This document presents a project proposal to study patterns of governance in the peripheries of metropolitan cities. It will focus on how key institutions and the growing social diversity shape resident subjectivities and social relations. The proposal outlines the research questions and problems. In recent decades, peripheries have seen rising incomes but also growth in informal economic activity and state/non-state violence. The proposal aims to explore how these changes influence resident attitudes, practices, and identities through ethnographic research in a working-class neighborhood of São Paulo.

1.
1
Project
proposal
Subjectivity,
boundaries
and
social
reproduction
at
the
urban
periphery
Area:
Quem
governa
o
que?
Project:
Os
padrões
de
governança
na
periferia
das
cidades
metropolitanas
1) Research
questions
In
recent
decades
the
peripheries
of
São
Paulo,
like
other
major
Brazilian
cities,
have
exhibited
seemingly
contradictory
social
and
political
trends.
On
one
hand
incomes
have
risen,
poverty
has
fallen,
and
the
State
has
strengthened
its
presence
in
the
provision
of
infrastructure
and
services
(Marques
2014).
On
the
other
hand,
informal
and
illegal
economic
activity
have
grown
alongside
and
become
deeply
intertwined
with
the
formal
economy
(Silva
Telles
2010),
while
practices
of
violence
and
social
control
by
both
State
and
non-­‐State
actors
have
also
become
entrenched
(Denyer
Willis
2015).
While
changes
in
local
institutional
structures
(Feltrán
2011),
social
and
economic
conditions
(Marques
2014),
and
patterns
of
crime
and
violence
(Feltrán
2015;
Denyer
Willis
2015)
in
peripheral
neighbourhoods
over
this
period
have
been
well
documented,
less
attention
has
been
given
to
the
way
these
changes
have
influenced
the
formation
of
resident
subjectivities.
This
research
project
will
seek
to
explore
this
issue
through
ethnographic
observation
and
interviews
with
residents
and
key
informants
in
the
working-­‐class
district
of
Sapopemba
in
the
east
of
São
Paulo.
The
research
will
be
framed
around
two
questions
in
particular:
1) What
influence
do
key
institutions
(eg.
agencies
of
the
State,
the
media,
NGOs,
the
family,
religion,
work,
organised
crime),
both
individually
and
in
relation
to
one
another,
have
over
the
practices,
attitudes
and
long-­‐term
trajectories
of
residents
in
peripheral
neighbourhoods?
2) How
do
the
uneven
influence
of
these
institutions,
and
the
growing
social
diversity
of
peripheral
neighbourhoods
more
generally,
shape
social
relations
among
different
residents?

2.
2
In
addition
to
the
Brazilian
literature
on
sociability
and
social
reproduction
in
peripheral
neighbourhoods
(eg.
Marques
2012,
Feltrán
2011),
the
analysis
will
also
draw
on
Bourdieusian,
Gramscian
and
social
identity
theory
perspectives
in
analysing
subjectivity
formation
at
São
Paulo’s
urban
periphery.
2) Research
problem
a)
Context
Over
the
past
decade-­‐and-­‐a-­‐half
the
peripheries
of
São
Paulo,
like
other
major
Brazilian
cities,
have
seen
rising
incomes,
falling
levels
of
poverty
and
increased
consumption,
thanks
in
part
to
federal
government
interventions
such
as
an
assertive
minimum
wage
policy,
expansion
of
credit
provision
for
low-­‐income
groups,
and
poverty
reduction
programmes
(Marques
2014;
Lavinas
2013).
Evidence
of
longer-­‐term
social
and
economic
changes
(Torres
et
al.
2006)
and
slow
but
steadily
increasing
entry
into
post-­‐secondary
education
among
lower-­‐income
groups
(Comin
and
Barbosa
2011)
suggest
that
such
trends
are
likely
to
be
sustained
beyond
the
current
conjuncture.
These
processes
have
not
been
distributed
evenly
and
many
residents
remain
trapped
in
poverty
and
excluded
from
public
policies.
Furthermore,
deeper
analysis
suggests
that
claims
of
the
emergence
of
a
“new
middle
class”
in
Brazil
(eg.
Neri
2010)
have
been
radically
overstated
(see
Scalon
and
Salata
2012).
Nonetheless,
the
growing
social
diversity
of
the
urban
periphery
amounts
to
a
seismic
change
for
Brazilian
society.
However,
this
is
not
the
whole
story.
Processes
of
formalisation
have
not
been
matched
by
a
decline
in
informal,
illicit
or
illegal
economic
activity,
which
have
also
grown
precipitously.
This
counters
the
view
of
persistent
informality
as
evidence
of
Brazil’s
“incomplete
transition
to
modernity”,
rather
than
being
an
intrinsic
feature
of
Brazilian
modernity
(Silva
Telles
2010).
Furthermore,
practices
of
violence
and
social
control
by
both
state
and
non-­‐state
actors
in
peripheral
areas,
often
involving
tacit
co-­‐operation
between
police
and
criminal
groups
(see
Denyer-­‐Willis
2015;
Feltrán
2010),
have
persisted
and,
it
would
seem,
become
increasingly
institutionalised.
These
trends
suggest
a
far
more
complicated
and
less
optimistic

