Simplifying the management plan:
separation into four
management tools

Currently management plans, in the traditional form or with methodology adaptations, try to fulfill the expectations set forth in the definitions and functions described in the previous chapters through four elements however, under one concept, in one document:

Seeing the magnitude of the tasks to be fulfilled within these four elements, it is understandable why management plans are not considered manageable tools. In order to simplify the management plan, it is possible to disassociate the four elements (the descriptive compendium, the compendium of laws, norms and agreements, the strategic plan, and the zoning plan) without losing congruency, and to see them as independent management tools.

Fig.#5 Simplifying the management plan: separation into four management tools

But there are not only pragmatic reasons that favor the separation of the different elements of a "management plan," such as the complexity and magnitude involved in the production of the document. There are also conceptual reasons:

As a result of what has been presented up to now, there is not "one" document called a management plan. There are four independent instruments that must have their own name or technical term: the descriptive compendium, the compendium of laws, norms and agreements, the strategic plan, and the zoning plan.

Up to a certain point, the separation into different management tools is already applied in the model "management plans" in Venezuela and Ecuador. The planners in Venezuela decided to give greater importance to the "land use zoning" element, whereas in Ecuador they opted to concentrate their efforts on the elaboration of a "strategic plan."

Zoning and Management Plans, Venezuela

Planning for protected areas in Venezuela was developed on two levels: on a system level, with the selection of sites to be designated as protected areas, and at the level of the internal zoning for each area, with the planning of management activities. Planning was done for areas belonging to the System of National Parks, which includes National Parks and Natural Monuments.

When we talk about Management Plans in Venezuela, we are essentially referring to "zoning plans," which also contain a sketch of a "management plan" (without all the details) and the "use regulations." Legally these plans are called "Zoning and Management Plans and Use Regulations," and they are seen as "fundamental instruments for management and conservation." The conceptual scheme of their content is defined in a "general regulation for national parks." The main aspect of these plans is the "zoning." The plans are elaborated in a preliminary form by a technical team from the National Park Service (Inparques), and they are then submitted for consideration or criticism to the general public, with a special emphasis on the settlers, local authorities and other actors that live in the protected area and around it. This consultation is a process that has its center in one or several events called "Public Consultation Workshops."

Once this process, which can take several months, is completed, the plan is adjusted according to the technical-political decisions and it is submitted for approval and legal publication, which comes from the President of the Republic.

Up to the present moment, plans have been approved for 25 of the 64 areas in the National Parks System.

Strategic Plans for Protected Areas, Ecuador

Starting in 1996, a methodological process was developed in Ecuador for the planning for protected areas, which was adapted to the country's specific conditions, using situational strategic planning, the search for political support at the highest decision-making levels, and the training of personnel for the implementation of this new process.

The applied methodology was based on a) the active participation of the actors in the planning process, b) facing the management problems, c) the strategic selection of activities considering the existing governability, d) the zoning of the protected area as agreed with the users, and e) the idea of a dynamic plan that should be up-dated constantly.

With this, the participation of the local actors in the management decisions was achieved, as well as a better knowledge of the area, of its potentialities and management problems, the initiation of conflict resolution processes, the appropriation of the management plans, and the establishment of commitments on behalf of the local actors.

The descriptive compendium
for the protected area

The descriptive compendium is the general characterization of an area or region. This includes the classical geography tasks with their elements of physical and social-human geography.

The expected output is a compilation of existing information about the protected area and the region it is in, presented in the form of a document. The contents will depend on the target group for whom the publication is oriented. It can variate between a purely scientific document and a book with photographs and texts in a more general manner up to the form of a web page.

Once the document has been elaborated and published, the expected outcomes are:

Who will participate in the elaboration of the documents themselves depends on the character and the function that the description of the region has to fulfill. According to this, the elaboration of the descriptive compendium can have an extremely participative character or it can be prepared by one scientist or one student within the context of a thesis.

