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The Concept of Participation - Carpentier
The Concept of Participation - Carpentier
Nico Carpentier1
ABSTRACT
Participation is a concept that is being used in a wide variety of fields, and that has obtained an evenly large range of meanings. This
article attempts first to ground participation in democratic theory, which allows introducing the distinction between minimalist
and maximalist forms of participation. In the second part of the article, a broad definition of the politics will be used to transcend
to logics of institutionalized politics, and to emphasize that the distribution of power in society is a dimension of the social that
permeates every possible societal field. Both discussions are then used to describe the key characteristics of participation, and to
increase the concept’s theoretical foundation. The article then zooms in on one of these characteristics, namely the difference between
access, interaction and participation, as this distinction allows further sharpening the key meanings attributed to participation
as a political process where the actors involved in decision-making processes are positioned towards each other through power
relationships that are (to an extent) egalitarian.
Key words: Participatory theory, democratic theory, politics, power, access, interaction, contingency.
RESUMO
Participação é um conceito que tem sido utilizado em uma ampla variedade de áreas e que obteve uma gama ainda maior de significados.
Esse artigo tenta, primeiramente debater participação na teoria democrática, o que nos permite introduzir a distinção entre formas
minimalistas e maximalistas de participação. Na segunda paete, uma definição mais ampla de política é utilizada para transcender
para as lógicas das políticas institucionalizadas e para enfatizar que a distribuição de poder na sociedade é uma dimensão do social
que permeia todo campo possível da sociedade. Ambas as discussões são então utilizadas para descrever as características chave de
participação, e para ampliar a fundamentalção teórica do conceito. O artigo então prossegue enfocando cada uma dessas características,
nomeadamente a diferença entre acesso, interação e participação, uma vez que essa distinção nos permite delimitar mais afinadamente
os significados chave atribuidos à participação enquanto um processo político no qual os atores envolvidos nos processos de tomada
de decisão estão posicionados em direção ao outro através de relações de poder que são (em um certo sentido) igualitárias.
Plavras-chave: Teoria da participação, teoria democrática, política, poder, acesso, interação, contingência.
1
This article was originally published as: CARPENTIER, N. 2011. The concept of participation. If they have access and interact,
do they really participate? CM, Communication Management Quarterly/Casopis za upravljanje komuniciranjem, 21:13-36.
2
SCOM, Vrije Universiteit Brussel, Pleinlaan 2, B-1050, Brussel, Belgium. E-mail: nico.carpentier@vub.ac.be
The concept of participation. If they have access and interact, do they really participate?
3
In this interview, Spivak refers to the etymology of Vertretung (“to thread into someone’s shoes”), but also emphasizes the differences
and interconnections between the notions of Vertretung and Darstellung, which she also refers to her 1988 essay Can the Subaltern Speak?.
4
The reason for excluding this model is that it can be seen as a hybrid combination of deliberative and radical democracy, both of
which are discussed in this chapter.
proletariat.5 In The Civil War in France, Marx expands maximalist participation and decentralization as principles
on the blueprint provided by the Paris Commune and of decision-making. As Jennings (1999, p. 138) formulates
develops it to extend to the national level. This national it, there is a “generalised preference for decentralisation,
Commune model was based on a council structure6 and autonomy and mass participation in the decision-making
delegation to higher decision-making levels (Marx, 1993). process”. Through the free and equal participation of
The pyramid structure of the model of direct (or delega- all in a variety of societal spheres, government as such
tive) democracy (Held, 1996, p. 145-146) allows for (and becomes unnecessary, and an equal power balance in
requires) high levels of participation, through the selection these decision-making processes can be achieved, which,
of and subsequent actions of delegates, which would create in turn, maximize individual autonomy within a context
a more horizontal set of power relations. But not until the of societal heterogeneity. Similarly, within the economic
second phase would society have completely transcended realm, the principle of capitalist struggle is replaced by a
capitalism, and would “the enslaving subordination of the decentralized gift economy.
