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Indigenous Interests in International
Trade Governance
A case study of APIB and the EU-Mercosur Trade
Agreement
Emilia Hallström
International Relations
Dept. of Global Political Studies Bachelor program – IR103L
15 credits thesis
Thesis submitted: Spring/2021
Supervisor: Ulrika Waaranperä
Emilia Hallström
Abstract
This thesis addresses indigenous groups agency in trade governance to enhance their
ability to affect international decision-making that benefits their capability to sustainable
development. It conducts a case study of Articulation of Indigenous People Brazil (APIB)
in the EU-Mercosur Agreement and utilizes Eimers (2020) theory of subaltern social
movement theory to establish: what strategies the APIB have used in the decision-making
processes of the “Mercosur Agreement? This theory allows consideration of indigenous
agency and the effect of post-colonial structures on their capability to keep control over
their realties. To collect data on this topic the author uses qualitative semi-structured
interviews and qualitative thematic text analysis. The thesis finds that framing strategies
of claims enabled alliance-building in Brazil and Transnational Advocacy Coalitions,
which used international norms to enhance indigenous interests. However, has post-
colonial structures hindered APIB´s ability to enhance interest in Brazil and silenced
indigenous interests in governmental representation in the making of the EU-Mercosur.
Keywords: Articulation of Indigenous People Brazil, EU-Mercosur Agreement, Trade
governance, sustainable development, marginalised groups, indigenous agency, civil
society actors, subaltern social movement theory.
Word count: 13 951Emilia Hallström List of Abbreviations APIB Articulation of Indigenous People Brazil CPTPP Comprehensive and Progressive Agreement for Trans-Pacific Partnership CSD Civil Society Dialogue CSO Civil Society Organizations EC European Commission EEAS European External Action Service FBSCO Front of Brazils Civil Society Organizations FTA Free Trade Agreement ILO no.169 Indigenous and Tribal Peoples Convention, 1989 (No. 169) IG Indigenous Groups IP Indigenous people IR Field of International Relations MEP Ministers of the European Parliament SIA Sustainable Impact Assessment TSDC Trade and Sustainable Development Chapter QTTA Qualitative Thematic Textual Analysis UNDHR United Nations Declaration of Human Rights UNDRIP United Nations Declaration of Rights of Indigenous People
Emilia Hallström
Table of Contents
1. Introduction .............................................................................................................. 1
2. Literature Review and Theoretical Framework ................................................... 2
2.1. The Indigeneity debate: Who is indigenous? ...................................................... 2
2.2. Trade as a means to sustainable development for all ......................................... 4
2.3. Indigenous agency in international (trade) governance ...................................... 6
2.4. Theoretical framework: Subaltern social movement theory ............................... 8
3. Contextual Framework ......................................................................................... 10
4. Method .................................................................................................................... 12
4.1. Case study of the APIB and the EU-Mercosur Trade Agreement ..................... 12
4.2. Qualitative Semi-structured Interviews ............................................................ 14
4.3. Qualitative Thematic Textual Analysis ............................................................. 18
4.4. Delimitations of data collection methods ......................................................... 18
5. Analysis – What strategies have the APIB used? ................................................ 19
5.1. APIB Claims ..................................................................................................... 19
5.2: Framing Strategy: Correlation between claims and everyday practices ........... 20
5.3. Strategies used in Domestic Political Arena ..................................................... 23
5.4. Strategies to Access the International Political Arena ...................................... 27
5.4. Discussion: What strategies did the APIBs use and were they successful? ..... 32
6. Conclusion .............................................................................................................. 35
Bibliography ............................................................................................................... 37Emilia Hallström
Interviews.................................................................................................................... 43
Appendix 1 – Pre-set Interview Questions ............................................................... 44
Appendix 2 – Documents analyzed ........................................................................... 45Emilia Hallström
1. Introduction
Indigenous people have been categorized as one of the most important groups to include in the
Sustainable Development Agenda 2030 (henceforth Agenda 2030) due to historic trajectories
of marginalization in development agendas and its implementation (IPMG, 2019; World Bank,
2021). Since 2015, Agenda 2030 has created a new normative direction interlinking three
sectorial pillars: the social, the economic and the environmental (David, 2020), in which trade
governance is argued to be a vital policy area to achieve sustainable development (UNCTAD,
2016: David, 2020:138; Deere-Birkbeck, 2011). Nevertheless, indigenous people (IP) are
rarely included in international trade governance (Borrows, 2020; David, 2021). Although, IP
have the right to free consulting and consent prior to the development decisions effecting their
lives under UNDRIP and ILO no.169, (Chase, 2019) and are categorized as one of the left
behind groups in Agenda 2030 (IPMG, 2019; World Bank, 2021).
Previous research has found that network and social movement strategies can be used by
indigenous groups to influence international decision-making (Chase, 2019; Eimer, 2020).
Therefore, the APIB, Brazils widest network of indigenous groups active in advocacy work
concerning the Mercosur Agreement will be the focus on this thesis (Fern, 2020). Moreover,
indigenous incorporation is especially interesting when looking at the EU-Mercosur Trade
Agreement (henceforth “Mercosur Agreement”) as it is one of few Free Trade Agreements that
embody the three sectorial pillars into some extent, including clauses about climate change and
indigenous people (Kehoe, 2020; Barlow, 2001). However, the Mercosur Agreement has
received critique for "failing the sustainability test” in areas of local inclusion, climate change,
transparency, enforcement, from scholars, member states and non-state actors (Colli, 2019;
Kehoe, 2019: Friends of the Earth, 2020). The lack of inclusion indicates that the “Mercosur
Agreement” might not be a driving force to achieve sustainable development for most
indigenous people. Instead, it might support the continuance of status quo in trade governance,
which has left indigenous groups behind (IPMG, 2019; Fern. 2019a)
This thesis engages in the debate on trade governance as means for marginalized groups to
strengthen their ability to keep control over the development concerning their lives and
territories by focusing on the APIBs ability to influence the decision-making of the EU-
Mercosur Trade Agreement by examining: What strategies have the APIB used in order to
enhance the visibility and potential interests of Brazil’s indigenous groups in the EU-Mercosur
1Emilia Hallström
Agreement? It finds that APIB are to some extent able to enhance the visibility and interests
of indigenous groups (henceforth IG) though framing strategies, alliance-building,
transnational coalitions and usage of international norms. However, does post-colonial
structures shaping imagery and governmental activates limit APIB ability to influence
domestic decision-making and representation in international pollical arenas.