Elaboration of informative materials, Panama

The Cerro Hoya National Park in Panama has a variety of informational materials about the region, amongst which are the web page or videos, developed entirely by government employees, technicians, and consultants. On the other hand, a series of publications, called "Treasures of the Cerro Hoya National Park," has been developed in the form of booklets with their corresponding poster. Each booklet and poster covers a specific theme of importance for the park and the people of the region, such as birds, mammals, iguanas, trees, medicinal plants, marine life, etc. They also include information about traditional uses and beliefs related to nature and wildlife. The contents and suggestions for the design of the publications in the series are defined by using a participative methodology, based on the interests and contributions of the inhabitants of Cerro Hoya, complemented by scientific data. The purpose is to restore and value this knowledge, expecting in this way to contribute to the development of a "regional pride" as a basis for the long-term conservation of the natural and associated cultural "treasures."

Some ideas about information gathering

Traditional appraisals were often simply complete inventories of the protected area resources, which required a lot of time and money to be elaborated. They were basically detailed descriptions of the area's biophysical characteristics, and placed little emphasis on the socioeconomic aspects. This information, more descriptive than analytic, in many cases was not used for the management. Among the main reasons were the lack of criteria for the contents of the appraisals and the lack of stakeholder participation in the area. The appraisals were performed through the "eyes" of the consultants, without addressing the area's management problems.

In order to avoid these deficiencies, there must be a close functional relationship between the required information and the potentials, problems and proposed solutions for the management of the protected area, presented previously by the actors who are involved. Information gathering must be directed towards:

It is important to highlight the fact that other needs to know about the reality of the protected area will be born from the activities that are performed for its management; in other words, new demands for information will appear. Generating information and knowledge about the area and its management are permanent activities. But they are also part of specific activities, as long as the necessary information for the planning or execution of a program or activity has been identified.16

The generation of information must be a task pertaining to all of those who work in the protected area. The direct techniques are the preparation of primary information and those which promote the expression and reflection of the actors that are involved. Among these techniques we can mention direct field observation (thematic cartographic studies), interviews, polls, and group discussions. The indirect techniques are related to the collection and selective analysis of secondary documented and cartographic information. If specialized studies are required, which cannot be covered by the actors related to the area, a permanent task force should be in charge of preparing the terms of reference for hiring specialists according to the topic and to the available resources.

Fig.#6 The preparation of a management plan in phases, Brazil

Generating information for the management
of protected areas, Brazil

Trying to guarantee greater dynamism in protected area planning, management plans are conceived in three phases. Through them the evolution of the knowledge about the existing resources in the protected area, and the broadening of the management actions supported by this knowledge, is achieved. Planning in three phases makes the plan continuous, flexible, and participative.

The management plan, structured in phases, is designed so that the person in charge of protected area administration always has the support of an updated planning instrument. So that the fluidity of the plan is not interrupted, the implementation of a phase occurs simultaneously with the planning for the following one. In other words, during the execution of Phase I the necessary investigations are performed for the preparation of Phase II of the Management Plan.17

The strategic plan

Strategic planning proposes abandoning the idea that the park director or reserve warden should "handle all the threads." Everybody can plan and everyone can perform an analysis about the future before making a decision. I plan, you plan, and he plans. We all plan. The planning of protected areas, with people living in them and their surroundings, belongs to a complex system in which all the actors plan their actions in accordance with their objectives and interests, expecting to obtain some profit out of it. This requires that the planners have a certain modesty, aside from what could be called a "chaos capability." It requires a planning attitude that is participative and concurrent with the different actors, with a strategic eye for building and searching a shared vision amongst the actors. In other words, being able to work without knowing what will happen tomorrow, and trusting that, no matter what, in cooperation with the others, an acceptable solution will be found.

The strategy is the art of dealing with uncertainty and with the obstacles that might present themselves in the plan application process. As a result, the "strategic plan" can be understood as a tool for change and the main instrument that designs the management of a protected area. It is the result of the joint effort of the actors involved in the management of a protected area, and it must be formulated based on the knowledge about the existing situation, within its legal context, considering the possible sceneries that will allow the maximum quantity of actors to participate. A strategy could suppose offers, struggles, agreements, threats, actions and answers between the actors divided into opposing positions. It is not a question of trying to include the complexity in all its details within the planning, because this could create confusion and the important points could be lost. On the contrary, the idea is to pick out certain relationships between the actors, in order to simplify the outline, thus being able to act. This is what, in planning theory, is called reduction of complexity. Every planning method tries to identify models within the complexity of the relationships. In this sense, you should avoid acting as if the actors were not interrelated, as if the rules of the game were known, or as if the situation was well defined. The planning must be systematical and planned, and at the same time it demands optimism, creativity and a dose of improvisation.