individual to the division of labour, and therewith also the The New Left conceptualizations of participatory
antithesis between mental and physical labour [have...] democracy – developed by Pateman (1970, 1985) and
vanished” (Marx, 1994, p. 321). For Marx, communist Macpherson (1966, 1973, 1977) and later by Mansbridge
society is constructed on the basis of a new conception (1980) and Barber (1984) – focus on the combination of
of the self, which is highly altruistic and non-conflictual: the principles and practices of direct and representative
For instance, labour is performed to please the others, democracy. The problems of coordination in large-scale
and not out of a sense of duty. In this utopian situation, industrial societies bring the latter to accept representa-
the need for repressive state apparatuses would also have tion (and power delegation) as a necessary tool at the
disappeared, and only a series of basic coordination, purely level of national decision-making. At the same time
administrative tasks would require elected coordinators. Pateman (1970, p. 1) critiques authors such as Schum-
This “labour of supervision and management” (Marx, peter (1976), for attributing “the most minimal role”
1992, p. 507) could be compared to the role of the con- to participation, and for basing their arguments on a
ductor of an orchestra, as Marx (1992, p. 507) writes in fear that the implementation of more developed forms
Capital. Through the logics of cooperation, participation of participation might jeopardize society’s stability.
would become maximized in the egalitarian communist This induces Pateman and Macpherson to introduce
society. This implied the disappearance of the principle of a broad-political approach to participation, which can
power delegation, as participation was organized through be found in Pateman’s seminal definitions of partial
everyday life. participation as “a process in which two or more parties
Frequently ignored in debates on maximalist influence each other in the making of decisions but the
versions of participatory democracy is (the legacy of ) final power to decide rests with one party only” (Pate-
anarchist theory (cf. May, 1994). Arguably, this neglect man, 1970, p. 70), and full participation as “a process
does justice to neither anarchist nor democratic theory. where each individual member of a decision-making
Anarchism’s emphasis on decentralization and local body has equal power to determine the outcome of
autonomy led to a strong emphasis on participation decisions” (Pateman, 1970, p. 71). This broad-political
within what Godwin (1971) called ‘parishes’ or voluntary perspective also brings Pateman (1970, p. 110) to look
federations. The distrust of government and rejection of at what she calls “alternative areas”, in order to maximize
(political) representation, that characterize anarchism, participation. It is only through participation in these
are fed by a discourse of anti-authoritarism, which resists ‘alternative areas’ of the political that a citizen can “hope
the establishment of societal hierarchies and systems of to have any real control over the course of his life or
domination and privilege (Bookchin, 1996, p. 29). Illustra- the development of the environment in which he lives”
tive of this is Bakunin’s (1970, p. 31) statement, “It is the (Pateman, 1970, p. 110). This expansion of participation
characteristic of privilege and of every privileged position into these ‘alternative areas’ is deemed a necessity, since
to kill the mind and heart of men”. This immediately “for a democratic polity to exist it is necessary for a par-
brings us to the anarchist theory’s strong emphasis on ticipatory society to exist, i.e. a society where all political
5
The dictatorship of proletariat should not be confused with the Leninist notion of dictatorship of the vanguard of the proletariat.
6
Some authors, like Gramsci, related the council to the soviet (Bottomore, 1991, p. 114).
