Research Literature In Conservation Social Sciences

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1 SYNTHESIS OF LITERATURE (Andeans Countries Tourism Policy-Making Factors That Promote Local Participation Inside or Nearby Protected Areas) I. Introduction The Andean community is constituted by five countries (Bolivia, Colombia, Ecuador, Peru and Venezuela) that share historical and cultural backgrounds. This community is located in the Andean system of the South American region, and is characterized by its cultural diversity (more than 171 ethnics groups), ecological (more than 84 life zones) and biological (all of them are classified as megadiverse countries) diversity. These riches have been identified by Andean governments as potential resources that could help to improve their economical and social struggles in a long term scenario. Nevertheless, the diversity of natural resources related to a high poverty index of the population and ethnic groups that live near, generate strong pressures for the use of those resources. With the potential of destruction, this would cause more economic depression in short term. In this context, in 1969 the Andean countries develop a cooperated and integrated vision that promotes the harmonious and equitable development of these countries through cooperative work establishing the Andean Community (CAN 1 ). This community has been working with different perspectives and strategies to achieve this vision. The actual direction of its work is relying on the sustainable use of natural resources that promote the countries sustainable development. This direction is based on international 2 and regional 3 agreements. In addition, 1 Spanish abbreviation of Andean Community (Comunidad Andina). 2 Such as Rio Earth Summit, Agenda 21, Quebec Declaration, 5th World Parks Congress, etc. 1

2 at the beginning of this century the Andean Community decided to establish policies and strategies that will contribute to the improvement of the quality of life of its people, including a sustainable drive to take advantage of the ecosystems. It is focusing its work in three areas: Regional Biodiversity Strategy (ERB), Environmental Management, and Trade for Sustainable Development. This work has been supported for a national and international network of organizations 4. One of the themes that has important implications on the Andean Community s work and it was identified as one of the important worldwide strategies against poverty is the promotion and develop of the tourism industry. This industry has a higher expectation growth rate at worldwide level 5 and was consider as the world s number one employer 6. In addition, the segment of nature based tourism 7 has the fastest worldwide growth at 10-30%. In this sense the Andean community has developed a series of agreements and decisions related to the promotion and develop of the tourism industry 8. Likewise, each country has been working on the development of its own tourism public policies related to its context and necessities. Being the nature based tourism one of the segments that captures the interest and attention of governments. Indeed, the segment of nature based tourism development inside or 3 Cartagena Agreement (1969), Desicion Nº 463, San Francisco de Quito Agreement (2004), Lima Declaration (February, 2002), etc. 4 Andean Development Corporation (CAF), the Inter-American Development Bank (IDB), the United Nations Conference on Trade and Development (UNCTAD), Conservation International (CI) and the Consortium for the Sustainable Development of the Andean Region (CONDESAN). 5 A worldwide predicted average for 2020 is 4.1 percent annually and South-America was predicted with xx percent. (WTO, 2003) 6 It represents 10 % of the jobs in the world (WTO 2003) 7 Especially the nature based tourism development inside or nearby natural protected areas. 8 Decisions: Nº 463, Nº 498, and Nº

3 nearby protected areas, is the one with fastest growing and most demanding of consumption in Andean countries 9. The attempt of this study is develop a policy making tool that permits Andean governments to understand and analyze the tourism policy making process and outcomes. This understanding would permit them to evaluate, redefine and improve their process through feed back processes. Therefore, the main goals of this study are: 1) Understand how do Andean countries develop and implement national tourism policies to promote local community participation inside or nearby natural protected areas; and 2) Analyze if Andean countries that have more inclusive involvement of stakeholders in developing ecotourism policies have more positive than negative benefits on local communities when those policies are implemented. II. Role of theories and models Because the main aim of this study is based on understanding the process of tourism policymaking, the knowledge will be generated inductively and the role of theories and models will focus on guiding the variables and measurement of the study. Also they would help to understand the outcomes and develop patterns or models of tourism policy making process in Andean Countries. 9 Include statistical data! 3

4 For better understanding, the study divides the process of tourism policy making into 4 levels (Context, influence, direction of the policies, and outcomes.), and the process and outcomes would be guiding and analyzing respectively by specific theories and models in each level (Figure 1.) Theories/models Level of analysis Expected findings and explanations Devolution Theory CONTEXT When? How, Where, Why? Factors that influence and determine the necessity of tourism policies Pluralistic theory Elite theory Collaborative theory INFLUENTIAL LEVEL Whom, How, Where? Distribution of power and relations of interested groups during the decision of the policymaking proces Policy transfer model Learning driving model Policy diffusion model DIRECTION OF THE POLICY Why, How, Who? Role of the expertise in determining policies, direction, way that she (he) uses her (his) previous experiences in policy-making and others individually held capacities. Non-policy making influences OUTCOME UNEXPECTED EXPECTED Fig.1. Levels of the tourism policy making process, and uses of theories and models during the study. A. Role of Theory at Context Level. - This level will explain the political and government circumstances surrounding each country that influence the tourism policy making process. The theory would help guide the variables that the study will 4

