption of the Millenni-
um Development Goals (MDGs) and more recently in the global agreement on Sustain-
able Development Goals (SDGs). Both established critical benchmarks for measuring
development and progress in the twenty-first century, and the SDGs in particular put
questions of urbanization at the center of debate. The demographic shift to a majority
urban global population, along with the expansion of urban footprints at rates that more
than doubles that of urban population growth (Angel et al. 2011) mean that the environ-
mental, economic, and social impact of urbanization has a progressively more direct
impact on national and global outcomes. In this context, cities have emerged as one of the
few truly cross-cutting arenas in which to effectively implement policies and measure
progress towards meeting the MDG/SDG targets (Hassan et al. 2005). In the most recent
Un-Habitat III Conference in Quito, efforts to place SDGs on the global agenda grew
largely out of efforts by advocates for the poor and displaced to focus global attention on
cities as the new battlefront for guaranteeing prosperity, equity, and inclusion. Since the
approval of the New Urban Agenda in 2016, both national governments and multilateral
institutions alike have been pulled into direct engagement with urban authorities about
how to advance MDG/SDG aims. As they debate the political and economic costs and
benefits associated with the transformation of informal settlements, the revitalization of
neglected neighborhoods, the renovation or upscaling of traditional activities, sites, and
land uses, and the displacement fallout from accelerating property values that comes as a
consequence of all these priorities, finding consensus is nearly impossible.
In this context, how city-level authorities treat informal settlements and informal
activities has become key to their own political futures, not merely with respect to their
relationships to citizens as electoral constituents and political subjects, but also with
respect to their own national political allegiances and aspirations, both party-specific
and ideological. Too much accommodation of informality or the claims of citizens to
stay put or be better serviced might get in the way of land use transformations and the
formalization of property rights needed to facilitate urban economic growth, thus
creating negative fiscal externalities while also potentially generating charges of pop-
ulism or even corruption and insufficient attention to the rule of law. Yet too little
accommodation can leave authorities open to grievances about potential violations of
human rights and an unwillingness to recognize the inclusionary aspirations from poor
residents and their advocates alike, thus generating charges of neoliberal excess, elite
capture, and insufficient commitment to participatory democratic ideals.

How Political Scientists Can Further Advance the Research Agenda

The papers presented in this symposium address these issues to varying degrees, thus
laying the groundwork for more purposeful discussion of the complexities of informality
in the field of comparative politics. Although it is somewhat surprising that the authors
did not engage more directly with discussions of citizenship and democracy, or pay more
attention to the workings of party politics, all did address questions of urban gover-
nance—and within that general rubric, most concerned themselves with the urban
conditions of marginalized populations and how they are produced through bureaucratic
St Comp Int Dev (2018) 53:365–378 371

