A Development Communication Perspective on Why Dams Fail

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A Development Communication

Perspective on Why Dams Fail

-‐A field study from Zambia

Bachelor’s thesis

January 2015

Cecilia Andersson and Evelina Svensson Linnaeus University

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Abstract

Hydropower dams have the potential to provide developing countries with the energy they need for meeting their growing demands, however, they usually bring with them many complex issues. International best practices have addressed problems with dams and provided comprehensive guidelines for how the development of dams can become less problematic and more sustainable. However, there seems to be a gap between the visions and what is actually done in practice. This study aimed to provide more knowledge about this gap by applying a development communication perspective on an ongoing hydropower planning process.

To gather empirical material a minor field study was conducted on the planned Batoka Gorge HES in Zambia in the end of 2014. The study used a qualitative method and conducted interviews with stakeholders that were identified as concerned about the project. This included national governmental institutions, local authorities, traditional authorities, local communities, non-governmental organizations, companies, consultants and journalists. Two different analytical frameworks were used to categorize and analyze the empirical findings, namely the seven types of participation and the monologic and dialogic communication models.

The main findings of this study is that, despite national legislations and international guidelines, which put emphasis on stakeholder engagement, the Batoka Gorge HES still did not fully apply a participatory communication mode. Data revealed intents to use a dialogic communication mode as the regulations propose, however, the communication regarding the project was mainly characterized a monologic mode. The study thus provides empirical findings that confirm and demonstrate the gap between theory and practice, and further suggest that additional research in this field is needed.

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Acknowledgements

First and foremost, we would like to thank the Swedish International Development Cooperation Agency (Sida) for the scholarship that gave us the opportunity to conduct a minor field study in Zambia. Furthermore, we are grateful to the handful of people that introduced us to the Zambian culture and context, which helped us to conduct the study in an appropriate manner. This study would not have been possible without the help from the kind souls that have taken their time to assist us during the time in the field.

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Abbreviations

Batoka Gorge HES Batoka Gorge Hydro-Electric Scheme

COMESA Common Market for Eastern and Southern Africa

ERB Energy Regulation Board

ERM Environmental Resources Management

ESIA Environmental and Social Impact Assessment

GWP Global Water Partnership

I&AP Interested and Affected Party

IFC International Finance Corporation

IWMI International Water Management Institute

NGO Non Governmental Organization

NHCC National Heritage and Conservation Commission SADC Southern African Development Community SDSN Sustainable Development Solutions Network

SIDA Swedish International Development Cooperation Agency

UN United Nations

UNEP United Nations Environment Programme

WB World Bank

WCD World Commission on Dams

WCED World Commission on Environment and Development WWAP United Nations World Water Assessment Programme

ZAWA Zambia Wildlife Authority

ZEMA Zambia Environmental Management Agency

ZRA Zambezi River Authority

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1. Introduction

For a long time, the building of large dams have been a way of capturing energy for growing populations and meeting the needs that comes along with economic development. However, a trade off between social, economic and environmental interests is difficult to avoid. On the one hand, hydropower schemes have contributed significantly to human development. On the other hand, they have often brought about high costs on local communities and the natural environment (WCD 2000a; WWAP 2014; GWP 2013). According to the World Commission on Dams (WCD), the most unsatisfactory hydropower projects failed to include the people most affected by the construction (WCD 2000a). In the WCD report, it is stated that the challenge “is to find ways of sharing water resources equitably and sustainably – ways that meet the needs of all people as well as those of the environment and economic development. These needs are all intertwined, and our challenge is to resolve competing interests collectively” (WCD 2000a:xxix).

In order to solve the problems connected with dams, numerous guiding documents, handbooks and best practice strategies has been developed by large international organizations. One of the major contributions, Dams and Development: A Framework for Decision Making, was established by the WCD in 2000. It provides comprehensive guidelines for the development of hydropower dams. Other large guiding documents on hydropower has been provided by the World Bank (2006) (2009), United Nations Environmental Program (UNEP) (2007) and International Water Management Institute (IWMI), to name a few. All these documents highlight the importance of adequate communication and the involvement of stakeholders in decision-making. WCD puts emphasis on the importance of gaining public acceptance through participation and dialogue. This is seen as a key aspect of the way towards a more equitable and sustainable management of water resources (WCD 2000a). However, despite all the visionary documents that aim to improve the management of dam projects, many problems remain (Moore, Dore & Gyawali 2010). There is thus a gap between what is envisioned as best practice in theory, and what is actually taking place.

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participation in decision-making and a relevant communication dialogue is essential (WCD 2000a).

1.1 Literature review

Reviewing existing literature about communication and participation in development projects, many aspects have been addressed and studied. There is, however, limited research on the gap between the theoretical guidelines of dam building, and the practice of participatory development communication in their establishment. Therefore, this study intend to bring light to the interspace by gathering empirical data on the use of different types of communication and participation methods and their relation to the sustainability of a proposed hydropower project.

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1.2 Aim and research questions

This paper aims to explore the nature of communication and participation between stakeholders in hydropower projects by using a development communication perspective. The purpose of this study is to acquire deeper knowledge about communication and participation in development projects, and their connection to sustainability. Moreover, the purpose is to analyze the gap between theory and practice from a new conceptualization. This is done by categorizing different types of participation and using monologic and dialogic models of communication. Based on a qualitative field study on a planned hydropower scheme in Zambia, the study aims to bring light to what role different types of communication and participation play. The wish is that this study can bring a better understanding and more knowledge about whether large hydropower schemes can become more equitable and sustainable through adequate communication and dialogue.

To achieve the aim of the study, the planned Batoka Gorge Hydro-Electric Scheme (HES) in Zambia was chosen as an empirical example. For the future development of Zambia and its citizens, it is essential that the Batoka Gorge HES becomes an equitable and sustainable source of energy that benefits the large part of the population. Hence, in order to achieve the fullest potential of the dam, communication and stakeholder participation is of greatest importance.

