Water Governance Assessment of the Wastewater Treatment Plant Policy in Central Mexico

CONTEXT MATTERS: WATER GOVERNANCE ASSESSMENT OF THE WASTEWATER TREATMENT PLANT POLICY IN CENTRAL MEXICO DISSERTATION to obtain the degree of doctor at the University of Twente, on the authority of the rector magnificus, Prof. dr. T.T.M. Palstra, on account of the decision of the graduation committee, to be publicly defended on Friday, the 24th of March 2017 at 16:45 hours by César Augusto Casiano Flores Born on the 16th of August 1981, in Mexico City, Mexico CONTEXT MATTERS: WATER GOVERNANCE ASSESSMENT OF THE WASTEWATER TREATMENT PLANT POLICY IN CENTRAL MEXICO DISSERTATION to obtain the degree of doctor at the University of Twente, on the authority of the rector magnificus, Prof. dr. T.T.M. Palstra, on account of the decision of the graduation committee, to be publicly defended on Friday, the 24th of March 2017 at 16:45 hours by César Augusto Casiano Flores Born on the 16th of August 1981, in Mexico City, Mexico This dissertation has been approved by: Supervisor: Prof. dr. S.M.M. Kuks Prof. dr. J.T.A Bressers Co-Supervisor: Dr. Cheryl de Boer Graduation Committee: Chairman: Prof. dr. Th.A.J. Toonen, University of Twente, BMS Secretary: Prof. dr. Th.A.J. Toonen, University of Twente, BMS Supervisor: Prof. dr. S.M.M. Kuks, University of Twente, BMS Prof. dr. J.T.A. Bressers, University of Twente, BMS Co-Supervisor: Dr. C.L. de Boer, University of Twente, ITC Committee Members Prof. dr. ir. A.Y. Hoekstra, University of Twente, CTW Prof. dr. T. Filatova, University of Twente, BMS Prof. dr. M.W. van Buuren, Erasmus University Rotterdam Prof. dr. J.A. Gleason Espindola, Universidad de Guadalajara Colofon © 2017 César A Casiano Flores, University of Twente, Faculty BMS / CSTM No part of this publication may be reproduced, stored in a retrieval system, or trans- mitted, in any form or by any means, electronic, mechanical, photocopying, record- ing or otherwise, without prior written permission of the author. Cover design: Francisco Rascón Thesis design: Daniela Del Ángel ISBN: 978-90-365-4322-4 DOI: 10.3990/1.9789036543224 ACKNOWLEDGEMENTS “Alone we can do so little; together we can do so much” - Helen Keller This phrase perfectly summarises the message and the experience during this thesis. I would like to thank everyone who has been part of this journey. This is a shared achievement that could have not been possible without the support of many peo- ple. Special acknowledgement to my family, my supervisors, co-supervisor, friends, co-authors, colleagues, ECPR friends, NIG friends, university staff, reviewers, interviewees, policy experts, the person with whom I started this journey and my dogs. You all supported me and inspired me to be here! This research was funded by CONACYT. TABLE OF CONTENT Section I: Research Setting 1 1. Research background 3 1.1 Governance 5 1.2 Water governance assessments 11 1.3 The Mexican context 13 1.4 Theoretical framework 18 1.4.1 Contextual Interaction Theory 18 1.4.2 The Governance Assessment Tool 23 2. Research Approach and Methodology 37 2.1 Case selection, from planning to reality 39 2.2 Cases description 42 2.3 Research question and Research design 47 2.3.1. First stage 47 2.3.2. Second stage 48 2.3.3. Third stage 50 2.4 Data collection 51 2.5 Operationalisation 53 Section II: The Contextual Interaction Theory 63 3. Changes without changes: The Puebla’s Alto Atoyac sub-basin 63 case in