Implications of the
concept of national parks
for planning

For more than two decades, the World Conservation Union (IUCN) has promoted different management categories for natural protected areas. Although in all of the Latin American countries there are many different names and different management categories, the concept of national park has undoubtedly been the most assimilated and accepted. This concept has also served as a starting point for the conceptualization of management plans, for national parks themselves, as well as for other protected area categories. Therefore, it might be useful to present a brief history, explaining the origins of national parks and the underlying concept.

The concept of protected areas, in its modern form, was initially set forth in the second half of the 19th century, when the first national parks were declared in the United States and in Australia. Both countries were going through a process of land distribution and privatization, in which many landscapes that were considered uninhabited were privatized, thus forbidding the general access and the public control over them.

As a result of this, the Yellowstone Manifest, a law under which Yellowstone National Park was created in 1872, indicates that

The selection of the term "national park" is due to the fact that a "park" is considered an area that has been placed under protection for the enjoyment of the people. And, on the other hand, the word "national" was used in order to have a more precise definition, as "national park" was to describe an area that belongs to the nation and that is administered by the national government.

The definition and concept of national park, such as it was approved by the Tenth General Assembly of IUCN, celebrated in New Delhi, India in 1969 establishes that:

This definition and the underlying concept gave birth to the two main axioms for national parks:

When it comes to planning for the management of a national park, these axioms of having an unoccupied area and an unquestionable authority - a large number of national parks that have been created do not have them9 - have the same meaning as when you build a house on land where nobody is opposed, following these steps:

This is a brief summary of the traditional planning that was promoted for a long time and which today is still used by many agencies and organizations in charge of managing national parks. This planning is based on Carlos Matus' model I, "Deterministic Systems," which surely has good results when working with areas that are truly unoccupied, with a central authority in the country with real power, and a situation in which nobody is opposed to the construction. In other words, traditional planning is applicable in national parks whose characteristics meet the requirements of the deterministic model. However, as we will see, in most cases the situation of protected areas in Latin America is different and does not meet these requirements, which means it is necessary to look for alternative schemes for the elaboration and execution of management plans.

Framework conditions
of protected areas
in Latin America

The particular characteristics of protected areas in Latin America should be taken into account when designing and applying planning strategies for their management.10

Let us recall that within the traditional concept of national parks and other protected areas there are basic assumptions for their management:

It is also assumed that there is a social consensus and acceptance of the concept and of the objectives of the protected area. However, in reality many protected areas were established from desks, without local participation, with a centralist management from which the creation and management of the area corresponded to national interests and not local ones. To this we must add that, regarding the management categories, most of the protected areas were, and still are, treated as if they were national parks.

The current framework conditions for protected areas in Latin America can be classified in the following groups: administrative/ institutional, political/legal, socio-cultural/economic and biophysical/ ecological.

In the administrative/institutional framework, in general, the institutions in charge of the management of protected areas have few financial and trained personnel resources, and are characterized by a weak administrative structure. This situation promotes an increase in the dependence upon international financing sources and a planning and management plan preparation process that is executed by "external" consultants, who are not directly involved in the protected area. Given the centralized character of the administrations and the interinstitutional conflicts, in many cases there is a reserve warden, park director or manager with little or no decision-making power, which debilitates the management and makes it difficult to generate experience and train the personnel.

Protected areas in Latin America generally have blurry political/legal frameworks, lacking clear definitions of the management categories and of the limits of the protected area itself. This happens because, on the one hand there is a plurality of policies and laws, which are often contradictory; and on the other hand, the laws that promote the protected areas do not have the same degree of relevance as other sectorial laws or their relevance is not recognized. In addition, there is the fact that protected areas do not necessarily represent a priority for the State, although there are many agreements and international political agendas on the topic. Also, there is a generalized ignorance regarding the problem surrounding land tenure that can cause conflicts with traditional and indigenous communities and with squatters. The weaknesses of the political and legal framework, and the conflicts of interest that exist with respect to the use and objective of the protected area, hinder the process of modifying the current laws and diminish the possibilities of achieving participative, efficient, and effective management.