To answer the research problem, the following questions are posed;

• In what ways has the Batoka Gorge Hydro-Electric Scheme project been

communicated with and among stakeholders?

• To what extent has stakeholder participation been undertaken in the project so far? • To what extent has information and opportunities to participate been accessible to

stakeholders?

• What perceptions of the stakeholder engagement process can be found among the

stakeholders, and how have they been created?

1.3 Disposition

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considerations. Chapter two provides the background information on the context surrounding the Batoka Gorge HES project. In chapter three the conceptual background is introduced and two analytical frameworks described. Further, the methodology of the study is presented in chapter four. This chapter also contains limitations with chosen methods. Chapter five present the major findings of the study. This is followed by chapter six that address the research problem by analyzing the findings with a point of departure in the analytical frameworks. Chapter seven concludes the paper by once again highlighting the results in regard to the research problem. More in-depth information, maps over the project area, and interview guides can be found in appendices.

1.4 Limitations and delimitations

When conducting a field study, there are limitations important to address. Objectivity and bias, in the form of cultural differences and interpretations, is unavoidable when doing research and may hence serve as limitations in this study. It is thus important for us as researchers to be aware of personal backgrounds and pre perceptions. To conduct a field study in a new country and an unfamiliar culture may serve as a limitation. This is because the researcher may not be aware of the cultural codes, language, and the norms connected to interpersonal interactions. Therefore, the time to our disposal may restrain the study as there is not sufficient time to identify and adapt to these codes, nor to conduct a comprehensive ethnographic study. To mitigate the occurrence of cultural misunderstandings, a non-governmental organization was used as a facilitator throughout the study, whose function will be further explained below.

Furthermore, our ethnicity and skin color may be connected to preconceptions and hence limit our access to the field. Also there is a risk that the respondents may adjust their answers depending on their perceptions of what the researcher wants to hear. Due to this limitation it is very important to tailor the interview guides so that the questions does not indicate the answer. Some of the interview guides can be found in appendix 1. There are also lingual barriers to be considered. Although English is the official language in Zambia, both the respondents, as well as the researchers, may have dialects and lack sufficient language skills, which can limit the communication and hence the data collection.

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only on the Zambian side of the joint venture. Large infrastructure projects involve stakeholders on multiple levels, from local to international. However, it was not possible to conduct interviews with all actors found to be stakeholders, neither to approach all subgroups or individuals. Therefore, the study had to delimit itself to comprehend only stakeholders that were reachable during the set timeframe. Subsequently, the study was restrained to only include a selected sample of the stakeholders. In addition to this, the study has been delimited to focus on communication and participation among stakeholders, rather than opinions or attitudes towards the construction of the dam.

1.5 Ethical considerations

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2. Background

This chapter aims to describe the contextual background in which the field study was executed. It provides the reader with a brief introduction about Zambia and its water

resources, and further present the planned hydropower project that was used as an empirical example in this study.

2.1 Field of study

Zambia is a landlocked country in the southern parts of the African continent, rich in natural resources such as copper, cobalt and hydropower. The Zambian economy is much dependent on the export of copper, and due to resurgence for copper Zambia has experienced a rapid economic growth of 5-7% per year since 2003. This growth rate is higher than the average in Sub Saharan Africa. At the moment, Zambia is self-sufficient in energy and the electricity is mainly produced in large hydropower plants (Landguiden, Zambia 2014). In 2011, 99.7 % of Zambia’s energy production came from hydroelectric sources (World Bank 2014a). However, only about 20% of the total population, and 2% of the rural population, is estimated to have access to electricity (Landguiden, Zambia 2014).

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2.2 Project description

2.2.1 Introduction and history

In order to combat a proclaimed power deficit, the governments of Zambia and Zimbabwe have both agreed to construct a hydropower plant on the Zambezi River, which serves as the border between the countries. The Batoka Gorge HES was first initiated in 1987, but it was delayed due to a debt dispute over the Kariba Dam between Zambia and Zimbabwe. Feasibility studies as well as Environmental and Social Impact Assessments (ESIA) was carried out in 1993, however, the deadlock continued (World Bank 2014b). It was not until 2012 that both countries signed a memorandum of understanding where they agreed to jointly construct the Batoka Gorge HES (COMESA 2013).

The plant, usually referred to as the Batoka Gorge HES, is to be located in the Batoka Gorge, which lies upstream from the existing Kariba Dam hydroelectric scheme and approximately 50 km downstream of the famous Victoria Falls (ZRA 2013). The project area is located in the district of Kazungula in the Southern Province. The closest city is Livingstone and the area falls under the traditional jurisdiction of Chief Mukuni. The scheme is estimated to be 181m high and produce a total power of 1,600 MW, which is to be shared equally between the two nations (COMESA 2013). According to the World Bank, this energy will be enough to provide sufficient energy for more than 1.2 million households (World Bank 2014b).

2.2.2 Project management and execution

The project is handled under the supervision of the Zambezi River Authority (ZRA), which is a statutory body jointly owned by the Zambian and Zimbabwean governments. The ZRA was established in 1987 and is responsible for the management of the Zambezi River, as well as projects related to its utilization. In order for the project to commence, a thorough ESIA must be executed in accordance with Zambian legislations. To their help, the ZRA has commissioned the international consultants Environmental Resources Management (ERM) and their local partners Black Crystal (Zimbabwe) and Kaizen Consulting International (Zambia), to perform the ESIA. (ZRA 2013)

2.2.3 The ESIA process and current project status

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shall involve the stakeholders identified in the project in order to collect and resolve competing interests. The ESIA is divided in five different phases. First, there is an inception stage that aims to identify and define key issues of concern. The second stage is the scoping phase that evaluates likely impacts of the project, and seeks to involve interested and affected parties. The third stage is the baseline data gathering, where the purpose is to acquire a deeper understanding of the impacts on people and environment in the area. The fourth stage, the impact assessment, sets out to find ways to manage and mitigate the impacts, while the fifth stage, the disclosure, is when the final ESIA is to be delivered to the hosting governments (ZRA 2013). After each phase, a report comprising the findings and developments shall be submitted to ZRA. When completed, the ESIA is to be delivered to the Zambia Environmental Management Agency (ZEMA) (and the corresponding authority in Zimbabwe), which is the major environmental institution in Zambia. After the ESIA has been reviewed, it is ZEMA´s task to approve or dismiss it (ZRA 2014).