logics and/or the state in interaction with citizens. As noted in the overview piece by
Auerbach, LeBas, Post, and Weitz-Shapiro, a central concern has been to Bconsider how
the state assesses, maps, and responds to the demands of informal sector actors.^ This
mandate has translated into a deliberate focus on local bureaucracies and how they
operate in the context of the myriad urban servicing requisites in the cities under study
(in India, Colombia, and Turkey). The authors’ insights and findings in this regard are
particularly significant, reflecting to a great degree of the institutionalist underpinnings of
any effort to rethink informality and its relevance comparative politics. And although
several of the papers do examine citizens and how they negotiate urban service bureau-
cracies, perhaps the most deliberate attention has been paid to the institutional logic of
bureaucratic behaviors. This focus is welcome in a discipline long dominated by
methodological individualism. Even when the focus is on particular bureaucratic actors
and how they negotiate their everyday work requisites, as with the Colombian surveyor
stymied by the inadequacies of GPS technologies, the authors’ efforts to understand
bureaucratic behavior as embedded in specific organizational dynamics helps us under-
stand why at times local authorities are unwilling or unable to provide citizens the urban
services or land use accommodations they are demanding.
This is particularly clear in the Post, Agnihotri, and Hyun paper on water servicing, in
which the bureaucratic complexities of service delivery incentivized residents to work
directly with lower level service intermediaries, that is with Bvalvemen^ who had direct
access to water taps, thus allowing more discretion and negotiation at the neighborhood
level over service outcomes. The authors thus claim that rather than any larger political
rationality of the state agency it was the complex bureaucratic set-up (in which the city’s
water utility bureaucracy enabled a certain discretion to operate at lower levels of the
supply chain), and the discretion that such arrangements gave lower level operators, that
explains the pattern of servicing to informal settlements. A concern with the bureaucratic
intricacies and whether or how they might compete with or countervail against more
partisan political logics is also tackled in the paper by Bozcaga and Holland, who discuss
the conditions under which bureaucrats will enforce regulatory frameworks or behave
flexibly because larger political issues are at stake. They address this dilemma through
the lens of debates over forbearance versus dilution of the law, and ask how we should
understand when (and why) local bureaucrats might follow or relax regulatory rules.
One of the most striking findings in the Bozcaga and Holland paper is their
identification of the multiple logics at play in determining bureaucratic actions—
particularly the ways in which tolerance of informality (or dilution of the law, to use
the authors’ framing) with respect to squatting and the approval of building permits is
both path-dependent and context-specific, particularly with respect to larger electoral
cycles. In this regard, they methodologically build on but depart from the analytical
focus on the discretionary power of street-level bureaucrats, identified by Post et al.,
and offer a more temporally disaggregated understanding of stages of permitting and
how they unfold over time. They claim that through process tracing one can identify
certain moments or Bopportunities^ where a single decision can impact overall out-
comes in a larger chain of decision-making, even though that single decision is not the
sole producer of outcomes. By simultaneously identifying a larger bureaucratic struc-
ture and individual opportunities for discretion, these findings speak to scholarly efforts
in the fields of sociology, geography, and anthropology to move Bbeyond
dichotomization^ in the study of informality, and to understand the porous boundaries
372 St Comp Int Dev (2018) 53:365–378

between the formal and informal, whether understood sectorally, temporally, or with
respect to ongoing interactions between citizens and the state (Davis 2017a).
Such findings also dovetail with my own efforts (Ibid.) to distinguish between a state’s
authority and its interests, both of which function at the level of the city. A state may have
the institutional or legal authority to regulate populations and city spaces, something I
often attribute to patterns of state formation more than regime type. But it may not always
be in the state’s interest to do so, depending on whether such actions may undermine its
governing capacity or legitimacy more generally. In this sense, it is not uncommon for
two of the defining functions of the state—as identified by Weber in the form of coercive
or legal authority on the one hand, and legitimacy on the other—to be in conflict or
tension. Informality is critical precisely because it inserts itself into this space of tension,
both revealing the contradictions between state authority and state interests, but also
compelling authorities to privilege one of these functions over the other. Just as signif-
icantly, it is not always clear whether variations in regime type determine whether and
how states might embrace informality for such aims. Studies have shown (Naqvi 2017)
that even in settings where democratic structures and institutions remain weak and
unstable, as in Pakistan, informal practices in urban servicing can help engender greater
state accountability. A similar scenario unfolded in Mexico City through informality in
urban water provision (De Alba 2017). Both cases suggest that informality of servicing
was necessary to the political project of state strengthening and legitimacy. Faced with the
incapacity to provide universalized urban services to the urban poor, informal interme-
diaries often step in and this legitimizes the state.
Even so, the question that emerges when contrasting the results shared for these
three settings (India, Turkey, and Colombia) is why are the findings so different with
respect to bureaucratic behavior? One of the great advantages of having a symposium
with multiple papers from different contexts is that such comparative questions can be
posed. One way to start answering them is with a more concerted focus on regime type
and on differences in the nature of democracy across the three different countries that
are examined in these two papers. Stated simply, there are larger questions and
concerns that have long preoccupied the field of comparative politics that could and
should also be inserted into these discussion of informality. Let us take the case of
India, which is not only a relatively strong and stable democracy when compared to
Turkey and perhaps even in Colombia, it also is a country with a well-developed and
profoundly institutionalized bureaucratic sector whose organizational durability and
high degree of autonomy vis-à-vis the country’s political party system owe to British
colonialism, among other factors. In that sense, bureaucratic decision-making structures
have long-standing and well-institutionalized codes of procedural conduct making them
perhaps much less subject to political party capture than in Turkey or even in Colom-
bia. In standard political science parlance, such differences might be captured by
invoking concepts like strong and weak democracies, weak institutions, or robust state
capacity. But one might also frame these differences through a more historical sensi-
bility and a focus on the relative autonomy of the bureaucracy, itself strengthened by
the long-standing institutionalized tradition of a strong civil service (the latter of which
is less common in Latin America as well as other parts of the global South).
Likewise, there might be other analytical entry points for understanding the variation
in outcomes between urban Turkey and Colombia. Although Bozcaga and Holland
tend to focus most of their attention on bureaucratic actors and whether their priorities
St Comp Int Dev (2018) 53:365–378 373