5 measure, and analyze the outcomes in order to understand basic contextual questions like: When does this process takes place? How this process will be directed? Where it would be developed? Why the government identifies this process as a necessity? (Fig. 1) The context level would be analyzed by the Devolution of Power Theory (Table 1). This theory is based on the distribution of power or functions from a superior government to a subordinate government. The idea of this distribution is to improve the decision s efficiency based on the idea that local governments understand and know better the real situation of their community. Thus the benefits of decisions and policies would be spread throughout all over the country. In this sense, the study could speculate that countries that have an equitable transfer and distribution of power and functions in tourism should have a better perception of the necessities of the country. B. Role of Theory at Influential Level. - This level will explain the distribution of power between interested groups (stakeholders, government, and communities) in order to influence the potential direction of the tourism policy during the tourism policymaking process. The theory would help understanding of the distribution of power and answer key questions like: Who are the organizations or interested groups that lead the policy in a potential direction? How interest groups relate between each 5

6 other? How they influence the process? Where they exert their influence during the process? The influential level will be analyzed by three theories of distribution of power and interactions of interested groups (Collaborative, Pluralistic and Elite Theory) in order to take decisions that drive the tourism policy direction (Table 1.) 1) Collaborative theory is based on the consensual work of stakeholders to develop a tourism policy that benefits all groups. 2) Pluralistic theory relies on a decentralized distribution of power between stakeholders that seek to influence the direction of tourism policies on their own behalf. 3) Elite theory, indicated that there is a small and overlapping network of influential leaders between the interested groups that form an elite who guide the direction of the policy making process on their behalf. The study could speculate that process of tourism policy making that show an equitable distribution of power and collaborative interaction between interest groups would develop a policy that benefits the tourism industry of the country. 6

7 Role of Models at Direction of the Policy level. - This level is focused on individual interaction between interested groups expertise (tourism, sustainable development, policy making and conservation resources expertise) and their decision of the way that they will use imported policies 10 during the tourism policy making process. The model would help the understanding of the factors and reasons of the way of exported policies will be used in each country and it would help to answer questions like: Why the think tankers choose one foreign tourism policy? How they use the foreign policy to develop a national policy? And who are the think tankers and what are the professional backgrounds that influence the final direction of the policy? This level will be analyzed by three models (Policy diffusion, policy transfer and policy learning model) with the purpose of understanding the policy adoption process (Table 1). 1) Policy diffusion model describes this process as any pattern of successive and sequential adoptions of policy innovation in countries, regions or organizations. It suggests that there is a spread pattern of this diffusion throughout countries that present similar geographic and social characteristics. 2) Policy transfer model indicates that there is a non-autonomous process of policies and practices which moves from exporter to importer jurisdictions and 10 For this level of the study we will assume that Andean Countries use foreign experience for developing their own tourism policies. 7

8 is the result of intended actions of agents to transfer policies. The model indicates that this transfer could be voluntary or coercive. 3) Policy learning model explains the conditions under which policies or practices operate in entities that export the policy initiative and whether and how the conditions which might make them work in a similar way can be created in importer entities. It is usually thought to be an intentional learning process, rather than an unintentional one where governments facing the same problems discover the same strategy. C. Outcome Level. - This level refers to the final focus of the tourism policy at the end of the process (without focus, with tourism business focus, with conservation focus and with sustainable development focus.) This level was subdivided into expected and unexpected outcomes. The expected outcome is related to the logical focus of the outcome at the end of the process and the unexpected outcome is related with illogical outcomes that not reflect the agreements and work of the policy making process, and were influenced by non-policy making influences at higher level of the governments (back stage negotiation.) Unfortunately, I didn t find any theory or mode that fits or explain this unexpected outcome reality, but I will argue that this back stage process would be common in Andean countries. 8

