Capabilities to Demand Participation
Local Participation in Common-Pool Resource Governance -
A Case Study of Lake Atitlán
Author: Hannes Willner Supervisor: Marcus Wangel
Minor Field Study within course Social and Political Studies D: Political Science C Uppsala University, Department of Government
Autumn 2016
Pages: 43
Abstract
The aim of this study is to understand, describe and explain how local, public participation in the governance of common-pool resources (CPR) work in a decentralized development context. This is done through field research on lake Atitlán in Guatemala as a case of a freshwater CPR that struggles with environmental degradation as a result of failure of collective action in conserving the lake.
Designed as a single-case study the investigation was carried out with qualitative semi-structured interviews and participatory observations as research methods. A total of 23 different stakeholders were interviewed and 4 meetings were attended and observed. The material was analysed by using the theoretical framework by Fleischman & Solórzano (2016) where participation is seen as a function of institutional supply, public demand and citizen capabilities.
The results show that there are great inequalities in the distribution of capabilities to participate, where the indigenous population is affected worst, and that the demand for participation is severely affected by corruption, bureaucracy, restricted access and lack of education and information. In order to improve the conditions for public participation, efforts ought to be made to deal with corruption and red tape, safeguard lakeshore zones for public access and increase participatory capabilities by poverty reduction and education.
Keywords: common-pool resource, governance, participation, decentralization, freshwater
Acknowledgements
1. Introduction
“The crisis of unsustainability is, above all else, a crisis of governance.” - Adger & Jordan, Governing Sustainability (2009, p. xvii)
1.1 Public Participation in Decentralized Common-Pool Resource Governance
The question of how we are to collectively govern and manage our common natural resources in a sustainable way is one of the most pressing issues of our times. The stress on many of the global common-pool resources (CPRs1), such as forests, freshwater, fish-stocks
and the atmosphere, is ever increasing and many of them are at risk of depletion, going extinct or being rendered polluted and useless (Adger & Jordan 2009, Dietz et al 2003; Ostrom 2008).
These problems are of course environmental in their character, but they are also symptoms of institutional failure to sustainably govern our common resources and environment (Acheson 2006, p. 118). This issue has been subject to a great amount of research ever since Garret Hardin (1968) published his article The Tragedy of the Commons, in which he claimed the impossibility to govern the world’s common resources as the global population is growing at an exponential rate. Even though Hardin was proven wrong in his analysis of human behaviour and collective choice and our civilization has managed to sustain a much larger population than what was thought possible then, the over-exploitation and depletion of the commons have rapidly increased. Apparently, we have yet to learn how to design our institutions and governing structures in such ways that we can operate within a safe space on Earth.
1 The term common-pool resource refers to natural resources characterized by rivalry in consumption,
Many solutions to the problems of CPR governance have been proposed: privatization and market-based solutions, centralized state governance, as well as community management, but all have fallen short in different ways when it comes to ensuring long-term sustainability in the management of our common recourses (Acheson 2006; Ostrom 1990). Thus, new forms of governance2 and locally crafted institutional designs have come to light,
and today both scholars as well as politicians begin to see the need of institutional variety, interaction and collaboration between different actors, horizontally as well as vertically, in the management of our common resources (Dietz et al 2003). A whole range of concepts and models have emerged within the literature, such as adaptive co-management, collaborative governance, polycentric governance and shared resource management, which all stress the need of involving a variety of different stake-holders in the political processes of governance (Folke et al 2005; Olsson et al 2004; Schultz et al 2010; Zarychta & Andersson 2014).
Approaches that build on the participation of local communities and civil society have been especially popular, and concepts such as community-based natural resource management have been promoted as a panacea towards solving the fallacies of CPR governance (Berkes 2007). It was thought that if only the power over the resources was put in the hands of the communities, sustainable governance would come automatically. Decentralization, subsidiarity and participation came to be seen as inherently good governance by both governments and large international organizations such as the World Bank (Batterbury & Fernando 2006; Berkes 2010; Faguet 2014). As a result of these trends within research and politics, many large scale decentralization reforms were carried out all over the world, in developing as well as industrialised countries, during the 1980’s and 1990’s with the purpose of improving governance through an expected increase of public participation in politics (Berkes 2010; Faguet 2014; Ribot et al 2006).
Following this trend large-scale decentralization reforms took place also in Latin America from the 1980’s to the 2000’s (Berkes 2010; Bland 2002). Among the Latin American countries, Guatemala is one such example where decentralization reforms were
2 Governance is used in this study as a broad term that refers to the public arena of cooperation, competition
carried out together with the peace accords in 1996. The Guatemala decentralization accords transferred some of the control over natural resources to the municipal level, but were even more so targeted towards increasing citizen participation, especially that of the indigenous population (ICMA 2004; Larson 2003; Brink-Halloran 2009).
However, according to much research, these decentralization reforms have had little positive impact or even performed negatively on the outcome of environmental governance, and participation by community and local stakeholders in decentralized contexts has been shown to have an ambiguous role to play in the governance of common natural resources (Agrawal & Gibson 1999; Berkes 2007; Zarychta & Andersson 2014). However, it has also been stated in the literature on adaptive co-management that civic participation of local communities is an important component of a solution to the dilemmas of CPR governance (Folke et al 2005; Olsson et al 2004; Schultz et al 2011; Stringer et al 2006).
Most studies on participation and CPR governance have focused on forestry and fishing (Larsson 2003) and not many studies have been made on fresh-water resources, even though fresh-water is one of the most important resources for local livelihoods and development. Access to clean water and sanitation is one of the main challenges of today and listed among the 17 global goals on the 2030 Agenda for Sustainable Development (UNDP 2016). Central America is one of the regions that faces serious challenges in securing a supply of clean potable water due to extreme climate events such as hurricanes, floods, droughts, earthquakes and other natural disasters, and Guatemala is no exception from this (Global Water Partnership 2012). Even though access to clean water in Guatemala has improved the last couple of decades, at least 13 % of the rural population still get their drinking water directly from surface water or other unimproved sources (WHO & UNICEF 2015). This is the reality also for the area around lake Atitlán in Guatemala, one of the country’s largest freshwater lakes, which is being heavily polluted and is under high pressure from a rising population while it serves as the main source of drinking water for more than 100 000 people around the lake (Cabrera; Chandra et al 2014).