3.
3
picture
than
narratives
that
posit
virtuous
and
causally
interlinked
trends
of
falling
violence,
economic
growth,
formalisation
and
increased
state
presence
in
the
urban
periphery
(eg.
Goertzel
and
Khan).
b)
Theorising
peripheries
These
trends
appear
to
contradict
analytical
approaches
that
frame
conditions
and
processes
in
peripheral
neighbourhoods
in
terms
of
a
supposed
“absence”
of
the
State,
formal
economy
and/or
civil
society
(eg.
O’Donnell
1993;
Leeds
1996).
In
fact,
social
scientists
have
long
recognised
Brazilian
inequality
and
its
urban
manifestations
as
resulting
from
asymmetric
integration
into
common
social,
economic
and
political
systems,
rather
than
a
separation
of
“different
worlds”.
For
example,
in
the
late
1960s
and
70s
dependency
theorists
and
others
challenged
dominant
models
that
claimed
favelas
and
peripheries
were
populated
by
an
unintegrated
“marginal
mass”,
and
instead
identifying
these
as
territories
that
served
elites
as
a
source
of
cheap
labour
power
(eg.
Perlman
1976;
Kowarick
1980).
New
historical
analyses
have
also
highlighted
the
role
of
political
clientelism
and
economic
profiteering
by
elites
in
the
initial
expansion
and
subsequent
survival
and
urbanisation
of
informal
neighbourhoods
(eg.
Holsten
2008;
Fischer
2008).
Even
as
rising
violence
and
segregation
seemed
to
fragment
Brazilian
cities
during
the
1980s
and
90s
(eg.
Ventura
1994;
Caldeira
2000),
in
fact
connections
across
these
divides
persisted
and
urban
borders
remained
highly
“permeable”,
even
if
access
to
some
spaces
became
increasingly
regulated
(Carvalho
2013;
Fernandes
2012).
Instead
of
“absence”
then,
new
perspectives
tend
to
frame
centre-­‐periphery
relations
as
relational,
uneven
and
characterised
by
power-­‐laden
processes
of
both
integration
and
exclusion,
conflict
and
coordination.
For
example,
de
Almeida
et
al.
(2008)
mobilise
Michel
de
Certeau’s
distinction
between
“strategy”
and
“tactics”
to
explain
how
peripheral
populations
can
often
win
gains
from
mainstream
institutions
and
actors,
but
only
at
the
cost
of
submitting
to
structures
that
reproduce
their
domination.
This
includes
efforts
by
the
State
to
address
social
problems
such
as
drug
addiction
and
prostitution
through
bureaucratic
regulation,
a
pattern
that
is
powerfully
captured
by
Feltrán’s
term
the
“management
of
the
social