and capabilities may be upended by mayors, they say very little about the larger
partisan political dynamics in which bureaucratic and other non-elected state actors
are operating, both locally and nationally, and about the ways that electoral contests or
ideological battles in certain cities may be part and parcel of contentious national
political debate that impact bureaucratic behavior. In fact, with the exception of a
superficial reference to urban elections in Turkey and the fact that they are quite
contested—despite the presence of the AKP as the dominant force in Turkey’s so-
called Bcompetitive authoritarian regime^—the focus is primarily on urban governance
conceptually understood as if were unrelated to party contestation. Granted, the aim of
the paper is in some ways to test this proposition. But it may be difficult to do that
without purposefully seeking to understand the ways that these particularly political
contexts empirically situate the analysis. In the case of Colombia, similarly, there is
hardly a mention of the impact of the long-standing civil war and the political fallout of
the conflict between partisan forces over the prospect of peace, despite recognition of
the fact that squatting is a contested issue because many informal settlements are
populated by citizens displaced from the civil war. All these raise the question of
whether it is wise to seek generalizations about bureaucratic forbearance or dilution
without recognizing that urban governance regimes may themselves be embedded in
these larger national conflicts in ways that directly impact bureaucratic behavior.
The nature of the city being governed might also matter. Indeed, one might also ask
whether the relative support for dilution or forbearance among bureaucrats employed in a
capital city might be determined by logics different from those in cities not existing in the
shadow of the national state? How about a commercial city versus an industrial city, or an
economically prosperous city versus a declining city? The obvious point here is that all
cities are not alike—geographically, economically, culturally, and politically, and these
differences might impact bureaucratic logics generally and the relative autonomy of
bureaucrats from mayors in particular. If we take such specificities seriously, we should
also pay scholarly attention to the fact that observations about the mix of forbearance and
dilution in Colombia are drawn primarily from its capital city, while in Turkey, findings are
derived from a focus on two cities with a very different political-economic logic (the
political capital Ankara on the one hand, and Istanbul on the other, with both these cities
evidencing different cultural, economic, and urban developmental aspirations. This is
significant because one would presume that elite powers structures and stakeholders differ
considerably both respect to their embeddedness in national politics, and with respect to
how they might choose to enforce regulations on building permits and squatting.
The point here is that scholars might want to insure that greater attention to cities and
their urban, governance, and economic developmental profiles is placed into the
discussion of the comparative politics of forbearance versus dilution, or the deployment
of bureaucratic versus political logics, because different city-specific urban develop-
ment priorities and constraints may have some bearing on the relative balance between
these urban governance strategies. This is particularly so with respect to whether the
urban developmental aspirations of a city are embedded in a political agenda that might
be national as much as local.
The potential relevance of focusing on national political conditions and how they
influence urban governance postures, or vice-versa, could be applied to the case of
Colombia. What initially struck me when reading the case of Bogota was the fact that
urban governance in Bogota has long been connected to national political debate over the
374 St Comp Int Dev (2018) 53:365–378