2014). This provokes questions of the role of the community and the participation of local citizens in the context of Lake Atitlán and the lessons that could be drawn from this case to the general debate on participation in CPR governance. Furthermore, due to the cross-scale and multifunctional role of water as a resource and since poor governance is the cause of much of the world’s water crises today, there is a great need for better understanding how existing water governance system works and finding ways to improve them (Stein 2011).
1.2 Purpose and Research Questions
In order to contribute to the theoretical understanding of the role of participation in CPR governance in general, the aim of this study is to describe how participation of local stakeholders function in the case of lake Atitlán in Guatemala. To do this, the first step has been to assess the state of public participation in the governance of the lake by understanding how local stakeholders view their opportunities and obstacles for participation. This has been done through a framework of institutional supply, public demand and citizen capabilities, presented further in chapter 3. The second step has been to identify what local citizens perceive are the driving factors that affect participation in the lake governance, and how these impact the prospects for successful participation.
The research questions that this study sets out to answer are as follows:
• How can local participation in the governance of lake Atitlán be explained through the theoretical framework of institutional supply, public demand and citizen capabilities?
• What factors are affecting local participation in the management of lake Atitlán and in what ways?
1.3 Delimitations
political dimension of the management and the state of the lake is merely seen as a point of departure for the study of these phenomena.
1.4 Structure of Thesis
2. Theory
2.1 Previous Research on CPR Governance
Ever since both Hardin (1968) and Ostrom (1990) published their iconic works the field of research on CPR theory has been vastly expanded and many theories about successful governing structures have been described in the literature. Many researchers today agree that, even though there are no blueprints for successful CPR governance, there are some central elements to it. One such element is that of adaptability – that governance solutions should be adaptable to local conditions, complex social and institutional systems, and a dynamic and changing environment (Adger & Jordan 2009; Folke et al 2005; Olsson et al 2004; Ostrom 2008). Another essential element is that of collaboration between multiple stakeholders, as it has been proven that systems with one single governing agent (be it central governments, private companies or communities) have failed to sustainably govern CPR domains (Olsson et al 2004; Ostrom 1990; Schultz et al 2011).
This adaptive co-management approach highlights the necessity for involving different stakeholders, forging new institutional relationships and enhancing multi-directional information flows in order to promote exchange of skills and knowledge (Schultz et al 2011, p. 662). Thus, the inclusion of the community and local stakeholders is of central concern in this approach and it is described as more compatible with decentralized governing systems where more state power is exercised through local governments as this creates conditions for citizens to participate.
decision-Andersson, Gordillo de Anda & van Laerhoven (2009) have thoroughly investigate the role of decentralization and local governments in rural development in Latin America and identified three types of collective action problems for municipal governance in decentralized contexts: motivational dilemmas, information problems and power asymmetries.
By motivational dilemmas they refer to the fact that local officials and mayors do not always have the public’s best for their eyes, but are sometimes more interested in investing for personal gain and in goods and services that benefit more wealthy and influential voters in order to get re-elected. In order for certain groups of citizens to be heard they need to represent a critical mass or create an economic stake for the municipal executives. Thus, the “municipal action is motivated by the relative force of 1) effective central-government monitoring of municipal commitments, 2) the potential for financial gain, and 3) the demands from an organized electorate” (Andersson et al 2009, p. 13).
The problem of information means that there are many communication hindrances in information flows, since effective exchange of information is essential for accountability, adaptation to local conditions and needs, and coordination and exchange of learning experiences with other actors (ibid. p. 14).
Power asymmetries represent the third dilemma and refer to the distribution of political and economic power at the local level of governance. These power asymmetries (for example influential elite groups taking control of the local political and economic scene and thereby overtaking the municipal decision-making processes) can be exacerbated through decentralization processes (ibid. p. 14). Also the claiming of power by local politicians is of central concern as they “are always searching for increases in revenues, and having more authority will improve their opportunities for raising such revenue” (ibid. p. 18). Local politicians act with a cost-benefit calculation in mind, as their actions are geared by incentives of perceived rewards and penalties from political and financial areas. They will therefore invest their time and resources in public services when there is a potential reward to be gained from doing so, which is often related to what Andersson et al (2009, p.15) refer to as perverse incentives, such as corruption and clientelism.
have a role to play in CPR governance as it bears the promise of increasing the likelihood of a collaborative, multi-stakeholder type of governance that are more adaptable to local conditions. Therefore, decentralization provides a central background variable in this study.
2.2 Understanding Participation
Civic participation in the democratic society has since long been up for debate in politics and philosophy and can be described as the distribution of power from those are in possession of it to those who are not (Arnstein 1969). It can also vary qualitatively in different dimensions such as degree of inclusiveness (who gets to participate), the amount of power delegated to citizens, and the impact that citizen participation has on policy and decision-making (Fung 2006). Furthermore, it is not evident that some forms of participation are better than others, or that participation necessarily always is good or preferable (Fiorino 1990). Different forms of citizen participation have different strengths and weaknesses and there might be trade-offs between democratic values such as effectiveness and deliberation.
In order to capture participation as a more general phenomenon than only that which involves the interaction between governments and citizens, the definition adopted here builds on the definition by Reed (2008, p. 2418), where participation is seen as a process where individuals, groups and organisations consciously act to influence the collective action of their society. This implies both involvement in official politics and participatory spaces offered by governments, authorities and organisations, as well as informal and autonomous actions performed by both groups and individuals, organized and non-organized. This definition is applicable to citizens as well as non-citizens and to persons as well as organisations, since in the age of globalization it is not only members of the demos (the electorate) who consciously try to influence the collective action of societies, but outsiders as well such as transnational companies, NGOs and citizens from other societies.
participatory designs and how they relate to values in democratic governance such as legitimacy, justice and effectiveness. Fiorino (1990) lists different participatory mechanisms that are used for assessing environmental risk, where there is no clear hierarchy, as all approaches have different strengths and weaknesses. Other typologies differentiate on a theoretical basis between normative and instrumental participation (Reed 2008).