The socio-cultural and economic framework of protected areas in Latin America is characterized by the lack of economic resources in the local communities, which are often marginal, that are submitted to colonization processes and to the expansion of the agricultural frontier. There is also a lack of awareness with regards to the need to conserve the natural and cultural resources of the protected area. This decreases the participation of the actors, who, in turn, tend to prioritize economic growth over the conservation of natural resources. However, there have been changes in favor of conservation and towards a vision of protected areas as a center for sustainable development. Among others, there is a greater disclosure and appreciation regarding environmental services, an increase in integration of protected areas and their surroundings, and more inhabitants in favor of the protected area. This last factor emerges from the increasing demand for recognition of the social, cultural, and economic relations of the local population, which leads to improvements in the level of participation and appropriation of the rights and responsibilities in the management of the protected area.

In the biophysical/ecological framework there are fortunately still great extensions of natural areas that are intact and virgin in Latin America, but they lack good inventories of the existent biodiversity. At the same time, there is a growing pressure on these resources, for various reasons, ranging from private farms and traditional land uses, and large transnational pharmaceutical and timber companies, to the increase in pollution of the air, rivers, lakes, wetlands, and seas.

Principles that
guide the management
of protected areas

The challenges for the application of traditional planning strategies, given the reality of protected areas in Latin America, require thinking about some of the assumptions that dominated traditional planning. Also, this allows us to define certain principles that serve to orient the management of protected areas today.

Integrality in the spatial environment

Protected areas must be considered an integral part of the local, regional and national dynamics that facilitate or limit the possibilities for the conservation of natural resources. Consequently, planning must take place at several levels. First of all, it must exist at the level of the protected area upon which the strategies and management are focused. On the other hand, there is the surrounding area (buffer zones, neighboring zones, zones of influence, etc.), managed in order to minimize the possible negative environmental impacts on the protected area, working towards the compatibility of the legitimate development aspirations of the different actors, with the interests of long term conservation. And finally, it is necessary to consider their location within the context of other protected areas, for example, based on the connectivity of the spaces, making up biological corridors, or as part of a Biosphere Reserve.

Coherence in the institutional realm

There must be coherence between the different levels of planning and management of the institutions involved at a central, regional, and local level. This allows optimization of resources and the achievement of uniformity in the application of relevant policies.

Implementation of participative processes

There must be the capacity, the interest, and the institutional political will to promote and implement participative processes and applications.

Collective construction of the future

Collective construction is the fundamental strategy to achieve a consensus about the use and future of the area because it involves all relevant actors in the management. All elements of the socio-environmental conflicts can be discussed between the social and institutional actors, for which it is necessary to strengthen their relations.

Integrality and continuity of the process

It implies paying attention to all the components for the management of the area, which affect the implementation of what has been planned, such as organization, execution, follow-up, evaluation, and adjustments to the initial planning (management cycle). The elaboration of the plan is part of its application.

Management with the appropriate information levels

There must always be an appropriate information base for the level and magnitude of the decisions that are to be made. This basic information must be comprehensible for all those involved in the decision-making process.

Consideration of the conservation's social function

It is indispensable to recognize and appreciate the importance of the social and institutional actors in the management of protected areas. Specifically taking into account their historical link, their socio-cultural identity, the use of the resources, the environmental regulatory system in the area, their expectations, and the legal title of their link to the protected area.

Conservation objectives as the starting point

The conservation objectives are the starting point for the planning process because they establish the parameters that are used to evaluate the relations between the area and the social actors.

Selection of methodologies

There are no unique formulas or methods to plan and manage protected areas. There are many methodologies that can be successfully applied according to the institutional context, the legal framework, and the socio-cultural context of the area. Knowing these different methodologies allows for their adaptation to each particular case. It even permits the creation of new methodologies; as long as they respect the management objectives, in order to guarantee its coherence, quality and effectiveness.