ongoing civil war, over the appropriateness of negotiating a peace settlement, and over
what to do with respect to the large number of urban migrants that have been displaced by
violence in the countryside—whether demobilized paramilitaries, guerrilla forces, or those
victimized rural populations caught in the violence. Among those who settle informally in
the poorest neighborhood inside and outside the city, all three groups are represented to a
certain degree, although in which particular barrio they reside often differs, and thus might
have a bearing on how bureaucrats or mayors accommodate informality.
Complicating matters, many of the mayoral administrations governing Bogota in the
last several decades have been voted into power precisely because they ran as indepen-
dents or in opposition to the standard Liberal and Conservative parties, both of whom had
relatively clear—but opposite—positions on the nature of violence and who was most to
blame. Since the end of the 1990s, Mayors Enrique Peñalosa, Antanas Mockus, Luis
Eduardo Garzón, and then Samuel Moreno Rojas all ran for office on platforms and
parties that took positions departing in significant ways from much of the national
discourse. Moreno Rojas, who governed during the period of Bozcaga and Holland’s
study, ran representing the far-left Alternative Democratic Pole (ADP), and was followed
immediately by a former M-19 guerrilla, Gustavo Petro, as Bogotá’s Mayor.
With such controversial politicians at the helm, governance decisions in and about the
city were frequently debated not just locally but also nationally—a fact reinforced by
Bogota’s status as the nation’s capital, and parliament home to all political parties with
national aims. One could easily imagine that any framing of the city’s urban governance
priorities—particularly with respect to displaced populations residing in the city’s
squatter settlements—would be hard to undertake without some reference to the larger
national debate about post-conflict reconciliation and the fate of victims of violence in
mind. This was particularly clear during the administration of Mayor Petro, in fact, who
actively and controversially sought to present himself and the city’s urban servicing
agenda as both a far-left policy and a far-left political alternative, also tying his programs
to a particular position within the ongoing national discourse about the peace process.
In short, one could easily imagine that any framing of the city’s urban governance
priorities—particularly with respect to displaced populations residing in the city’s
squatter settlements discussed in the paper, no matter which party ruled the city—
would be having a major bearing on the decision to opt for forbearance versus dilution
of the law. And although the paper’s findings could be seen as quite consistent with this
framing, one cannot help but suspect that the emphasis on the more abstract notions of
mayoral prerogative and weak state capacity might inadvertently sidestep the relevance
of these larger dynamics. For this reason, it is important to situate these and other
theoretical reflections about informality and how it is perceived in administrative and
political time as much as in urban space, with eyes always open to the specificities of
local-national politics in which any administrative actions are embedded.
My aim in sharing these reflections is not to challenge any of the findings in this or the
other symposium papers, but to encourage scholars to think more about what it would take
to move dialogue and debate about the governance of informality one step further so as to
open out a larger set of questions for the field of comparative politics. This would require
continued collective scholarly efforts to situate urban servicing decisions made by bureau-
crats and mayors into both the local and national context of political party dynamics, into
larger intractable political conflicts, into both spatial and temporal context, and after doing so
to determine whether and why they may have the impacted urban governance of informality.
St Comp Int Dev (2018) 53:365–378 375