Even though these typologies may be useful for assessing the character of certain participatory contexts, they are not very suitable as theoretical frameworks for analysing the very foundations of how participation works. Fleischman & Solórzano (2016) focus instead on what is needed in order for participation to work. According to them, previous research has emphasized too much the importance of opportunities (supply) for people to participate in political institutions and they argue that this cannot explain participation in itself and thus needs to be complemented with other explanatory factors.
Instead, they suggest that successful participation depends on three factors: 1) a supply of institutions that offer participatory opportunities for people to take part in, 2) a demand from people to be able to participate, and 3) sufficient capabilities of the people for them to be able to take part. These three factors – institutional supply, public demand and citizen capabilities - are all equally important for actual participation to take place and they describe the model with the analogy of a three-legged stool. For the stool of participation to stand stable, all three of these legs are needed to support it.
What do these concepts signify then? The first leg, supply, simply refers to the amount of spaces and opportunities for people to participate in political processes. This ranges from more institutionalized arrangements such as public hearings or citizen review panels, to less formal arrangements such as community meetings. A supply of participatory spaces may be the foundation for participation to take place in the sense that it is necessary, but it is not enough.
interest, the point is that if people are not interested in participating, it is likely that fewer opportunities for participation are created and that the opportunities that do exist will have a lack of participants.
The third leg of the stool, capabilities, is described as knowledge, skills and resources that make people able to participate. The institutional environment can be difficult for many people to access as it often requires knowledge about how these systems work, about complicated governing structures, expert knowledge in specific issues. Or it may require civic skills and communicatory and organizational capacities such as the ability to speak and write well, and organizing and taking part in meetings (Brady, Verba & Schlozman 1995). And it often requires access to resources of economical, social or cultural character such as time, money, and contacts to specific social network. These resources have a powerful effect on participation and help explain why socioeconomic status (education, income and occupation) has been used as the primary model for predicting participation (ibid.).
3. Method
3.1 Research Design
This study is designed as a qualitative single-case study carried out with field research methods. By designing it as a case study it allows for the exploration in depth and gives understanding of the complexity of the case and the larger population that it represents, and is thus advantageous for producing trustworthy explanations of the mechanisms at work (Gerring 2004). This is suitable for this study, as the aim is to explore and describe how local public participation in CPR governance function in a decentralized context.
Lake Atitlán is chosen strategically as a typical case of a CPR that is suffering environmental degradation due to failure in coordinated collective action. Typical cases (also known as representative cases) are preferable when the phenomenon of scientific interest lies within the complexity of a particular type of case (Seawright & Gerring 2008). Strategic selection, compared to randomized selection, offers the researcher to choose a case that has the possibilities of yielding the best results through a carefully designed research plan (Flyvbjerg 2006).
According to Gerring (2004, p. 342) a case is but one level of analysis, which is nested in other levels in the following order: population, sample, unit, case, dimensions/variables, and observations. In this study, the phenomenon of scientific interest is public participation in the governance of CPRs and the population of units then becomes CPRs in general and freshwater CPRs specifically. Within this population there is a sample of studied cases where lake Atitlán can be described as a unit of study. The unit (lake Atitlán) is then observed at distinct points in time, which comprise the cases that are represented by the different actors interviewed and situations and contexts observed. In this way, lake Atitlán can be seen partly as a case in itself, but also as a unit within the large population of freshwater CPRs where the sub-level cases consist of the different actors interviewed and situations observed in the field.
3.2 The Case: Lake Atitlán
Lake Atitlán is the third largest freshwater lake of Guatemala, situated in an old volcanic crater in the western highlands of the country. The 411 km2 large watershed is home to a population around 180 000, of which a large part consists of different indigenous ethnicities of Mayan descent, while the other part consists of Guatemalans of Spanish or mixed heritage (so called ladinos) and a small portion of Western immigrants. The lake is located in the department of Sololá, one of the 22 departments in Guatemala, which consist of 19 municipalities all together, of which 15 are located within the lake basin.
The lake serves as a primary source of freshwater, as drinking water for private use and for cattle, for irrigation in the local agriculture, for transport by boat, and provides the local population with eco-system services such as fish and fibre from reed (Global Nature Fund 2016). It is also home to a large amount of biodiversity, of which many species are endemic and some red-listed. Due to its scenic setting surrounded by volcanoes, the lake is said to be one of the most beautiful lakes in the world and has because of this become an increasingly popular tourist attraction for both Guatemalans and foreigners. The many hotels, restaurants and other tourist related businesses make up a significant part of the economy in the region.
However, lake Atitlán also suffers from severe degradation in form of environmental problems such as pollution, deforestation, soil erosion and biodiversity loss (Cabrera,
Chandra et al 2014). One of the most urgent problems is the reoccurring blooms of blue-green algae known as cyanobacteria, which have serious impacts on the lake’s ecosystem since the explosive growth and decomposition of these bacteria drain the lake of oxygen and produce toxins harmful to both humans and wildlife (Global Nature Fund 2016, Davis 2015). Due to the lack of wastewater treatment in combination with a rising population a lot of black and grey water is being washed out directly into the lake. Combined with deforestation and soil erosion, it contributes to the eutrophication of the lake water and leads to increased algae growth.
The preservation of lake Atitlán is a highly political issue, both locally and regionally but also on a national level. The government of Guatemala declared the region around the lake a national park in 1955 and placed the administration under the jurisdiction of the Ministry of Agriculture, the National Institute of Forestry (INAFOR) and the Guatemalan System of Protected Areas (SIGAP). In 1996 the government created the Authority for Sustainable Management of the Atitlán Lake Basin and its Environment (AMSCLAE) in order to designate a specific governing body to study and monitor the health of the lake. In addition to this there are several NGOs working with social and environmental issues with the lake as a focal point, such as Amigos del Lago and Vivamos Mejor.