Knowledge of the area

It is not indispensable to have detailed and precise knowledge about the area in order to begin the planning and management. The elaboration and execution processes of the management instruments will fill these information voids. It is a construction of knowledge and successive approximations about the complexity of the area and its surroundings.

Responding to external and internal changes

The planning and execution, together, must respond to the external changes that emerge from social, economic, and political processes. They must also respond to the internal changes of the protected areas, implied by the actual execution of the plan. For this it is necessary to have a high degree of flexibility and adjustment capacity during the implementation of the management plan, which involves the establishment of indicators and efficient monitoring instruments for the management of the protected area and its environment.

Transition strategies

The definition of transition strategies facilitates the management of current conflicts, such as occupation, non-sustainable production systems, high impact impoverishing processes, etc.

Planning documents

The above mentioned principles might guide the management of protected areas in order to present a possible solution to the limitations and challenges that have been identified for the use of traditional protected area management concepts in Latin America. For a more efficient and effective management in the future, the challenge consists in the implementation and acceptance of new concepts by all the actors involved.

What is a management plan?

Through the analysis of different literature a variety of management plan approximations and definitions were found. Here are some of them:

The planning process and guidelines are very important in order to achieve the objectives of protected areas. Management plans, as one of the outputs of this process, are support and guidance tools. Specifically, the plans provide guidance in three dimensions:

A management plan can be defined in many ways. However, in order to come as close as possible to a general definition, several aspects must be made clear, such as: why is a management plan elaborated?, what must it contain?, and how should it be executed? In order to define a management plan it is also important to take into account the local communities and other stakeholders and the current management situation of the protected area. And, before initiating the elaboration process, it is indispensable to ask, what is the baseline situation?, what human and financial resources are available?, and how should the management plan be elaborated and executed?

Geographic reach
of planning

The geographic reach of the actions proposed for the management of a protected area depends on the conservation objectives, the actors that intervene actively or passively, and on the groups or persons who have interests or are affected by the protected area. Outside the protected area itself we can distinguish between the "buffer zone", the "neighboring zone" and the "zone of influence". These are areas or concepts that are used to define the scope of the management strategies, with the intention of achieving the conservation objectives of a protected area as a contribution towards the sustainable development of a region.

Unlike the "neighboring zone" and the "zone of influence", a protected area and its "buffer zone" form part of the regional and national land use plans.

Protected area

An area of land and/or sea especially dedicated to the protection and maintenance of biological diversity, and of natural and associated cultural resources, managed through legal or other effective means.11

Buffer zone

The term "buffer zone" refers to the peripheral zone of a protected area, where there are restrictions to the use of the resources, or where special development measures are taken to increase the conservation value of the area.12 It is a region with conservation objectives to minimize the external negative impacts upon a protected area.

Neighboring zone

This is the zone in which the economical situation of the inhabitants is directly affected by the legal provisions and/or the management activities of the protected area. For example, before the protected area was declared the inhabitants of the region had free access to the natural resources through hunting, fishing, collecting, etc. Thus, the management of the neighboring zone is of vital importance for the socio-economical situation of its inhabitants, and requires special measures in order to promote socio-environmentally sustainable development and the acceptance of the protected area.

The zone of influence

Zone of influence is a term that does not define a geographically determined region in the sense of an area with limits. It implies that all the actors that have a functional relation with the protected area must be taken into account. For example, it includes the tourism companies with headquarters in the capital city and transnational forest companies that perform activities in the region.

Geographic reach of the Management Plan for the Loma Quita Espuela Scientific Reserve in the Dominican Republic

The Loma Quita Espuela Scientific Reserve, in the northeastern region of the Dominican Republic, is destined to conserve the largest redoubt of cloud forest in the country. It is co-administrated by the Sub-secretariat for Protected Areas and Biodiversity, the entity in charge of protected areas, and by the non-governmental organization Fundación Loma Quita Espuela. The conservation of the cloud forest represents a challenge due to, on the one hand, the advancement of habitat transformation through cattle-raising and agricultural activities, and on the other, the great resistance to the establishment of the protected area from the local inhabitants. This resistance is explained largely by the feeling of mistreatment towards the local inhabitants in previous periods, from activities in the management of other protected areas in the country.

