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A Critical Analysis of Participation and Empowerment in Community Development:An Ethnographic Case Study from Chiapas, MexicoGarland MasonThesis Submitted to the Faculty of the Virginia Polytechnic Institute and State University inPartial Fulfillment of the Requirements for the Degree ofMaster of Science in Life SciencesInAgricultural and Extension EducationKim L. Niewolny, ChairTom G. ArchibaldMax O. Stephenson, Jr.January 22, 2016Blacksburg, VirginiaKeywords: Participation, Empowerment, Community Development, Participatory Learning,Critical Consciousness, Critical Ethnography

A Critical Analysis of Participation and Empowerment in Community Development:An Ethnographic Case Study from Chiapas, MexicoGarland MasonAbstractParticipatory approaches to international and community development have gained significantpopularity, and are commonly held to be intrinsically empowering processes. In the context ofdevelopment, both participation and empowerment were borne of radical claims anddemocratizing goals, but over time, both concepts have been confused and misappropriated. Thepopularity of the terms participation and empowerment, coupled with the ambiguity of theirmeanings, illustrates a symptom of their co-optation away from their radical and political roots.This ethnographic case study explored the mechanics of the participatory approach and claims ofempowerment within the experience of a non-governmental organization based in Chiapas,Mexico. This study aimed to investigate the linkages between participation and empowerment, intheir original radical and theoretical forms, as well as in practice—addressing questions ofwhether and how participation may lead to empowerment. The organization’s endeavors tocreate space for participatory learning for critical consciousness and self-sufficiency, asunderstood through 30 semi-structured interviews and three months of participant observation,provided insight into these questions and their conceptual underpinnings. I analyzed data bydrawing upon Freirean critical pedagogy, critical theory, and theories of participation andparticipatory learning. Findings examine the influence of clientelism, Catholic liberationtheology, and the Zapatista uprising on the ways rural campesinos develop critical consciousnessand organize to dismantle systems of oppression. Findings illustrate examples of interactiveparticipation and self-mobilization. The study serves to demonstrate the importance of culturaland historical contexts, and of solidarity and downward accountability within the praxis ofparticipation and empowerment.

DedicationI dedicate this work to the people who opened their hearts and minds to me as participants in thisresearch, and to those who have committed their lives to cultivating justice and dismantlingsystems of oppression;And, also, to Ollie, whose love and support made this work possible.iii

AcknowledgementsThese two years of graduate school have been two of the most enriching years of my life.I am so grateful to have had a community of people from whom I’ve learned an immenseamount, and from whom I’ve derived motivation, inspiration, and a strengthened love oflearning. The world does not look the same as it did when I first set foot here, thank you for that.First, I owe deepest thanks to Dr. Kim Niewolny, whose guidance, support, andmentorship led me through this process and to a product I am proud of. Thank you for thecountless hours of mind-stretching discussions, for always having an open door, and forsomehow always sensing exactly what kind of advising I needed on any given day. Thank youfor being my champion and my friend.Utmost thanks are also due to my committee members Dr. Max Stephenson and Dr. TomArchibald whose enthusiasm for my proposed project breathed life into it and gave it wings. Maxand Tom have helped me to think about the world in new ways and their astute attention andfeedback has challenged me to strive to do my very best work.I am also grateful to the Appalachian Foodshed Project (AFP) for attracting me toVirginia Tech and for funding my graduate studies. The AFP has fostered my appreciation forthe region and has provided an unmatched opportunity to engage in participatory food systemsdevelopment. I have learned so much from everyone I have worked with on the project. Thanksespecially to Susan Clark, who helped me decipher some of the unspoken norms of graduateschool, and whose kindness and support kept me going when I was feeling burned out andgloomy. And to Nikki, Phil, Pete, Tracy, Kelli and the rest of the team for helping me to thinkcritically about our work and for creating space for authentic participation.iv

To my bee sisters, Becca Landis, Lorien MacAuley, Amy Vu, Sarah Halvorson-Fried,and Whitney Knollenberg. And Anna Erwin, an honorary bee sister. Your friendship means somuch to me. Thank you for the love and support you have extended to me since I first arrived inBlacksburg.Thanks to Dana Hogg for being my training partner in swimming and in school—thanksfor the laps and the laughs!And to Althea Whitter-Cummings who sat by my side the first three semesters ofgraduate school and whose presence all those late nights in the office made the workload muchmore tolerable.I am also grateful to my ALCE colleagues and my classmates from other departments; ithas been a pleasure to learn alongside you, and to share ideas, advice, and laughter.Thanks are also due to the Vermont Individual Development Account (IDA) Program andto Shelley Faris for helping me use my IDA to achieve my goals. I am also grateful to myVermont colleagues and friends who inspired me to study agricultural education. I am especiallythankful for my mentor, Philip Ackerman-Leist, whose belief in me pushes me to reach higher.To my family. Thank you Mom and Dad for always being on the other end of the phone,for always listening and lending ideas and advice when I asked, you’ve both provided the bestsupport I could ask for. And to my McMunn family in Richmond and Northern Virginia; it hasbeen wonderful to have family close by while I have been far from home.To my dear little family of Zoey, Red Stripe, Tulsi and Ollie. Thanks for alwaysencouraging me to have fun, get outside, and not take life too seriously. To Red Stripe, whoseconstant and comforting presence in my lap or perched on my shoulder as I worked in graduateschool (and throughout undergrad) is owed some measure of credit for my academic success;v