9 Table 1. Levels of use and description of theories and models for the study Theory/ Constructs 12 Model 11 involved Description Changed over the time Authors/reference Pluralistic theory Constructs included on the influence, direction of the policy and outcome level presented on the concept map. Power is significantly decentralized with opportunities reasonably available to organized groups seeking to influence policies of interest to them. No single group holds the dominant power position, power is always shifting, and individuals can have influence on policymaking through being active in one of these power groups It is a framework of interaction in which groups show sufficient respect and tolerance of each other, that they fruitfully coexist and interact without conflict or assimilation. The main discussion and work on this theory is related to understand how the organized groups (interest groups) related between them in terms of influence and power during the policy making process. As a result some changes and new approaches identifies three kinds of sub-theories based on the relation of power between organized groups (Lasissez faire, corporate and public) Mc Cool, Danniel. (1995) Public Policy Theories, Models and Concepts Elite theory Constructs included on the influence, direction of the policy and outcome level presented on the concept map. There is an overlapping network of influential leaders in government, academia, think tanks, foundations, and the media that form an elite group and guide the policy making process. These elites share both membership and a set of common interests, and thus that the principal policy decisions for which they are This theory criticizes the pluralistic theory, and argues that there is a small group of influential leaders that has more power during the process of policymaking instead of a decentralized and shared power between organized groups. Dye, Thomas. (1995) Who is running America? The Clinton years McCool, Daniel. (1995) Public Policy Theories, Models, and Concepts 11 The definition and explanation is narrowed to the policy making process. 12 The constructs and levels of this policy making process is showed in a concept map (Annex 1) 9

10 Theory/ Constructs 12 Model 11 involved Description Changed over the time Authors/reference responsible serve common goals. The main struggle of this theory is focus on the process of permanence Devolution Theory Constructs included on the context level Transfer of specific power or functions from a superior government to a subordinate government i.e. federal government to state and local governments. The intent of devolution is to enhance the responsiveness and efficiency of the federal system, based on the theory that state and local governments can do a better job of providing services for citizens. This is one of the news and more used theories nowadays. And the main struggles are based on identifying and describing the process of transfer of power or functions between levels of governments. Keith Watson, Steven D. Gold. (1997) The Other Side of Devolution. Shifting Relationships Between State and Local Governments. Collaborative Theory Constructs included on the influence, direction of the policy and outcome level presented on the concept map. An interactive partnership between government, interest groups, major sectors of the community and the public, all identified as stakeholders that work toward consensus on three main phases of any planning issue, problem setting, direction setting and implementation (Margerum, 2002). This interaction is based on collaborative dialogs between interested groups based on undistorted communication (allow for consensus and action.) The theory changes based on the power relations that might alter the outcome of collaborative efforts. The main struggle of this model is achieving the final consensus. Margerum, Richard. (2002) Collaborative planning: building consensus and building a distinct model for practice 10

11 Theory/ Constructs 12 Model 11 involved Description Changed over the time Authors/reference Policy diffusion model Constructs included on the influence and direction of the policy level presented on the concept map. This process has been described as any pattern of successive and sequential adoptions of policy innovation in countries, regions or organizations. The model suggests that there is a spreading pattern of this diffusion through countries that present similar geographic and social characteristics. The model has not changed in its base. Nevertheless, there are new applications to this model such as entities in the same country. Stone (2000) Roger (1995) Newmark (2002) The process of diffusion has four components: a) Innovation. - Idea or program that is new for an entity (even if it exists elsewhere and other entities have already adopted and implemented it. b) Communication channel. - The connection between the innovator adopters and potential adopters. (Sometimes the idea is spread because the potential adopter read the same information or attended the same conferences and meetings) c) Social system. - Refers the social system where the diffusion takes place. d) Time.- Refers to the amount of time required for the innovation to diffuse 11

12 Theory/ Constructs 12 Model 11 involved Description Changed over the time Authors/reference Policy transfer or model Constructs included on the influence and direction of the policy level presented on the concept map. Pursue to understand the process by which policies and practices move from exporter to importer jurisdictions. Policy transfer is not considered as an autonomous process (in contrast to diffusion), but as the result of intended actions of agents to transfer policy. An important topic in this model is to understand the process when the transfer is voluntary or coercive (in most cases developing countries) The main discussion of the model is based on how to identify is the process is based on coercion or it is voluntary. Jacobs & Barnett. (2000) Policy transfer and Policy learning: A study of the 1991 New Zealand health service taskforce. Howlett, M. (2002) Do networks matter? Linking policy network structure to policy outcomes: Evidence from four Canadian policy sectors Stone, D. (2000) Non-government policy transfer: The strategies of independent policy institutes. Wolman, H.; & Page, E. (2002) Policy transfer among local governments: An information-theory approach. 12

