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UC Santa Cruz UC Santa Cruz Electronic Theses and Dissertations Title The New Peruvian Experiment: private conservation, tourism and mining in the Cordillera Huayhuash Permalink https://escholarship.org/uc/item/9fp41597 Author Norris, Timothy B. Publication Date 2014 Supplemental Material https://escholarship.org/uc/item/9fp41597#supplemental Peer reviewed|Thesis/dissertation eScholarship.org Powered by the California Digital Library University of California UNIVERSITY OF CALIFORNIA SANTA CRUZ THE NEW PERUVIAN EXPERIMENT: PRIVATE CONSERVATION, TOURISM AND MINING IN THE CORDILLERA HUAYHUASH A dissertation submitted in partial satisfaction of the requirements for the degree of DOCTOR OF PHILOSOPHY in ENVIRONMENTAL STUDIES by Timothy B. Norris June 2014 The Dissertation of Timothy B. Norris is approved: ____________________________________ Associate Professor Jeffrey Bury, chair ____________________________________ Professor Margaret Fitzsimmons ____________________________________ Professor Emeritus Stephen Gliessman _____________________________ Tyrus Miller Vice Provost and Dean of Graduate Studies Copyright © by Timothy B. Norris 2014 TABLE OF CONTENTS List of Tables iv List of Figures v Abstract vii Acknowledgements x Chapter 1: The New Peruvian Experiment: private conservation, tourism, 1 and mining in the Cordillera Huayhuash of the central Andes of Perú References . 29 Chapter 2: The People’s Parks: Private Community Conservation in the 33 Cordillera Huayhuash, Perú Supplementary Materials . 93 References . 94 Appendixes . 100 Chapter 3: Fire, water, and earth in an extractive zone: baseline data for 109 forest cover, water quality, and pasture productivity/biodiversity for evaluating environmental change in the Cordillera Huayhuash Supplementary Materials . 145 References . 146 Appendixes . 149 Chapter 4: Commodification across Vertical Boundaries: Mining and 159 Conservation in the Peruvian Andes References 203 Chapter 5: The way forward: participatory research, legitimacy, and 209 environmental justice Afterword 232 References 233 iii LIST OF TABLES Table 2.1 Protected Areas in Perú 43 Table 2.2 Responses from the 2011 survey to the question: Why have a 65 private conservation area in your community? Table 2.3 Responses from the 2011 survey to the question: What is the 70 principal objective of conservation? Table 2.4 Private conservation areas: recognition dates and objectives as 70 stated in the planes maestros Table 2.5 Responses from the 2011 surveys to the question: Are you 81 familiar with the master plan for your PCA? Table 2.6 Responses from the 2011 surveys to the question (subset of the 88 responses that excludes all principal problems): What kind of problems does mining bring to your community Appendix B – Huayhuash Survey Summary 107 Survey responses summarized by community Survey responses summarized by explanatory dummy variables Survey responses summarized by both community and explanatory dummy variables Table 3.1 Summarized results of the field measures for water quality 127 Table 3.2 Summarized results of the enterococcus MPN (most probable 128 number) counts. Table 3.3 Enterococcus MPN counts and distance to human activity 129 Table 3.4 Summarized results of heavy metal concentrations. 130 Table 3.5 Summarized results of the pasture sites 138 Appendix A – Species list for pasture transects 149 Appendix B – Pasture site data for 2010 155 Pasture site data for 2011 156 iv LIST OF FIGURES Figure 1.1 Guaman Poma’s map of the Tahuantinsuyo (the Inca empire) 6 Figure 1.2 The Cordillera Huayhuash (map) 8 Figure 1.3 The average annual inflation rate in Perú from 1960-2012 16 Figure 1.4 Distribution of mining active mining concessions, official registered 21 rural titles, and the canon minero in Perú (maps) Figure 2.1 Protected areas in Perú (map) 44 Figure 2.2 The growth of SINANPE 45 Figure 2.3 Conservation areas in the Cordillera Huayhuash (map) 57 Figure 2.4 Survey responses: what is the principal objective of conservation? 82 Figure 2.5 Survey responses: do you think that private conservation is a legal 84 tool for the communities to slow the granting of mining concessions? Figure 2.6 Survey responses: why do you think that the Peruvian state wants to 85 create a protected area in the Cordillera Huayhuash? Figure 2.7 Survey responses: are you in agreement with a national protected 86 area? Figure 2.8 Survey responses: what problems impede conservation? 