Gobernanza, gestión integrada del agua y capacidades locales de adaptación al cambio climático en la cuenca del Río Biobío, Chile y la cuenca Lerma-Chapala, México.
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Date
2024
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Universidad de Concepción
Abstract
La cuenca del Río Biobío en Chile y cuenca Lerma-Chapala en México se consideran prioritarias para organizar su gestión, debido al nivel de complejidad del sistema socio-ecológico, su importancia a nivel nacional, los servicios ecosistémicos (SE) que proporcionan y la presión a la que están sometidas. Ambas son de carácter intercultural por la presencia de población urbana, rural e indígena, representan un alto porcentaje del PIB Nacional (12.5% Lerma-Chapala y 9% Biobío) y sus actividades económicas están fuertemente relacionadas con la agricultura, silvicultura, industria y desarrollo de centros urbanos. Son parte del área de hot-spot de biodiversidad por el alto número de endemismos y especies en riesgo. Ambas cuencas son fuentes estratégicas para el abastecimiento de agua, energía y alimento para la población y están clasificadas de alta vulnerabilidad ante el cambio climático (CC) , lo que implica que en el futuro los SE, particularmente los relacionados con el recurso hídrico, se vean comprometidos exacerbando los conflictos entre los múltiples usuarios, por lo que se requieren estrategias y políticas de manejo del territorio con enfoques integrales e instrumentos legales y constitucionales que posibiliten la generación de medidas de adaptación que permitan enfrentar la vulnerabilidad a futuro.
Considerando que la gobernanza y la participación social ciudadana son aspectos medulares para lograr modalidades de manejo efectivos e incluyentes de gestión integral del agua y la cuenca, que puedan mejorar la respuesta adaptativa de los actores locales de la cuenca al CC, el objetivo general de esta investigación fue analizar la relevancia e influencia de la gobernanza en la gestión integral del agua y su relación con las capacidades de adaptación y recuperación de SE en las cuencas del Río Biobío y Lerma-Chapala y la determinación de las percepciones sobre la vulnerabilidad del sistema socio-ecológico identificando las medidas y buenas prácticas de adaptación al CC impulsadas por los actores en subcuencas representativas. Esto se realizará a través de la revisión documental de instrumentos de política pública y diagnósticos ambientales, entrevistas a actores clave para caracterizar el contexto legal e institucional; la evaluación y talleres de análisis con grupos focales a través de la metodología para el análisis de Vulnerabilidad Climática y Capacidades y Evaluación de riesgos basada en la comunidad, adaptaciones y modos de vida. Con este análisis, se esperaba reconocer si los actores de las cuencas objeto del presente estudio, con procesos institucionalizados de Gestión Integrada de Cuencas (GIC), cuentan con un mayor fortalecimiento de capacidades locales para la adaptación al CC y para la recuperación de SE claves, determinar cuáles son las características institucionales y mecanismos de participación que proveen el ámbito propicio para ello y detectar las necesidades y las medidas que se requiere implementar desde el enfoque de gobernanza con la participación de los actores locales.
Los resultados mostraron que a pesar de la legislación, la GIC no se ha implementado plenamente. Su institucionalización ha favorecido la generación de un ámbito propicio, instrumentos de manejo y mecanismos de participación, pero con limitantes recurrentes de la operacionalización de estos instrumentos y políticas a escala de país, influenciando la planificación y gestión a nivel de cuenca y subcuenca. Las principales necesidades que deben atenderse son garantizar la información accesible y vinculante, la participación representativa y el financiamiento. La experiencia mexicana como un modelo de GIRH, presenta un avance Medio-Bajo (49) en el ODS 6 indicador 6.5.1. grado de implementación de la gestión integrada de los recursos hídricos, y la experiencia Chilena un avance Bajo (22.6), que al ser representados en los principios de gobernanza del agua de la OCDE también muestran diferencias importantes en cuanto a una mayor gobernanza del agua en el caso mexicano evaluada como Media-Alta (54.6) y menor en el caso chileno al ser evaluada como Baja (24.7). Al analizar las percepciones de los actores de cuenca respecto al modelo de GIRH y su relación con la adaptación al CC, los resultados muestran que la percepción de crisis hídrica y pérdida de SE que se tiene en la cuenca Lerma-Chapala, México, ha sido detonante para potenciar la implementación de la GIRH y establecer mecanismos más sólidos para el diálogo y articulación entre los actores de cuenca y reconocer al Lago Chapala como un usuario de agua. Sin embargo aún falta asegurar políticas para la atención de los problemas del lago garantizando su valor y conservación como reservorio de agua y biodiversidad.