Mexico 3.1 Governmental policy changes since 2000 67 3.2 The Puebla’s Alto Atoyac sub-basin 68 3.3 The story 69 3.4 Contextual analysis 70 3.4.1 Multi-level 70 3.4.2 Multi-actor 71 3.4.3 Multi-faceted 71 3.4.4 Multi-instrumental 71 3.4.5 Multi-resourced based 72 3.5 Conclusion 72 4. Towards Circular Economy -A wastewater treatment perspective, 75 The Presa Guadalupe case 4.1 Circular economy model in wastewater treatment context 79 4.2 The Mexican context 81 4.3 Case description 84 4.4 Methodology and theoretical framework 86 4.5 Results 87 4.5.1 Multi-level 87 4.5.2 Multi-actor 89 4.5.3 Multi-faceted 89 4.5.4 Multi-instrument 90 4.5.5 Multi-resource based 91 4.6 Discussion and conclusion 93 Section III: The Governance Assessment Tool 101 5. Symbolic implementation: Governance assessment of the water treatment plant policy in the Puebla’s Alto Atoyac sub-basin, Mexico 101 5.1 Introduction 105 5.2 Water Governance –Theoretical and methodological approach 106 5.3 Background of the Alto Atoyac Sub-Basin 110 5.4 Assessment of the Governance Context 113 5.4.1 Levels & Scales 113 5.4.2 Actors & Networks 114 5.4.3 Problem perspectives & Goal ambitions 115 5.4.4 Strategies & Instruments 116 5.4.5 Responsibilities & Resources 118 5.5 Summary of findings 120 5.6 Discussion and conclusions 122 6. Water Governance Decentralisation and River Basin Management Reforms in Hierarchical Systems: Do They Work for Water Treatment Policy in Mexico’s Tlaxcala Atoyac Sub-Basin? 131 6.1 Introduction 135 6.2 Theoretical Framework and Methodology 136 6.3 Location of the Study 139 6.4 Background of the Tlaxcala Case Study 140 6.5 Governance Assessment of the Context 143 6.5.1 Levels & Scales 143 6.5.2 Actors & Networks 144 6.5.3 Problem Perspectives & Goal Ambitions 146 6.5.4 Strategies & Instruments 147 6.5.5 Responsibilities & Resources 150 6.6 Summary of Findings 152 6.7 Discussion 153 6.8 Conclusions 155 7. “Governance Restricts”: A contextual assessment of the wastewater treatment policy in the Guadalupe River Basin, Mexico 165 7.1 Introduction 169 7.2 The Governance Assessment Tool as a theoretical and methodological framework 171 7.3 Methodology 174 7.4 Case Description 176 7.5 Results: Governance Assessment of Wastewater Treatment Policy 178 7.5.1 Extent 179 7.5.2 Coherence 180 7.5.3 Flexibility 182 7.5.4 Intensity 183 7.6 Overall assessment 185 7.7 Conclusions 186 Section IV: Towards a conclusion 197 8. Context matters: Water governance assessment of the wastewater treatment plant policy in central Mexico 197 8.1 Introduction 201 8.2 Case selection and methodology 203 8.3 Description of the cases 209 8.3.1 Tlaxcala 209 8.3.2 Puebla 210 8.3.3 Presa Guadalupe 210 8.4 Results of the assessments 211 8.4.1 Alto Atoyac Tlaxcala 211 8.4.2 Alto Atoyac Puebla 213 8.4.3 Presa Guadalupe, Estado de Mexico 214 8.5 Discussion of the assessments 216 8.5.1 The restrictive characteristics of the governance context 216 8.5.2 The supportive characteristics of the governance context 221 8.6 Conclusion 223 9. Conclusion: Results & Lessons 233 9.1 Results 235 9.1.1 Answering the research question 9.1.2 The complexity in implementing IWRM and the rele- 235 vance of contextual answers 9.1.3 Contextual answers with positive results for wastewater 241 treatment in Mexico 245 9.2 Lessons: The learning process 248 9.2.1 The matrixes 9.2.2 The Assessments: from single cases to a comparative 248 case 253 9.2.3 Future research 253 Annex 1 261 Annex 2 277 