In a participative process between different actors, the management plan for this Reserve was formulated in 1997. The defined geographic reach was the protected area itself, approximately 72 km2, and a Buffer Zone of approximately 128 km2. Thus, the management plan has two clearly defined components: a) Area Management Program for the designated Scientific Reserve, and b) Program for the Buffer Zone.

The reserve area was differentiated into five management zones: scientific zone, special use zone, contradictory uses zone, regulated social use zone, and recuperation zone. The activities to take place there were grouped into three sub-programs: a) Protection, b) Environmental Education and Ecotourism, and c) Scientific Cooperation and Research.

For the Buffer Zone a rigorous zoning structure was not established, instead agreements were reached with the communities regarding the use modalities and restrictions in the areas surrounding the limits of the Reserve. A Program of Community Development was defined for the work with the communities, made up of four sub-programs: a) Community Education and Organization, b) Sustainable Agriculture and Animal Production, c) Forest Management and Research, and d) Community Health. For the execution of these sub-programs activities are coordinated with the institutions, leaders, and community groups that have interests there.

Despite the many obstacles that have been overcome, and that still remain to be overcome in order to achieve a good use and conservation of the Reserve, the inclusion of the Buffer Zone as an integral part of the management plan for the protected area has been one of the best tools that contributed to the success up to that moment. The support and participation of the community members for the protection of the reserve has been noticeable.13

Building the management plan:
getting started

"You have to start with something." Until a management concept has been developed in a participative manner, a start-up team must take the initiative for the process. During the construction and implementation, the management plan will "grow" parallel to the consolidation of the management of the protected area.

Fig.#4 Increase in management capacity

Usually, the initial phase generates enough information to define the first management activities. If information or specific knowledge are lacking, the activities to be defined in the strategic planning can fill these empty spaces. This way, with the increase in information and participation, the management capacity for the area also increases.

A start-up team (driving committee, launching committee, etc.) is a small group, made up of perhaps 4 or 5 persons, that accepts to take charge of the preparatory phase of the processes related to the strategic plan or the zoning plan. It must be made up of persons who are familiar with the conservation topic and who moreover identify themselves with it, in order to have enough dedication to their job, understanding conservation as a pillar of sustainable development as it is closely connected to political-legal, social, and economic aspects. Moreover it is convenient that at least one of the members of the committee knows the area very well. The start up team should keep together once the respective process has commenced, and may have as members a community leader, a government employee, a member of a NGO, a member of a project in the region, etc. What is most important is that the local community and the actors who are involved in the protected area are trusting and feel that they can communicate with at least one person in the start-up group, even if they do not feel directly represented in it. Some key characteristics that the members of the team must have are: diversity, credibility, personal motivation, and an excellent communication capacity. Some qualities for the team itself are: being active, efficient, fair, multidisciplinary, and transparent in their decision-making; acting on the basis of a consensus and collaboration; being resolved to promote but not to direct or dominate the process of elaborating the strategic or zoning plan. The tasks for the start-up team are:14

Defining the scope of the work

The start-up team must define the output as well as the expected outcome from the process. It is very important to have a clear idea whether a strategic plan, a zoning plan, or both are desired. The team must elaborate a work plan that defines with whom, where, and about what aspects it is necessary to have meetings, similar to an annual operational plan.

Gathering information and work tools
regarding the main ecological and social aspects

The start-up team can begin its work gathering information in order to have a better understanding of the territories and landscapes in the region. Especially for large protected areas, it is useful to define management units that have a certain homogeneity due to their cultural (territory) or geographic (landscape) character. This task may, but it does not have to, culminate with a descriptive compendium about the region (see chapter about descriptive compendium).