This thesis will be divided in six chapters: Firstly, chapter two will discuss relevant literature
on indigeneity, trade governance as means to sustainable development and indigenous agency.
The theoretical framework, subaltern social movement theory, used in this thesis is also
introduced to the reader together with conceptualizations of IP and other important concepts
guiding thesis. Secondly, background will be presented to provide the reader with contextual
knowledge of the Mercosur Agreement and APIB. Thirdly, the research design of this thesis
will be presented. It included case selection, qualitative semi-structured interviews, and
qualitative thematic text analysis, and delimitation. Fourthly, the analysis presents the findings
by analysing the data collected through the previous mentioned methods by applying the
Eimers (2020) theoretical framework. Lastly, a conclusion will be presented, including a
summary of what has been done in this thesis and how the findings contribute to the field of
IR.
2. Literature Review and Theoretical Framework
The following sections will present and situate this thesis in the existing IR literature within
debate about indigeneity, trade as a means to sustainable development, inclusion of indigenous
people in international trade governance and if IP can be heard in international decision-
making. Additionally, will the theoretical framework of this thesis be presented.
2.1. The Indigeneity debate: Who is indigenous?
Other fields related to IR, such as political science, sociology, international law, human rights,
globalization studies, development studies and global environmental politics have during the
last decade engaged in the indigeneity debate (Van Cott, 1996; Neville and Coulthard, 2019;
Matute, 2021). Nevertheless, the debate is fairly absent in IR, only a few scholars have touched
upon the subject (Shaw, 2002; Georgis and Lugosi, 2014; Morozov and Pavlova, 2018), despite
Global IR calling for more nuanced and less euro-centric focus within the IR field (Acharya,
2014; Morozov and Pavlova, 2018). This section will highlight how engaging in the indigeneity
2Emilia Hallström
debate can contribute to the Global IR approach by presenting new perspectives and
recognition of “multiple forms of agency beyond material power, including resistance,
normative action and local construction of global order” (Acharya, 2014:647).
Moreover, scholars engaging in the debate concerning indigeneity: who is indigenous and who
or what determines who is indigenous (Matute, 2021; De la Cadena and Starn, 2010; Lopez
Caballero and Acevedo-Rodrigo, 2018). De la Cadena and Starn (2010) argues that indigeneity
is defined in relational terms, in opposition of what is non-indigenous. Matute (2021) uses a
critical post-colonial social movement perspective and argues that indigeneity is shaped by
state practices, global capitalism, hegemonic discourses and from local realities and responses
from below. Lopez Caballero and Acevedo-Rodrigo (2018) argue that the distinction between
indigenous and non-indigenous is both fluid and problematic but emphasizes the importance
of understanding indigeneity within national and global politics. Additionally, De la Cadena
and Starn (2010:20) argues that the demands of indigenous groups are a product of their
indigeneity; demands shaped by relations not only binary to colonizers, but to what is non-
indigenous (ibid) and in opposition to what is said and represented by experts, bureaucrats and
non-indigenous political designs. This relational opposition supports the new lineage of
multicultural global political discourse which sometimes occur through joint forces that
connect subaltern indigenous groups with non-indigenous groups though similar interests (De
la Cadena and Starn, 2010:20) — a premise for this thesis.
Moreover, fluidity and diversity of indigenous classification is the reality in the Latin American
region (Telles, 2014; Telles and Torche, 2019), even though self-identification is the new
general norm (Del Popolo and Oyarce, 2005). In Argentina and Uruguay, one’s ancestry
determines who is indigenous while in Brazil it is determined by self-identification and one’s
color and race, here who is indigenous is relational to who is white, black, and Asian, etc.
(Telles, 2014:1547). Eimers (2020) argues indigeneity is based on imagery of IP as “the other”.
In Brazil indigeneity is perceived as living harmony with nature in relation to non-indigenous
processes, such as industrial agrobusiness and colonialism. (Eimer, 2020). This thesis will use
the definition based on the Brazil’s legal criteria’s, thus self-identification of ethic characteristic
(Telles, 2014:1547). In Brazil people fulfilling these criteria can be part of the APIB. However,
their indigenous demands will be determined within relational aspects of resistance to state
3Emilia Hallström
practices, global capitalism, hegemonic discourses and from local realities and responses from
below (Matute, 2021).
Additionally, Matute (2021) argues that transnational networks (social movements) can
provide a transnational process in which strengthening of an existing ethnic group that confront
racial, ethnic, cultural, social hierarchies to keep control over ‘development’, and thus, over
their lives and territories'' (Matute, 2021:260). She calls this “the dignification of indigeneity”,
which occurs in transnational political space where multiple subjects contest and negotiate the
management of their lives and territories. This resonates with subaltern theory, which stresses
subaltern inability to speak without someone listening (JanMohamed, 2010). These arguments
open an avenue where scholars can discuss in which transnational political spaces IP has a
voice and how they can influence decision-making by voicing their resistance, thus where and
how IP have agency to influence the governance of their lives and territories within global
politics.