4.
4
world”
(Feltrán
2011).
Meanwhile,
on
questions
of
violence
and
crime,
writers
like
Misse
(2006)
and
Arias
(2006)
on
Rio
de
Janeiro
and
Denyer
Willis
(2009;
2015)
on
São
Paulo
have
reconceived
criminal
gangs
as
local
power-­‐brokers
in
larger,
conflict-­‐
ridden
systems
of
economic
and
political
power,
rather
than
autonomous
“parallel
powers”
(Leeds
1996).
Denyer
Willis
(2009),
for
example,
describes
the
relationship
between
the
police
and
the
Primeiro
Comando
do
Capital
(PCC)
as
a
“deadly
symbiosis”
characterised
by
unpredictable
patterns
of
conflict
and
collusion.
Focussing
on
circuits
of
economic
activity,
Silva
Telles
(2010)
employs
Ruggiero
and
South’s
concept
of
the
“metropolitan
bazaar”
to
describe
the
complex
and
deeply
integrated
circulation
of
legal,
illicit
and
illegal
commodities.
As
she
explains,
these
circuits
regularly
transverse
demarcated
boundaries
of
formality
and
legality,
while
encountering
inconsistent
and
socially
structured
forms
of
State
and
non-­‐State
“policing”
along
the
way.
This
fits
with
concepts
in
the
international
literature
on
urban
inequality,
informality
and
the
appearance
of
zones
and
states
of
“exception”
(see
Roy
2009).
For
example,
Yiftachel
(2009)
uses
the
notion
of
“grey
spaces”
to
describe
states
of
informality,
which
may
be
subject
to
“whitening”
(ie.
validation)
or
“blackening”
(criminalisation)
by
agents
of
the
State
according
to
whom
is
carrying
them
out
and
in
which
part
of
the
city.
These
are
carried
out
not
only
through
legal
and
institutional
structures
and
coercive
practices,
but
also
through
the
mobilisation
of
dominant
ideological
and
symbolic
frameworks
that
tend
to
normalise
such
processes
and
the
inequalities
that
underpin
them.
The
reconfiguration
(and
reconceptualisation)
of
the
relationship
between
centre
and
periphery
raises
the
question
of
how
social
relations
within
peripheral
neighbourhooods
are
also
being
reshaped.
In
Brazil,
popular
discourse
and
established
sociological
models
(eg.
Zaluar
1985)
often
emphasise
a
distinction
between
two
ideal
types
of
peripheral
(or
favela)
resident:
“bandidos“
and
“trabalhadores”.
However,
as
argued
by
Feltrán,
such
a
dualistic
model
now
seem
wholly
inadequate
(Feltrán
2011,
p.
2).
Though
still
a
minority,
many
more
peripheral
residents
than
previously
now
progress
to
post-­‐secondary
education
and
as
the
labour
market
has
fragmented
some
have
been
able
to
enter
into
relatively
better-­‐paid
and
more
secure
service
and
professional
occupations.
Meanwhile
large

5.
5
parts
of
the
peripheral
population
remain
in
informal
or
insecure
low-­‐paid
work,
and
often
dependent
on
some
degree
of
involvement
with
the
“world
of
crime”
(Feltrán
2011)
to
supplement
household
incomes.
In
some
cases
this
means
direct
involvement
with
drug
trafficking,
car
thefts
and
other
forms
of
criminal
activity
fitting
the
popular
image
of
“bandidagem”.
More
often,
however,
it
may
mean
participation
in
illicit
markets
that,
at
least
within
the
context
of
the
periphery,
do
not
carry
the
same
moral
stigma
(see
Silva
Telles
2010,
p.
105).
Furthermore,
the
spectrum
of
economic
activity
–
from
the
formal
world
of
work
and
mainstream
institutions
at
one
end
to
the
“world
of
crime”
at
the
other
–
is
sometimes
spanned
within
individual
households.
This
means
that
not
only
neighbours
but
also
family
members
must
continually
negotiate
“frontiers
of
tension”
in
their
everyday
lives,
and
avoid
falling
foul
of
the
State
and
non-­‐State
actors
who
police
them
(Feltrán
2011).
While
illuminating,
this
schema
leaves
open
the
question
of
how
social
differences
form
into
distinct
subjectivities
and
of
what
influence
social,
institutional
and
cultural
factors
have
over
this
process.
Elsewhere,
Feltrán
(2015)
has
proposed
that
a
range
of
normative
regimes
coexist
in
São
Paulo’s
peripheries.
These
include
a
“State”
regime,
which
upholds
formal
and
legal
structures
and
defends
the
use
of
violence
by
police
against
gangs
and
criminals.
In
contrast
the
PCC
oversees
its
own
normative
regime,
based
around
its
claim
to
be
the
legitimate
defender
of
security
and
arbiter
of
justice
in
the
neighbourhoods
it
dominantes.
Finally
an
“evangelical”
regime,
constituted
of
historically
sedimented
Christian
values
and
reinforced
through
everyday
conversations
and
disagreements,
promotes
values
such
as
justice,
respect
and
humility.
Feltrán
argues
that
although
broadly
antagonistic
to
one
another,
these
regimes
are
subject
to
some
degree
of
“hybridisation”.
Arias
and
Rodrigues
(2006)
provide
an
example
of
this
with
regard
to
Rio’s
favelas.
There,
they
argue,
the
kinds
of
moral
and
cultural
norms
described
by
Feltrán’s
“evangelical”
regime,
and
the
social
hierarchies
constructed
around
these,
exercise
important
constraints
on
the
ability
of
drug
traffickers
to
pursue
their
objectives
while
continuing
to
peacefully
coexist
with
the
community.