Identification of actors and parties interested in getting involved
in the process, Costa Rica

Communities, organizations, social groups, and individuals have a direct, and specific interest in the management of the protected area. For example:15

Local groups: that are representing the different employment, natural resource users, and gender (young persons, older persons, women and men) sectors.

Members and representatives of social organizations and the private sector who are related to the protected area: this refers to cooperatives, development associations and institutions, which are very important in the entire elaboration process, contributing ideas, opinions, and reaching agreements.

Employees from the National System for Protected Areas Administration: the intervention of executive personnel is basic for the establishment of the commencement of the process.

Technical personnel directly linked to the management of the protected area: they are directly involved in the preparation, as well as in the execution of the programs.

Representatives of regional institutions: such as municipalities, local governments, universities, etc. Their essential role is the coordination and execution of the programs.

Representatives of non-governmental organizations: such as conservationist or donor organizations. Their participation is related to the contribution and demand for resources (economical, technical personnel, researchers, etc.).

Consultants: if the capacity identified for the elaboration of the plan in the area, or within the National System for Protected Areas, is low, consulting firms or individual consultants can participate in the process. Their participation will be sporadic and will be restricted to the development of specific aspects of the plan.

Gathering information about the legal and political bases
of the protected area

The lead agency must have a compendium of all the laws related to protected areas in general, which must be complemented with the laws and agreements that exist for the particular protected area. The management is based on the laws and regulations about the area, and it uses these as a baseline. It is important that the planning takes place within a political and legal framework, which is recognized and sufficiently specific. Without a clear political framework to guide the strategic and operational planning, one runs the risk that the start-up teams define diverse policies for one same topic, which could lead to discrepant interpretations and management orientations in the different protected areas (see chapter about Compendium of laws, rules, and agreements).

Launching and maintaining social/environmental communication initiatives

The social/environmental communication initiatives are basically a continuous flow of information and dialogue between the start-up team and the actors, but they also include the current persons involved. They can be initiated with any specific event (a fair, a public party, a community assembly, an itinerant play, etc.), but it should also include a lasting component, with the purpose of responding to the communication needs that may arise with time. During the preparation phase, social communication promotes a critical understanding of the need, objectives, and process of elaborating a strategic or zoning plan. It serves to answer key questions such as, what do we need the protected area for? what functions does it fulfill and what services does it offer? what is a strategic plan and what is a zoning plan for the area? is it necessary to do this here? and if so, how do we get it going?

To begin with, the start-up team can identify the space and manner in which the actors discuss and how they handle the affairs of the protected area. If possible, it would be helpful to identify and use those means (songs, informal conversations and meetings, oral story-telling, sermons in the temple or drawings on the walls) and space to transmit information. As environmental communication needs to be understandable for society in general, it is possible that the start-up team may have to stop using some of its favorite conventional communication methods (pamphlets, talks with speakers, etc.), and make use of others which are more creative and effective (a game to develop environmental awareness, a lottery in a local market, etc.). It is advisable to use a combination of different methods in order to reach and motivate different groups and sectors of society. Another important aspect that should be kept in mind is that the communication channels must promote dialogue and discussion, avoiding "teaching" or "preaching."

It is important to point out that a lot of time may pass before reaching the moment where there is understanding, and where it is possible to plan in a "participative" manner or to "negotiate" in-between the actors.

Supporting the actors so that they can organize themselves

In order to participate in the process of elaborating the strategic plan or the zoning plan, the actors must reach an internal consensus about the values, interests and apprehensions they would like to set forth. They also have to select persons to represent them in assemblies. For some of them, for example the employees of a government entity, this may already be established. But for others, for example the members of a community of farmers that recently settled on the agricultural frontier, it can mean a time investment and will require external support and facilitation.

Preparing the planning events

The start-up team must have a clear idea of how to handle or organize the different steps in the processes together with the different actors. Moreover, it must know when it is necessary to repeat or elaborate upon a specific aspect in the development of the strategic or zoning plan.