State vs. Citizen-Focused Research Strategies: Finding Common Ground

Attention to the larger political landscapes that frame servicing priorities of marginal or
informal populations could also be applied to the findings of the final two papers in this
symposium, by Auerbach and Thachil, both of whom use novel methodologies to capture
the views of citizens and how they demand or respond to local conditions. In combination
with the papers that focus on state and bureaucratic actors, we are able to grasp the
importance of understanding both bottom-up and top-down logics when it comes to the
experience of urban marginality and informality. In combination, all four papers lay a
robust foundation for future comparative politics scholarship on the dynamics of infor-
mality that can recognize the complex, interactive, and iterative relationships between
citizens and the state. The value of such a framework is made most evident in the chapters
by Auerbach and Post et al., because both papers demonstrate that citizen demand-
making must be understood as both product and producer of bureaucratic actions with
respect to servicing poor residents. In this sense, political science could engage more with
sociology and even critical legal studies when it comes to studying informality, precisely
because citizen claims for servicing informal areas can itself transform the formal
contours of the law and state power—or at least that has been well demonstrated with
respect to land tenure formalization and property rights (Azuela 1987).
I find Auerbach’s paper particularly helpful in revealing the contested nature of these
dynamics because he takes a purposefully historical approach, showing how citizens’
claims and bureaucratic responses (or their lack thereof) unfolded in struggle over time.
With this methodology, he is able to present findings that echo the path-dependent
sensibility of Bozcaga and Holland. And in advancing a more historical way of
understanding the politics of informality, Auerbach’s paper can also be situated in the
context of recent scholarship suggesting that the relations between citizens and the state
in negotiating informality must be considered a form of governance, which by its very
nature serves as a fundamental axis of state formation (Boudreau and Davis 2017;
Davis 2017a). This, in turn, suggests recognition of the fact that informality impacts the
nature of the state and its bureaucratic apparatus, and not merely vice-versa.
Although also focused on citizens rather than the state, the study by Thachil pays less
attention to active demand-making and is more concerned with revealing citizen preferences
and the complex cultural and social dynamics that might produce fissures among informal
sector workers. His paper seeks to underscore the value of ethnographic research strategies
for better refining surveys—so as to access conditions on the ground, presumably with the
aim of disseminating this information to bureaucratic decision-makers so as to improve urban
service provision and governance decisions. In this sense, the Thachil paper may be the least
institutionalist of the group, at least in terms of its analytical framework. Having said that, it
clearly produces material with considerable relevance for bureaucrats and their institutional
mandates. Indeed, his adoption of ethnographic methods allows a deeper understanding of
the ethnic and religious conflicts among informal workers, and how they reveal themselves in
everyday urbanism, including preferences for housing arrangements. This grounded infor-
mation about local tensions and living habits will be valuable in explaining how and why a
group might be organized enough internally to make forceful claims on local authorities, as
well as why bureaucrats might be willing to respond (or not) to their demands.
Indeed, Thachil’s identification of the different urban livability priorities of Hindus and
Muslims among informal sector workers in the same industry (construction) produces
376 St Comp Int Dev (2018) 53:365–378

valuable insight into how and why certain local bureaucrats charged with servicing neigh-
borhoods might respond differently to constituents’ claims depending on the larger political
context, including whether local mayors were allied with the BJP-led municipality. As in the
earlier discussion of the India, Colombia, and Turkey comparisons, attention to political
parties, to larger national political discourses, and ongoing intractable political conflicts (in
this case ethno-national) can be combined with grounded ethnographic material to contex-
tualize bureaucratic postures with respect to servicing informal neighborhoods.
It goes without saying that all four authors have managed to produce fascinating accounts
of the interaction between local states and citizens who are situationally vulnerable and thus
may be less likely to use the ballot box to express political grievances. And it also is worth
noting the fact that they have skillfully shown how these interactions mold urban service
provision without ever really resorting to discussions of clientelism. This in some ways is
precisely the point. But it is worth underscoring precisely because we need to be identifying
a wide range of motivations that link citizens and the state to each other, in ways that
differentially produce both urban servicing and political outcomes as well as their relation-
ship to each other. This is particularly necessary in today’s rapidly urbanizing world, where
urban and rural class structures are changing in surprising ways and where a wide range of
social and cultural identities drive citizen demand-making, old practices and institutions
based on political party structures associated with corporatism or work-based class griev-
ances—or perhaps even labor or peasant constituencies—may not be playing the same role
in mediating the urban informal populations’ political relationships to the state.
It may be that in contrast to the past, urban citizens’ most pressing concerns and claims
will be less focused on the work place or party affiliation or even the abstracted notion of
democracy and more focused on the conditions of everyday livability. And while this may
be a function of the times, it will be even more likely to govern the demands of informal
settlements and marginalized populations, particularly if they produce their own liveli-
hoods rather than rely on wage employment. It goes without saying that those who are less
likely to be employed in the formal sector are also less likely to be integrated into those
long-standing political institutions—party or state-specific—that offer well-established
and relatively transparent mechanisms for expressing preferences. This may be precisely
why citizens’ futures depend so much on negotiated, situational interactions with individ-
ual urban service regulators and providers. But in order to understand why this is the case,
it might be helpful to ask whether relations between bureaucrats and marginal populations
are the same in informal neighborhoods where residents have a wage job, as opposed to
informal neighborhoods where residents are self-employed (and perhaps even in the
informal economy). My point here is that some attention to the definition of informality
if in order. A settlement can be informal in terms of land tenure, but have formally
employed residents. Might this change theories or claims about the conditions under
which state actors responded to their servicing demands?

Where to Next?