systems have been democratized […]” (Pateman, 1970, to participants who are committed to values or rationality
p. 43). For Pateman, this also implies a broadening of and impartiality” (emphasis in original). Habermas’s work
the concept of politics: When discussing participation is one of the main sources of inspiration for the model of
in the industry, she explicitly defines these realms of the deliberative democracy.7 His older work on communica-
social as “political systems in their own right” (Pateman, tive rationality and the public sphere plays a key role in
1970, p. 43). In Participation and Democratic Theory, grounding deliberation in the intersubjective structures of
Pateman (1970) focuses on participation in one specific communication, where the “speakers’ orientation toward
‘alternative area’: industry. Macpherson’s (1977) work mutual understanding entails a commitment to certain
takes a different angle: He describes the (first) model presuppositions rooted in the idea of unconstrained argu-
of participatory democracy, which he develops in The mentation or discourse” (Flynn, 2004, p. 436). In Between
Life and Times of Liberal Democracy, as follows: “One Facts and Norms, Habermas (1996) further develops his
would start with direct democracy at the neighbour- model of deliberative democracy (and its relationship
hood or factory level – actual face-to-face discussion to law). In the Habermasian model of deliberative de-
and decision by consensus or majority, and election of mocracy, participation is multidirectional because of the
delegates who would make up a council at the next more strong emphasis on the procedural-deliberative, and on
inclusive level, say a city borough or ward or a township. the role that institutions play in the transformation of
[…] So it would go up to the top level, which would public opinion into communicative power. In his two-
be a national council for matters of national concern, track model of deliberative politics, the public sphere
and local and regional councils for matters of less than becomes a “warning system with sensors that, though
national concern” (Macpherson’s, 1977, p. 108). At the unspecified, are sensitive throughout society” (Habermas,
same time, Macpherson (1980, p. 28) acknowledges that 1996, p. 359) and that can problematize issues, while
“[t]he prospects of a participatory pluralist system […] deliberative procedures in the formal decision-making
appear rather slight” and investigates how some of the sphere focus on cooperative solutions to (these) societal
principles of participatory democracy can be reconciled problems, without aiming for ethical consensus.8
with (and supported by) a competitive party system. Laclau and Mouffe (1985), aiming to de-essen-
Macpherson is suggesting the reorganization of the party tialize Althusser’s and Gramsci’s work (and thus, also, the
system on less hierarchical principles, which would in- work of Marx and Engels),9 developed a post-Marxist
crease organizational democracy within political parties, democratic model. Their work parallels the work on the
rendering them “genuinely participatory parties [that] deliberative model, but was developed differently because
could operate through a parliamentary or congressional it was inspired by a post-structuralist agenda. They con-
structure” (Macpherson, 1977, p. 114). sidered their democratic project to be radically pluralist
The model of deliberative democracy also tries to because of its embeddedness in a social ontology, which
(re)balance the participatory and representative aspects emphasized that “subject positions cannot be led back to
of democracy, but, here, the participatory moment is lo- a positive and unitary founding principle” (Laclau and
cated in communication, as deliberative democracy refers Mouffe, 1985, p. 167). This implies also that the radical
to “decision making by discussion among free and equal pluralist democracy advocated by Laclau and Mouffe was
citizens” (Elster, 1998, p. 1, emphasis added). Elster (1998, not radical in the sense of identifying ‘the true and pure
p. 8) points to the two main characteristics of this model: democratic model’: “Its radical character implies, on the
Its democratic nature is ensured because of its focus on contrary, that we can save democracy only by taking into
“collective decision making with the participation of all account its radical impossibility” (Žižek, 1989, p. 6). For
who will be affected by the decision or their represen- this reason, Mouffe (1997, p. 8) refers to radical pluralist
tatives”, and its deliberative nature lies in the focus on democracy as a democracy that will always be ‘to come’.
“decision making by means of arguments offered by and Nevertheless, the radical pluralist democratic model also
7
Of course, Habermas is not the only author in this debate. See Cohen (1989), Fishkin (1991) and Dryzek (2000). The deliberative
democratic model was also supported by Rawls (1999, p. 139), who in 1999 declared that he was “concerned with a well-ordered
constitutional democracy [...] understood also as a deliberative democracy”.
8
For instance, Mouffe (2005) continues to criticize Habermas for his focus on consensual outcomes.
9
See Carpentier and Spinoy (2008). This part is mainly based on the introductory chapter of this book.
ist versions of democratic participation have sought (and This all-encompassing process of the broadening
found) solutions to the scale problem in large democracies of the political, where all social realities become (at least
by reverting to civil society, the economy and the family potentially) contestable and politicized, means also that
as sites of political practice. Here, Mouffe’s (2000, p. 101) the notions of democracy and participation can no longer
concept of the political, as the “dimension of antagonism remain confined to the field of institutionalized politics.
that is inherent in human relations”, can be used to argue All social spheres are the potential objects of claims
that the political touches upon our entire world, and can- towards democratization and increased participation,
not be confined to institutionalized politics. Here, also, the although these claims (and the struggles provoked) do
difference Mouffe makes between the political and the not lead necessarily to their realization, and the resistance
social is helpful because she locates this difference in the in some societal realms turns out to be more substantial
sedimented nature of practices. To use her words: than in others.