Considerando las escalas de cuenca, donde la cuenca es una unidad adecuada para planificación pero la operatividad de la GIRH y la adaptación se realiza a escalas más pequeña, se seleccionaron dos subcuencas representativas para el análisis de gobernanza de cuencas lacustres. Los resultados mostraron que se presenta un mayor índice de gobernanza en la subcuenca del Lago Chapala con un valor Medio-Bajo, 3.9, mientras que la subcuenca del Laja presenta un índice Bajo, 2.9, representando nuevamente los indicadores más bajos en cuanto a políticas, instituciones y financiamiento, el modelo muestra ser limitante para el establecimiento de mecanismos de colaboración desde lo nacional hasta lo local y excluyente para la participación. Ambas subcuencas presentan problemas para la asignación de recursos y la implementación de acciones de manejo que les permitan avanzar hacia un mejor desempeño en la GIRH, y reducir las asimetrías de poder en la toma de decisiones. En el caso chileno, se añade además la carencia de instrumentos locales para establecer medidas de respuesta al CC, lo que puede aumentar la vulnerabilidad socioecosistémica. Al respecto, en la valoración de impactos de este fenómeno en los medios de subsistencia y las medidas de adaptación, se encontró que la subcuenca del Lago Chapala, además de tener esquemas de gobernanza como la asociación intermunicipal, permite en cierta medida establecer programas municipales con visión regional o de cuenca, como los programas municipales de CC (PMCC). Se observó que los actores perciben una mayor pérdida de servicios ecosistémicos e impactos no solo climáticos sino de inadecuado manejo y se integran a un mayor número de medidas de adaptación relacionadas con el PMCC. En el caso de la subcuenca del Laja, los actores no identifican el cambio climático como un problema representativo, por lo que las medidas están enfocadas a mejorar la gestión del agua ante la sequía en el sector agropecuario principalmente, siendo apoyados por los gobiernos locales en áreas de apoyo al desarrollo rural.
The Biobío River basin in Chile and the Lerma-Chapala basin in Mexico are considered priorities for the organization of its management, due to the level of complexity of the socio-ecological system and their importance at the national level, the ecosystem services (ES) they provide and the pressure to which they are subjected. Both are intercultural in nature due to the presence of urban, rural and indigenous populations, they represent a high percentage of the national GDP (12.5% Lerma-Chapala and 9% Biobío) and their economic activities are strongly related to agriculture, forestry, industry and the development of urban centers. They are part of the biodiversity hot-spot area due to the high number of endemic species and species at risk. Both basins are strategic sources of water, energy and food supply for the population and are classified as highly vulnerable to climate change (CC), which implies that in the future the ES, particularly those related to water resources, will be compromised, exacerbating conflicts between multiple users, which requires land management strategies and policies with comprehensive approaches and legal and constitutional instruments that make it possible to generate adaptation measures to address future vulnerability. Considering that governance and citizen social participation are key aspects to achieve effective and inclusive management modalities for integrated water and watershed management, which can improve the adaptive response of local stakeholders in the basin to climate change, the general objective of this research was to analyze the relevance and influence of governance in integrated water management and its relationship with the capacities for adaptation and recovery of ES in the Biobío and Lerma-Chapala river basins and the determination of perceptions on the vulnerability of the socio-ecological system by identifying the measures and good practices for adaptation to CC promoted by stakeholders in representative sub-basins. This will be done through the documentary review of public policy instruments and environmental diagnoses, interviews with key actors to characterize the legal and institutional context, the evaluation and