Previous research of participation in the management of lake Atitlán is scarce; most studies have focused on the biological and ecological situation of the lake. However, a study made by Global Water Partnership in early 2000 concluded that the management of the lake is lacking public participation, institutional coordination and funding (Cabrera). Also, Méndez (2011) have assessed the impact of citizen participation in environmental risk management and highlighted the need for addressing the deep historical roots of the discrimination and exclusion of the indigenous population.
through town meetings, mayors are not obliged to take the opinions from citizens into account and discrimination of the indigenous population and women is still rampant (ibid.).
3.3 Research Conduct 3.3.1 Methods of Investigation
The empiric material for this study was primarily collected through semi-structured, qualitative interviews with individuals and sometimes pairs. Since this study is conducted with a more inductive approach with the purpose of understanding how people who live around lake Atitlán perceived the opportunities and obstacles for participation, the choice fell upon the semi-structured interview as it is useful for theory development and for acquiring knowledge about how people themselves experience their everyday reality (Esaiasson et al 2007, pp. 284-289).
Besides interviews, participatory observations provide a secondary method for collecting empiric material. Observing situations where different actors are participating in the governance or management of the lake, such as meetings with the community and decision-makers, produces a different type of material. While interviews provides insight about peoples’ perception, understanding and experiences of a phenomenon, observing their actions makes it possible to also understand their actual behaviour without the distortion of reality that sometimes comes with narration (Esaiasson et al 2007, p. 344).
There are many cultural differences that can pose as obstacles for understanding the local context on site, such as language barriers, gender differences, age and status hierarchies, traditions and local customs, and power differences. The risk of distorted or biased results due to such factors is evident, and because of that as much time as possible were spent on site in order to make an honest attempt to understand the local context. All in all, the research on site were conducted over a period of roughly two months, January and February 2016, after more than a couple of months of literature research and practical preparations.
3.3.2 Selection of Respondents
Respondents constitute both key actors within the institutional structure of the management of the lake as well as stakeholders that are not directly involved in the management and decision-making processes but are directly or indirectly affected by the outcome of the management. The institutional key actors were primarily local politicians within the local governments, officials within governmental agencies and non-governmental organizations, researchers and scholars and other experts. Other actors were local inhabitants, such as farmers, fishermen, boat drivers, hotel managers, teachers, artists and other types of occupations. Respondents were selected by strategic choice to achieve a diverse mix of different actors, as well as through the snowball method, in which one contact leads to another. All together 24 respondents were interviewed, of which 4 were women. See appendix II for full list of respondents.
A certain amount of pragmatism has by necessity influenced the selection due to problems of access to certain environments, forums and persons. Constraints in time and resources limited the possibilities to make a complete review of the stakeholder scene in order to access the most diverse mix of stakeholders. Also, language barriers made it difficult to gain access to indigenous forums and gender inequalities compromised the goal of having an equal amount of men and women represented in the material.
3.3.3 Operationalization of Participation
In order to study the state of participation around lake Atitlán the concept of participation was operationalized based on the broad definition of participation that was introduced in chapter 2.2. By viewing participation as more than only taking part in formal decision-making processes I tried to capture also other types of participatory actions that had the aim of protecting the ecological health of the lake. Thereby, other civic actions, such as starting a campaign, writing an article or joining an organisation, can also be seen as participation.
legs of participation operationalized into different questions about the respondents’ views on these dimensions.
3.4 Method of Analysis
In the process of analysing the empiric material all the interviews were processed, as they were listened to in their entirety and all the relevant parts were transcribed. The transcripts then comprised the material of analysis, and were read through several times in order to find and capture important ideas, opinions and perspectives that could help elucidate central themes and answer the research questions. Quotes and specific expressions were used to build up the analysis by exemplifying these central themes.
4. Analysis
The following analysis is divided in two parts. In the first part an assessment is made on the state of local participation in the management of lake Atitlán by the use of the theoretical framework of supply, demand and capabilities as an analytical tool. Since the dimension of supply has been the focus of much previous research within this field, emphasis is put here on the other two dimensions, demand and capabilities.
The second part highlights three sets of central themes that came up in the empiric material as background factors that are affecting local participation in the governance of lake. These factors are related to the theoretical framework in order to understand how they affect the three dimensions of supply, demand and capabilities differently.
4.1 The State of Local Participation around lake Atitlán 4.1.1 Institutional Supply
It is difficult, if not impossible, to paint a perfect picture of the state of local, public participation in a place as large as a whole lake basin. However, through the interviews and observations gained in this study, there are some general assertions that can be made.
respondent describes the role of these councils in the local democratic process in the following way.
“Panajachel has 7 or 8 community councils that speaks for the neighbourhoods. So there is the primary space for discussion where the people can tell the leaders "we want this and this and this". The leader then goes to the bigger council at the municipality and present the proposals of the people of its sector. And that's where the mayor decides on how to handle the suggestions. There are examples of more participative budgeting. Santiago has been one example where the whole population and also the organizations has been involved in the municipal budgeting.” – Sofia, official at local NGO
One example of such participation in the lake management is the community of San Jorge La Laguna, where the COCODE has taken initiative to construct and maintain a solid-waste treatment plant where they collect, separate and recycle garbage from the village. This serves as a concrete example of an opportunity for local participation in the management of the lake, which is open for everyone.
However, this supply of participatory spaces does not seem to be exploited by citizens to the extent that would be possible. According to one respondent, the local population of Santa Cruz la Laguna do not make use of the COCODE as much as they could (Joe, hotel owner). At the same time, according to Rafael who is working at a community run solid-waste treatment plant, the vast majority of the village is devoted to take part in the COCODE. He claims that this provides a sufficient opportunity for people to participate in the development of the community, but highlights that the biggest obstacle that hinders people from participating is the lack of support and economical resources from the municipality.