Strategic planning must be understood as a method or process that entails a sequence of analysis and planning steps (objective analysis, analysis of the actors, problems and potentialities analysis, program definition, activities, assumptions, necessary resources, etc.). Planning with sense requires working on this sequence using the appropriate techniques and tools as a complement and with flexibility. Amongst the tools used, there are several techniques: Rapid Participative Diagnostic (RPD), Strengths, Weaknesses, Opportunities and Threats (SWOT), or Future Search Conferences. The traditional comprehensive workshop is only one of the many options. The time necessary to elaborate a first draft of a Strategic Plan depends on the existing knowledge, on the complexity, size, group diversity, problems and potentialities of the protected area.

The expected outcome of the strategic plan is to learn the technical, political, economical and administrative viability of the activities proposed to achieve the goal of creating the protected area. As a baseline the strategic plan must answer the following questions:

In order to write up the strategic plan, it is recommended to use the following nine steps:

Analysis of the reasons for the creation and the objectives of the protected area

The reasons for the creation, as described in the declaratory decree and in accordance with the management category of the protected area, are the starting point for the planning process. As such, they establish the parameters used to evaluate the relationships between the area and the social actors. Moreover, they must be the guideline for the planning process because they establish the frame in which the programs and management activities should, or could be developed. Since the reasons for the creation of the protected area are the starting point in the planning process, the protected area automatically becomes the focal point of the process. In this way it is intended to reconcile any other development plan for the region with the objectives of the protected area. However, there are always groups with different interests and expectations, such as lumbering and the expansion of farming lands or municipalities. These actors also define their own objectives, intervention area and strategies. For this reason it is indispensable that they are aware of the value of the environmental services the protected area provides and that, consequently, they incorporate these elements into their own development plans. Likewise, it is indispensable that the functions and objectives of the protected area are included in all the development plans on municipal, provincial, regional and national level.

In case that the management category doesn't fit wih the biophysical and social reality of the protected area, the possibility of adjusting the legislation that establishes and justifies the existence of that area, must be taken into consideration. For instance by changing the management category or the limits of the protected area.

Identification and categorization of the actors

The preparation of the strategic plan must start, on one hand, with the identification of the actors that participate actively or passively in the protected area management processes, and on the other hand, with the groups or persons affected by the area. This analysis will indicate the geographic reach of the strategic plan, since it must consider, if possible, all the people, institutions and organisms that have any relationship with the area.

For each identified group, with either good or bad influence, it is necessary to detect its power and acting possibility through the political, legal, organizational, informative and economical resources it controls. It is also necessary to detect the positions and motivations that the actors have with regards to the protected area, its management and the planning process itself.

The identified actors can be categorized as a function of their relationship with the protected area, the exploitation of natural resources, the potential effects of their actions on the environment, and other details. The effort put into identifying and categorizing the actors must be oriented towards knowing where they live and act, to facilitate the understanding between them, and to promote agreements or transactions between the parties. The fact that women, men, young and old people have different ranges of action and ways of looking at things must always be kept in mind. In order to not overlook the interests of women, young and old people, greater efforts must be made so that groups can express what they want. To carry out the analysis of the actors, different methods could be applied, such as: relationship maps, force field matrices, interaction analysis, organizational analysis, rapid participative diagnosis (RPD), situational strategic planning (SSP).

Identification of problems and potentialities

The identification of problems and potentialities is the key to figuring out the direction the development of the protected area could take in the future. It is an eminently participative process and it must be dealt with by the implementation of events with the interested actors. The role of the facilitators will be to regulate the process and contribute their legal, theoretical and methodological knowledge.

The "potentialities" are the natural comparative and socio-cultural advantages, in other words, the strengths and opportunities of each protected area. These can be seized and used for the benefit of the area, the communities and other actors.