analysis workshops with focus groups through the methodology for the analysis of Climate Vulnerability and Capacities and Community Based Risk Assessment, adaptations, and livelihoods. With this analysis, it was expected to recognize whether the stakeholders of the basins under study, with institutionalized processes of Integrated Watershed Management (IRBM), have a greater strengthening of local capacities for adaptation to CC and for the recovery of key ES, to determine which are the institutional characteristics and participation mechanisms that provide the enabling environment for this, and to detect the needs and measures that need to be implemented from the governance approach with the participation of local stakeholders. The results showed that despite the legislation, the GIC has not been fully implemented. Its institutionalization has favored the generation of a favorable environment, management instruments and mechanisms of participation, but with recurrent limitations of the operationalization of these instruments and policies at the country level, influencing planning and management at the basin and sub-basin levels. The main needs to be addressed are ensuring accessible and binding information, representative participation and funding. The Mexican experience as a model of IWRM shows a Medium-Low progress (49) SDG 6 indicator 6.5.1. Level of implementation of water resources management or planning, and the Chilean experience a Low progress (22.6), which, when represented in the OECD principles of water governance, also show important differences in terms of greater water governance in the Mexican case, evaluated as Medium-High (54.6) and lower in the Chilean case, when evaluated as Low (24.7). By analyzing the perceptions of basin actors regarding the IWRM model and its relationship with adaptation to CC, the results show that the perception of water crisis and loss of ES in the Lerma-Chapala basin, Mexico, has been a trigger to enhance the implementation of IWRM and establish more solid mechanisms for dialogue and articulation among basin actors and recognize Lake Chapala as a water user. However, there is still a need to ensure policies to address the lake's problems, guaranteeing its value and conservation as a reservoir of water and biodiversity. Considering the basin scales, where the basin is an adequate unit for planning, but IWRM operability and adaptation is carried out at smaller scales, two representative sub-basins were selected for the lake basin governance analysis. The results showed that there is a higher governance index in the Lake Chapala sub-basin with a Medium-Low average value, 3.9, while the Laja sub-basin has a Low index, 2.9, again representing the lowest indicators in terms of policies, institutions and financing, the model proves to be limiting for the establishment of collaboration mechanisms from the national to the local level and excluding participation. Both sub-basins present problems for the allocation of resources and the implementation of management actions that would allow them to advance towards a better performance in IWRM, and to reduce power asymmetries in decision making. In the Chilean case, there is also a lack of local instruments to establish CC response measures, which may increase socio-ecosystemic vulnerability. In this regard, in the assessment of the impacts of this phenomenon on livelihoods and adaptation measures, it was found that the Lake Chapala sub-basin, in addition to having governance schemes such as the inter-municipal association, allows to a certain extent the establishment of municipal programs with a regional or basin vision, such as the municipal CC programs (PMCC). It was observed that the stakeholders perceive a greater loss of ecosystem services and impacts not only from climate change but also from inadequate management, and that they are involved in a greater number of adaptation measures related to the CCMP. In the case of the Laja sub-basin, the stakeholders do not identify climate change as a representative problem, so the measures are focused on improving water management in the face of drought in the agricultural sector mainly, being supported by local governments in areas of support for rural development.