4.1.2 Public Demand
Turning instead to the public demand for participation, the overall theme in the interviews was that there is an interest for participation from the public in general, but that this takes different expressions and varies between different communities and different groups of people. Even though citizens may be interested in participating in the local politics, there are different ways to express this interest or demand. A few examples are presented here.
joining a COCODE (Rafael) or working in the indigenous mayoralty (Miguel). In Santa Cruz la Laguna, a group of youths had formed an association for the cause of saving the lake (Maria and Felix). Some local fishermen associations were working with cleaning up the lake from solid waste or replanting reed in order to re-stabilize the aquatic ecosystem (José, Leonardo). Organic farming cooperatives are working to minimize the amount of artificial fertilizers and pesticides that contribute to the pollution of the lake (Eduardo, Fernando), and there is a permaculture centre that promote indigenous and ancestral knowledge and techniques that help improve the environment and livelihoods of local people (Daniel). Boating associations are working with exchanging boat engines with more environmentally friendly models (Ernesto). Owners and managers of hotels around the lake are working on reducing and minimizing their environmental impact on the lake through eco-technology (Joe, Diego, Tomás). And language teachers attend community meetings and initiate clean-up projects with their school and the community (Juan, Julia and Santos).
All of these actors and their actions are examples of how local citizens are engaging in the common project of protecting the lake. This shows that there is an interest for this issue among different spheres of society. However, the question is whether this can be translated directly into a public demand for more participation in the governance of the lake? This depends on the definition of what it means to participate. However, with the broader definition introduced in chapter 2.2, that includes initiatives taken and activities performed outside of the formal arenas for political participation, these actions would qualify. This shows that there is a public interest of doing something about the situation, even though this is not always expressed as a public demand for having a say in the formal management and governance of the lake as a resource.
A major dilemma is that the local politicians do not seem to experience a public demand strong enough in order for them to invest resources in this. One respondent puts it in the following way.
Now, public demand may not be the only factor that pressure local politicians to deliver public goods and services. As described in chapter 2.1, there are also motivational dilemmas that steer local politicians’ behaviour, and there are many incentives for mayors to spend public resources in ways that benefit them or their clients more personally than if they spend it on conservation efforts. This is how one respondent describes this behaviour.
“Another big obstacle has been, honestly, the local mayors around the lake. Environmental policy is not high on their list. When someone gets elected as a mayor they want to give people jobs working with cement and stone, building roads, building walls. Because you're employing some of the people and also you're getting contracts for big jobs that you can take a percentage of and steal.” – Joe, hotel owner
However, if the public demand for a clean and healthy lake were strong enough to threaten the local mayors, it would counter the potential financial personal gain and shift their incentives towards allocating more resources into conservation efforts. As such, public demand plays an essential role in the strategic behaviour of local politicians.
There are also instances where public demand takes very concrete forms, not just in words but also in action. During the time of the fieldwork there were at least five different citizen-initiated meetings rallying concerned citizens with the objective of informing the public about the state of the lake as well as demanding action from politicians and authorities and organizing for further community action. These meetings were initiated by foreign residents as well as by local youth.
4.1.3 Citizen Capabilities
When trying to assess participatory capabilities it is important to keep in mind that these capabilities among citizens in Guatemala are of course affected by background factors such as the country’s general level of economic development, education, political system and the historical roots of this with Western colonization and imperialism, as well as a twenty year long civil war (Jonas & Chase-Dunn 2001).
different extent. There are, however, some factors that seem to be of importance for the degree of participation - primarily gender, ethnicity and socio-economic background.
Something that was a common theme in both the interviews and the observations was that ethnicity seems to be of great importance for participation. The indigenous population did not seem to participate in to the same extent as citizens of Spanish heritage (ladinos) and Western immigrants. Even though the rights of the indigenous populations in Guatemala are protected in the constitution since the peace accords, they are still the most marginalized, poor and discriminated within the Guatemalan population (Jonas & Chase-Dunn 2001). This is of course reflected in their capabilities of participating in the political sphere, and the agency for exerting public demand on politicians. In that sense, there is a major deficit of participatory capabilities and demand among the indigenous.
Racism and patriarchal structures (macho culture) are perceived as huge problems, according to Andrés, a former director of a local governmental authority. Generally speaking, it is clear that men participate more in politics and the public debate. Some respondents emphasize that there is a very patriarchal culture in Guatemala, even though this is slowly starting to change as women are getting more education and getting more qualified jobs (Joe, Andrés).
Not very surprisingly did the citizens with a more privileged socio-economic background participate more, at least in the formal channels for participation. This corresponds with previous theories on socio-economic status as explanatory factor for participation (Brady et al 1995). Citizens’ socio-economic status indicates their possession of resources such as time and money, level of education, and access to strategic social networks. This dilemma is widespread throughout Guatemala due to the enormous economic inequalities in the country, which creates a situation where a smaller clique of wealthy people (mainly ladinos and Westerners) has much better capabilities of participating than the average indigenous citizen. In part because only being wealthy grants more access to both formal and informal participatory forums, but also because they have more education and therefore possess necessary skills and knowledge and access to so-called recruitment networks.
respondent, an indigenous mayor, explains the problem of the costs of participation among the indigenous farmers.
“There is always talk about changing the mentality and habits of the farmer, but there are no benefits for them. […] We can't host workshops [to raise awareness] if we can't compensate the farmers who participate in this. Because if we gather them from 2 to 5 in the afternoon, these hours are lost for them. But if we say to the people: "Come and participate in the training and we pay for two hours", people could take part.”- Miguel, indigenous mayor
This illustrates the problem of resource scarcity among the indigenous population and the fact that it is much more difficult to participate for people who live on the margin, since for them only the cost of travelling to such meetings and forums could be too much to bear, not mentioning even the loss of income or productivity for the time spent there.
There, however, some contradicting views on the amount of resources available among the respondents. One local businessman in the boating industry explains his views in this way.