Lastly, this section has established that literature on the topic of indigeneity in international
decision-making is scarce in within the field of IR. A social movement theory can be helpful
to capture indigenous agency and indigenous people (Matute, 2021). This thesis definition of
indigenous is based on the Brazilian categorization, which incorporate self-identification and
ethnicity. This thesis will contribute to the understudied topic of indigeneity by looking at
relational structures shaping APIBs claims and agency in the decision-making of the Mercosur
Agreement. Thus, this thesis will contribute to the Global IR project, which stresses an
inclusive discipline, that draws on diverse and multiple origins of social interaction and to the
sixth main element of Global IR: Recognizing “multiple forms of agency beyond material
power, including resistance, normative action and local construction of global order” (Acharya,
2014: 647).
2.2. Trade as a means to sustainable development for all
This section presents the debate on trade governance as a means to sustainable development to
guide the position of this thesis. It establishes how trade as means to sustainable development
can be measured.
4Emilia Hallström
Making trade a means for development is a controversial question among scholars and
practitioners, some argue that it might be one of the most difficult challenges for global
governance (Deere-Birkbeck, 2011). During the last two decades development issues has
become a central concern in trade negotiations (ibid; Thoyer and Martimort-Asso, 2007). The
controversy is twofold. Fisrtly, developing countries argue that trade liberalization and trade
laws continue to fail to sufficiently represent their development goals. Secondly, there are
ongoing complaints about how the global trade agenda and the substance of trade regulations
are forged and enforced (Deere-Birkbeck, 2011:1). This thesis focusses on the second issue;
how international the trade governance can favour development that benefit IP. One response
to this issue is to create more inclusive trade governance (Rocha Menocal, 2020; Borrow and
Schwartz, 2020). Some argue that inclusive participation is enough, others argues that trade
governance also need to take the political environment into account when making policy
(Meléndez-Ortis and Biswas, 2011). In other words, trade governance needs to assess impact
and state capacity to implement (inclusive) development when drafting trade regulation and
policy in order to align its economic incentives with socio-environmental costs and benefits
(ibid; Rocha Menocal, 2020).
Furthermore, many scholars argues that participation is one part of the problem but also the
solution (Rocha Menocal, 2020 Thoyer and Martimort-Asso, 2007:1-15). Thus, participation
can be the key to make trade a means to sustainable development for all groups. Some stress
the importance of including civil society groups in trade negotiation to create trade agendas
and regulations which support sustainable development (Thoyer and Martimort-Asso, 2007;
Orbie et al., 2016; Borrows and Schwartz, 2020). Civil society is argued to highlight the need
of issue-linkage to other global issues, such as environmental protection, poverty, human rights
and democracy in trade negations (Thoyer and Martimort-Asso, 2007; Orbie et al., 2016).
Resulting in that trade negotiations no longer only discuss the matter of promoting economic
growth in isolation of other issues (Thoyer and Martimort-Asso, 2007). Additionally, scholars
also stress the problem of the 'participation gap' in environmental politics which highlights the
importance of direct inclusion of marginalized groups such as women and IP and not only the
economic elite such as multinational corporations, banks, and industry associations as they are
particularly critical to the achievement of sustainable development (Elliot, 2004:129; Borrows
and Schwartz, 2020). Thus, during the last years few scholars have focused on the role of IP
and their participation or representation in decision-making and implementation processes of
5Emilia Hallström
economic and trade governance (Borrows and Schwartz, 2020; David, 2020; Sarson, 2019;
Moon, 2017).
To summarize, existing literature stress the importance of a more broad-based participation in
trade negotiations to establish trade agendas and regulations that support the implementation
of sustainable development for all. This thesis will position it-self in this critical approach,
which highlight the importance of inclusion of civil society and marginalized groups in trade
governance. Thus, arguments will be based in the assumption that IP need to be directly
included or their claims represented by other societal actors in the decision-making processes
for trade to be a means to sustainable development that leaves no one behind.
2.3. Indigenous agency in international (trade) governance
This section will address indigenous agency in international (trade) and development
governance. Firstly, Borrows and Schwartz (2020) finds that IP are absent in global economic
and trade governance, by looking at who existing literature highlight as economically
influential actors. Furthermore, Borrows and Schwartz (2020) uses post-colonial theory to
analyze why IP have been marginalized. They find that the state-centric nature of international
law, the exclusion of indigenous thought, practice and representation, and the colonization of
indigenous land, resources labor has hindered IP to effectively participate and thus address the
inequalities in economic international law (Borrows and Schwartz, 2020:2). However, some
argue that the three-dimensional approach of Agenda 2030) might provide new opportunities
for ingenuous people to participate in trade governance (Borrows and Schwartz, 2020;
David:2020). Since the economic-environment linkage can contribute to more focus, space and
opportunity for inclusion of IP in trade and investment agreements (David, 2020). A few
scholars build on the previous research and conduct case studies on IP inclusion in specific
Free Trade Agreements (FTA) to test trade agreement’s ability to include IP and its effect on
IP well-being. (Sarson, 2019; Borrows, 2020; David, 2020). David, (2020) focus on a few
FTA and concludes that very few Free Trade Agreements (FTA) include IP in any aspect of
drafting and decision-making process: not in not by consultation, participation in negotiations
or provisions of international law that protect IP rights (David, 2020). However, in the last few
years the linkage of environment-economic sectors has included IP in FTA to a limited extent
(David, 2020).
6Emilia Hallström
Moreover, socio-economic linkage is also argued to extend the incorporation of IP by address
human rights in trade and investment governance (Borrows, 2020; David:2020). The inclusion
of human rights (including indigenous right) in FTA’s have been found to be present in legal
texts (Franco, Filho, et.al, 2014, Sarson, 2019). However, soft enforcement mechanisms
applied to articles regarding social issues results in weak safeguards in practice, despite rhetoric
being present in FTA, when there is no political will (Ibid.). This rhetoric-practice gap is also
seen in other international agreement which purpose is to enhance the inclusion of IP in
decision-making processes such as the ILO, no.169 (Chase, 2019). This correlates with Rocha
Menocal's (2020) argument that the effects of the agreement — in addition to the IPs inclusion
in the negations process — needs to be considered. Thus, this thesis will examine the
participation/representation in negotiation process or text, what type of enforcement
mechanism is used, and the current political ambition to protect IP in the member states.