The Biobío River basin in Chile and the Lerma-Chapala basin in Mexico are considered priorities for the organization of its management, due to the level of complexity of the socio-ecological system and their importance at the national level, the ecosystem services (ES) they provide and the pressure to which they are subjected. Both are intercultural in nature due to the presence of urban, rural and indigenous populations, they represent a high percentage of the national GDP (12.5% Lerma-Chapala and 9% Biobío) and their economic activities are strongly related to agriculture, forestry, industry and the development of urban centers. They are part of the biodiversity hot-spot area due to the high number of endemic species and species at risk. Both basins are strategic sources of water, energy and food supply for the population and are classified as highly vulnerable to climate change (CC), which implies that in the future the ES, particularly those related to water resources, will be compromised, exacerbating conflicts between multiple users, which requires land management strategies and policies with comprehensive approaches and legal and constitutional instruments that make it possible to generate adaptation measures to address future vulnerability. Considering that governance and citizen social participation are key aspects to achieve effective and inclusive management modalities for integrated water and watershed management, which can improve the adaptive response of local stakeholders in the basin to climate change, the general objective of this research was to analyze the relevance and influence of governance in integrated water management and its relationship with the capacities for adaptation and recovery of ES in the Biobío and Lerma-Chapala river basins and the determination of perceptions on the vulnerability of the socio-ecological system by identifying the measures and good practices for adaptation to CC promoted by stakeholders in representative sub-basins. This will be done through the documentary review of public policy instruments and environmental diagnoses, interviews with key actors to characterize the legal and institutional context, the evaluation and analysis workshops with focus groups through the methodology for the analysis of Climate Vulnerability and Capacities and Community Based Risk Assessment, adaptations, and livelihoods. With this analysis, it was expected to recognize whether the stakeholders of the basins under study, with institutionalized processes of Integrated Watershed Management (IRBM), have a greater strengthening of local capacities for adaptation to CC and for the recovery of key ES, to determine which are the institutional characteristics and participation mechanisms that provide the enabling environment for this, and to detect the needs and measures that need to be implemented from the governance approach with the participation of local stakeholders. The results showed that despite the legislation, the GIC has not been fully implemented. Its institutionalization has favored the generation of a favorable environment, management instruments and mechanisms of participation, but with recurrent limitations of the operationalization of these instruments and policies at the country level, influencing planning and management at the basin and sub-basin levels. The main needs to be addressed are ensuring accessible and binding information, representative participation and funding. The Mexican experience as a model of IWRM shows a Medium-Low progress (49) SDG 6 indicator 6.5.1. Level of implementation of water resources management or planning, and the Chilean experience a Low progress (22.6), which, when represented in the OECD principles of water governance, also show important differences in terms of greater water governance in the Mexican case, evaluated as Medium-High (54.6) and lower in the Chilean case, when evaluated as Low (24.7). By analyzing the perceptions of basin actors regarding the IWRM model and its relationship with adaptation to CC, the results show that the perception of water crisis and loss of ES in the Lerma-Chapala basin, Mexico, has been a trigger to enhance the implementation of IWRM and establish more solid mechanisms for dialogue and articulation among basin actors and recognize Lake Chapala as a water user. However, there is still a need to ensure policies to address the lake's problems, guaranteeing its value and conservation as a reservoir of water and biodiversity. Considering the basin scales, where the basin is an adequate unit for planning, but IWRM operability and adaptation is carried out at smaller scales, two representative sub-basins were selected for the lake basin governance analysis. The results showed that there is a higher governance index in the Lake Chapala sub-basin with a Medium-Low average value, 3.9, while the Laja sub-basin has a Low index, 2.9, again representing the lowest indicators in terms of policies, institutions and financing, the model proves to be limiting for the establishment of collaboration mechanisms from the national to the local level and excluding participation. Both sub-basins present problems for the allocation of resources and the implementation of management actions that would allow them to advance towards a better performance in IWRM, and to reduce power asymmetries in decision making. In the Chilean case, there is also a lack of local instruments to establish CC response measures, which may increase socio-ecosystemic vulnerability. In this regard, in the assessment of the impacts of this phenomenon on livelihoods and adaptation measures, it was found that the Lake Chapala sub-basin, in addition to having governance schemes such as the inter-municipal association, allows to a certain extent the establishment of municipal programs with a regional or basin vision, such as the municipal CC programs (PMCC). It was observed that the stakeholders perceive a greater loss of ecosystem services and impacts not only from climate change but also from inadequate management, and that they are involved in a greater number of adaptation measures related to the CCMP. In the case of the Laja sub-basin, the stakeholders do not identify climate change as a representative problem, so the measures are focused on improving water management in the face of drought in the agricultural sector mainly, being supported by local governments in areas of support for rural development.
Description
Tesis presentada para optar al grado de Doctor en Ciencias Ambientales con Mención en Sistemas Acuáticos Continentales.
Keywords
Gestión ambiental, Agua, Cambio climático