“I think that people participate and collaborate. But what is lacking in order to run projects is the money. The economy is not sufficient.” – Ernesto, director of a boating association
At the same time, another respondent claims that there are sufficient amount of resources available, but that it all goes to other issues than protecting the lake.
“It is a lie that there are no money in the municipality and the CODEDEs. There is a lot of money. But nothing is happening. It is frustrating.” – Sofia, official at local NGO
This shows that there might be a problem of information and communication about these issues, but also that these contesting views reflect different realities. Those who are involved in the institutional environment perceive the problem as something else than lack of economic means, while those who are outside of this environment do not experience that they posses the necessary resources for participating. This can result in a of blame-game where respondents push the responsibility over to other actors, as exemplified in the quote below.
“Everyone here wants to protect the lake, but the problem is that we don't have the economic means for it. We still work for protecting the lake, but the contaminators are below by the shore. The parasites are down by the shore.” – Miguel, indigenous mayor
third language, if they speak it at all. This is something brought up in the interviews as an important issue in order to spread information and raise awareness through media about the situation with the lake.
“There is a need for more participation from the people. The community radio broadcast stations are good for this – through them the people can be educated in their own language. Because there are few here that speak Castellano, the majority speaks Kaqchikel dialect.” – Esteban, farmer and community leader
Thus, since Spanish constitute the official language in Guatemala and the language of politics and economy, the skill of understanding and speaking Spanish becomes an essential capability for taking part in political processes. This is however not only a problem for the ordinary citizen, but also for some of the mayors and local officials around the lake.
“You know this local, indigenous mayor who has just been elected. He barely speaks Spanish, his Spanish is not very good at all, and he doesn't read or write. So how is he supposed to be able to take on a project like saving lake Atitlán if he doesn't have the ability to even communicate with people from Guatemala very well, or to be able to read or write documents that are important that are being handed to him.” – Joe, hotel owner
There is thus a largely unequal distribution of capabilities for participation among the population, where some (wealthier citizens) are fully capable of participating primarily, while others (primarily indigenous) are not. As explained in chapter 2.2, these power asymmetries have severe negative impacts on the prospects for successful participation. At the same time, some respondents describe that there is a strong sense of self-management in some of the indigenous communities and the people there are capable of dealing with situations and problems themselves without relying on external institutional support from the municipality or department. One conclusion to draw from this is that the lack of capabilities is mostly reflected in the formal political context, while in the informal context many citizens possess much higher capabilities and many communities develop their own strategies to impact their situation.
4.2 Factors Affecting Local Participation around lake Atitlán
complex phenomenon with many different and contesting views, as well as obstacles and wicked problems that are embedded in the socio-economical and political landscape.
Presented in the following section are three sets of especially important issues that have come up in the material as central problems, dilemmas and opportunities in order to have a functioning public participation. This is meant to complement the previously mentioned background factors that concerned the specific characteristics of citizens (ethnicity, gender, socio-economic status, age) with external factors that affect the supply, demand and capabilities for participation in different ways.
4.2.1 Corruption, Bureaucracy and Political Distrust
The first set of key factors that compromise local participation in the lake basin is the amount of corruption and bureaucracy in the political system and the lack of political trust that this leads to, which affects public demand and capabilities severely. This was mentioned many times and by several respondents with frustration as they explained how corruption is rampant as local politicians use resources from the public treasury for private benefit and more or less work against environmental protection and efforts for saving the lake when it is not in their financial interest.
“Another big obstacle has been, honestly, the local mayors around the lake, because environmental policy is not high on their list. When someone gets elected as a mayor they want to give people jobs working with cement and stone, building roads, building walls. Because you're employing some of the people and also you're getting contracts for big jobs that you can take a percentage of and you can steal.” – Joe, hotel owner
Many respondents perceived that there is no political will among the mayors to invest in the conservation of the lake, and describe instead how they are more concerned about projects that allow them to confiscate money for personal interest and are pleasing the public in order to increase chances of getting re-elected for the next term of office. Projects that are prioritized are usually larger construction projects, such as building roads, houses, and sports facilities, while conservation efforts such as running and maintaining wastewater treatment plants or planting trees as erosion control have to stand back.
on a soccer field or other things people will be excited or happy about. After that comes the lake.” – Julia, Spanish teacher
Furthermore, not only local politicians were perceived as corrupt and behaving only with self-interest, but also institutions and authorities in general and big business and foreigners were associated with this as they were accused of bribery, tax evasion and elite capture. Several respondents described how the authorities and the companies go hand in hand when there is a financial interest for doing so.
“They [the hotels] don't have to process their drainage, even though they have the money to do so, because they are involved with the government. They don't even pay tax to the municipality.” – Miguel, indigenous mayor
“There is no control here, everything is debauchery. Including the construction of houses. There are foreigners who don't respect the Guatemalan law, because they pay money to the authorities and the authorities don't say anything.” – Ernesto, director of a boating association
Excess amount of bureaucracy, or so-called red tape, was an issue brought up that was closely related to that of corruption. Bureaucracy is related to corruption as it can slow down decision-making processes and institutional action and thereby creating incentives for local politicians, officials and companies to bypass laws and formal processes. It can also decrease institutional transparency and thus provide an environment where corrupt behaviour can thrive. Furthermore, in a context where the local mayors may not have a lot of previous knowledge about the bureaucratic structures and skills to operate within them, and where it is expected from their friends and relatives to benefit from their new position, they may rely on ‘experts’ within the bureaucracy who teaches them how to misappropriate funds for personal gain.
“One mayor was previously selling French fries on the street before he was elected. Now as a mayor he needs to have someone to teach him how to be a mayor, and that includes how to steal money.” – Joe, hotel owner
“We drink the water from the lake here. They say that the water is contaminated, but no person has died or become sick because of the lake. These are lies only to get money, but the water is not contaminated here.” – Leonardo, local fisherman
Another respondent express strong contempt as he talk about how he sees politicians and bureaucrats as ‘incompetent’ and ‘useless’ and how their self-interest trumps working to serve the public.