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3. Theoretical framework

The following chapter will attempt to define and describe words, concepts and models used throughout the paper in order to make clear how they are interpreted for the purpose of this study. This will help conceptualize and grasp the meanings and contents of used vocabulary, and further facilitate the operationalization of the analytical frameworks. Hence, this section aims to describe the researchers believes about the world and the ontological assumptions that this study is operating within. The section intends to describe the conceptual background of development communication and sustainable development. These explanations and conceptualizations will serve as the point of departure for this study, and hence, define the boundaries from where knowledge can be extracted. In the extension, this has shaped the result that this study has found. Furthermore, different types of participation and two communication models will be presented and used as analytical frameworks. Lastly, the connection between the concepts and frameworks will be explained.

3.1 Conceptual background

3.1.1 The meaning and history of development communication

The point of departure for this study takes an approach of development communication, also sometimes referred to as communication for development or communication for social change. In 2007, the Rome Consensus from the World Congress on Communication for Development defined Communication for Development as: “…a social process based on dialogue using a broad range of tools and methods. It is also about seeking change at different levels, including listening, building trust, sharing knowledge and skills, building policies, debating and learning for sustained and meaningful change” (World Bank, 2007:xxxiii). On a similar line, Jan Servaes, in his book Communication for Development and Social Change, argues that development communication is a social process aimed at reaching a plan based on consensus and common understandings among all concerned. It shall thus take into account the knowledge, capacities, needs, and interests of those involved, in order to reach positive and durable change (Servaes 2008:15). These definitions will serve as the basis for the use of the concept throughout this paper.

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transfer of information, mainly from a sender to a receiver, in order to change social norms and behavior. The information was based on the view of the sender, and was supposed to be adopted by the receiver, in a top-down approach (Tufte and Mefalopulos 2009:1). Communication and the use of media thus became a tool of the modernization theory, which advocated a change from traditional to modern societies (Servaes 2008:16). The participatory elements of development communication was not present in these early periods, but entered the discipline decades later. Several authors on development communication agree that Paulo Freire was the initiator and forefather of participatory communication methods (Tufte and Mefalopulos 2009, Servaes 2008, Morris 2003). In the 1950s, although linear communication was the dominant model, Freire started to include the local population in development projects to a larger extent than earlier. He attempted to empower peasant farmers so that they could determine the outcome of their own lives. His work has influenced and shaped what is today called participatory communication, i.e. that the local population themselves should be the proponents of a development process so that decisions are based on consensus rather than imposement (Tufte and Mefalopulos 2009:2). Another major contributor to a more people oriented approach was the development scholar Robert Chambers. Chambers advocated the need of “putting the last first” (1983) and posed the question, “whose reality counts?” (1997). Chambers put emphasis on that the local population should be the main actors in development, and that they themselves should have the mandate to lead the projects (Chambers 2008:86).

According to Servaes, the mainstream development communication discourse went through a major shift in the last three decades of the past century, towards a more dialogical and participatory approach. This approach aims at raising the voices of the poor and marginalized by sharing information in a two-way communication manner (Servaes 2008:23). Fraser and Restrepo-Estrada argues that even though the usefulness of development communication in development projects has been widely recognized, it is not yet fully appreciated, nor naturally included in development planning (Fraser and Restrepo-Estrada 1998:39).

3.1.2 Defining sustainable development

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without compromising the ability of future generations to meet their own needs" (WCED 1987 n.pag). The definition embraces environmental protection, economic growth as well as social equity, as three fundamental pillars within sustainable development (Adams 2009:9). However, this definition has been accused of being too elusive and fluid. Despite its recognition, implementation of the concept has proven difficult and the vision of a sustainability paradigm has fallen short of materializing (Drexhage and Murphy 2010:). As a preparation for the upcoming Sustainable Development Goals, the Sustainable Development Solutions Network (SDSN) published An Action Agenda for Sustainable Development in 2014. This UN report attempts to set the post-2015 agenda, and as a part of that they present an updated view on sustainable development and its contents. In addition to the three previous pillars, economic development, social inclusion and environmental sustainability, a fourth dimension has been added. The fourth pillar is good governance including peace and security (SDSN 2014:1). The motivation behind the added pillar is that governance, during the age of globalization, has become more complex. Contemporary governments have to cooperate with a broad range of actors, including business, civil society, regional and international institutions, and other local governments. It is stressed that this calls for increased participation in key decisions from all levels of society, vertically and horizontally (SDSN 2014:3,4). Basically, the supplement of good governance to the concept of sustainable development signals the importance of stakeholder participation in achieving a sustainable world and fulfilling the sustainable development goals. Stakeholder participation can thus be seen as one of several crucial factors that contribute to sustainability.

3.2 Analytical framework

3.2.1 Monologic and dialogic communication models

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dialog to reach consensus between different stakeholders. (Mefalopulos 2008:57-59) Table 1 highlights the main features and differences of the two models.