thanks for sticking with me, Stripe, and for being my muse. Of course, I am most grateful to mydearest Ollie—I cannot thank you enough for your love, patience, encouragement and eternaloptimism. Your confidence in me has kept me going when I felt like giving up. I could not havedone this without you; this is our accomplishment. I am thrilled to join you on the rest of thisadventure.Lastly, thanks are due to the folks at ‘Adelanto,’ whose warmth, kindness and friendshipmade three months away from my loved ones so much easier. Gracias a ustedes por las platicasinnumerables, las comidas y las chelas, y el compañerismo. No les puedo agradecersuficientemente por su amistad y su apoyo. Aprendí demasiado. Espero que nos viéremos pronto.And to all the participants of this study who opened their homes to me, who housed, fedand entertained me, and taught me so much over many steaming cups of homegrown coffee.vi

Table of ContentsAbstract . iiDedication . iiiAcknowledgements .ivTable of Contents . viiChapter One: Introduction . 1Background . 1Problem Statement . 2Research Purpose and Questions . 7Theoretical Framework . 7Methodology . 8Significance . 9Definition of Terms . 13Chapter Two: Literature Review . 17Introduction . 17International Development and Community Development . 17The role of non-governmental organizations in development. . 19Accountability in development practice. . 21Participation . 22Sustainable agriculture as participatory learning. . 26Agroecology and the creation of sustainable futures. . 31Participation in governance, democracy-building and social justice. . 32Clientelism, state corporatism, and implications for participation. . 33Praxis of Participation . 35vii

Critical pedagogy. . 35Action research. . 38Participatory rural appraisal. . 40Participation and Empowerment . 42Measuring participation and empowerment. . 49Theoretical Framework . 52Participatory learning. . 52Empowerment. . 54Critical theory. . 54Chapter Three: Methodology . 61Introduction . 61Philosophical Stance . 61Questions of Trustworthiness . 64Researcher Reflexivity . 67Study Design . 68Case study. . 70Ethnography. . 70Ethnographic context. . 73Socio-historic context of Chiapas. . 75The unique context of Tojolabal identity. . 80Participant selection. . 81Gaining entrée. . 82In-depth interviews and conversations. . 84Participant observation and after-action conversations. . 86Content analysis of primary sources. . 89Analysis . 90viii

Analysis of interviews. . 91The Role of Translation and Language . 93Limitations . 94Chapter Four: Findings . 96Introduction . 96Cultural and Socio-Historical Context of Participation . 98The role of religion and liberation theology in the region. . 99The lens of gender and gender equality. . 103The experience of Neozapatismo. . 106Illiteracy and lack of access to education. . 107Participation and a Participatory Approach . 109Interactive participation. . 110Leadership and decision-making. . 113Partnership and solidarity. . 116Participatory learning. . 120Recognizing and Naming Systems of Oppression . 122Critical practitioners and a neoliberal reality. . 123Community division and violence as a symptom of oppression. . 127Migration as a symptom of oppression. . 131Implications of clientelism for participation and the development of critical consciousness. . 132Conceptualizations of Empowerment . 142Descriptions of critical consciousness. . 143Economic empowerment and gender equality. . 146Linking Participation and Empowerment: Self-Mobilization and Critical Consciousness . 149Summary of Findings . 153ix

Chapter Five: Discussion . 156Introduction . 156The Mediating Effects of Cultural and Historical Context . 159The Diverse Role of NGOs in Development . 161Development of Critical Consciousness. 164Linking Participation and Empowerment . 166Recommendations for Future Research and Practice . 170Recommendations for future research. . 171Recommendations for future practice. . 172Final Remarks . 173References . 175Appendices . 185Appendix A: IRB Approval Letter . 185Appendix B: NGO Recruitment Script . 186Appendix C: Verbal Recruitment Script for Semi-Structured Interviews . 187Appendix D: Informed Consent Form for NGO Staff . 188Appendix E: Verbal Consent Script for Sem

empowerment within the experience of a non-governmental organization based in Chiapas, Mexico. This study aimed to investigate the linkages between participation and empowerment, in their original radical and theoretical forms, as well as in practice—addressing questions of whether and how participation may lead to empowerment.