(ii) Participation is situated in always particular More particularly, the definition of participation is
processes and localities, and involves specific actors. In order one of the many societal fields where a political struggle is
to understand participation, and the many different waged between the minimalist and the maximalist varia-
participatory practices with their sometimes very different tions of democracy. In the minimalist model, democracy
participatory intensities, the characteristics, power posi- is confined mainly to processes of representation, and
tions and contexts of the specific processes, localities and participation to elite selection through elections that form
actors have to be taken into account. Participation is not the expression of a homogeneous popular will. Participa-
limited to one specific societal field (e.g., ‘the’ economy) tion here exclusively serves the field of institutionalized
but is present in all societal fields and at all levels. The politics because the political is limited to this field. In the
contexts that these different fields and levels bring into maximalist model, democracy is seen as a more balanced
the equation, is crucial to our understanding of any par- combination of representation and participation, where
ticipatory process. For instance, in the theoretical debates attempts are made to maximize participation. The political
on participation, we can see that at the macro-level, they is considered a dimension of the social, which allows for a
deal with the degree to which people could and should broad application of participation in many different social
be empowered to (co)decide on for instance political, fields (including the media), at both micro- and macro-
symbolic-cultural and communicative matters. At the level, and with respect for societal diversity.
micro-level, they deal with the always-located power A similar logic can be used to describe minimalist
relations between privileged and non-privileged actors, and maximalist media participation. In (very) minimal-
between for instance politicians and media professionals ist forms, media professionals retain strong control over
on the one hand, and (ordinary) people who do not hold process and outcome, often restricting participation to
these positions on the other. Although it would be too mainly access and interaction; to the degree that one
much of a simplification to define all privileged actors as wonders whether the concept of participation is still
part of one societal elite, these privileged actors do form appropriate. Participation remains articulated as a con-
(partially overlapping) elite clusters, that hold stronger tribution to the public sphere but often mainly serving
power positions compared to individuals not part of these the needs and interests of the mainstream media system
elite clusters. Within all fields, debates about participation itself, instrumentalizing and incorporating the activities
focus exactly on the legitimization or the questioning and of participating non-professionals. This media-centred
critiquing of the power (in-) equilibrium that structures logic leads to a homogenization of the audience and a
these social relationships. disconnection of their participatory activities from other
(iii) The concept of participation is contingent and societal fields and from the broad definition of the politi-
itself part of the power struggles in society. The significa- cal, resulting in the articulation of media participation
tion of participation is part of a “politics of definition” as non-political. In the maximalist forms, (professional)
(Fierlbeck, 1998, p. 177), since its specific articulation control and (popular) participation become more bal-
shifts depending on the ideological framework that anced, and attempts are made to maximize participation.
makes use of it. This implies that debates on partici- Here we see the acknowledgement of audience diversity
pation are not mere academic debates, but are part of and heterogeneity, and of the political nature of media
a political-ideological struggle for how our political participation. The maximalist articulation allows for
realities are to be defined and organized. It is also not a recognition of the potential of media participation for
mere semantic struggle, but a struggle that is lived and macro-participation and its multidirectional nature.
practiced. In other words, our democratic practices are, (iv) Participation is not to be seen as part of the dem-
at least partially, structured and enabled through how ocratic-populist fantasy, which is based on the replacement
we think participation. The definition of participation of hierarchical difference by total equality. The celebrative-
allows us to think, to name and to communicate the par- utopian variation of this fantasy defines the equalization of
ticipatory process (as minimalist or as maximalist) and society, and the disappearance of its elites, as the ultimate
is simultaneously constituted by our specific (minimalist objective for the realization of a ‘truly’ democratic society.