Dutch Abstract 282 About the Author 283 LIST OF TABLES Table 1.1 The seven gaps to evaluate water governance, according to the OECD 12 Table 1.2 Seven gaps evaluation for water governance in Mexico 12 Table 1.3 Governance dimensions and their corresponding questions 23 Table 1.4 Water governance matrix 27 Table 2.1 Water governance assessment rubric 36 Table 5.1 Water governance matrix, Qualities of the governance regime 108 Table 5.2 Actors interviewed per stakeholder category 109 Table 5.3 Assessment Results, Qualities of the governance regime 121 Table 6.1 Water governance matrix 137 Table 6.2 Actors interviewed per stakeholder category in the Tlaxcala Alto Atoyac sub-basin 139 Table 6.3 Assessment results 153 Table 7.1 Water governance assessment matrix 173 Table 7.2 Affiliation of the interviewees 174 Table 7.3 Water governance assessment rubric for assessing the WWTP policy 175 Table 7.4 Summary of Assessment Results 186 Table 8.1 Water governance matrix 206 Table 8.2 Water governance assessment rubric 207 Table 8.3 Pueblas’s Alto Atoyac sub-basin, Actors interviewed per stakeholder category 208 Table 8.4 Tlaxcala’s Atoyac-Zahuapan sub-basin, Actors interviewed per stakeholder category 209 Table 8.5 Presa Guadalupe sub-basin, Actors interviewed per stakeholder category 209 Table 8.6 Atoyac-Zahuapan Assessment 212 Table 8.7 Alto Atoyac Puebla Assessment 214 Table 8.8 Presa Guadalupe Assessment 216 Table 9.1 Seven gaps evaluation for water governance in Mexico 244 Table 9.2 Water governance matrix 249 Table 9.3 First attempt of a water governance assessment 249 Table 9.4 Water governance assessment rubric for the final assessment 251 LIST OF FIGURES Figure 1.1 Administrative Hydrological Regions 14 Figure 1.2 Structure and constituencies of Mexico’s river basin councils 15 Figure 1.3 River Basin Councils in Mexico 15 Figure 1.4 River Basin Commissions in Central Mexico 16 Figure 1.5 Basic components of the 2030 Water Agenda and the time expected to be achieved 17 Figure 1.6 Actors’ characteristics according to CIT 21 Figure 1.7 The layers of context in Contextual Interaction Theory 22 Figure 2.1 Thesis structure based on five sub-basin cases in three different River Basin Councils 40 Figure 2.2 Area constituting the Mexican Megalopolis 43 Figure 2.3 Location of the three sub-basins: Puebla (Atoyac), Tlaxca- la (Zahuapan) and Estado de Mexico (Presa Guadalupe) 44 Figure 2.4 Case studies based on the River Basin Commission status 46 Figure 2.5 Sequential process of the research analysis per case 46 Figure 2.6 The three stages of the research process 51 Figure 2.7 Causal analysis of the wastewater treatment plant policy implementation from a governance context perspective 53 Figure 3.1 Administrative periods at the three governmental levels 67 Figure 3.2 Puebla’s Alto Atoyac sub-basin location 68 Figure 3.3 Actions done to favour Puebla’s Alto Atoyac sub-basin sanitation 70 Figure 4.1 Location of the Guadalupe River Basin 84 Figure 4.2 Guadalupe River Basin Commission Organigram 85 Figure 4.3 Institutions to which the interviewed stakeholders belong 87 Figure 5.1 Basin Management structure in Mexico 110 Figure 5.2 Puebla’s Alto Atoyac sub-basin location 111 Figure 5.3 Governmental actors directly related to the Puebla’s Alto Atoyac sub-basin regarding water sanitation 111 Figure 6.1 Location of the Atoyac-Zahuapan sub-basin in the state of Tlaxcala.

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