6.
6
c)
Subjectivity
formation
at
the
urban
periphery
The
concept
of
coexisting
normative
regimes
provides
a
useful
overarching
framework
for
understanding
subjectivity
formation
in
peripheral
neighbourhoods,
but
it
does
not
account
for
individual
processes
of
social
reproduction
and
the
ways
in
which
individuals’
values
and
attitudes
take
shape.
In
addition
to
the
Brazilian
literature
on
sociability
and
social
reproduction
in
peripheral
neighbourhoods,
the
analysis
will
draw
on
the
insights
of
Bourdieusian,
Gramscian
and
social
identity
theory
to
analysing
processes
of
subjectivity
formation.
In
recent
years
the
relative
merits
of
Bourdieu’s
(1984)
and
Gramsci’s
(1971)
approaches
to
understanding
subjectivity
formation
have
become
a
source
of
growing
interest
to
social
scientists
(eg.
Burawoy
2012;
Crehan
2011).
Bourdieu’s
notion
of
habitus
posits
an
internalisation
of
the
social
structure
as
subjectively
experienced
tastes,
dispositions
and
beliefs,
facilitated
by
individual
exposure
to
segmented
processes
of
social
reproduction.
Such
an
approach
has
proven
effective
at
accounting
for
class-­‐based
socio-­‐cultural
differences,
particularly
in
European
contexts
where
social
class,
the
key
institutions
of
social
reproduction
(particularly
the
education
system),
and
patterns
of
consumption
are
tightly
interlinked.
By
contrast
it
is
less
effective
at
accounting
for
social
differentiation
according
to
factors
other
than
class
and
in
contexts,
like
Brazil,
where
(outside
of
the
privately
educated
elite)
processes
of
social
reproduction
lack
a
neat
institutional
architecture
(Lamont
and
Molnar
2002).
Nonetheless,
Bourdieusian
analysis
can
offer
useful
insights
for
understanding
emergent
socio-­‐cultural
differences
between
peripheral
residents
who
have
had
greater
exposure
to
formal
education
and
employment
and
those
who
have
not.
In
contrast
to
Bourdieu,
Gramsci
(1971)
identified
opinion
formation
as
the
product
of
a
system
of
hegemony
disseminated
by
the
diverse
institutions
of
civil
society
(schools,
media,
religious
authority,
charitable
organisations
etc.)
assembled
around
the
capitalist
State.
Such
a
model
seems
to
account
for
some
trends
visible
in
Brazil’s
urban
peripheries.
For
example,
Garmany
(2009)
identifies
the
role
of
television
as
a
key
influence
over
resident
attitudes
in
a
favela
in
Fortaleza,
while
the
decisive