86 Figure 2.9 Survey responses: what is the most important threat to the 88 community right now? Figure 3.1 The Cordillera Huayhuash (map) 115 Figure 3.2 Distribution of the Polylepis spp. patches identified from the 2011 119 and 2013 satellite images (map) Figure 3.3 Locations of the water monitoring stations (map) 124 Figure 3.4 Locations of the pasture evaluation sites (map) 135 v Figure 3.5 (a) Pasture productivity calculated for cows compared across camps 140 and common grazing areas and (b) species diversity ~ disturbance linear polynomial model Figure 4.1 Growth of Extraction and Conservation in Perú 162 Figure 4.2 Geography of Extraction and Conservation in Perú (map) 183 Figure 4.3 Moody’s investment rating for the government of Perú and 185 investment in extractive industries. Figure 4.4 Mining and conservation in the Cordillera Huayhuash (map) 187 Figure 5.1 The drilling platform, monitoring stations, and location of the spill at 210 the Diablo Mudo exploration operation developed by the Raura Mine Figure 5.2 The tendencies of heavy metal concentrations at two of the water 212 monitoring stations in the Ocshapata River watershed vi ABSTRACT The New Peruvian Experiment: private conservation, tourism and mining in the Cordillera Huayhuash Timothy B. Norris Global efforts to create protected areas dramatically increased in the last several decades. This growth is couched within the context of rising hegemonic neoliberal economic policies that govern natural resource allocation. Research on the creation and management of protected areas shows that conservation efforts are moving from the domain of sovereign governments to that of the private sector and from a principal of preservation to one of conserving biodiversity in productive landscapes. While these shifts appear successful based on the ever increasing terrestrial surface area considered protected, there is little known about how this “third wave” of conservation touches down at local scales across diverse institutional and ecological contexts. This dissertation presents a case study of how private conservation frameworks and practices emerged in the Cordillera Huayhuash, a mineral and biodiversity rich mountain range located in the Andes of Perú. Particular attention was given to how economic activities such as tourism and mining influence outcomes in local human and natural communities. To determine environmental outcomes measures of water quality, pasture productivity and forest cover were made; the results serve as a baseline for future assessments. Institutional and social outcomes were assessed with mixed methods ranging from a broad questionnaire to a vii participatory conservation zoning exercise undertaken in partnership with the Peruvian government. The environmental observations show limited measurable impacts and highlight the importance of future assessments. The institutional and social assessment shows that the exogenous influence from the international conservation community and the extractive industry are both powerful factors, and that endogenous influences such as corruption and self-interested local leaders also play important roles in shaping outcomes. The participatory zoning exercise demonstrates a hopeful method to build bridges between the local communities and sympathetic officials in the Peruvian protected areas service. The zoning work also raises important questions about whose property will be better defended by the state, that of the communities or that of the mining companies. These findings show how the shared role of private property in both conservation and extraction needs careful consideration when implementing market-based conservation efforts on communal territory in extractive zones. viii DEDICATON: This work is dedicated to Barney Nietschmann (1941-2000). This dissertation never could have been dreamed without him. ix ACKNOWLEDGEMENTS: I am grateful to the people of the communities and the local governments in the Cordillera Huayhuash who allowed me into their world so that we can explore and interpret the reality there together. My informal advisors in Perú to whom I am indebted include Martin Scurrah of the Centro Peruano de Estudios Sociales, Dr. Richard Smith of the Instituto de Bien Común, Luis Alfaro Lozano of the Servicio Nacional de Meteorología e Hidrología del Perú, Marco Arenas of the Servicio Nacional de Áreas Naturales Protegidas, and many others. Special thanks go to Gustavo Escobar la Cruz and Romel Segura Jimenez who shared their rich professional research experience in the Peruvian Andes as immeasurably valuable co-workers. Without the help of my principal adviser, Dr. Jeffrey Bury, who contributed countless hours to improve my thinking and writing skills this dissertation would be in much poorer shape. I also want to thank the other members of my advisory committees, Margaret Fitzsimmons, Stephen Gliessman and Kent Eaton whose experience and knowledge are reflected in the following pages. Indeed, without these four committee members this dissertation project would not have affected the change in both myself and the human and natural