Furthermore, aforementioned scholars have utilized thematic textual analysis on FTA
documents to collect data on indigenous inclusion to measure if the agreements include or
consider IP when drafting the agreement (Borrows, 2020; David, 2020). Sarson (2019) on the
other hand use a mix of interviews and document analysis, to examine effect of the NAFTA
agreement inclusion of a “indigenous chapter”. Sarson’s method provide a more in-depth
analysis of how IP are affected and how they influence the outcome of agreements.
Additionally, some scholars use critical theories to analyze the effect of indigenous agency in
international agreements and point out two essential aspects : the ability to voice one's concerns
and interests; and being heard: the effect of the spoken on the outcome (Enns, Bergoglio &
Kepe, 2014; Georgis and Lugis, 2014; Morozov Pavlova, 2018). These concepts come from
Spivak’s (1988) subaltern theory and will be used in the analysis to define visibility and
enhancement of interests. Spivak’s (1988) concepts have been integrated into the postcolonial
approach of IR and he is perceived as one of the most influential scholars in postcolonial studies
(Maggi, 2007). The core of subaltern theory addresses the silencing of the subaltern and is
based on the question of “Can the subaltern speak?” and specifically, “Can the subaltern be
understood or are they always spoken for?”, "Under what conditions can socially, culturally
and economically marginalized groups become the maker of their own destiny?” (Guha, 1984;
Spivak, 1988; Maggi, 2007).
7Emilia Hallström
Within IR, Eimer (2020) has combined subaltern theory with social movement theory to
analyze indigenous agency in international property rights to keep control their traditional
knowledge. Eimer links the local to the global by focusing on strategies used by IP in three
different areas employed to influence international governance: framing of claims, alliance-
building and transnational coalition building. The addition of subaltern theory provides
explanations of constrains on subaltern agency rooted in historical trajectories of colonialism.
This theoretical framework will be used to analyze both the limitations and opportunities IP
have had in the decision-making of the Mercosur Agreement.
2.4. Theoretical framework: Subaltern social movement theory
This section will present the theoretical framework utilize in this thesis and conceptualizations
of concepts.
Eimer (2020) uses social movement theory to conceptualize strategies used by indigenous
groups. Therefor in this thesis, framing strategy is conceptualized as the ability to craft ones
demands in wording that mobilize potential supporters and allowing connection to broader
societal discourse by framing their claims in correlation with everyday practices of IG and
master frames (explained further below). Alliance-building is defined as the ability to build
bridges between APIBs claims and claims of other societal actors contributing to build a larger
support base for policy change. Alliances can gain support from political cleavages between
political elites. Political cleavages are conceptualised as opposing interests or opinions of
different political actors. Political elite is conceptualised as the executive branch in Brazil and
EU member states. Also, usage of political cleavage will be conceptualized as an alliance's
ability to influence governmental officials to represent their claims in the Mercosur Agreement
negotiations. Lastly, strategies to access the international political arena Eimer (2020) outlines
two strategies. One is based on Keck and Sikknik’s (1998:12-13) ‘boomerang effect, meaning
marginalized groups building ‘transnational advocacy coalitions’ with civil society actors from
developed (Global North) countries. In this case the transnational coalition strategy is
conceptualized as the ability to build transnational advocacy coalitions with CSOs from EU
countries. These transnational coalitions might use international norms to pressure
international organizations against their domestic governments if they have committed to
protect indigenous and subaltern groups (ibid) by ratifying international agreements. In this
8Emilia Hallström
thesis, the actors will include not only international organizations but also intergovernmental
organization (EU-Mercosur) and other nation-states.
Moreover, to elaborate how subaltern theory and master frames are incorporated to explain
possible barriers to indigenous agency based in post-colonial structures. The success of
indigenous agency is dependent on what Said (1994) and Bhabha (1985) calls imaginaries of
“the other” (Eimer, 2020). The imaginaries of “the other” shape political discourse and the role
expectation of the formerly colonized and colonizers. More specifically, western imaginary of
IP as “the other” has shaped the stereotype of IP as the “noble savage that lives in harmony
with nature’ (Eimer, 2020). However, Spivak’s subaltern theory, that build on this imaginary of
“the other” but rejects the binary division of colonisers and the colonised. She stresses the
historical and ideological factors that obstruct the possibility of being heard for those who
inhabit the periphery. It is a probing interrogation of what it means to have political subjectivity,
to be able to access the state, and to suffer the burden of difference in a capitalist system that
promises equality yet withholds it at every turn. Therefore, this thesis theoretical framework
draws on the ontological assumption that colonial societies are shaped by diverging historical
experiences and political attitudes that can silence the interest of IG, as subalternity is a
relational position dependent on historic and social contextual conditions, (de la Cadena and
Strarn, 2016, Eimer, 2020). Historic structure of domination in post-colonial countries are
preserved by internal colonialism, which has leads to that political elites in the Global South
indirectly or directly entails discriminatory or paternalistic activities towards domestic IG
(Eimer, 2020). These power structures result in that IP (subaltern actors) are silenced under one
or more master frames which are formulated by domestic elites, transnational actors or a
coalition of both. Moreover, these frames might not at correlate with the interests of the
subaltern actors. In this thesis master frames are conceptualised as the imagery of IP that the
political elites or the public holds, which is based in historic structure of domination in post-
colonial that silences IG if their claims do not correlate with the imaginary held by the non-
indigenous. However, if IG succeed to frame their claims in line with the master frames, they
have a successful framing as their indigeneity (subalternity) and claims is seen as legitimate by
other political actors. All these criteria will be used to analyse if IP can speak in the making of
the EU-Mercosur Trade Agreement. More importantly, their ability to be enhance IP interest to
be heard and have agency, is dependent on their opportunity to gain support form cleavages
between political elites and use international norms to pressure decision-makers.