7.
7
impact
that
long-­‐term
involvement
with
NGOs
can
have
on
young
people’s
attitudes
and
trajectories
is
well
documented
(eg.
Cechetto
et
al.
2013).
Gramsci
argued
that
hegemony
need
not
mean
the
cultivation
of
active
support
for
existing
power
structures
and
that
the
“common
sense”
of
workers
and
subaltern
groups
typically
draws
on
sedimented
pre-­‐capitalist
moral
and
cultural
inheritances
as
well
as
dominant
ideological
constructions.
In
this
regard
too,
a
model
of
hegemony
has
useful
application,
for
example
in
the
degree
of
hybridisation
between
Feltrán’s
“evangelical”
and
“State”
regimes
such
as
their
shared
idealisation
of
hard
work
and
opposition
to
(some
forms
of)
criminality.
However,
there
are
also
limitations
to
the
approach.
The
hybridisation
of
the
evangelical
regime
with
the
PCC
regime,
for
example
over
questions
of
local
“justice”,
shows
that
normative
culture
does
not
always
support
hegemony.
Furthermore,
the
Brazilian
State’s
open
and
endemic
use
of
violence
show
that
coercion
is
at
least
as
important
as
persuasion
in
the
preservation
of
power
structures.
In
addition
to
insights
gleaned
from
Bourdieu
and
Gramsci,
social
identity
theory
(Tajfel
1974)
can
contribute
to
an
understanding
of
how
identities
are
constructed
not
only
through
macro-­‐social
and
institutional
processes
but
also
through
more
situated
dynamics
of
group
formation.
This
approach
identifies
the
role
of
“boundary
drawing”
(see
also
Lamont
and
Molnar
2002)
and
the
consequent
formation
of
“in-­‐
groups”
and
“out-­‐groups”
in
entrenching
distinct
identities.
An
advantage
of
this
kind
of
approach
is
that
it
sees
identity
formation
as
an
active,
relational,
and
often
bottom-­‐up
process.
Another
is
that
it
recognises
that
distinctions
may
form
according
to
class,
but
also
other
factors
like
ethnicity,
race,
gender,
religion,
neighbourhood
or
sub-­‐culture,
all
of
which
have
potential
relevance
to
analysis
of
São
Paulo’s
peripheries.
On
the
other
hand,
this
flexibility
and
localised
focus
can
make
it
less
effective
at
identifying
structural
factors
in
group
formation,
while
also
making
it
more
effective
as
an
explanatory
as
opposed
to
predictive
model.
Nonetheless,
social
identity
theory
can
make
a
valuable
contribution
to
approaches
like
those
offered
by
Bourdieu
and
Gramsci
that
are
more
clearly
anchored
in
analysis
of
societal
power
relations.

8.
8
3) Data
collection
The
research
will
be
conducted
with
residents
and
key
informants
in
the
working-­‐
class
district
of
Sapopemba
in
the
east
of
São
Paulo.
A
sample
of
30
resident
participants
will
be
selected
which
is
broadly
reflective
of
the
wider
population
in
terms
of
age,
gender,
race,
occupation,
income
and
housing
type
(ie.
whether
resident
of
a
favela).
They
will
be
identified
via
a
range
of
access
points,
including
local
NGOs,
residents’
associations,
and
informal
snowballing.
Interviews
will
seek
to
understand:
1) Individual
processes
of
social
reproduction,
in
particular
educational
and
employment
histories,
other
social
and
institutional
influences
(eg.
family,
NGOs,
churches,
illegal
markets,
gangs),
and
what
has
prompted
key
decisions
over
the
life
course.
2) Everyday
routines
and
relationships
both
within
and
outside
the
neighbourhood.
In
particular,
questions
will
explore
how
and
with
whom
people
form
identifications
or,
by
contrast,
draw
boundaries.
3) Views
on
contentious
social
and
political
issues.
These
will
include
(but
will
not
be
limited
to):
(i)
The
perceived
legitimacy
of
and
use
of
violence
by
both
the
police
and
the
PCC;
(ii)
Attitudes
towards
“social
problems”
in
the
area,
such
as
drug
addiction,
prostitution,
homelessness
etc.;
(iii)
Attitudes
towards
the
Bolsa
Família
programme
and
those
in
receipt
of
it;
(iv)
Attitudes
towards
government
and
recent
public
protests
of
both
left
and
right.
Analysis
will
seek
to
identify
what
discursive,
ideological
and
moral
frameworks
residents
mobilise
when
discussing
these
issues?
In
addition
I
will
carry
out
participant
observation
in
key
institutions
in
the
neighbourhood
(eg.
NGOs,
churches,
schools)
and
seek
to
understand
the
relationships
and
tensions
between
them.
This
will
also
be
achieved
through
interviews
with
a
smaller
sample
of
“key
informants”
(perhaps
8-­‐12
in
total),
such
as
NGO
workers,
teachers,
community
leaders,
local
politicians,
social
workers,
local
entrepreneurs,
and,
if
possible,
local
actors
involved
in
illicit
and/or
illegal
activities.
These
interviews
will
explore
perceptions
of
social
differences
within
the