Table 1. Basic Differences in the Two Communication Modes

Elements

Modernization/Diffusion/

Monologic

Participation/Participatory/

Dialogic

Main scope Disseminate information and/or persuade audiences to change attitudes/behaviors

Ensure proper dialogue for sharing knowledge and perceptions to achieve broad consensus leading to change Model of

reference

One-way, linear, often top-down Two-way, horizontal, and circular Model orientation Output-oriented, with the outputs

defined at the outset

Process-oriented, with the outcome determined by and through the process Basic conception

of development communication

Communication methods and media applied in the development context

Professional use of dialogic methods to assess and ensure stakeholders´

involvement Main role of the

communication specialist

Decide, design, and use methods and media products to persuade audiences to change

Facilitate dialogue, analyze the situation, and propose the appropriate strategy for change

Timing of the communication intervention

Usually at the stage when objectives have already been decided

Best used at the beginning of the project, before objectives have been defined

(Mefalopulos 2008:59)

In the Sourcebook, Mefalopulos put forward that none of these models are universally applicable, nor are they necessarily each other’s opposite. A combination of these modes of communication can be used in development projects, depending on the objective and scope of the project (Mefalopulos 2008:60).

3.2.2 Types of participation

Stakeholders often have a very diverging image of what is meant by participation in development. Therefore, in order to be able to conceptualize and analyze stakeholder participation in the Batoka Gorge HES project, there is a need to clearly define what is meant by participation.

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change” (Tufte and Mefalopulos 2009:4). To further specify the concept of participation, Gary Coldevin uses what Jules Pretty have defined as seven types of participation, which describes to what degree people are involved in development initiatives. It is ranging from the least inclusive type of Passive participation, where a top-down approach of giving information to the people is used, to the Self-mobilization, where people independently take initiatives to create change (see table 2) (Pretty 2005 in Coldevin 2008:238-239). Although participation is perceived to threaten existing power balances, Servaes argues that participation does not imply the exclusion of development experts, planners and/or leaders. It rather promotes that the interests and concerns of the local population are taken into account throughout the whole project (Servaes 2008:21). Since participation can be interpreted in many different ways, these definitions will provide for a categorization of participation throughout this study.

Table 2. A typology of participation

Type Characteristics of Each Type

Passive Participation People participate be being told by an administration or project management what is going to happen or has already happened.

Participation in information giving People participate by answering questions posed by

researchers using questionnaire surveys or similar approaches, but do not have the opportunity to influence proceedings. The findings of the research team are not shared with the

participants or checked for accuracy by them.

Participation by consultation People participate by being consulted on their views. External professionals define both problems and solutions, and may (but are not obliged to) modify these in the light of people’s responses. However, local people do not share in decision-making.

Participation for material incentives People participate by providing resources (like labor or land) in return for food, cash or other material incentives. Much on-farm research falls in this category, as on-farmers provide the location but are not involved in the experimentation or the process of learning. It is very common to see this called participation, yet people have no stake in prolonging activities when incentives end.

Functional participation People participate by forming groups to meet predetermined objectives related to the project, which can involve the development or promotion of externally initiated social organization. Such involvement tends to come after all major decisions have been made, rather than during the planning stage.

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strengthening of existing ones. It tends to involve interdisciplinary methodologies that seek multiple perspectives and make use of systematic and structural learning processes. These groups have control over local decisions, and so people have a stake in maintaining structures or practices.

Self-mobilization People participate by taking initiatives independent of external institutions to change systems. They develop contacts with external institutions for resources and technical advice they need, but retain control over how resources are used. (Pretty 1995 in Coldevin 2008:238-239)

3.2.3 Development communication and participation in the context of

sustainable development

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The communication models and the seven types of participation are used as analytical tools in order to analyze and better understand the planning process of the Batoka Gorge HES. Viewing the planning procedures from a development communication perspective, and the two frameworks explained above, allows for an identification of existing communication and participation approaches and their nature. The analytical frameworks thus allow for a coding and categorizing of the collected data, and facilitate an operationalization and a profound analysis of the findings.

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4. Methodology

This chapter aims to describe and motivate the methods used to conduct this study. Limitations with the methods used are also presented.

4.1 Method

For the purpose of the study, a qualitative research method was chosen. This is because the study aimed to get an in-depth understanding in a specific context where using a quantitative method could miss underlying information. According to John W. Creswell, a qualitative research method is used to explore and understand a social problem in a specific setting (Creswell 2009:4).

This thesis is based on a Minor Field Study funded by the Swedish International Development Cooperation Agency (SIDA). The data for the study was collected in Zambia during eight weeks in the end of 2014. The reason for choosing to conduct the study in the environment in which the communication is taking place, was to be able to observe and interview the affected persons ourselves and hence to get first hand information. The main source of data was interviews and observations, which was complemented by literature studies. In order to ease the access into an unknown field and a foreign culture, a non-governmental organization was used as a contact and facilitator in this study. According to Aspers, it is important to use an actor with experience in the specific area as a facilitator when entering the field, that can share helpful information based on understanding and knowledge (Aspers 2010:75). The non-governmental organization used in this study has an interest in, and knowledge about, hydropower and its impacts. The organization assisted with strategic planning adapted to the local environment, especially in the initial stage of the field study.

4.2 Data collection

4.2.1 Ethnographic approach

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proposed Batoka Gorge HES. As the study aims to better understand how communication was used in the preceding planning stages of the Batoka Gorge HES, it was important to be present in the environment where communication takes place. The ethnographic approach gave us, as researchers, a more holistic view of the research problem.

4.2.2 Interviews

In order to answer the research question, interviews have been used as the main source of information. Interviews provided the study with primary data, which have several advantages. Primary data, or first hand information, has not been processed by an intermediary actor before it reaches the researchers, which provides the study with information directly from the source. Also, the interview questions can be designed in a way that give the researchers the data needed to answer the research questions.

The interviews conducted during the field study were structured. Aspers state that semi-structured interviews give opportunities for spontaneous dialogues (Aspers 2010:137). In-depth interviews of this kind gave us, as researches, a better understanding of the respondents and the particular situation. It also provided the possibility to follow up the answers of the respondents and new themes that came up during the interviews. Issues that are especially important for the respondents, as well as the researchers, could thus be further discussed and investigated. The semi-structured interviews were based on several interview guides especially designed for specific stakeholders. They were mainly consistent of open-ended questions that allowed the respondents to speak freely about the themes. Some of the interview guides can be found in appendix 1.