9Emilia Hallström
3. Contextual Framework
This section is added to provide the context which will frame the following chapters. Starting
with the process and current state of the Mercosur Agreement, followed by the current
political discourse around the agreement and who the APIB are and their role in Brazil
political system.
Firstly, the Mercosur Agreement is one part of a larger Association Agreement, which also
includes political dialogue and inter-regional cooperation. This thesis focusses on the Trade
Agreement, which has been in negotiations from 2000-2019, including a pause between 2010-
2016 due to deadlock (EEAS, 2016). Negotiations were finalized three years after the re-
launch June 2019, then entered the ratification process, which is its current state (EC, 2021).
The ratification process entails that all member states of EU and Mercosur must approve the
Mercosur Agreement to be ratified. In this process, documents and implementation papers can
be added, but the agreement cannot be changed to a larger extent (EU). Thus, it is still possible
to influence the final outcome.
Secondly, since the negotiations were finalized, and the legal text draft was published. Civil
society have been critical of the outcome due to multiple reasons: limited inclusion of CSOs in
negotiation; SIA was not published until February 2020, wherefore the impacts of the
agreement were not consideration in the negotiations (LSE, 2020); questioning how SIA was
conducted, the data included, theory used, etc. (Burley, 2020; FBSCO Against Mercosur
Agreement, 2020). Nevertheless, the most controversial critique is grounded in that the
Mercosur Agreement would support path dependence as approach diverge from norms
established in international agreements, such as Agenda 2030, UNDHR and the Paris Climate
Agreement (Paris Agreement). One of the loudest claims is based in that that the general non-
voluntary dispute settlement enforcement mechanism does not include Trade and Sustainable
Development chapter. Instead, voluntary enforcement mechanisms are applied, and monitoring
of supply chains will be done by domestic advisory groups (DAG). Thus, a political dialogue
with voluntary compliance mechanisms ensure that trade implementation serves the three
pillars of sustainable development and who makes up the DAGs are not specified (EC, 2019).
10Emilia Hallström
Additionally, these claims are framed in facts and other political debates about climate change,
economic primacy and trade liberalization model’s vs three-dimensional sustainable
development and state capacity to implement the Mercosur Agreement in line with the
international norm and goals (Deere-Birkbeck, 2011; Rocha Menocal, 2020). This claims and
framing issues have all been focused on Brazil’s state (in)capacity to implement the agreement
without intensifying the deforestation of the Amazons (Boadle, 2020) This is based in fact that
exchange pattern between EU and Brazil would intensify beef, soy and sugarcane that are some
of the main drivers of deforestation in Brazil (Fern, 2020; Burley, 2020; APIB and Amazon
Watch, 2020).
Moreover, this claim has gained more support as Brazilian government (Bolosonaro’s
administration) has weakened environmental and human rights protection polices in Brazil in
favour of promoting a development agenda that stress industrialisation of agricultural, mining
and energy production processes to develop economic growth for the majority of Brazils
citizens (APIB and Amazon watch, 2020; Fern, 2019b). The questioning is not linked to the
aim of creating development for the majority. Instead, it’s based in the governance approach
violating international agreements the state has signed, such as the UNDRIP, ILO convention
169, and especially the Paris Climate Agreement, (Fern, 2020: Chase, 2019; Correia, 2019).
This agreement includes international norms of environmental and biodiversity preservation
and free, informed, prior consultation (FRIC) and consent decision-making of matter that affect
IP (UNDRIP, 2007; ILO, 1989)
Thirdly, the APIB was established in 2005, at an annual national mobilisation to raise
awareness of the indigenous rights situation (APIB, 2021). The purpose of APIB is to improve
communication between regional indigenous organisations, strengthen unity of Brazilian IP
and mobilizable indigenous resistance to treats and aggression against indigenous rights,
(APIB, 2021). There are almost 900 000 IP living in Brazil, which make up 0,4% of the total
population (IWGA, 2021; World Bank, 2019). The umbrella organisation is made up of 300
IG in Brazil, which makes it one of the widest networks of IP in Brazil (Interview 1; Fern,
2020). Moreover, in terms of international trade governance the APIB has written reports about
the effect global supply chains have on the local livelihoods of IP (APIB and Amazon Watch,
2020). In which they have stated that the Mercosur Agreement is another FTA which continue
an economic model enables violations of human rights (APIB and Amazon Watch, 2020). They
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have also joined the large civil society coalition in both Brazil and transnationally that argues
for the re-negotiation of the Mercosur Agreement. Thus, they seem to have been able to use
some of the strategies Eimer´s (2020) framework highlights and is therefore an interesting
NGO to examinate how indigenous interests can be visible and heard in international trade
governance.
4. Method
This section presents how my upcoming thesis will be conducted by presenting the research
design and the data collection strategies used to collect data, and conceptualization of terms
important to analyze: What strategies have the APIB used in order to enhance the visibility and
interests of Brazil’s indigenous groups in the EU-Mercosur Agreement?
4.1. Case study of the APIB and the EU-Mercosur Trade Agreement
This thesis has chosen to conduct a case study of the APIB in order to understand what
strategies non-governmental actors can utilize in order to enhance the visibility of indigenous
interests in trade agreements. This choice is motivated by the following rationales. Selecting
the case of APIB role in the Mercosur Agreement is illuminating as the Mercosur Agreement
is one of few trade agreements that mention IP in sustainable forestry implementation (EC,
2019; David, 2020) in the included Trade and Sustainable Development chapter (EC, 2019).