“A lot of them are incompetent people. A bunch of bureaucrats, useless for any matter that is so serious to deal with. [...] The only thing they look for is a new project to keep having a salary, or a better salary.” - Federico, local artist
Another reaction is resignation, as previous experiences of participating have not yielded anything. One respondent explained how he had given up on going to any more meetings, as he perceived they were not listened to.
“I went to a meeting and explained all of this [that they need help from other organizations] to [local authority] and they told us that they would help us. But after that they haven't given us any help. So we don't want to go back.” – Leonardo, fisherman
The disappointment in the authorities and resignation over the political system thus has serious implications for how people view their possibilities to actually make a difference by participating. This also affects how citizens view themselves and their role in society. As corruption spreads across all levels of society, it can also encourages citizens only see to their own self-benefit instead of the interest of the whole community or society.
“There's also a lot of bribery that goes on with the elections. So in the end, if you know that any past mayor hasn't done what he said he was going to do, then you assume that "Well none of these guys are going to do what they say they're going to do anyway, so I'm going to vote for the person who pays me the most".” – Joe, hotel owner
This quote expresses the tendency that bribery and vote buying promote this type of self-interest, which in turn creates a vicious spiral where perverse incentives such as clientelism impedes constructive incentives for political participation among citizens.
“Yes there are laws, there are environmental laws. Supposedly Guatemala has one of the best environmental regulation laws, but, they're not implemented you know. They're not respected.” – Daniel, director of a local non-profit
In order to deal with the compliancy, a few respondents expressed the need for tougher law enforcement and that the authorities should make sure that the environmental laws are implemented and followed, with repercussions for those who break them.
Really, our country - the government and authorities - lack the pressure. And in the negotiations, there is a lot of corruption. Sometimes the laws are subordinate to the money and not followed. […] But the authorities don't take any drastic measures. They need to be tough and say "No more of this, no more of that". They need to put a bit more pressure. – Ernesto, director of a boating association
One respondent from a local governmental agency described how they were hindered from closing the biggest landfill around the lake by the ministry of environment because he would not bribe them (Andrés). He expressed a need of being able to force leaders and officials and even arrest them if they do not comply with the environmental law. He also explained how 50 million dollars were donated by the Spanish government seven years ago but have been sitting in the bank the whole time and not benefitting the lake, because someone has incentives of making a profit of the interest money.
The phenomenon of corruption is of course not characteristic of only this region but endemic throughout all of Guatemala and other Central American countries (Jonas & Chase-Dunn 2001). It also has historical roots dating back to the civil war and even the colonization as the legacy of suppressive and authoritarian rule have created a culture of submission among citizens, where people have lost faith in their own agency.
“A lot of any of the problems in Guatemala date back to the war. The indigenous populations in the war over in Santiago Atitlán and the other side, they rose up and they were fighters, they fought against the military and things. On this side of the lake, on the north shore, they were very much submissive. Consequently you have a whole population I think that's sort of doesn't really feel very invested in the idea that they can create change and they can speak up and they can act out.” – Joe, hotel owner
“Santiago was the last village that the Spaniards colonized the whole Guatemala, so there is a culture of great resistance there. And this continues today, the resistance against novelty and change. There is much resistance against changes in general.” – Sofia, official at a local NGO
Corruption can work negatively on public participation in at least two ways; in part because it compromises democratic processes and thus may limit the amount of participatory supply, and in part because it produces a lack of trust and accountability in the political system that make participation seem meaningless and thus lower the demand for it. As trust and accountability erodes, people may become less inclined towards putting time, energy and resources in participating in politics because they do not believe that they can make an impact anyway (which, unfortunately, is often the case as well). Whether the impossibility to impact politics is actually real or only perceived, corruption can make participation seem meaningless and, as an effect, the public demand could start to dwindle.
4.2.2 Public Access, Distance and Exposure
Another set of factors that came up in the material was how public access to the lake as well as the distance to the lake and the possibilities of access to it affect how the interest and demand among the public. One can assume that those who live closer to the lake and have the possibility to access it as a resource for water supply, fishing, laundry, transportation and recreation have a stronger interest in the management and wellbeing of the lake. While for those who live farther away from the lake or cannot access the lake for daily use, engagement in the conservation of the lake becomes weaker. In other words, proximity and access creates more vested interest and emotional and cognitive attachment, which promotes engagement and demand for participation.
Something that clearly restricted public access to the lake was the privatization of lakeshore land areal. The following quote illustrates this dilemma and explains the mechanism behind it.
A driving force in this mechanism is the how the land-tenure is structured around the lake. Privatization, a deregulated market, the popularity of the scenic environment and a high demand from wealthier citizen cause prices on land around the lake to rise significantly to a level where local indigenous people have no chance of competing. This results in wealthy Guatemalans and foreigners owning almost all of the land around to the lake, creating a strip of private lakefront properties enclosed with barb-wire fences and locked gates surrounding the lake and preventing the indigenous population, who live further uphill, from accessing it. This creates a detachment and a cognitive and emotional distance from the lake among the indigenous population, both as a natural resource and as an animate subject, which decreases their interest in the wellbeing of the lake.
There is also an element of an upstream-downstream dilemma in the question of distance, where the responsibility is pushed over from side to side. There is a notion among those who live further up in the mountains that the problem resides downstream, as those who pollute the lake are the hotels and residents who live close to the lakeshore.
“The problem is that the contaminators are below. The hotels owners of [hotel]. They are the ones who contaminate the lake.” – Miguel, indigenous mayor
However, the same notion can be found among the lakeshore dwellers, where some blame those who live upstream for contaminating the rivers that run into the lake.
Another problem related to the access and proximity is the visibility and the exposure of the problem. While there have been a few blooms of cyanobacteria over the last years, most of the time the water looks good enough. Even though the algae blooms are hazardous for the ecosystem and human health, this sudden and drastic manifestations visualizes the otherwise rather hidden problems and creates a sense of urgency among the public to take action in the matter. However, according to some of the respondents (Joe, Juan, Sofia), when the algae bloom is gone, this also gives people a false sense of security and makes them think that the problems are gone and thus the public demand for preserving the lake decreases.