or maximalist participatory) practices. As a consequence, In contrast, the anxietatic-dystopian variation is based on
the definition of participation is not a mere outcome of the fear that the democratic-populist fantasy might actu-
this political-ideological struggle, but an integrated and ally be realized. These are both populist fantasies, because
constitutive part of this struggle. (following Laclau’s approach to populism) they are based
on an antagonist resistance of the people against an elite. with the ‘general interests’ of the community”. Another
As Laclau (1977, p. 143) puts is: “Populism starts at the example of this conflation10 can be found in Convergence
point where popular-democratic elements are presented Culture where Jenkins (2006, p. 305) defines participation
as an antagonistic option against the ideology of the as referring “to the social and cultural interactions that
dominant block.” Models that support stronger forms of occur around media”. Yet another example can be found
participation (even the most maximalist versions) do not in Taylor and Willis’s (1999, p. 215) introductory sen-
aim for the (symbolic) annihilation of elite roles, but try to tences to their chapter on Public Participation in the 1990s:
transform these roles in order to allow for power-sharing “Broadly, three different models of audience participation
between privileged and non-privileged (or elite and can be identified in the non-fiction media. First11, there
non-elite) actors. For instance, the positions that defend has been a wide increase in the use of audience interaction
strong forms of media participation do not necessarily ‘segments’ on television.”
focus on the elimination of the media professional (or However valuable these approaches and analyses
the journalist), but attempt to diversify and open up this are, I would like to argue that participation is structurally
societal identity so that the processes and outcomes of different from access and interaction and that a negative-
media production do not remain the privileged territory relationist strategy – distinguishing between these three
of media professionals and media industries. concepts – helps to clarify the meaning(s) of participation.
(v) Participation is invitational. Even the contem- A considerable number of academic disciplines, including
porary maximalist participatory models only rarely aim communication and media studies, have become insensi-
to impose participation. Their necessary embeddedness tive towards the need to properly define participation,
in a democratic culture protects against a post-political which implies that audience practices like watching
reduction of participation to a mere technique, but also television, surfing on the web, visiting a museum, talking
against the enforcement of participation. Here, I concur to a neighbour, pressing the red button to initiate the
with Foss and Griffin (1995, p. 3), who contrast invitation interactive functions of digital television are all deemed
and persuasion (the latter being fed by the “desire for con- necessarily participatory activities. This over-stretched
trol and domination”), and Greiner and Singhal (2009, p. approach towards participation causes the link with
34), who develop the concept of invitational social change, the main defining component of participation, namely
which “seek[s] to substitute interventions which inform power, being obscured. Moreover, the over-stretching of
with calls to imagine and efforts to inspire”. These kinds participation often causes the more maximalist meanings
of reflections allow participation to be seen as invitational, of participation to remain hidden12.
which implies that the enforcement of participation is Access and interaction do matter for participa-
defined as contradictory to the logics of participation, tory processes in the media – they are actually its condi-
and that the right not to participate should be respected. tions of possibility – but they are also very distinct from
(vi) Participation is not the same as access and interac- participation because of their less explicit emphasis on
tion. Arguably, these notions are still very different – in power dynamics and decision-making. Here, especially
their theoretical origins and in their respective meanings. Pateman’s (1970, p. 70-71) definition of participation,
But they are often integrated (or conflated) into defini- which refers to influence or (even) equal power relations in
tions of participation. One example here is Melucci’s decision-making processes, is useful to avoid the signifier
(1989, p. 174) definition, when he says that participation participation being over-stretched. Taking this definition
has a double meaning: “It means both taking part, that and the here discussed characteristics of participation as
is, acting so as to promote the interests and the needs starting point; we can develop a model that distinguishes
of an actor as well as belonging to a system, identifying between access, interaction and participation.
10
It should be added that Jenkins does distinguish between interactivity and participation ( Jenkins, 2006: 305), and that (in some
rare cases) he uses the concepts of participation and interaction alongside each other, leaving some room for the idea that they are
different concepts ( Jenkins, 2006, p. 110, 137)
11
The other two modes they distinguish are programmes that entirely consist of audience participation and programmes that are
centred on a live studio audience.