Clearly, the authors of these papers have already started to carve out new lines of research
to document, analyze, and interpret servicing of marginal and informal populations in
ways that focus much needed attention on local state actors, including bureaucrats, and the
logic of their political relationships to citizens. So what else is to be tackled? In addition to
St Comp Int Dev (2018) 53:365–378 377

some of the suggestions noted above, one pother possible line for future research would
be to take these and other findings about how state actors and institutions insert them-
selves into the politics of informality, and more purposefully situate them in comparative-
historical context. With three papers focused on India, there may not have been sufficient
variation in the nature of political regimes and their institutional architecture to be able to
assert more robust claims about the politics of informality. Closer examination of a range
of countries across the global South, ranging from the rest of Latin America to Africa and
other parts of Southeast and East Asia would make sense.
Just as more attention to the methodology of comparison could be valuable, the field of
comparative politics might benefit greatly from a deeper historical framing of the issues
addressed here. The paper by Auerbach already reveals archival evidence from as early as
the 1970s about citizen advocacy for upgrading in informal settlements. But this type of
material only makes one want to know more about whether even these tactics departed
from those used in earlier periods of India’s democratization, whether and how liberali-
zation in contemporary India may have fundamentally altered in the present era, and
whether large-scale political transformations in Indian politics have filtered down to slum
politics in different ways—depending on who is involved and what is at stake in terms of
local property development and urban land use transformation. Again, this is just one
framing of the ways in which an historical approach to the politics of informality might lay
the groundwork for larger discussions of the nature of democracy in India more generally.
Likewise, as a scholar of Latin America, I would encourage political scientists to
compare citizen-state negotiations and interactions over at least the last several decades,
and how they might have unfolded differently in earlier periods when the transition from
authoritarianism coincided with even more rapid urbanization. (This too could be compared
to a context like India, where rural migration has only recently shifted the population
balance to cities, despite the earlier transition to democracy.) Latin America has long been
urban, beginning in the transition to Fordism, continuing through the shifts to post-Fordism,
and now in the context of neoliberalization and state downsizing. Informal settlements and
marginal populations have persisted across these different phases, although they now exist
in a very different urban, spatial, and political-economic context. The question is how have
the relations between these populations and local authorities changed, and would we expect
to see a convergence with respect to other developing countries, say India, or a pursuit of
different citizen-state arrangements depending on country context, and why?
As the papers in this symposium reveal, there does not appear to be a single path
followed by local authorities in their regulatory approach to informality across our three
cases, or even over time in the same city. The question is why. Does it have to do with
changes in urbanization, democratization, or some combination of the two? Generating
more knowledge of how and why informal practices still exist will not only enhance
our theoretical and empirical understanding of urban governance; it might also help us
grasp why nation states, political systems, and local authorities in so many parts of the
developing world are facing a legitimacy crisis. After all, if the politics of informality is
situational and constantly under negotiation, would we not say the same about the rule
of law? And if that is true, it is no surprise that faith in formal politics and the
democratic franchise is on the decline. I encourage the authors of this symposium
and political scientists more broadly to consider these bigger questions in future
research. I am sure they will have something new to say about these time-honored
questions in the field of comparative politics, and we will all be listening.
378 St Comp Int Dev (2018) 53:365–378

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Diane E. Davis is the Charles Dyer Norton Professor of Regional Development and Urbanism and Chair of
the Department of Urban Planning and Design at Harvard’s Graduate School of Design. Davis’ research
interests include the relations between urbanization and national development, comparative urban governance,
socio-spatial practice in conflict cities, and new territorial manifestations of sovereignty. Her books include:
Urban Leviathan: Mexico City in the Twentieth Century (Temple University Press 1994; Spanish translation
1999); Discipline and Development: Middle Classes and Prosperity in East Asia and Latin America (Cam-
bridge University Press, 2004; named the ASA’s 2005 Best Book in Political Sociology); Irregular Armed
Forces and their Role in Politics and State Formation (Cambridge University Press, 2003); and Cities and
Sovereignty: Identity Conflicts in the Urban Realm (Indiana University Press, 2011). Founder and curator of
the Mexican Cities Initiative at Harvard’s GSD, Davis is Chair of the Faculty Committee on Mexico at
Harvard’s David Rockefeller Center of Latin America Studies.