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categories were conducted until the data gathering reached the level of saturation. A list of interviews conducted can be found in appendix 2.

4.2.3 Observations

In addition to interviews, observations were made as a complementary source of data. Observations are a method often used in ethnographic studies, which according to Aspers, aims to give the researcher a deeper understanding of the research problem and the environment surrounding it. Aspers further stress that the reasoning behind specific social behaviors can be detected by using observations in combination with conversations (Aspers 2010:107).

Observations were used during the field study to detect the communicative channels, behaviors, and procedures of spreading of information concerning the Batoka Gorge HES. By using observations as a method, a better understanding of the local traditions and cultures of communication could be gained. This extended our possibility to interpret and analyze the specific context and perceptions of communication that exist in relation to the project of study. According to Mikkelsen, observations can add to the understanding of people’s behavior, relationships and the social interactions surrounding them (Mikkelsen 2005:347). Hence, observations helped us, as researchers, to detect data that interviews may have failed to recognize.

4.2.4 Literature studies

Literature studies were conducted throughout the study in addition to the primary sources, interviews and observations. Secondary sources, such as scientific articles, books and reports from major international organizations, was used to complement and crosscheck the data. Also context specific literature regarding the planning of the dam such as inception reports, articles from local newspapers, national legislations and international standards were used. The literature studies also helped to locate the research in the wider scientific context, and to conceptualize the data with the help of analytical frameworks.

4.2.5 Validation and triangulation

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2005:349). This way of triangulation has been applied in this study by using interviews as the main method of collecting data, and observations and literature studies to confirm, reject or add to the information found.

4.2.6 Limitations with chosen methods

All methods have limitations in providing the researcher with accurate data. Creswell provides his thoughts on the limitations with different methods in his book Research design: Qualitative, quantitative and mixed methods approaches (2009). Creswell put forward that interviews are a useful tool when collecting information, however, it is important to be aware of that the information provided by the respondents are colored by their own knowledge, experiences and prejudices. Information gathered by interviews can also be limited by biased responses from the respondents due to the chosen place for the interview and the presence of the researcher. Creswell also stress that some respondents might be less articulate and/or perceptive, and thus provide the researcher with incomplete data. Other limitations related to observations are that the researcher may be seen as intrusive and/or that private information is found, which sometimes cannot be reported. The researcher can also limit the usefulness of observation if not possessing adequate skills for obtaining and understanding information found. Creswell further argues that doing research by using documents can restrain the data due to many reasons. One reason being that access to some information may be restricted for public use, incomplete, misleading, or that it can be hard to find. As the authors behind the documents have their own points of departure and thus already processed the data, it is important to critically review the material used. (Creswell 2009:179-180)

4.3 Stakeholder identification

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the study. A table of all the stakeholders identified in this study and their respective relation to the Batoka Gorge HES project can be found in appendix 3.

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5. Results

The following chapter presents the major findings of the field study. These findings have mainly been gathered through interviews, but also observations and context specific literature studies. In order for the reader to better understand the findings, the first part aims to describe the local context surrounding the Batoka Gorge HES. Thereafter, findings that aim to provide answers to the research questions are presented under the headings Dissemination of information, Lack of information, Stakeholder participation, Raising concerns, Accessibility and Perceptions of the project. All findings presented below are focused on describing the communication and participation aspects of the Batoka Gorge HES project.

5.1 Context description

In the area close to the planned Batoka Gorge HES, there are 13 river communities, which have been identified as one of the stakeholder categories likely to be affected by the project. Some of the communities are marked on the overview map of the project area found in appendix 4. In addition to the hydropower scheme itself, the project includes the construction of a new road and transmission lines. An access road to the project area has already been constructed in order to facilitate further studies. Most of the effects felt by people will be due to the roads and transmission lines, rather than the actual scheme. The communities in the area vary in size and range, from approximately 100 inhabitants, up to the largest community that is hosting around 9000 inhabitants. Zambia’s judicial system is a mix of English common law and traditional customary law. This means that, in addition to the common law, each of the 13 communities is administered by a village headman. Subsequently, the communities and the headmen fall under the jurisdiction of the Mukuni Chiefdom, led by Chief Mukuni. Life in the communities is characterized by a traditional lifestyle. Most people are farmers, peasants, fishermen, or craftsmen, and thus dependent on the river and woods. The level of education is generally low in the area, and except from the largest community, most communities are generally missing electricity, clinics, schools and good access roads.

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the employees in the rafting business are local people from the river communities. Subsequently, it was stressed during interviews that the income earned from these jobs is usually supporting a large number of people.

In order for the Batoka Gorge HES to be established, national legislations of Zambia will have to be followed. The legislations are found in the Environmental Management Act No. 12 of 2011 of Zambia and they include minimum requirements concerning stakeholder involvement and participation. The act denotes the right of the public to be adequately informed and given opportunities to participate in the decisions affecting the environment. Public hearings, debates, and other mechanisms to collect and respond to public comments and concerns shall be established so that the ability of the public to participate is enhanced. The section concerning public participation in the act is found in detail in appendix 5. Moreover, the project implementers, the ZRA, have also agreed to conform to some international best practices regarding the project and the process preceding it. These standards are voluntary but often necessary when searching for external funding. The agreed standards are the World Bank Safeguard Policies, the WCD, and International Finance Corporation (IFC) performance standards. Of these standards, the WCD and the IFC performance standards have sections that put forward requirements for stakeholder participation during an ESIA. In the IFC performance standards the stakeholder engagement requirements can be found in Performance Standard 1, which is summarized in appendix 6. The WCD framework has seven strategic priorities that put emphasis on the use of a participatory, dialogic, communication in large dam projects. A summary of these principles can be found in appendix 7.