12
From this perspective, the conflation of access, interaction and participation is actually part of the struggle between the minimalist
and maximalist articulations of participation.
Access
(presence)
Interaction
(socio-communicative
relationships)
Participation
(co-deciding)
13
See Carpentier (2007) for an earlier version of the AIP model.
of media organizations and other people to (co-)produce to power, and to equal(ized) power relations in decision-
and distribute the content. making processes. Furthermore, the distinction between
The second concept, interaction, has a long his- content-related participation and structural participation
tory in sociological theory, where it often refers to the can then be used to point to different spheres of decision-
establishment of socio-communicative relationships. making. First, there are decision-making processes
Subjectivist sociologies, such as symbolic interactionism related to media content production, which might also
and phenomenological sociology, highlight the impor- involve other people and (proto-)machines, and which
tance of social interaction in the construction of meaning might take place within the context of media organiza-
through lived and intersubjective experiences embodied tions. Second, there is the structural participation in the
in language. In these sociologies the social is shaped by management and policies of media organizations; also
actors interacting on the basis of shared interests, purposes technology-producing organizations can be added in
and values, or common knowledge.14 Although interac- this model, allowing for the inclusion of practices that
tion is often equated with participation, I here want to can be found in, for instance, the free software and open
distinguish between these two concepts, as this distinction source movement(s). At the level of reception, many of
allows an increase in the focus on power and (formal or the processes are categorized as interaction, but as there
informal) decision-making in the definition of participa- are still (implicit) decision-making processes and power
tion, and – as mentioned before – protecting the more dynamics involved, the reception sphere should still be
maximalist approaches to participation. mentioned here as well, although the main emphasis is
If interaction is seen as the establishment of socio- placed on the production sphere.
communicative relationships within the media sphere,
there are again a variety of ways that these relationships
can be established. First, in the categorizations that some
authors (Hoffman and Novak, 1996; Lee, 2000) have de- Conclusion
veloped in order to deal with the different components of
Human-Computer Interaction, different types of interac-
tion have been distinguished. Through these categoriza- Participation is not a fixed notion, but is deeply
tions the audience-to-audience interaction component embedded within our political realities and thus is the
(strengthened later by analyses of co-creation) has been object of long-lasting and intense ideological struggles. The
developed, in combination with the audience-to-(media) search for harmonious theoretical frameworks to capture
technology component. At the production level this refers contemporary realities might have been an important
to the interaction with media technology and people to fantasy of the homo academicus, but also it might not do the
(co-)produce content, possibly within organizational analysis of these realities any favours. This does not mean
contexts. A set of other components can be found within that conceptual contingency needs to be celebrated and
the ‘old’ media studies approaches. The traditional active radicalized; after all, “a discourse incapable of generating
audience models have contributed to this debate through any fixity of meaning is the discourse of the psychotic”
their focus on the interaction between audience and con- (Laclau and Mouffe, 1985, p. 112). It requires careful
tent, which relates to the selection and interpretation of manoeuvring to reconcile the conceptual contingency with
content. As these processes are not always individualized, the necessary fixity that protects the concept of participa-
but sometimes collective, also forms of media consump- tion from signifying anything and everything. But still, at
tion like family or public viewing (Hartmann, 2008) can some point participation simply stops being participation.
be included, not to forget the role that interpretative Through a more detailed reading of the articula-
communities can play (Radway, 1988; Lindlof, 1988). tions of participation in (maximalist) democratic theory,
This then brings me to the concept of participa- participation’s crucial and intimate connection with
tion. As repeatedly argued, this difference between par- power (and the societal redistribution of power) becomes
ticipation on the one hand, and access and interaction on emphasized. Moreover, participation’s embeddedness in
the other is located within the key role that is attributed a democratic logic allows us to avoid two key problems:
14
I do not want to claim that power plays no role in interactionist theory, but power and especially decision-making processes do
not feature as prominently as they do in the democratic-participatory theories that provide the basis for this book.
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