This relates back to the issue of distance and access, as those who live closer to the lake and access it on a regular basis are more exposed to such changes in the lake’s appearance and are thus more likely to react on it.
know." Because even though they live in a village on the shore of the lake they don't see the lake very much.” – Joe, hotel owner
This is not something that concerns only the ordinary residents, but the leaders in the region as well, as one respondent explains.
“The leaders don’t even have a relationship to the lake. They don’t go to see the lake.” – Andrés, former director of a local governmental agency
If those who have the formal responsibility of dealing the management of the lake do not even go to see the lake and how the environment is changing, then their incentives for taking action are obviously affected.
These problems of public access, distance and exposure should seem to be seriously affecting the demand for participation in the governance of lake Atitlán. However, the greatest of these problems is most likely that of restricted access, as it cuts away the very reason for caring at all about the wellbeing of the lake if those who live around cannot use it.
4.2.3 Education, Information and Communication
Last but not least, some other factors that came up as affecting participation in the lake management were information, communication and education – or rather the lack of them. These issues affect the overall demand and capabilities for participation. Almost every respondent brought up the lack of education in general and lack environmental education specifically as a problem for participation, and education was also seen as something that is needed in order to empower people to participate. The following quote illustrates this common notion of the lack of knowledge.
“There are a lot of people who don't know. If you go to a house and ask the people how the lake is, you won't get any answer, because they don't know. Communication, knowledge, education and participation is lacking.” – Esteban, farmer and community leader
certain types of education that depart from a non-western perspective and incorporate indigenous and ancestral skills and knowledge (Daniel, Federico).
“So for us the solution is in education and raising conscience of people and information, and also creating skills and opportunities. So education, but education as in environmental education you know. Permaculture education, ancestral education that has to do with the preservation of nature, of working with nature.” – Daniel, director of a local non-profit
Another respondent, a local artist, emphasize that what is needed is not more conventional education, but a certain kind of education in art and culture.
“Theater, music, poetry, intellect and critic mind, cinematography, singing, dancing, performing. These are the keywords if you want to change the lake right away.” – Federico, local artist
However, also the limits of education were addressed. Even though it may be necessary to educate people in order for them to have a fact-based understanding of the situation and capabilities to participate in political forums, education alone will probably not be enough to address the problems.
“Many people are not aware obviously. Many people do not have education. But I think it is not education that makes them aware. The problem is the habits. […] People thought and still think that the decomposition of plastic bags is similar to any product and continue to throw it in the street.” – Juan, Spanish teacher
This quote illustrates the problematic link between awareness or consciousness and the changing of habits. Even though people become educated, letting go of environmentally harmful behaviour does not necessarily follow automatically and the difference between words and action can be wide.
“There is a lot of talk and no action. The problem is the same at all levels, at the central government, at the municipality, among normal people. There is an enormous difference between what people say and what people do.” – Sofia, official at local NGO
In connection to education many respondents perceived that there is a lack of accurate and objective information from the authorities about what is happening with the lake.
“People need more information about what is happening. There is knowledge and information but just subjective. But they don't know really what is happening.” – Julia, Spanish teacher
Community meetings and media outreach were lifted as examples where authorities and experts could reach out with information in a pedagogical way to the public.
However, as discussed previously, there are capability barriers that need to be taken into consideration in this. Many citizens perceive that the cost of participating in meetings outweighs the potential benefits, or there might be language barriers that prohibit them from taking part of information spread through the media.
“There is a big lack of message from the media – radio and television. We need more information in our own language, Tz’utujil, constantly, constantly, constantly.” – Ernesto, director of a boating association
5. Conclusions
The role of public participation in CPR governance has proven to be somewhat contested. Involvement of the community has previously been promoted as a panacea for correcting the shortcomings of centralized state governance and privatized market-regulated management, but it has not lived up to those expectations. The aim of this thesis has been to assess the role of public participation in sustainable governance of a common-pool resource in a decentralized context through the case of lake Atitlán in Guatemala. Using the theoretical framework of institutional supply, public demand and citizen capabilities, the state of public participation around lake Atitlán was assessed, and three sets of factors influencing public participation was identified.
The state of public participation in the governance of lake Atitlán is most of all suffering from citizens lacking adequate capabilities to participate, and the capabilities are unequally distributed. Primarily, the indigenous population, which constitute the majority around the lake, is lacking necessary skills, knowledge and resources in order to be able to participate successfully. Even though there is an interest among the public to take care of the lake, the public demand for participating in the decision-making regarding the lake is severely constrained by the amount of corruption and bureaucracy, as this leads to a loss of trust in and credibility of politicians and authorities among the citizens. Also the issue of restricted access to the lake as a common resource have an apparent negative influence on the public interest and demand for preserving the lake. Education in general and environmental education specifically has been lifted as important drivers for empowerment of the individual’s agency to participate.
These results have both theoretical and practical implications. Theoretically, these results complement the field of research on participation in CPR governance by putting this theoretical framework to test as a tool for assessing the state of participation in a local context. They also contribute with new findings on the importance of institutional stability and transparency, public access and education in order to create successful participation.
demand. This will not only require creating more opportunities for participation, but also the distribution of actual decision-making power and empowering citizens capabilities through, for example, poverty reduction and education. It also implies that, since participation can be costly for many citizens who live on the margin, incentives for participating will be needed in order to increase public demand as well. Furthermore, safeguarding zones for public access ought to be prioritized in order for all citizens to establish a personal relationship to the CPR, which seem to be a necessity for having an interest of protecting it. Thus the privatization of lakeshore property should be reconsidered, as it proves to be a great obstacle for public access.
Returning back to the role of participation in CPR governance, the conclusion to draw from this study is not that only by increasing public participation, lake Atitlán would be saved from deterioration. However, the results implicate that when public participation of local stakeholders is restricted, the priorities among decision-makers do not point towards environmental sustainability. Thus, local participation seems to be a necessary ingredient in successful CPR governance.
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