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communities. Other communication channels in the communities are often limited to information from radio, and communication through cell phones. However, these means are also restricted due to the lack of electricity. Batteries or solar energy is needed to charge these devices, which is costly. Few people in the area have access to television.

5.2 Dissemination of information

Information regarding the Batoka Gorge HES has been disseminated in various ways. It has mainly been spread from the ZRA, through the consultants, to other governmental institutions, white water rafting companies, traditional authorities and river communities. The main means of communication used have been physical meetings. There have been public meetings, open for all stakeholders and interested parties, as well as closed meetings between governmental institutions only. Information have also been somewhat disseminated through media advertisements, which has invited to public meetings and presented the project shortly. Project description brochures have been distributed to the headmen in the river communities and some other entities in and around Livingstone. Basic background information of the project can also be found on the websites of ZRA, ERM and the World Bank. Some news articles have been published in national, state-owned, newspapers, however, these have been very limited in occasions as well as in scope.

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5.3 Lack of information

Many of the respondents, from different stakeholder categories, have during the interviews indicated that the lack of information have resulted in fear, confusion and speculations on how the project will affect the stakeholders themselves, as well as the larger community. Zambia Tourism Board (ZTB) expressed concerns over the likely loss for the white water rafting companies, and that many people may lose their jobs if the dam is built. Similarly, one of the river communities articulated, “we will suffer if rafting comes to an end”. ZTB further requested more information on the impacts, so that they could mitigate the loss of the rafting by preparing for new tourist activities. Also the white water rafting companies approached in this study stated that they don’t know the direct impacts of the projects. For instance, one of the companies wonder how far the gorge will be flooded, and if they will be able to keep a very short distance of rafting at least. They want to know how they should prepare themselves. The National Heritage and Conservation Commission (NHCC) and one of the NGO’s interviewed, wonder how the Batoka Gorge HES will affect the world heritage site, and state that they are afraid of losing it. NHCC also express fear that the Taita Falcon, which is scarce bird species, might lose one of its few remaining breeding sites. During the interview NHCC stated that in order to be able to handle the problem with the falcon, "we need to know the mitigations".

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communities it was discussed whether or not the project will bring new employment opportunities for the people living in the area. The headman concluded that it would be difficult for the community members to get employment at the project site since most of them are unskilled and uneducated. Even if they could get some jobs there, it would only be temporary.

5.4 Stakeholder participation

There have been various forms of stakeholder engagement in the project so far. One of the ways used to involve stakeholders has been by holding public meetings or "open days". These meetings have been arranged by the consultants so that stakeholders could come and register as an interested and affected party (I&AP). The aim of the meetings was to inform stakeholders, and to let them file comments about the project up to 30 days after the meeting. The concerns that were raised should later be included in a "Scoping Report", which shall address what concerns that exist and the measures taken to mitigate them.

There have been two open days held in Zambia so far, one in Livingstone and one in the capital, Lusaka. The meetings were advertised in one of the national newspapers on the 30th of September 2014. The open day in Livingstone were held on the 6th of October between 14:00-17:00 and in Lusaka on the 7th of October between 15:00-19:00, which is six and seven days after its advertisement. Several of the approached stakeholders complain that the open day were advertised with a short notice, and that this made it difficult for all that were interested to participate. Other stakeholders state that they only found out about the meeting afterwards, but that they would have liked to participate if they would have had the knowledge about it. The study found no reporting of flyers or radio announcements informing about the meetings. According to one of the respondents, the location of the open day in Livingstone was changed in the last minute for unknown reasons. The respondent claims that there were no notices, nor personnel, making the public aware of the changes.

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and that they felt like they were being listened to. The impression is that the open day in Lusaka was not attended by a great number of stakeholders. The open day in Livingstone on the other hand had a very good turnout. The consultants and ZRA, who was observing the meeting, admitted that they were overwhelmed and did not expect so many to turn up. However, all stakeholders approached by the study that attended the open day in Livingstone agreed that the meeting itself was disastrous, including the project implementers themselves, the ZRA. According to several participating stakeholders, the present staffs was unable to answer any of the questions raised and one of the white water rafting company referred to the meeting as "completely useless". Due to the dissatisfaction among stakeholders, the consultants have scheduled an extra meeting in Livingstone in January, three months after the initial meeting.

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all 13 river communities were invited to a meeting with the Chiefdom. In a similar way as the other meetings, the project was discussed but nothing was agreed on.

5.5 Raising concerns

As described above, some stakeholders have raised their concerns during the public meetings in Livingstone and in Lusaka, as well as at the meeting in Ngandu village. Moreover, stakeholders have also provided the consultants with written concerns by handing in documents. During interviews it was found that several stakeholders had announced their opinions by doing like this. For example the Mukuni Development Trust used the document to declare their concerns, and also the demands that they have. For example they ask for the project implementers to build schools to further the education in Mukuni village and the other river communities. Another stakeholder, a NGO put forward the environmental issues, and were asking specific questions regarding that in their document. However, the NGO wanted to clarify that they would not have been able to complete the document in a very specific manner, if it wasn’t for the Draft Inception Report that leaked out this year. The Draft Inception Report, prepared by the consultants, summarize the activities that have taken place, and key issues that have been identified, during the Inception phase of the ESIA. The report is confidential and was not supposed to be distributed to parties other than the ZRA. Nevertheless, due to the Draft Inception Report the NGO were able to bring up important environmental issues that they found that the consultants leaved out.

Several of the interviews have put forward the problem of raising concerns without being well informed about the project and the expected impacts. One of the governmental institutions were clearly worried that they was not able to express their opinions in an adequate manner and stated that due to the lack of information “our hands are tied, we are shooting in the dark”. When talking about the subject with one NGO, the respondent put forward that “knowledge is power”, and stressed the importance of being well informed.