This indicates that negotiation parties have considered linkage between trade and sustainable
development and IP are perceived as having an important role in the sustainable
implementation of Mercosur Agreement. However, previous literature argues that the rhetoric-
practice gap is a common occurrence when international agreements only have voluntary
enforcement mechanism (Chase, 2019; Enns, Bergoglio & Kepe, 2014). Thus, by looking at if
IP have been heard (through APIB strategies) in this agreement, the author can establish if it is
an empty rhetoric which will maintain the status quo of trade governance or if the agreement
is progressive and thus a means of sustainable development that leaves no one behind.
Moreover, conducting research on a specific indigenous organization (APIB) in a specific trade
agreement (the Mercosur Agreement) makes it possible to produce valid knowledge within the
time and space constraints of this thesis project (Halperin and Heath 2017; Sarson, 2019).
Additionally, knowledge produced decreased the literature gaps on indigeneity, indigenous
agency in trade governance, in IR (see 2.1). Also, it will engage in theory-testing of Eimers
12Emilia Hallström
(2020) theoretical framework and its ability to assess subaltern indigenous agency in creating
trade agenda and regulations through social movements.
Furthermore, the Amazonian area is also a contributive factor in case selection. It is an area
argued to be negatively affected as trade of products and services produced in this area will
intensify and experience more pressure on land and more use of chemicals if the Mercosur
Agreement is ratified (LSE, 2020;). More importantly, this area is important for the
international community as environmental preservation of Amazon is a major factor in
countering the global challenge of climate change, which is interlinked with indigenous
resistance (Chase, 2019; Correia, 2019). Hence, the focus an indigenous organization in Brazil
(the only Mercosur country with geographical placement in the Amazon), was chosen due to
the negative effect on indigenous land in Brazil opens up for examination for issue-linkage
(environment and indigenous) as tool for indigenous agency in Trade Agreements (David,
2020). Moreover, selecting to focus on the widest network of IG in Brazil has contributed to
limited literature and in the debate on socio-environmental inclusion in trade governance can
enhance trade as means to sustainable development for left behind groups.
Additionally, was APIB chosen due to four reasons. Primarily, the APIB was selected due to
that the umbrella organization made by different regional indigenous organization all over
Brazil. In total the APIB make up over 300 different IG (Fern, 2019a) and its one of the largest
IP networks in Brazil (Fern, 2020). This makes the APIB an good actor to examine as it was
created by IP for IP in Brazil (Gerogis and Luis, 2018) and represent the interest of a large
percentage of IP in Brazil that are shaped in relation to the non-indigenous interest within Brazil
(De la Caderna and Starn, 2010). Additionally, the APIB works with coordination and unity
among Brazils indigenous groups and work with mobilize indigenous groups in Brazil against
treats and aggression against indigenous rights. Their Executive Coordinating Committee
include different indigenous leaders (APIB and Amazon Watch, 2020:10) that works with the
general mission to defend and promote indigenous rights in line with the interests expressed
by IP and union between regional indigenous organization in Brazil (APIB, 2021). Currently
these interests are e.g.: 1) the construction and implementation of public policies aimed at
indigenous peoples in the issue areas: legislation, health, territorial management and
sustainability, human rights and social participation and control (ibid.) Strengthen alliance-
building with international indigenous movement and other social movements, establish
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partnerships with institutions and networks of solidarity and support for social causes,
especially that of indigenous peoples. Thus, the APIB was chosen as it works with different
social movement strategies to influence both local, national and international decision-making
in favor of IP interests.
Moreover, the third reason APIB was selected is grounded in their active participation in
indigenous resistance against international trade processes that contributes to the human rights
violation of IP in Brazil, including the Mercosur Agreement (APIB and Amazon Watch, 2020).
Thus, by selecting the APIB for a case study on indigenous agency in trade governance this
thesis will be able to link APIBs indigeneity to trade governance beyond the Mercosur
Agreement. Lastly, the APIB has published a number of reports on their opinions on
international trade processes and governance in English, which made it possible for the author
to find information of the structure of their work and their interests (ABIP and Amazon Watch,
2020).
4.2. Qualitative Semi-structured Interviews
A qualitative method was chosen as the RQ could not be explored through quantitative data.
Interviews enabled the gathering of data otherwise hard to find in secondary sources as the
topic is fairly understudied. Moreover, interviews were chosen as the main method as IP often
are marginalized from trade governance and politics in general. Thus, interviews with APIB
partners allowed data collection of their understanding of APIBs ability to influence trade
agreements as it difficult to conclude if their interest have been heard only by looking at
stakeholders included in consultations, or other secondary data. Moreover, accessibility has
been a major issue in the midst of a pandemic. Thus, online face-to-face interviews made it
possible to conduct interviews with people living in South America or other cities in Europe.
These interviews enabled the author to ask spontaneous follow-up questions to gain more in-
depth data on NGOs partnerships with APIB and their indigenous groups that gave the author
the ability to capture deeper, personal information the spaces IP were able to influence
decision-making. (Halperin and Heath, 2017). Lastly, the face-to-face interviews made it easier
to maintain a relationship after the interview, which facilitated follow-up inquiries.
4.2.1 Informant Selection
Informants were selected based on their knowledge of APIBs work and their relation to the
APIB or their member organizations. The interviewees are part of the same networks or another
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kind of partnership with the APIB, such as engaging in advocacy work in similar issues or
assist indigenous groups advocating for their interests. All participating informants hold
different professional positions: international coordinators within a Swedish branch of a global
environmental organization; international coordinator within a South American branch of an
international network of small and medium sized farmer; political and environmental law
advisor at a Brazilian NGO working with socio-environmental issues, including indigenous
rights; Representative at the EU, working with assisting and supporting IP to advocate for their
interests at the EU. The employees’ relation to the APIB enabled the author to gain data on
what issue areas the APIB engage in; how the APIB established alliances and joined
transnational advocacy coalitions; and how they used networks to enhance the visibility and
interests of Brazilian IG. Moreover, the informants held knowledge of the imagery and
everyday practices of IP in Brazil and provided the author with relevant secondary sources
about the interests and claims of the APIB, its alliances and transnational coalitions, which
were later analysed through QTTA (see.4.3).