9.
9
neighbourhood
and
what
produces
them,
as
well
as
analysis
of
the
discursive,
ideological
and
moral
frames
used
to
construct
responses.
4) Expected
results
Results
are
expected
to
reveal
a
range
of
emergent
social
distinctions
within
the
sample
population
that
are
broadly
structured
around
the
three
normative
regimes
identified
by
Feltrán
(2015),
while
also
being
influenced
by
changes
in
social
stratification
(as
predicted
by
Bourdieu)
and
in
broader
hegemonic
discourses
(as
proposed
by
Gramsci).
Although
roughly
corresponding
to
identifiable
sub-­‐groups
within
the
neighbourhood
(divided
particularly
according
to
the
factors
of
education,
occupation
and
degree
of
involvement
in
the
“world
of
crime”),
different
normative
discourses
and
positions
are
expected
to
emerge
in
fluid
and
composite
ways
depending
on
individual
circumstances
and
experiences.
For
example,
a
respondent
with
family
member(s)
in
starkly
different
circumstances
to
his/her
own
(for
example
having
a
relative
who
is
in
a
gang)
may
be
likely
to
have
more
nuanced
or
contradictory
attitudes
to
a
respondent
from
a
more
homogeneous
household.
Furthermore,
attitudes
are
likely
to
vary
according
to
the
issue
being
discussed,
rather
than
displaying
any
clear
consistency.
For
example,
a
respondent
who
has
a
favourable
view
of
the
local
“security”
provided
by
the
PCC
regime
may
in
other
regards
express
attitudes
that
support
the
State
regime,
for
example
by
opposing
the
use
of
street
demonstrations
as
a
form
of
political
protest.
This
is
because
subjectivity
is
expected
to
be
shaped
by
both
material/social
conditions
and
degree
of
influence
of
different
institutions,
such
as
media,
churches,
NGOs
etc.,
which
extend
unevenly
across
the
peripheral
population.
5) Research
timeline
Oct
2015
Initial
contact
and
discussions
with
gatekeepers
(from
NGOs
and
residents
association);
Identification
of
key
local
institutions;
Formulation
of
sampling
strategy.

10.
10
Nov-­‐Dec
2015
Visits
and
initial
discussions
with
representatives
of
key
local
institutions;
Begin
participant
observation
within
key
institutions;
Begin
resident
interviews.
Jan-­‐Mar
2016
Participant
observation
and
resident
interviews
Apr-­‐May
2016
Key
informant
interviews
Jun-­‐Jul
2016
Transcription,
coding
and
initial
analysis
of
data
Aug-­‐Sep
2016
Begin
to
disseminate
findings
at
organised
and
seminar
and
conferences
Oct
2016-­‐
Write
up
3
articles
for
publication
in
English-­‐language
and
Brazilian
journals
6) Dissemination
of
results
Results
will
be
disseminated
through
a
variety
of
strategies.
In
July
of
2016,
while
interview
data
are
still
being
analysed,
I
will
seek
to
arrange
seminars
at
the
Centro
de
Estudos
da
Metrópole
(CEM)
and
the
Universidade
Federal
de
São
Carlos
(UFSCAR)
to
share
initial
results
with
staff
and
students.
This
will
allow
for
feedback
from
experts
in
the
field
that
can
help
to
orient
the
subsequent
evolution
of
the
analysis.
Then
between
August
and
October
2016
I
will
aim
to
present
more
developed
findings
at
a
series
of
major
international
academic
conferences,
including
those
of
the
Research
Committee
on
Urban
and
Regional
Development
(RC21)
of
the
International
Sociological
Association
(ISA),
the
Royal
Geographical
Society
(RGS-­‐IBG),
and
the
Associação
Nacional
de
Pós-­‐graduação
e
Pesquisa
em
Ciências
Sociais
(ANPOCS).
Over
the
subsequent
year
I
will
aim
to
produce
a
series
of
articles
arising
from
the
research
to
be
published
in
leading
Brazilian
and
English-­‐
language
journals.

11.
11
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