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favor of the project, stated during the interview that he would not attend the meetings with the river communities, as that might scare the people of raising their concerns. However, the representatives of the Chief participated, which could have had the same, restricting, effect on the headmen and the villagers.

5.6 Accessibility

Stakeholder participation depends on the opportunities of stakeholders to engage, and the accessibility to take part of information and physical meetings. It is important to consider the timing, location and language used when communicating, as well as the availability of information to those who are interested.

The open days were both located in the centre of both Livingstone and Lusaka, which is rather close to most stakeholders. As mentioned above, the location of the meeting in Livingstone was changed in the last minute, without further notice, which may have caused people not to participate. What has been reoccurring during a large majority of the interviews is also the short notice of the open days. Several stakeholders complain that they were not able to mobilize as many interested people as they would have liked to. Several respondents expressed that they suspected this was a conscious act of the consultants and the ZRA, because they did not want people to show up. One of the NGO´s framed this when stating "it is like they are trying to make it hard for people to participate".

The timing of meetings can never be set to suit all interested parties, however, it should be scheduled at a time best suitable for the greatest number of stakeholders in order to facilitate participation. The two open days which have already taken place were held in the afternoons and the planned additional open day in Livingstone is scheduled between 09:00-12:00. As these times fall during working hours this may limit the possibility for some of the I&AP´s to participate. Especially the river communities, which are mainly subsistence farmers, may find it hard to take their time, and resources, to travel into Livingstone and back.

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decisions. This is particularly in regard to the river communities. The study found that the headmen, and parts of the village populations, master English rather well. However, many still mainly communicate in the local language, especially women, and thus have a harder time to understand English. The language that has mainly been used during meetings with the river communities has been in the local language. The documents however, such as the project description, which has been distributed to the respective communities, have been written in English only. This limits the accessibility to information to those whose English skills are limited, women and other disadvantaged groups in particular.

Many of the approached stakeholders express that they are lacking information they would like to have, and that it has been hard to get a hold of the information they want. Other than some basic background information and the project profile, which have been easily accessible online and frequently distributed, information regarding the developments and the forthcoming of the project are expressed to be hard to get. One of the approached NGO´s engaged in the matter uttered that they feel some kind of reluctance from the authorities, for taking part of information and for people to participate. In addition to this, when asked if they knew where to turn if they wanted to get more information, respondents from all different categories most frequently said no. During an interview with the Zambian consultant, Kaizen Consulting International, the respondent stressed that they try to make themselves available by many different channels. It was suggested that stakeholders could approach them by email or telephone, as well as by sending letters or visiting the office address in Lusaka. However, when the researchers, as well as one of the NGO´s, separately attempted to visit the office, there was no office to be found on the address displayed both in the Draft Inception Report and on the website of ERM.

5.7 Perceptions of the project

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During interviews with the river communities several of the respondents said that, when the access road was built, they were never consulted. They claimed that both mango trees and one of their heritage sites had been damaged, without compensation. The peasants in the villages are not allowed to cross the road with their animals because they are said to destroy it. According to Chief Mukuni though, the villages affected by the access road had been consulted and given the choice to decide whether they wanted the road to be built or not. The respondents expressed frustration and anger about this. People in the communities said that they have been promised that the project will bring benefits such as employment opportunities to the villages, however, the respondents state that no one was employed during the road construction. This makes them question how much employment the Batoka Gorge HES project will actually create, and whether or not the pledged benefits are empty promises.

In general, the headmen and other people in the villages feel powerless against the Chief. They proclaim that, even if they are invited to participate, in the end, it is still Chief Mukuni´s opinion that counts. One of the respondents stated, "he [Chief Mukuni] is taking all the decisions, but we have to bear the burden. He does not care. His voice is stronger than all others". Several respondents in the villages put forward that they are sure that the Chief has already given his permission for the project to commence since the road has already been built. They feel that the meetings are only a way of persuading the communities. One of the headmen stated "it would have been better if they consulted us before, and not after, the decision was made".

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In addition to the sense of not being meaningfully included, the white water rafting companies address discontent with how the rafting industry is being portrayed in media and mainstream discourse. Their impression is that the government is neglecting the size of the industry and its contribution to employment around the Livingstone area, including the river communities. Moreover, they feel that the true value of the Batoka Gorge as a World Heritage site is not sufficiently considered, and that the loss of the rafting industry is portrayed as the only downside of the project. The companies proclaim this as a "river-runners vs. humanity" standpoint, touted in local media, which is further used to legitimate the project.

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6. Analysis

The following chapter aims to provide answers to the research problem and the research questions outlined in the first chapter. This is done in an analytical way, using the theoretical and analytical frameworks described above. The process foregoing the Batoka Gorge HES is thus examined, assessed and interpreted by using the different frameworks as tools for analyzing the data. Thereafter, the analyzed data is used to discuss the research problem in a wider context.

As described in the introductory chapter, hydropower schemes often bring a complex mix of benefits and downsides. The problem identified in this study is that there is a gap between theory and practice in hydropower projects, and that the use of participatory communication approaches may be able to contribute to reducing that gap. The use of different development communication methods has different implications on the outcome of the project and its sustainability. Hence, the findings from the Batoka Gorge HES field study are used to discuss and analyze the global problems connected to dams and the role that different communication methods and types of participation play in large hydropower projects.

6.1 Communication modes in the Batoka Gorge HES

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There are signs indicating that the project implementers and the consultants are making attempts to use a dialogic communication mode with the other stakeholders. As an example, the project implementers showed signs of being accommodating as they arranged a second open day in Livingstone on request of the stakeholders, due to stakeholder’s dissatisfaction with the former meeting. Moreover, they have gathered concerns from the I&AP’s by different means. However, as the stakeholders receive very limited information, they have difficulties to raise well-informed and appropriate concerns. Subsequently, when information exchange is insufficient, the dialogic model cannot be fully utilized.