A "problem" is an obstacle that keeps you from achieving a proposed objective. A group of partial problems that coexist and are related to each other, make up a "macro-problem" that in our case is usually the loss of biodiversity, associated natural and cultural resources, and consequently, the decrease in the quality of life for local communities. Regarding the problems, one must try to identify the positions and interests of every actor, taking into consideration the indicators (symptoms) and causes of the problem. This will allow the best solution to be identified, in accordance with the actors involved in the management of the area.

A problem that has many causes, can have many solutions. However, the solution to a problem tends to generate other problems; which is why it is important to choose the solution that will have the least impact on the natural and cultural resources of the area and that produces benefits for the majority of actors.

The steps to be developed in the problem identification activities are:

Although generally during these workshops or planning activities the attention is set on the problems, equal importance should be assigned to the identification of potentialities, with the strengths and opportunities of the protected area, which can be used for the management.
Like the problems, the involved actors should express the following positive aspects:

But, one must always keep in mind that, the fact that a person perceives something as a problem and feels motivated to solve it, will depend largely on the pressure this problem exerts on the person. In other words, not every problem "makes itself felt." If some of a group of actors do not perceive an obviously existing problem as such they will not make an effort to solve it. For example, if they do not see the turtles as an endangered species, they will not make an effort to preserve them. In this sense we can talk of "felt needs." Often a problem is expressed in terms of the means needed to solve it, such as lack of credit, lack of staff, absence of legal regulations, etc. The matter should be carefully examined because often the proposed "solutions" do not solve the problem itself. A credit line does not really help if the production it allows cannot be put on the market. Confusing an existing problem with the lack of a solution must be avoided, because this would lead to prematurely facing a determined option within the plan without examining other alternatives. In order to perform the analysis of problems and potentialities, the facilitators must apply methods that start off from the different actors' points of view, and that compare the different perspectives. Some of these methods are: Strengths, Weaknesses, Opportunities, Threats (SWOT), matrix of problems and objectives, "mind map," developing a hypothesis, a problem tree, rapid diagnostic participation (RDP), strategic situational planning (SSP).

Elaboration of a shared vision

The construction of a shared vision allows the orientation of the strategic plan's actions in order to reach a goal established by the actors involved in the management of the area. If a joint vision cannot be created, the different interests of the actors might seem incompatible and the harmonic development between the actors of the region will be very difficult. Due to the existence of different interests, conflict-solving tools are necessary, as well as educational and environmental awareness campaigns to spread information and strengthen the conservation efforts of the area.

The vision must creatively describe an improvement upon the current conditions of the protected area. It must also project the long-term continuance of the protected area, with its natural and cultural resources, and the services and benefits it provides to the local population and for regional and national development. The vision must be imaginative. However, it must be believable and possible. For this reason it is important to consider the possibilities that the management category offers, such as the potentialities and limitations of the natural, cultural, legal and administrative resources and their socio-economic characteristics.

Definition of the main programs and activities

It is an eminently participative process that must be approached through events in which the actors take part. The facilitators will be in charge of moderating the process. At this point in the planning, solutions to the identified problems must be sought, considering the potentialities, strengths and opportunities previously established. But the plan's management programs and activities must be realistic and not idealistic. The consolidation of a protected area follows a gradual development process, improving management ability, as the participation and knowledge of the actors increases. The aspects to be developed are the following:

In order to establish the activities, we must know in which phase of the planning process we are. In the strategic planning for the management of a protected area it makes no sense to plan in great detail beforehand, because surely a great part of what is planned will either be ruled out, modified or adapted. In fact, often things evolve in a completely different manner than what was thought at the beginning. This is why here we only talk of the main activities. In the annual operational plan one must specify in greater detail the necessary actions to carry out a main activity. It is very important to think not only of the output the activity should produce, but it is also fundamental to formulate the expected outcome of such activity. In this way it is possible to avoid an activism that leads nowhere. The formulations of the expected outcomes provide support for monitoring, to see if the activity really accomplished the original intention.

