Non-governmental Organizations and the Sustainability of Small and Medium-sized Enterprises in Peru: An Analysis of Networks and Discourses

277 Pages·2013·10.25 MB·English

by  Walter V. Castro Aponte

Non-governmental organizations
and the sustainability of
small and medium-sized
enterprises in Peru
An analysis of networks
and discourses
Walter V. Castro Aponte
Environmental Policy
Series
Volume 9
Non-governmental organizations
and the sustainability of small and
medium-sized enterprises in Peru

Non-governmental organizations
and the sustainability of small and
medium-sized enterprises in Peru
An analysis of networks and discourses
Walter V. Castro Aponte
Environmental Policy Series – Volume 9
Wageningen Academic 
P u b l i s h e r s
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NGOs and the sustainability of SMEs in Peru 7
Preface
The day that I went to the Netherlands to study my MSc, I promised myself to return to my
country with the highest academic degree: a PhD. So, after obtaining my MSc degree, I started to
develop my PhD research proposal. My main motivation to pursue a PhD study on environmental
policy has been the need to deepen my understanding of the patterns and perspectives that enable
and constrain governing the environment, particularly regarding the role of non-state actors.
The complex Peruvian reality and the failing of the Peruvian state in leading environmental
improvement provided a rich context to study non-state actors and their roles towards sustainability.
This thesis deals with two groups of actors that are less investigated regarding their current
and potential roles in making production and the market sustainable: NGOs, and the most
rapidly growing and environmentally sensitive segment of Peru’s national economy: SMEs. The
changing roles of NGOs in promoting sustainability of SMEs in Peru are investigated through the
perspectives of networks and discourses. The thesis investigates the actual and potential changes in
networks and discourses that NGOs supporting SMEs are undergoing. The investigation focuses
on the domains of organic production, business social responsibility and sustainable production
using the theory of network society and the theory of ecological modernization as frameworks.
This PhD research project came out based on my personal experience, concern and commitment
to the Peruvian people. The collaboration of Wageningen University in The Netherlands and
the Pacifico University in Peru, under the financial sponsorship of the Wageningen University
Sandwich PhD Fellowship, has made this achievement feasible. I am very grateful to them for
believing in the value of my PhD research project. During the past years, many people have
contributed in different ways to my research. I owe very special thanks to my major professor
and promoter, Prof. dr. ir. Arthur P.J. Mol, Chair of the Environmental Policy (ENP) group at
Wageningen University, The Netherlands, and to my co-promoter, dr. ir. Kris van Koppen, associate
professor of the ENP group at Wageningen University, the Netherlands. Both professors guided
me throughout the entire research, from the start by commenting my early writing drafts until
the end by editing the dissertation and the propositions. Dr. ir. Kris van Koppen guided me in
the details of preparing the research proposal, helped me to design and plan the research, and
assisted me to solving most of the difficulties faced while the research was being conducted. His
extensive knowledge of environmental issues, policy and management was reflected by his critical
comments to the dissertation drafts. Words are not sufficient to express my gratitude to him.
I express my deep appreciation to Dr. Winfried Timmers, Director of Tactum company. He
was the one who encouraged me in elaborating my own PhD research proposal. I could develop
the research proposal, implement the research and finalize successfully the PhD thesis primarily
thanks to his trust. He always cared about, and encouraged me during, the critical moments of
my research.
Thanks are due to Dr. Eduardo Moron, Director of the Centro de Investigación de la Universidad
del Pacifico (CIUP) in Peru. Thanks are also due to Dr. Carlos Loret de Mola de Lavalle and Mariano
Castro Sánchez Moreno, president and executive secretariat of the National Environmental
Council (CONAM in Spanish acronym) respectively. Their support was key to starting the PhD
8 NGOs and the sustainability of SMEs in Peru
research. Special thank to Elsa Galarza, Rosario Gomez, Felipe Portocarrero and Cynthia Sanborn,
researchers at CIUP, for their support and guidance during the fieldwork period of the research.
I would like to express my thanks to the local and international NGOs, local SMEs and
other organizations/institutions mentioned in the case studies for their kind collaboration and
contributions to my research data.
While studying and doing my research at the Wageningen University’s ENP group, I enjoyed
very much, thanks to the kind assistance provided by all the ENP staff to whom I am grateful.
Many thanks go to Dr. ir. Peter Oosterveer, Prof. dr. ir. Gert Spaargaren and Prof. dr. ir. Jan van
Tatenhove for providing me additional literature and encouragement.
My life and study in Wageningen was so much interesting thanks to the great friendship
provided by the PhD students at the ENP group. I would like to thank Judith van Leeuwen, Jorrit
Nijhuis, Michiel de Krom, Dries Hegger, Elizabeth Sargant and Maria Tysiachniouk. I would also
like to extend my thanks to others, whose names are not listed here but who have also, directly or
indirectly, helped me in various ways by contributing to this dissertation.
My life in Wageningen has been unforgettable. This is largely due to the kind friendships
provided by a number of people. My gratitude to my unforgettable friends Sander ten Meulen,
Jordi ter Meulen, Raul van Veek, Peter van der Werf, Jonah van Beijnen, Maarten van Soest, Hugo
Calvillo, Nico Mentik, Enrique Diaz and Claudia Pavon. Their companionship taught me the value
of trust and intercultural friendship. My deepest gratitude also to Hein Schafrat, Marta Evelina
Collahuacho, Doris Collahuacho, Alma Inkari, Juana Vera and Zamir. They have encouraged me
to conduct and finalize this research and their thoughts always were a source of fresh ideas that
enriched my understanding of Peru and Europe.
Finally, I dedicate this work to my mother and my father who, during their entire lives,
encourage their children to become well educated. I thank my sisters and brother for strongly
supporting and continuously encouraging me during my higher education. Last but not least, I
thank Edith (Kusiquyllur) Casafranca, my yanallay for her love, trust and patience, especially
during the writing stage of the thesis. I devote this work to Qarwapuma Rikra, my one year old
son. I owe them the rest of my life. In memory of my grandparents, examples of living in harmony
with nature.
Wageningen May, 2013
NGOs and the sustainability of SMEs in Peru 9
Table of contents
Preface 7
Abbreviations 15
Chapter 1.
Introduction 21
1.1 Background and problem description 21
1.2 Research aim and research questions 25
1.3 Scope of research 25
1.4 Overview of the thesis 27
Chapter 2.
Analysing changing NGOs-SMEs interactions: theories, concepts and
a framework 29
2.1 Introduction 29
2.2 Ecological modernization theory 29
2.2.1 Institutional transformation 30
2.2.2 Environmental rationality 30
2.2.3 Market dynamics 31
2.3 Network society theory 32
2.3.1 Network governance arrangements 32
2.3.2 Network cooperation 34
2.3.3 Network power relationships 34
2.4 Application of ecological modernization theory and network society theory to
the research 36
2.4.1 Governance arrangements for environmental reform of SMEs: larger,
diversified and flexible roles for NGOs 36
2.4.2 Cooperation of environmental NGOs and SMEs in developing and
accessing sustainable markets 38
2.4.3 Shift of power from hierarchical to more democratic ways of power enables
SMEs to develop and access sustainable markets 40
2.5 Changing roles of NGOs in terms of changes in discourses and networks 41
2.6 Relevance of the research 41