Additionally, language skills (English and Swedish) were the second criteria for selecting
informants, as the author do not speak indigenous languages or Portuguese. Eleven different
NGOS fulfilling these criteria were contacted such as APIB, COIBA, Fern, EU Delegation in
Brazil, Amnesty, Mercosur´s secretariat, Climate Action. All four were sent a short research
proposal. However, only four interviews were conducted due to availability and lack of
responses. Three interviews were conducted in English and one in Swedish. Participance
received an informed consent form. Two of them were sent out before interviews took place
and the other two after interviews were conducted due to unawareness and miscommunication
from the authors side but was rectified as soon as pointed out. All interviews began informing
the participant about their informed consent. The author decided to give the informants total
anonymity due to political situation in Brazil and ethical purposes of reducing any risk of harm
for participating.
4.2.1. Operationalizing variables of APIBs advocacy strategies
Eimers (2020) theoretical framework influenced the operational definition of variables used to
collect data on what strategies the APIB used and if they were successful. The variables were
categorized into six different themes, based on the strategies and concepts outlined in Eimers
(2020) theory (see 2.4 for definition): Framing strategies; alliance-building; usage of cleavage;
15Emilia Hallström
transnational coalition; usage of norms and were the APIB heard (see table below).
Categorization of data into these different themes allowed the author to measure what strategies
the APIB have used and how they had enhanced the visibility and interests of IG in Brazil. The
indicators were based on concepts within the different conceptualizations of strategies (see
2.4). Some indicators were given different definitions or were added, to not miss important
findings. “Imagery” is used as an indicator for master frames. The indicators concerning “issue
areas” under alliance-building were added to enable collection of data on what issue areas
claims belong to enables the measurement of APIB ability to build bridges between their claims
and other actors due advocacy in same issue areas. Usage of cleavages indicator
“communication channel” were added to capture how and where the APIB had used cleavages,
and “barriers” was added to capture post-colonial structures limiting APIBs ability to use
political cleavages. The indicator “forums” under usage of international norms was added to
capture how and where norms were used. “State decisions” were added to capture the success
of the strategy used. Moreover, the theme “were APIB heard” was added to draw conclusions
of how decision-making correlated with the APIBs claims.
Framing strategies Alliance-building Usage of Cleavages
Claims of APIB Claims of other societal actors Political cleavages
Everyday practices Issue areas important to others Communication channels
Imagery of IP in Brazil Issue areas of APIBs claims Barriers
Imagery of IP in Europe
Transnational Coalition Usage of international norms Were APIB heard
APIB part of coalition International norms State compliance to APIB claims
Type of actors Forum’s norms were used in
What type of relationship State decisions based on norms
Claims of Coalition
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4.2.2. Conducting interviews and Coding
The set-questions are phrased to gain data on the outlined variables be able to measure the data
to answer how APIB have used strategies to enhance visibility and interests. Exactly how
questions correlate with variables can be seen in Appendix 1. Interviews were structed in the
following matter: 1) general question about the NGO work and answers determined what
questions was asked next depending on where the conversation were going, what had been
answered and what areas interviewee were knowledgeable of. 2) most relevant questions was
asked. Not all questions were answer through expert interviews, instead background checks
and utilizing secondary data was added. 3) To end the interview, interviewees were asked if
he/she has something he/she want to add or ask. When that has been thoroughly done, the
interviewer will thank him/her and them end the call. See questions in Appendix 1.
Moreover, after conducting the interviews, audio files were transcribed by using two different
software programs: “Otter.Ai”: and AmberScript. These programs work pretty well, has around
a 90-95% turnout. As there is room for some mistakes, the transcripts will be gone through
manually to corrects the occasional mistakes. This also has another advantage, it makes the
author re-read and listen to the interview ensures that the author processes the information a
second time, which gave more in-dept understanding for what the data entails. After
transcription, the data collected were cross-checked with other interview transcriptions,
document used in QTTA (Fern, 2019: LSE, 2020) or earlier research (Chase, 2019; Correia,
2019; Leuzinger and Lyngard, 2016, etc,) to ensure the reliability of the data collected. After
this, the software programmed NVIVO was used for coding, this was done by categorizing
paragraphs and statements into themes and codes. Then transcribed interviews were processed
by categorizing the answers into the different variables (themes) and indicators (codes).
Furthermore, the current political situation constitutes an environment in which human right-,
environmental- and indigenous defenders experience psychologically and physically violence
(HRW, 2021). The informants work with all a range of different groups that are partly or fully
sub-organizations of IG member groups, except Quilombolas: IP in the Rio Negro area;
Kanipé; APIB executive branch; Quilombolas; Guarani-Kaiowá indigenous leaders; COIBA;
small scale indigenous farmers. Hence, the author has chosen to keep the interviewees
anonymous as some information are sensitive and has been assessed by the author to possible
lead to potential insecurity for interview participants. Therefore, interviews will be referred to
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as Interview 1, 2, 3 and 4 in this thesis. Transcripts are not included in the appendix, but can
they be accessed upon request.
4.3. Qualitative Thematic Textual Analysis
Qualitative thematic textual analysis was conducted, both to give context to the issue, add
additional data needed after the interviews and lastly to triangulate data collected in interviews
(Bryman, 2015). This method has been proven useful to collect data on indigenous inclusion
and indigenous agency in trade governance (Borrows and Schwartz, 2020; Sarson, 2019;
Matute, 2021, Georgis and Lugosi, 2014). Additionally, has it been useful to gain data that will
complement my interview method (Sarson, 2019). For example, as no interview with APIB
was conducted, due to language limitations of the author, this method made it filled the data
gap of APIB claims.