The main activities should be grouped into programs, according to the demand for technical staff and resources required for their implementation. Generally the programs are grouped based on the following referential fields:

Viability analysis: risks and assumptions

The strategic plan must contain actions that can be applied during the established period. For this purpose, it is indispensable to identify the viability of the plan's programs and activities, based on an analysis of the political, legal, organizational, informational and economic resources; as well as the actors' motivation, the available time and the possibility of accomplishing the operations in the current scenario. This must be done taking into consideration assumptions and risks that may interfere with the completion of the activities. Planning for the management of protected areas implies risks when the parties involved have not come to an agreement and their efforts go in different directions. Another risk comes when the actors do not uphold the agreed contributions. In this case you must ask yourself, why does this happen? had the contributions not been defined in a realistic manner? or is it that the actor wanting to collaborate is not completely convinced of the concept, therefore not wanting to invest much?

The external risks also endanger the management, but are completely out of reach of the influence of those who manage the area. This occurs specifically in the cases where a legislation or adequate policy regarding protected areas in a country does not exist, and the opposition seizes the opportunity to "politicize management" and obtain their own interests. In those cases it is of great importance to work within the political and legal arena.

The assumptions are the external factors that must be established so that planning for the management of the protected area is realistic. As part of the viability analysis it is necessary to analyze:

The methods to carry out the analysis of risks and assumptions include the "mind map," the problem tree, the relationship map, the assumption evaluation model, and situational strategic planning (SSP).

Establishment of strategies

The next step, once the viability analysis for the proposed activities is completed based on the initial situation, will be to determine the strategies to be followed for such activities.

In this context we can define strategy as the group of orientations that, in an orderly fashion, indicate the paths that can be followed to implement the proposed activities, thus reaching the desired situation for the protected area. There are several paths to follow, but the planning must determine which is the most effective and efficient. In order to do this, one must have a clear idea of how one could proceed, and what might be the respective advantages and disadvantages. In many cases the planners can only perceive the alternatives if they manage to disregard everything they have thought of so far and develop alternative management suggestions based on what is known of the area. To evaluate the alternatives, the parties cooperating in the management of the protected area must come to an agreement and set their criteria jointly. Generally, the most convenient path is that which leads to a given objective with the lowest investment and operational costs. However, only comparing costs does not work, because it is necessary to compare a large combination of factors. The criteria of the involved parties are usually predetermined, in part, by their own value system and their political objectives.

One must not forget that it is necessary to set strategies in accordance with the particularities of each protected area, and that these strategies must be prioritized depending on the most critical factors for the implementation of the protected area management.

Definition of the strategic course to be taken

The course or sequence to be followed in the implementation of the programs and activities is an important aspect that the strategic plan must define, based on the viability of the proposed activities. The strategic course allows you to organize the implementation of the activities through time, considering the priorities in the area and the available resources. It also allows the use of certain activities to create favorable communication spaces and give viability to the remaining activities in time, and with the changes produced by the implementation of the initial proposals. The strategic course is an extremely dynamic element that must be adjusted as changes occur or as more information about the area is acquired.

Fig.#7 Strategic Course Flowchart

Budget and financing sources

Once the proposals for the strategic plan have been structured, one must define the budget and the financing sources required for the implementation of the activities that are considered high priority, including constructions, purchase and upkeep of goods and equipment, and regular personnel costs. For this it is necessary to perform an analysis that includes at least:

If the analysis shows that the funding needed to perform the activities in the plan are out of the reach of the institution or organization in charge of managing it, the activities must be prioritized, new strategies must be prepared, and alternative financial sources must be sought.

Annual Operational Plan (AOP)

Operational plans are short-term plans based on strategic planning. They retake the main activities, detailing the steps to be taken to implement the strategic plan.

The start-up team should elaborate the operational plan for the plan's first year of implementation. In the years to follow, this responsibility will fall upon the actors directly involved with the management of the area. The operational plan should be framed within the strategic plan; for which the vision, mission, management objectives, potentialities, problems, involved actors and available resources in the area must be considered.

The operational plans should start from the activities previously prioritized in the plan's strategic course. As a first step, a revision of the output and expected outcome of each program and main activity should be performed. Then the specific activities that each person involved must carry out to achieve the expected output and outcome should be defined. In this way, the following should be identified:

Fig.#8 Planning cycles