During the field study many of the respondents argued that the project implementers and the consultants put the main focus on informing the stakeholders about the benefits of the project, while giving less attention to the negative aspects and how to mitigate them. This can be seen as more of a monological communication approach, where the sender tries to influence and persuade the receivers to agree on the project. However, in the case of the Batoka Gorge HES it seems like the stakeholders have not become fully convinced by the project implementers. After talking to stakeholders, the impression is that there are conflicting interests between the parties that are not being resolved through dialogue. Hence, currently there is no consensus between the stakeholders, as the participatory communication model advocates.

The study found that not only has dissemination of information been lacking, but also the access to opportunities for dialogue has been deficient. The impression is that the exchange of information between the project implementers and other stakeholders has not been sufficient, and that dialogue has not really emerged. The meetings and open days have not always been easily accessible, due to for example a last minute change of location. The findings have also indicated that the project implementers and the consultants have been somewhat hard to reach, which further hinders communication between the parties. Although the aim has been to execute the ESIA in a participatory mode, restricted accessibility to dialogue can thus be seen as an obstacle to reach the full potential of a dialogic communication mode.

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the goal of the project evolves throughout the process. During the field study it appeared as the process foregoing the Batoka Gorge HES has mainly been output-oriented. Prior to the construction of the access road, there seems to have been deficient consultations with the river communities. This indicates that the ultimate goal was to get access to the project site, not paying much attention to the communities and their needs. Also the article, in which the energy minister declare that the constructions will commence the following year, indicates that the goal is set from the start disregarding the findings of the ESIA. These events imply that the project already has a set agenda that is being followed, rather than listening or adjusting to what emerge during the process.

According to the two communication models, the timing of a communication intervention is of great importance because it determines its effect. Unless adequate communication is initiated early in the project process, before the objectives have been decided on, communication can be ineffective since it cannot change the objectives of the project. In the Batoka Gorge HES project it appears that the objectives were largely determined before the stakeholders became involved in the process. Once again, the article in Zambia Daily Mail described above, indicates that the overall objectives of the project were already set, as it was published at a time when stakeholder involvement had just begun. As mentioned before, some of the stakeholders believe that the decision to build the dam was already taken before they were consulted. Both these examples are similar to what is described as a monologic communication model, as they imply that the objectives were defined beforehand of the communication interventions.

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6.2 Type of stakeholder participation in the Batoka Gorge

HES

Communication between stakeholders does not have to be an end in itself, but can be used as a means to facilitate stakeholder engagement. However, as mentioned above, the concept of participation can be problematic as there is no clear definition of what it is. Therefore, the seven types of participation presented above will be used when assessing the extent of stakeholder participation in the Batoka Gorge HES.

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Taking a point of departure in the seven types of participation, the study cannot find much indications of further stakeholder engagement than the first three types of participation. This implies that the participation in the Batoka Gorge HES has been rather shallow, and top-down oriented. The project implementers maintain the power to decide the direction of the project based on their own interest, and may take the views of the stakeholders into account if they wish.

What can be noted here are that two communication models and the seven types of participation goes hand in hand. One could argue that the first types of participation reflect a monologic, top-down oriented, communication approach. In the monologic communication model the project implementers remain in control over the project and disseminate information to the stakeholders, which restrict the evolvement of stakeholder engagement. This is similar to the first types of participation, where the involvement and influence of stakeholders are very limited. Therefore, the findings presented above regarding the Batoka Gorge HES, which identifies the first three types of participation and a more monologic communication mode, somewhat confirm each other.

6.3 Regulatory frameworks and the persisting gap

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participation that equals the most basic levels of the types of participation, and still be approved legally.

In the case of the Batoka Gorge HES, it seems like the explicitness and enforcement mechanisms of the legislations and guidelines have been inadequate in order to ensure compliance. This appears to be one of the major reasons for the lack of communication and participation in the project. When the legislations are vague and include few specific requirements, it becomes possible to implement projects with very limited stakeholder participation. Based on the findings in this study, in order for a project to follow through with a participatory communication mode that begins early in the planning process, legislations should be more explicit and specific.

The international guidelines and best practices applied to the project have more strict requirements for the participation of stakeholders than the Zambian legislations. Both the IFC Performance Standards and the WCD guidelines are rather comprehensive and specific when it comes to stakeholder involvement. However, despite the application of these, the study found that the process of the Batoka Gorge HES has been lacking in this sense. As mentioned above, these guidelines are voluntary, but often required when searching for funding from international investment institutions. Nevertheless, large development projects can get funding from institutions that not have these requirements of stakeholder participation. Hence, the enforcement mechanisms of the international guidelines become weak.

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7. Conclusion

This study set out to gain more knowledge about the gap between existing guidelines on dam projects and what is done in practice. A development communication perspective was applied on the planned Batoka Gorge HES project in Zambia in order to gather empirical material about the issue. The findings was later analyzed and discussed in a wider context.

Overall, the study found that the preconditions for the Batoka Gorge HES were largely in favor of a participatory communication process. First of all, the communication plan regarding the project appeared to envision a dialogic approach. Second, there are national legislations in place, which aims to ensure stakeholder participation in large projects as the Batoka Gorge HES. Third, international guidelines have been agreed to apply to the project, which are also setting standards for stakeholder engagement. However, the findings reflect a communication mode more characterized by the monologic model and a moderate involvement of stakeholders. Despite attempts to use participatory development communication in the Batoka Gorge HES, the study found that up to this point, its implementation has been lacking. Viewed from the monologic and dialogic communication models this appears to be due to insufficient information exchange, predetermined objectives of the project, and a late implementation of the communication intervention. In a wider context, inexplicit national legislations and weak enforcement mechanisms of the international guidelines also seem to be a reason to why the participatory approach is not fulfilled. This further confirms and demonstrates the gap between theory and practice in hydropower development outlined in the first chapter.

A Development Communication Perspective on Why Dams Fail