13 Theory/ Constructs 12 Model 11 involved Description Changed over the time Authors/reference Learning driving model Constructs included on the influence and direction of the policy level presented on the concept map. Understand the conditions under which policies or practices operate in entities that export the policy initiative and whether and how the conditions which might make them work in a similar way can be created in importer entities. I didn t find any change or discussion on this model. Jacobs & Barnett. (2000) Policy transfer and Policy learning: A study of the 1991 New Zealand health service taskforce. It is usually thought to be an intentional learning process, rather than an unintentional one where governments facing the same problems discover the same trick. Five types of lesson driving model a) Copy. - Where the policy is transferred and used without any alteration. b) Inspiration. - Where a policy in one jurisdiction is used as an intellectual stimulus to develop in another. c) Adaptation. Where the imported policy is adjusting to the new contextual jurisdiction. d) Hybrid. New policy that came up from the combination of two different policies. e) Synthesis. - New policy that came up from the combination of familiar elements of more than two policies. 13

14 III. Conclusions.- 1. The models and theories in this study will be use in an inductive way that permits the understanding of the tourism policy making process. 2. Because the nature of the policy making process added to the complexity of the tourism industry. This study will divide its analysis in 4 related levels that permit identifies the different relations of the stakeholders and struggles of the process. 3. There are not previous studies that attempt to understand the tourism policy making process neither in Latin-American nor in Andean countries. 4. There is an identified necessity for the Andean community to develop a regional plan of tourism that would involve the development of models of policy making process. 5. We could not identify models or theories that could help to understand the unexpected outcomes during the tourism policy making process. 14

15 IV. Bibliography.- 1. Dye, T. (1995) Who is running America? The Clinton years. Englewood Cliffs: Prentice Hall 2. Ecotourism Society. (1998). Ecotourism Statistical Fact Sheet. Online at: 3. Howlett, M. (2002). Do networks matter? Linking policy networks structure to policy outcomes: Evidence from four Canadian policy sectors Canadian Journal of Political Science, 35, Jacobs, K., & Barnett, P. (2000). Policy transfer and policy learning: A study of the 1991 New Zealand health service taskforce. Governance: An International Journal of Policy and Administration, 13(2), Keith Watson, S. D. G. (1997). The Other Side of Devolution.Shifting Relationships Between State and Local Governments: Urban Insitute. 6. Kincaid, J. (1998). The devolution tortoise and the centralization hare. New England Economic Review, Kindong, J.W (1984). Agendas, alternatives, and public policies. Boston: Little Brown 8. Margerum, R. D. (2002). Collaborative Planning: Building Consensus and Building a Distinct Model for Practice. Journal of Planning Education and Research, 21(3), McCool, D. (1995). Public Policy Theories, Models and Concepts, Prentice Hall. 10. Newmark, A. J., (2002) An Integrated Approach to policy Transfer and Diffusion. The Review of Policy Research, Vol.19, Nº 2, 2002, pp

16 11. Rogers, E.M. (1995.) Diffusion of Innovations. The Free Press, New York. 12. Stone, D. (2000). Non-government policy transfer: The strategies of independent policy institutes. Governance: An International Journal of Policy and Administration, 13, Tepper, S. J. (2004). Setting Agendas and Designing Alternatives: Policymaking and the Strategic Role of Meetings. Review of Policy Research, 21(4), Wolman, H., & Page, E. (2002). Policy transfer among local governments: An information-theory approach. Governance: An International Journal of Policy and Administration, 15(4), World Tourism Organization. (2003). Tourism Highlights: 2003 edition. Madrid, Spain: World Tourism Organization. (Also see 16

17 Annex 1 Concept Map Tourism Policy-Making Process Strength of internationa l social NGO 6 Strength of international conservational NGOs Presence of general country s guidelines for conservation of natural resources 13 7 Strength of national conservational NGOs Priority of tourism activity in government goals Country with economic and social struggles National system of protected areas 8 1 Economic contribution of tourism activity to the national PBI 9 Government organizational specialty in ecotourism 10 Tourism sectorial development Level of national source of job Presence or absence of tourist business organizations 5 Level of national tourism business involvement Presence or absence of local communities organizations CONTEXT INFLUENTIAL LEVEL International tourist organization presence in the country Tourism expertise Sustainable development expertise 14 Policy making expertise Conservation resources expertise DIRECTION OF THE POLICY International tourism guidelines Personal interests (corruption) Previous national tourism policies National tourism policies that promote local participation inside or nearby protected areas 21 Policy without focus Policy with tourism business focus Policy with conservation focus Policy with sustainable development focus OUTCOME 17