Different types of documents were analyzed through QTTA to collect data into themes and
codes outlined above (see 4.3.3). Firstly, Position papers, newspaper, reports and a few
scholarly articles were analyses to collect data which enabled measurement of APIBs usage of
framing strategies, alliance-building, usage of political cleavages, transnational advocacy
coalition and usage of international norms (see appendix 2.). paragraphs and themes segment
were the unit of content that categorized segments is the documents analyzed (see Appendix
2.) The categorization of the segments was conducted in the same way as interview
transcriptions were coded (see 4.3.3.) Moreover, QTTA was most useful in collecting data
under APIBs claims and Brazilian Alliance claims. As interviews were not conducted with the
APIB and interviews left a gap of data on the indicators “Claims of APIB “claims of other
societal actors”. Here APIB position papers and one report were analyzed to gain data
categorized under APIB claims (APIB, 2019; see appendix 2) and civil society alliance position
papers. Additionally, did the usage of QTTA in provide the author to collect data on small data
gaps under the other indicators. QTTA also made it easier to cross-check data collected through
interviews and QTTA, as all data was analyzed into the same themes and coded in the computer
program NIVIVO.
4.4. Delimitations of data collection methods
The material used in this research was delimited to some extent by language limitations of the
author (no Portuguese or indigenous languages). Some sources, such as positioning papers,
some reports of Brazilian organization and interviews with the APIB could have provided
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important data on the rationale behind APIBs strategies and indigenous interests to the analysis
was lost. However, the combined method, especially the interviews enabled data collection of
APIBs rationale and indigenous interests that would not have been found in secondary sources
and the QTTA filled the major gaps of data after interviews were conducted. Moreover,
some data that could have enhanced the findings within communication channels used within
the Mercosur, Brazil and EU during the negotiations, was delimited due to the number of
interviews conducted. Thus, the findings could have been more expansive on APIB ability to
enhance or make indigenous interests visible. Nevertheless, this thesis was able to contribute
to the field by producing knowledge of what strategies the APIBs used within national and
transnational social movements to enhance the interests of IP in trade governance and
contribute to how indigeneity shapes demands and how indigenous agency can be
strengthened.
5. Analysis – What strategies have the APIB used?
This part of the thesis will analyze the data collected through semi-structured interviews and
qualitative thematic textual analysis (QTTA) by applying Eimers (2020) theoretical framework
to answer: What strategies have APIB used in order to enhance the visibility and potential
interests of Brazil’s indigenous groups in the EU-Mercosur Agreement?
The analysis will be structured based on the findings and the theoretical framework. Firstly,
APIBs claims are presented, which represent the interests APIBs 300 indigenous groups.
Secondly, analysis of APIBs ability to frame claims with everyday practices are presented.
Thirdly, strategies APIB used in Brazil are presented, including framing strategies, alliance
building and usage of political cleavages. Fourthly, strategies used by the APIB to access the
European political arena are analysed, including transnational coalition building, framing
strategy and usage of international norms to pressure the EU parliament or EU member states
to not ratify the Mercosur Agreement. The divide of strategies used on the national and
international level was based on findings that different strategies were used in Brazil and EU.
The difference between the perception of IP between Brazil and EU will also be examined.
Lastly, the discussion presents the findings of this thesis.
5.1. APIB Claims
APIBs advocates for the non-ratification or re-negotiation of Mercosur Agreement. This
opposition is grounded in three claims: 1) they oppose the Mercosur Agreement as the
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voluntary enforcement mechanism covering the TSDC cannot ensure implementation that
respects indigenous rights and territories.
“Refrain from entering into trade agreements, including the EU-Mercosur agreement, until
robust, verifiable safeguards are in place ensuring the preservation of Indigenous rights and
territories in the Brazilian Amazon” (APIB and Amazon Watch, 2020:49).
2) Ratification would legitimize the Brazilian government’s development agenda which
promotes industrialization of production at the expense of violation to indigenous rights and
environmental degradation (Fern, 2019); 3) the Mercosur Agreement “will facilitate trade for
companies that will exploit indigenous land even more” (Reuters, 2019; Interview 2).
Ratification will lower tariffs between EU and Brazil, which is assessed to intensify the
production of agricultural products and other extractive production processes. These
production processes often lead to illegal or legal activity on indigenous land without the
consent of IP (APIB and Amazon Watch, 2020)
5.2: Framing Strategy: Correlation between claims and everyday practices
Framing strategy is the ability to make claims correspond with IP’s everyday practices and
their imagery master frames, if so, claims are perceived as legitimate. This section will analyse
the former part — the correlation between APIBs claims and everyday practices.
APIB claims that the voluntary enforcement mechanisms of the Mercosur Agreement will not
ensure safe implementation for IPs rights or territories (Interview 1, 2021; APIB and Amazon
Watch, 2020:49). This claim is framed in the rhetoric-practice gap of international (trade)
agreement with voluntary enforcement mechanisms, such as the: ILO no.169, UNDRIP
(Chase, 2019). More specifically, the TSDC includes articles about workers’ rights,
environmental protection and the inclusion of local communities (including IP) in forestry
management. Thus, it contains rhetoric of critical juncture towards a sustainable trade model
but ensures no mechanism for it to be performed. The agreement’s voluntary enforcement
mechanism make these articles reliant on political will (interview 1; Interview 2; Interview 3;
Interview 4; EC, 2019), hence adding to the status quo of empty rhetoric that ensures socio-
environmental protection and maintain the “patronage of international buyers and/or
investors”. (APIB and Amazon Watch, 2020:15,75; Interview 1)
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