A Critical Analysis of Participation and Empowerment in Community Development: An Ethnographic Case Study from Chiapas, Mexico Garland Mason Thesis Submitted to the Faculty of the Virginia Polytechnic Institute and State University in Partial Fulfillment of the Requirements for the Degree of Master of Science in Life Sciences In Agricultural and Extension Education Kim L. Niewolny, Chair Tom G. Archibald Max O. Stephenson, Jr. January 22, 2016 Blacksburg, Virginia Keywords: 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, Mexico Garland Mason Abstract Participatory approaches to international and community development have gained significant popularity, and are commonly held to be intrinsically empowering processes. In the context of development, both participation and empowerment were borne of radical claims and democratizing goals, but over time, both concepts have been confused and misappropriated. The popularity of the terms participation and empowerment, coupled with the ambiguity of their meanings, 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 of 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. The organization’s endeavors to create space for participatory learning for critical consciousness and self-sufficiency, as understood through 30 semi-structured interviews and three months of participant observation, provided insight into these questions and their conceptual underpinnings. I analyzed data by drawing upon Freirean critical pedagogy, critical theory, and theories of participation and participatory learning. Findings examine the influence of clientelism, Catholic liberation theology, and the Zapatista uprising on the ways rural campesinos develop critical consciousness and organize to dismantle systems of oppression. Findings illustrate examples of interactive participation and self-mobilization. The study serves to demonstrate the importance of cultural and historical contexts, and of solidarity and downward accountability within the praxis of participation and empowerment. Dedication I dedicate this work to the people who opened their hearts and minds to me as participants in this research, and to those who have committed their lives to cultivating justice and dismantling systems of oppression; And, also, to Ollie, whose love and support made this work possible. iii Acknowledgements These 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 immense amount, and from whom I’ve derived motivation, inspiration, and a strengthened love of learning. 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, and mentorship led me through this process and to a product I am proud of. Thank you for the countless hours of mind-stretching discussions, for always having an open door, and for somehow always sensing exactly what kind of advising I needed on any given day. Thank you for being my champion and my friend. Utmost thanks are also due to my committee members Dr. Max Stephenson and Dr. Tom Archibald whose enthusiasm for my proposed project breathed life into it and gave it wings. Max and Tom have helped me to think about the world in new ways and their astute attention and feedback has challenged me to strive to do my very best work. I am also grateful to the Appalachian Foodshed Project (AFP) for attracting me to Virginia Tech and for funding my graduate studies. The AFP has fostered my appreciation for the region and has provided an unmatched opportunity to engage in participatory food systems development. I have learned so much from everyone I have worked with on the project. Thanks especially to Susan Clark, who helped me decipher some of the unspoken norms of graduate school, and whose kindness and support kept me going when I was feeling burned out and gloomy. And to Nikki, Phil, Pete, Tracy, Kelli and the rest of the team for helping me to think critically 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 so much to me. Thank you for the love and support you have extended to me since I first arrived in Blacksburg. Thanks to Dana Hogg for being my training partner in swimming and in school—thanks for the laps and the laughs! And to Althea Whitter-Cummings who sat by my side the first three semesters of graduate school and whose presence all those late nights in the office made the workload much more tolerable. I am also grateful to my ALCE colleagues and my classmates from other departments; it has 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 and to Shelley Faris for helping me use my IDA to achieve my goals. I am also grateful to my Vermont colleagues and friends who inspired me to study agricultural education. I am especially thankful 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 best support I could ask for. And to my McMunn family in Richmond and Northern Virginia; it has been 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 always encouraging me to have fun, get outside, and not take life too seriously. To Red Stripe, whose constant and comforting presence in my lap or perched on my shoulder as I worked in graduate school (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 my dearest Ollie—I cannot thank you enough for your love, patience, encouragement and eternal optimism. Your confidence in me has kept me going when I felt like giving up. I could not have done this without you; this is our accomplishment. I am thrilled to join you on the rest of this adventure. Lastly, thanks are due to the folks at ‘Adelanto,’ whose warmth, kindness and friendship made three months away from my loved ones so much easier. Gracias a ustedes por las platicas innumerables, las comidas y las chelas, y el compañerismo. No les puedo agradecer suficientemente 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, fed and entertained me, and taught me so much over many steaming cups of homegrown coffee. vi Table of Contents Abstract ......................................................................................................................................... ii Dedication ..................................................................................................................................... iii Acknowledgements ....................................................................................................................... iv Table of Contents ........................................................................................................................ vii Chapter One: Introduction ........................................................................................................... 1 Background .............................................................................................................................................. 1 Problem Statement .................................................................................................................................. 2 Research Purpose and Questions ........................................................................................................... 7 Theoretical Framework .......................................................................................................................... 7 Methodology ............................................................................................................................................ 8 Significance .............................................................................................................................................. 9 Definition of Terms ............................................................................................................................... 13 Chapter Two: Literature Review ............................................................................................... 17 Introduction ........................................................................................................................................... 17 International Development and Community Development